Compiled SP

Republic of the Philippines Document Code Page
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT 1 of 4
FM-SP-R03-01A-01
DILG RIII, DMGC, Maimpis, City of San Fernando, Pampanga
region3.dilg.gov.ph Rev. No. Eff. Date
00 10.16.17

MASTERLIST OF MAINTAINED INTERNAL DOCUMENTED INFORMATION

DOCUMENT CODE DOCUMENT TITLE REVISION
00 01 02 03 04 05

SYSTEM PROCEDURES MANUAL

SP-R03-01A Control of Maintained Internal 10.16.17
Documented Information System
FM-SP-R03-01A-01 Procedure 10.16.17
10.16.17
FM-SP-R03-01A-02 Masterlist of Maintained Internal 10.16.17
FM-SP-R03-01A-03 Documented Information 10.16.17
FM-SP-R03-01A-04 10.16.17
FM-SP-R03-01A-05 Document Control Request Form 10.16.17
(Internal Document)
SP-R03-01B 10.16.17
DCR Logsheet 10.16.17
FM-SP-R03-01B-01 10.16.17
Distribution List Form
FM-SP-R03-01B-02 10.16.17
Recall Form
SP-R03-02
FM-SP-R03-02-01 Control of Maintained External
Documented Information System
SP-R03-03 Procedure

Masterlist of Maintained External
Documented Information

Document Control Request Form
(External Document)

Control of Retained Documented
Information System Procedure

Masterlist of Records

Risk Identification, Evaluation, and
Control System Procedure

Republic of the Philippines Document Code Page
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT 2 of 4
FM-SP-R03-01A-01
DILG RIII, DMGC, Maimpis, City of San Fernando, Pampanga
region3.dilg.gov.ph Rev. No. Eff. Date
00 10.16.17

DOCUMENT CODE DOCUMENT TITLE 00 01 REVISION
02 03 04 05
10.16.17
SYSTEM PROCEDURES MANUAL
10.16.17
RRO-QP Code Risk Register A (Objective Risk 10.16.17
Assessment) 10.16.17
RRP-QP Code Risk Register B (Process Risk 10.16.17
FM-SP-R03-03-01 Assessment)
FM-SP-R03-03-02 Risk Criteria Matrix 10.16.17
FM-SP-R03-03-03 10.16.17
Opportunity Management Plan 10.16.17
SP-R03-04 10.16.17
FM-SP-R03-04-01 Risk Control/Opportunity Plan Status 10.16.17
FM-SP-R03-04-02 Monitoring 10.16.17
FM-SP-R03-04-03 10.16.17
FM-SP-R03-04-04 Regional Internal Quality Auditing
FM-SP-R03-04-05 System Procedure 10.16.17
FM-SP-R03-04-06 10.16.17
Regional Internal Quality Audit Program 10.16.17
FM-SP-R03-04-07 10.16.17
FM-SP-R03-04-08 Regional Internal Quality Audit Plan 10.16.17
FM-SP-R03-04-09 10.16.17
SP-R03-05 Regional Internal Quality Audit Checklist 10.16.17
FM-SP-R03-05-01
SP-R03-06 Attendance Sheet
FM-SP-R03-06-01
Regional Initial Audit Report

Corrective Action Report Monitoring
Matrix

Opportunities for Improvement Report
Monitoring Matrix

Opportunities for Improvement Report

Regional Internal Quality Audit Report
Services Complaints Handling System
Procedure
Client Complaint Form
Control of Nonconforming Output
System Procedure
Nonconforming Output Form

Republic of the Philippines Document Code Page
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT 3 of 4
FM-SP-R03-01A-01
DILG RIII, DMGC, Maimpis, City of San Fernando, Pampanga
region3.dilg.gov.ph Rev. No. Eff. Date
00 10.16.17

DOCUMENT CODE DOCUMENT TITLE 00 01 REVISION
02 03 04 05
10.16.17
SYSTEM PROCEDURES MANUAL
10.16.17
FM-SP-R03-06-02 Nonconforming Outputs Logsheet
10.16.17
SP-R03-07 Process Performance Monitoring and 10.16.17
Measurement System Procedure
FM-SP-R03-07-01 QMS Process Summary Logsheet 10.16.17
FM-SP-R03-07-02
QMS Performance Analysis Report 10.16.17
QME-QP Code Process Quality Monitoring and 10.16.17
Evaluation 10.16.17
SP-R03-08 Client Satisfaction Survey System 10.16.17
Procedure 10.16.17
FM-SP-R03-01 Customer Satisfaction Survey Matrix
FM-SP-R03-02 10.16.17
FM-SP-R03-03 Customer Satisfaction Survey Form 10.16.17
FM-SP-R03-04 10.16.17
CSS Summary Logsheet 10.16.17
SP-R03-09 10.16.17
CSS Monitoring Logsheet 10.16.17
SP-R03-09-01 Correction and Corrective Action 10.16.17
SP-R03-10 System Procedure 10.16.17
Corrective Action Report
CR-SP-R03-10 10.16.17
IP-SP-R03-10 QMS Planning System Procedure 10.16.17
QO-QP Code Context Registry
QAP-QP Code
QO-R03-QMS Interested Parties Matrix

SP-R03-11 Quality Objective

FM-R03-11-01 Quality Action Plan

Quality Objective (QMS)
Management Review System
Procedure
Management Review Minutes

Republic of the Philippines Document Code Page
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT 4 of 4
FM-SP-R03-01A-01
DILG RIII, DMGC, Maimpis, City of San Fernando, Pampanga
region3.dilg.gov.ph Rev. No. Eff. Date
00 10.16.17



DILG CENTRAL LUZON Document Code Page
1 of 5
SYSTEM SP-R03-01A
PROCEDURE (SP)
Rev. No. Eff. Date
00 10.16.17

PROCEDURE CONTROL OF MAINTAINED INTERNAL DOCUMENTED INFORMATION
TITLE

This process starts from the identification of the need for creation/revision of

SCOPE document, control and issuance at points of use, up to recall of obsolete or deletion of

internal documents.

PURPOSE/S To manage and control the creation, revision, distribution and deletion of internal
documents and recall of obsolete copies.

PROCESS DESCRIPTION

INPUT PROCESS OUTPUT

PROCESS DOCUMENT CONTROL OF CONTROLLED
OWNER CONTROL MAINTAINED INTERNAL DOCUMENTED
INFORMATION COPY HOLDERS
DOCUMENTED
INFORMATION

DESCRIPTIVE STATEMENT:

The process owner submits a duly accomplished Document Control Request Form together with the draft
of the document to be changed to the Regional Document Controller who reviews the request and the
draft of the document, layouts accordingly and return to process owner for review and approval by the
designated signatories. Upon approval, document controller subjects the document to control, which
includes updating the Master List, stamping of control status, recalling obsolete copies and distributing
control copies.

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel
No. • Document
Control Request
1 PROCESS Identify the need for • Accomplish the (DCR) Form
document Document Control
OWNER Request (DCR) Form
creation/revision/deletion (Internal Document)
and have it signed by
authorized signatories.

• For approved deletion of
document, forward the
DCR to the Regional
Document Controller,
and proceed to Step 3.

2 PROCESS Draft the new Document or • Draft the Document • DCR Form
OWNER proposed revision following the prescribed
format and forward to • New
Regional Document Document/Revise
Controller (RDC) d Document
together with the
approved DCR and the
e-copy of the Document.

3 REGIONAL Record the DCR Control • Review the DCR and if • DCR Form
DOCUMENT Number and layout the found okay, assign DCR • DCR Log Sheet
CONTROLLER
(RDC) Document

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code Page
2 of 5
SYSTEM SP-R03-01A
PROCEDURE (SP)
Rev. No. Eff. Date
00 10.16.17

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel
No.

Control No. and record • Soft copy of the
in the DCR Log Sheet. Document

Note: For reference • Document
document (e.g. Policies,
Memorandum, manual,
brochure), proceed to Step
5.

• For deletion, proceed to
Step 5.

• For creation or
change/revision, review
the document and
layout in appropriate
form indicating the
document controls such
as: Document Code;
Revision Number;
Effectivity Date;
Authorized Signatories;
and other Document
Control indicators
(Header/Footer).

• Print the Document and
forward to the
designated signatories.

4 DESIGNATED Approve the document • Review the document • Document
SIGNATORIES and if found okay,
sign the document,
otherwise, return to
RDC for appropriate
action.

• Return signed document
to RDC.

5 REGIONAL Update the Master List of • Update the • Master List of
DOCUMENT Internal Documents corresponding Master Internal
CONTROLLER List of Internal Documented
(RDC) Document to include the Information
approved
changed/created
document.

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code Page
3 of 5
SYSTEM SP-R03-01A
PROCEDURE (SP)
Rev. No. Eff. Date
00 10.16.17

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel
No. • Sign the updated Master
List and secure
signature of concerned
Deputy QMR or QMR.

6 REGIONAL Control the master copy of • Stamp “MASTER COPY” • Master copy
DOCUMENT the updated documents at the back of the
CONTROLLER updated documents and
(RDC) affix initial.

Note: Reference

documents distributed

through and by Regional

Records Unit or other

concerned Office (e.g.

Policies, Memorandum,

manual, brochure) are not

subject to stamping for

identification of control

status.

• Scan the master copies
of the updated
documents.

• Distribute the scanned
master copies of the
updated documents to
the Deputy Document
Controllers.

7 REGIONAL Retain the Obsolete Master • Retrieve the previous •Obsolete master
DOCUMENT Copy (obsolete) master copy copy
CONTROLLER of the updated
(RDC) document and stamp •Registry of
“OBSOLETE COPY” on Obsolete
the lower left corner Documents
and affix initial.

• Record the obsolete
document in the
Registry of Obsolete
Documents

8 DEPUTY Recall the obsolete • Upon receipt of the • Recall List
DOCUMENT controlled copies of the scanned master copies •Obsolete copies
CONTROLLER of the updated
(DDC) document, if any documents, retrieve the
previous Distribution

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code Page
4 of 5
SYSTEM SP-R03-01A
PROCEDURE (SP)
Rev. No. Eff. Date
00 10.16.17

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel
No. List, if any, and prepare
the Recall List.

• Tag the scanned
obsolete master copy by
renaming the file,
OBSxxfilename. Where
xx stands for the
revision no and filename
is the default filename
as distributed by the
RDC.

• Recall the obsolete
controlled copies, if any,
and record the
document retrieval with
indicated date of recall
in the Recall List.

• Mark the retrieved
obsolete controlled
copies with page-wide
“X” and re-use.

9 DEPUTY Reproduce the document • Prepare the Distribution • Master copy of
DOCUMENT and stamp “Controlled List. approved
CONTROLLER Copy” document
(DDC) • Reproduce the
document based on the • Controlled copies
distribution list. of the document

• Stamp the reproduced • Distribution List
copies “CONTROLLED
COPY” and affix initial
on the lower left corner,
as follows:

• For bound documents,
on the top sheet, only;

• For non-bound
documents, on each
page.

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code Page
5 of 5
SYSTEM SP-R03-01A
PROCEDURE (SP)
Rev. No. Eff. Date
00 10.16.17

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel Distribute the Document
No.

10 DEPUTY • Distribute the document •Document

DOCUMENT based on the

CONTROLLER Distribution List. •Distribution List

(DDC)

• Record the distribution
of the document in the
Distribution List.

11 RDC and DDCs Retain Records • Retain records in •Control of
accordance with the Retained
Control of Retained Documented
Documented Information
Information procedure Procedure
and the Master List of
Records. • Master List of
Retained
Documented
Information

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D, CESO IV
DILG-R03 QMS Head DILG-R03 Top Management
DILG-R03 Regional Quality
Secretariat Management Representative

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

Republic of the Philippines Document Code
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT
FM‐SP‐R03‐01A‐01
REGIONAL OFFICE III
DMGC, Maimpis, City of San Fernando, Pampanga Rev. No. Eff. Date Page
00 10.16.17 1 of 1
www.region3.dilg.gov.ph

Name of Office: MASTER LIST OF INTERNAL DOCUMENTED INFORMATION

DOCUMENT CODE DOCUMENT TITLE REVISION
(Procedure) 00 01 02 03 04 05

Prepared By Noted By

MELERIE G. PINEDA ARACELI A. SAN JOSE, CESO V
DILG ‐ R03 Regional Document Controller DILG‐R03 Quality Management Representative

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO IV JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management DILG‐R03 Top Management

Representative

DILG CENTRAL LUZON Document Code

DOCUMENT CONTROL FM- SP-R03-01A-02
REQUEST (DCR) FORM
(Internal Document) Rev. No. Eff. Date Page
00 10.16.17 1 of 1

DATE OF REQUEST CREATION CHANGE DELETION
REQUEST FOR
Please tick  appropriate
checkbox.

TITLE OF DOCUMENT
DOCUMENT CODE

PROPOSED CHANGE

REVISION NO. FROM/CURRENT: TO:

EFFECTIVITY
DATE

REASON FOR THE REQUEST
(State Purpose of the New Document or Reason for Change or Deletion)

Note: For creation (new document), signatories are as identified in the Document Responsibility Matrix. For

change and creation, signatories are the same with the signatories in the original document being requested

for revision/deletion.

Prepared By: Reviewed By: Approved By:

Name: Name: Name:
Date: Date: Date:
Position Title:
Position Title: Position Title:
Date Received by the QMS DCR Control No.
Secretariat _____________________

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV

DILG-R03 QMS Head DILG-RO3 Regional Quality DILG-R03 Top Management
Secretariat Management Representative

DOCUMENT CONTROL REQUEST FORM
DILG CENTRAL LUZON

DILG CENTRAL LUZON Document Code Page
FM‐SP‐R03‐01A‐03 1 of 1
DCR LOG SHEET Rev. No. Eff. Date

00 10.16.17

Date DCR Control No. Date of Type Title of Document Revision No. Effectivity Reason for
Received (yyyymm‐XXX‐I/E) Request Creation Change Deletion Document Code
No Date Request

From/ To
Current

Prepared By Prepared By Noted By

MELERIE G. PINEDA ARACELI A. SAN JOSE, CESO V
DILG‐R03 Regional Document Controller DILG‐R03 Regional Quality Management

Representative

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management DILG‐R03 Top Management

Representative

Republic of the Philippines Document Code

DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT FM‐SP‐R03‐01A‐04
CENTRAL LUZON
Rev. No. Eff. Date Page
DMGC, Maimpis, City of San Fernando, Pampanga 00 10.16.17 1 of 1
www.region3.dilg.gov.ph

DISTRIBUTION LIST FORM

Name of Office:
Date of Distribution:

DOCUMENT DOCUMENT REVISION COPY HOLDERS [Indicate Office/Process Owner (PO)]
CODE TITLE /EDITION
Office/PO Signature Office/PO Signature Office/PO Signature Office/PO Signature
Forms 1
2
3
4
5

Prepared By Noted By:

MELERIE G. PINEDA ARACELI A. SAN JOSE, CESO V

DILG‐R03 Regional Document Controller DILG‐R03Regional Quality Management
Representative

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV

DILG‐R03 QMS Head Secretariat DILG‐R03Regional Quality Management DILG‐R03 Top Management
Representative

Republic of the Philippines Document Code

DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT FM‐SP‐R03‐01A‐05
REGIONAL OFFICE III
Rev. No. Eff. Date Page
DMGC, Maimpis, City of San Fernando, Pampanga 00 10.16.17 1 of 1
www.region3.dilg.gov.ph

RECALL FORM

DOCUMENT DOCUMENT TITLE REVISION Document RECALLED / WITHDRAWN [Indicate Office/Process Owner (PO)]
CODE /EDITION (Document Controller to sign upon receipt of document from copy holder)

Office/PO Date Office/PO Date Office/PO Date Office/PO Date Office/PO Date

Prepared By Noted By

MELERIE G. PINEDA ARACELI A. SAN JOSE, CESO V
DILG ‐ R03 Regional Document Controller DILG‐R03 Regional Quality Management Representative

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO IV JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management DILG‐R03 Top Management

Representative



DILG CENTRAL LUZON Document Code Page
1 of 2
SYSTEM SP-R03-01B
PROCEDURE (SP)
Rev. No. Eff. Date
00 10.16.17

PROCEDURE CONTROL OF MAINTAINED EXTERNAL DOCUMENTED INFORMATION
TITLE

SCOPE This process starts from identification of the need for acquisition up to registration of
the external document in the QMS through the Master List of External Document and
subjecting the Master List to document control.

To define the controls for managing and controlling the acquisition and registration of

PURPOSE external document to the QMS through the Master List and accordingly subjecting the
Master List to document control.

PROCESS DECSRIPTION:

INPUT PROCESS OUTPUT

PROCESS External CONTROL OF Master List of CONTROL OF
OWNER Document MAINTAINED EXTERNAL External MAINTAINED
Document
DOCUMENTED INTERNAL
INFORMATION DOCUMENTED
INFORMATION

DESCRIPTIVE STATEMENT:

The process owner identifies and acquires the relevant external document, submits a duly accomplished
and signed DCR to the Regional Document Controller who registers the external document in the QMS
through the Master List of External Document then subjects the Master List to control including stamping,
recall (if, any) and distribution in accordance with the Control of Maintained Documented Information
Procedure.

Step Responsible PROCESS/ACTIVITY Details References
No. Personnel
Identify the need for • Identify the relevant
1 PROCESS acquisition of external external documents
OWNER needed for the planning
document and operation of the QMS
2 PROCESS processes. • External
OWNER Acquire the external Document
document • Acquire copy of the
needed external document • Document
thru purchasing, Control Request
downloading or by other Form (External
means (e.g. supplied Document)
manuals or references.)

• Accomplish the Document
Control Request (DCR)
Form (External Document)
and have it signed by
authorized signatories.

• Submit the signed DCR to
the Regional Document
Controller for updating of

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code Page
2 of 2
SYSTEM SP-R03-01B
PROCEDURE (SP)
Rev. No. Eff. Date
00 10.16.17

Step Responsible PROCESS/ACTIVITY Details References
No. Personnel
the Master List of External
Documents.

Note: Use of external

documents is generally under

the control of each concerned

Office only. Thus,

distribution and

identification of control

status for external

documents is not practiced

except for ISO standards, for

internal audit purposes.

3 REGIONAL Update the Master List of • Update the Master List of • Master List of

DOCUMENT External Documents External Documents External

CONTROLLER indicating the Documented

(RDC) version/edition, if any, of Information

the acquired document.

4 REGIONAL Control the master copy • Control the master copy of • Master copy

DOCUMENT of the updated Master the updated Master List,

CONTROLLER List including, stamping, recall • Control of

(RDC); (if any), and distribution in Maintained

DEPUTY accordance with the Internal

DOCUMENT Control of Maintained Documented

CONTROLLER Internal Documented Information

(DDC) Information Procedure. Procedure

5 REGIONAL Retain Records • Retain records in • Master List of
DOCUMENT accordance with the External
CONTROLLER Control of Retained Documented
(RDC); Documented Information Information
DEPUTY Procedure and Master List
DOCUMENT of Records • Control of
CONTROLLER Retained
(DDC) Documented
Information

• Master List
Retained
Documented
Information

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG-R03 Top Management
DILG-R03 QMS Head DILG-R03 Regional Quality
Secretariat Management Representative

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

Republic of the Philippines Document Code
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT
FM‐SP‐R03‐01B‐01
CENTRAL LUZON
Rev. No. Eff. Date Page
DMGC, Maimpis, City of San Fernando, Pampanga 00 10.16.17 1 of 1
www.region3.dilg.gov.ph

Name of Office: MASTER LIST OF EXTERNAL DOCUMENTED INFORMATION

DOCUMENT CODE DOCUMENT TITLE REVISION/EDITION
(Procedure)

Prepared By Noted By

MELERIE G. PINEDA ARACELI A. SAN JOSE, CESO V
DILG ‐ R03 Regional Document Controller DILG‐R03 Regional Quality Management Representative

Prepared By Reviewed By Approved By
JULIE J. DAQUIOAG, Ph.D., CESO IV
JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management DILG‐R03 Regional Director

Representative

DILG CENTRAL LUZON Document Code

DOCUMENT CONTROL FM-SP-R03-01B-02
REQUEST (DCR) FORM
(External Document) Rev. No. Eff. Date Page
00 10.16.17 1 of 1

DATE OF REQUEST CREATION CHANGE DELETION
REQUEST FOR
Please tick  appropriate
checkbox.

TITLE OF DOCUMENT
DOCUMENT CODE

PROPOSED CHANGE

REVISION NO. FROM/CURRENT: TO:

EFFECTIVITY
DATE

REASON FOR THE REQUEST
(State Purpose of the New Document or Reason for Change or Deletion)

Note: For creation (new document), signatories are as identified in the Document Responsibility Matrix. For

change and creation, signatories are the same with the signatories in the original document being requested

for revision/deletion.

Prepared By: Reviewed By: Approved By:

Name: Name: Name:
Date: Date: Date:
Position Title:
Position Title: Position Title:
Date Received by the QMS DCR Control No.
Secretariat _____________________

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG-R03 Top Management
DILG-R03 Head QMS DILG-R03 Regional Quality
Secretariat Management Representative

DOCUMENT CONTROL REQUEST FORM
DILG CENTRAL LUZON



DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-02
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 1 of 3

PROCEDURE CONTROL OF RETAINED DOCUMENTED INFORMATION
TITLE

SCOPE This process starts from the identifying retained documented information (records) up
to disposition when retention period is reached.

PURPOSE/S To ensure that records (retained documented information) are appropriately identified,
managed, controlled and maintained.

PROCESS DESCRIPTION

INPUT PROCESS OUTPUT

Identified Retained CONTROL OF RETAINED CONTROLLED
DOCUMENTED RETAINED
PROCESS Documented INFORMATION COPY
OWNER Information DOCUMENTED HOLDERS
INFORMATION

DESCRIPTIVE STATEMENT:
The process owner identifies the documents to be retained, manages the retained documented
information systematically and ensures the documents are properly stored/filed and readily available.
The process owner also defines the retention period of the retained documented information and the
disposal in accordance with Republic Act 9470 or the National Archive of the Philippines (NAP) Act of
2007.

Step Responsible PROCESS/ACTIVITY Details References
No. Personnel

1 Process Owner Identify retained • Identify the retained • Master List of
documented information documented information Retained
2 Process Owner generated from the Documented
Define Retention Period implementation of QMS Information
and retrieval mechanism processes and record
them in the Master List of • Master List of
Retained Documented Retained
Information. Documented
Information
• Define the retention
Period in accordance • RA 9470 –
with RA 9470, the National
National Archive of the Archiving of the
Philippines (NAP) Act of Philippines Act of
2007. 2007

• Coordinate with Regional
Records Officer.

• Filing Mechanism could
either be chronological,
alphabetical, and
sequential.

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-02
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 2 of 3

Step Responsible PROCESS/ACTIVITY Details References
No. Personnel Define storage location
• Define storage location • Master List of
3 Process Owner in the Master List of Retained
Records. Documented
Information
• Storage location should
be appropriate to
prevent damage and
pilferage of information
from the records.

4 Process Owner Store records • Store records according • Master List
to the defined filing Retained
system and retention Documented
period. Information

• Upon reaching the • Memo transmittal
retention period, turn- with the list of
over all records to the records for turn-
Regional Records over
Controller (RRC).

Note: To ensure • Confidentiality
confidentiality of records, and Non-
control access of records Disclosure
from other persons/ Statement (CNS)
organizations on need-to- Form
know basis through proper
approvals from concerned
authorities.

5 Regional Archive records • Archive records in • Master List of
Records accordance with the Retained
Controller Request for records defined archiving as per Documented
disposal National Archives of the Information
6 Regional Philippines Act of 2007
Records requirements. • RA 9470 –
Controller National
• Upon reaching the Archiving of the
defined archiving period, Philippines Act of
accomplish NAP Form 2007
No.3 and wait for NAP
approval. • Master List of
Retained
Documented
Information

• Certificate of
Disposal of

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-02
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 3 of 3

Step Responsible PROCESS/ACTIVITY Details References
No. Personnel Dispose records
File records
7 Regional • Upon approval, Records (NAP
Records accomplish NAP Form Form No. 6)
Controller, COA No. 6 for the certification
and NAP of record disposal • Request for
Representatives Authority to
• Disposal of records is Dispose Records
8 Regional supervised and (NAP Form No. 3)
records witnessed by NAP, COA
controller and Regional Records • Certificate of
Officer. Disposal of
Records (NAP
Form No. 6)

• NAP, COA and DILG-CO
Regional Records Officer
sign the Certificate of
Disposal of Records.

• Retain records in • Control of
accordance with Control Retained
of Retained Documented Documented
Information Procedure Information
and Master List of Procedure
Retained Documented
Information. • Master List of
Retained
Documented
Information

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO V
DILG-R03 QMS Head DILG-R03 Top Management
Secretariat DILG-R03 Regional Quality
Management Representative

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

Republic of the Philippines Document Code

DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT FM‐SP‐R03‐02‐01

DMGC, Maimpis, City of San Fernando, Pampanga Rev. No. Eff. Date Page
00 10.16.17 1 of 1
www.region3.dilg.gov.ph

MASTERLIST OF RETAINED DOCUMENTED INFORMATION

DOCUMENT FILING SYSTEM RETENTION PERIOD
CODE
DOCUMENT TITLE CUSTODIAN LOCATION FOLDER SCHEME ACTIVE STORAGE TOTAL DISPOSAL
(Procedure)

Prepared By Reviewed By

Process Owner Deputy Quality Management Representative

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV

DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management DILG‐R03 Top Management
Representative



DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-03
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 1 of 6

PROCEDURE RISK IDENTIFICATION, EVALUATION AND CONTROL
TITLE

SCOPE This process starts from the identification up to controlling of risks as well as
opportunities relative to the DILG Region’s organizational context, needs and
expectations of its interested parties and its QMS scope.

PURPOSE To define the process of proper, accurate and effective determination, evaluation and
control of risks.

PROCESS DECSRIPTION:

INPUT PROCESS OUTPUT

QMS Internal and External RISK IDENTIFICATION, Risk
Planning Issues; Requirements, EVALUATION AND Register
Needs and Expectations CONTROL
of Interested Parties; CONCERNED
Objectives; Processes PROCESS OWNERS

DESCRIPTIVE STATEMENT:
This procedure starts from determining risks and opportunities considering the organization’s internal and
external issues, requirements of interested parties, scope of QMS and products and services.
Then, a defined risk assessment criteria provides a basis for determining significant risks which require
further control actions. An oversight review process ensures the reasonable accuracy and reliability of the
risk assessment outputs, called Risk Registers. Further, control and opportunity plans are assessed for
effectiveness prior to inclusion in existing QMS process and documents.

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel
No.

1 Process Determine risks and • Determine internal and • Context Registry

Owner opportunities external issues, both • Interested

positive and negative, Parties Matrix

interested parties, • Quality

objectives, processes and Objectives

corresponding risks and • QMS Scope

opportunities as follows: • Risk Register

• Objectives • Opportunity

• Process Management

Plan

2 Process Determine risk trigger, • Determine: • Documented
Owner
consequence, and existing • Risk trigger operating
control measures • Potential procedures

effects/consequences of • Risk Register

risk as well as

opportunities, where

applicable

• existing control

measures, if any, to

prevent the risk from

happening, or treat and

mitigate its

effect/consequence.

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-03
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 2 of 6

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel Rate the risk
No.
Prepare risk control plan
3 Process and opportunity • Calculate the risk level or • Risk Criteria
management plan
Owner risk rating by estimating Matrix

the severity of • Risk Register

consequence and the

likelihood of its

occurrence based on the

following Risk Criteria:

• Severity

• Likelihood

• Detection

• Determine significant

(high) risk.

• Note: If the consequence

is 5 and likelihood is high

(5), this should be

considered as significant

risk regardless of the

detection rating.

4 Process • Establish a risk control • Risk Register
Owner
plan for significant risks

and opportunity

management

management plan for

opportunities that require

an action plan or project

in order to pursue.

Notes:

1. Some opportunities do

not require a specific set

of activities in order to

realize its benefits; others

do require a specific

project or action plan

before realizing the

benefits. In case of risks

detected as part of an

opportunity pursuit,

conduct also a risk

assessment before

proceeding.

2. Possible management

actions to address risks:

a) Avoiding risk

b) Taking risk to pursue

an opportunity

c) Eliminating the risk

source

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-03
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 3 of 6

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel
No.

d) Reducing the risk by
changing either or
both likelihood
and/or consequence

e) Sharing the risk (e.g.
through insurance)

f) Retaining the risk by
informed decision

3. Possible management

actions to pursue an

opportunity

a) Adoption of new

products

b) Launching new

products

c) Opening new markets

d) Addressing new

customers

e) Building partnerships

or joint ventures

f) Using new

technology

g) Other desirable and

viable possibilities to

address the

organization’s or

customer’s needs

5 Division Review the risk • Review the risk • Risk Register

Chief/ assessment results assessment results and

Head of Office the corresponding action

plans to ensure

appropriateness and

accuracy of ratings used

and adequacy of planned

actions.

• For any

comments/changes,

return to process owner

for appropriate action.

• Forward to the Regional

Risk Review Commitee.

Note: All Risk Registers must
be submitted to the Regional
Risk Review Committee one
month before the Regional
Planning activity.

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-03
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 4 of 6

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel
No.

6 Regional Risk Conduct oversight review • Conduct a risk review • Risk Registers
to confirm the risk meeting to: • Opportunity
Review Team assessment results
• Confirm the risk ratings Management Plan
7 Process Finalize the Risk Register determined by the
Owner/Divisi concerned process • Risk Register
on Chief Approve the Risk Register owners. • Opportunity
Take action
8 Regional • Ensure the adequacy of Management Plan
Director Re-assess the risk the risk control plan and
opportunity • Risk Register
9 Concerned management plans. • Opportunity
Personnel
• Return to concerned Management Plan
10 Process office for appropriate • Risk Registers
Owner action. • Opportunity

• Finalize the risk register Management Plan
and the Opportunity • Risk Control
Management Plan (OMP)
considering inputs from Plan/Opportunity
the Risk Review Team. Management Plan
Status Monitoring
• Secure signature of the • Risk Register
Risk Review Team Leader
and the recommendation
for approval by the
Regional Quality
Management
Representative.

• Approve the Risk Register
and/or the Opportunity
Management Plan

• Implement the risk control
plan and the opportunity
management plan.

• Monitor results of
implementation, every end
of the quarter and address
any issue or problem
encountered.

• One month after full
implementation of the risk
control plan, re-assess the
risk to confirm
effectiveness of the actions
taken and verify whether
or not risk controls are
effective.

• If risk remain significant
provide additional risk
control action plan. Revise
the Risk Registers as

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

  DILG CENTRAL LUZON Document Code

SYSTEM SP‐R03‐03
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 5 of 6

Ste Responsible PROCESS/ACTIVITY Details References
p Personnel necessary.
No.

11 Concerned Integrate effective risk  Integrate effective risk  Affected QMS
personnel controls to the respective controls into the Document
process and documents
12 Designated respective QMS processes  Control of
Custodian and documents, such as Maintained
Maintain Records planning, policies and Documented
procedures, forms, and Information
other QMS processes and Procedure
documents.

 Revise/update the affected
QMS document, as
necessary, in accordance

with the Control of

Maintained Documented

Information Procedure

 Maintain records in  Control of
accordance with the Retained

Control of Retained Documented
Documented Information Information

Procedure and Master List Procedure

of Retained Documented  Master List
Information. Retained

Documented

Information



Definition of Terms:

Risk – effect of uncertainty
Effect – deviation from the expected, whether positive or negative
Consequence – outcome of an event affecting objectives or controls
Uncertainty – the state of deficiency of information related to, understanding of, or knowledge of an event,
its consequence, or likelihood
Risk Register – a documented information summarizing the results of the risk assessment
Risk trigger – a condition which causes the risk to occur
Risk assessment – process of estimating the magnitude of the effect of risk using a defined risk criteria to
determine whether or not the risk is significant
Risk criteria – terms of reference against which risk is assessed by estimating its impact (severity or
benefit) and likelihood of occurrence.
Risk rating – the magnitude of risk considering the impact of the effect and its likelihood
Impact – the severity (negative effect) or benefit (positive effect) of risk
Severity ‐ the seriousness of the harm, impact or consequence of the risk
Likelihood – the probability of occurrence of the effect of risk

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION
 

DILG CENTRAL LUZON Document Code

SYSTEM SP-R03-03
PROCEDURE (SP)
Rev. No. Eff. Date Page
00 10.16.17 6 of 6

Detection – the probability that occurrence of risk can be detected early enough to enable proper responses
to be initiated
Existing Risk Control Measures - modify the severity of consequence, likelihood or detection of risk
Risk Treatment – any action intended to modify or lower down the risk magnitude
Significant risk – a risk whose rating exceeds the threshold
Opportunity – a positive effect of uncertainty which may or may not require specific actions in order to
pursue or realize; also refers to benefits or gains realized from the positive effect of risk

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG-R03 Top Management
DILG-R03 QMS Head DILG-R03 Regional Quality
Secretariat Management Representative

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION

Republic of the Philippines Document Code
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT RRO‐QP CODE
CENTRAL LUZON
Rev. No. Eff. Date Page
00 10.16.17 1 of 1

RISK REGISTER

(A) OBJECTIVE RISK ASSESSMENT

REGION <Procedure Title>
<Title>
PROCESS
PROJECT:

RELEVANT RISK ASSESSMENT RISK CONTROL PLAN
INTERESTED TIMELINE
PARTIES (refer CONSEQUENC EXISTING RISK RISK RISK RPN ACTION PLAN (if MONITORING
to IP Matrix for E (Positive or CONTROL MEASURE RATING LEVEL CONTRO (Risk risk rating is
OBJECTIVE RELEVANT ISSUE(S) Requirements) POTENTIAL RISK RISK TRIGGER IMPACT LIKELI DETEC S, NS L ACTIO Priorit significant) RESPONSIB RESOURCE RESOURCE
Negative) HOOD TION (L, M, H) y No.) LE END NEEDED NEEDED
START START END

RISK ASSESSMENT: RISK RATING RISK LEVEL RISK ACTION REQUIRED RPN
IMPACT: 1‐Insignificant; 2‐Minor; 3‐Moderate; 4‐Major; 5‐Extreme 1 ‐ 25 LOW Not Significant No further action required (Retain risk by informed decision) 3
LIKELIHOOD: 1‐Rare; 2‐Unlikely; 3‐Moderate; 4‐Likely; 5‐Almost Certain 26‐40 Not Significant 2
>40 MODERATE Alert level but no further action required for now 1
DETECTION 1 ‐ Very likely, 2 ‐ Likely; 3 ‐ Low, 4 ‐ Remote 5 ‐ Very remote HIGH Significant Control (e.g.. Treat/Mitigate Transfer, Terminate)
Risk Rating = Impact X Likelihood X Detection Risk Review Committee Head

Prepared by: Reviewed by: Recommending Approval: Approved by:
Process Owner/ Division Chief Regional Quality Management Representative Regional Director

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Secretariat Head DILG‐R03 Regional Quality Management DILG‐R03 Top Management

Representative

Republic of the Philippines Document Code
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT RRP‐QP Code
CENTRAL LUZON
Rev. No. Eff. Date Page
00 10.16.17 1 of 1

RISK REGISTER

(B) PROCESS RISK ASSESSMENT

OFFICE/UNIT

PROCEDURE:

PROJECT: (applicble only for projects)

PROCESS RISK ASSESSMENT RISK CONTROL PLAN
STEP (Based TIMELINE
CONSEQUENCE (Positive or EXISTING RISK CONTROL RPN RISK MONITORING
on the Negative) MEASURE (Risk CONTRO
procedure's POTENTIAL RISK RISK TRIGGER IMPACT LIKELIHOOD RISK S, NS Priorit ACTION PLAN (if RESOURCE
key process DETECTION RATING LEVEL y No.) L risk rating is RESPONSIBLE END NEEDED
ACTION significant) START START END RESOURCE
steps) (L, M, H) NEEDED

RISK ASSESSMENT: RISK RATING RISK LEVEL RISK DESCRIPTION ACTION REQUIRED RPN
3
IMPACT: 1‐Insignificant; 2‐Minor; 3‐Moderate; 4‐Major; 5‐Extreme 1 ‐ 25 LOW Not Significant No further action required (Retain risk by informed decision) 2
LIKELIHOOD: 1‐Rare; 2‐Unlikely; 3‐Moderate; 4‐Likely; 5‐Almost Certain 26‐40 MODERATE Not Significant Alert level but no further action required for now
DETECTION 1 ‐ Very likely, 2 ‐ Likely; 3 ‐ Low, 4 ‐ Remote 5 ‐ Very remote 1
>40 HIGH Significant Control (e.g.. Treat/Mitigate Transfer, Terminate)
Risk Rating = Impact X Likelihood X Detection

Prepared by: Reviewed by: Recommending Approval: Approved by:

Process Owner/ Division Chief Risk Review Committee Head Regional Quality Management Representative Regional Director

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management Representative DILG‐R03 Top Management

Republic of the Philippines Document Code
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT
CENTRAL LUZON FM‐SP‐R03‐03‐01

RISK CRITERIA MATRIX Rev. No. Eff. Date Page
00 10.16.17 1 of 1

Risk Rating Impact Probability

SCALE RATING SEVERITY (Negative Effect) SCALE LIKELIHOOD SCALE Likelihood of
of occurrence ‐ the chance that DETECTION
the harm will occur; also referred ‐ the chance that the
occurrence of harm will
to as probability be detected to enable
prompt action or
5 Extreme Can result to discontinuity/stoppage of 5 Almost certain – Very high 5 Very remreostpeo –n asebsolutely
operations; Legal noncompliance, loss of 4 probability of occurrence is 4 no chance of detection of
4 Major customer, financial loss which can result to expected; happened more than occurrence
closure; or severe damage to organization’s once in a year
reputation Remote – probability of
Likely – Probability of occurrence detection is not expected
Can result in nonconforming product, delayed is expected; happened once in the
delivery, customer complaint, disruption of previous year
operations

3 Moderate Can result to the inconsistent implementation 3 Moderate – Probability of 3 Low – there's a low
2 Minor chance or probability of
of QMS processes in a certain degree, occurrence is reasonably detection of failure

resulting to inconsistent quality expected; happened once in the

last 3 years

Minimal negative impact to the iorganization; 2 Unlikely – Probability of 2 Likely – probability of

can be possibly accepted as it is occurrence is low; happened once detection is expected

in the last 5 years

1 Insignificant No negative impact at all 1 Rare ‐ Almost not possible to 1 Almost certain – very
occur at all high probability of
detection is expected

RISK ASSESSMENT MATRIX

RATING RISK LEVEL COLOR ACTION
10‐25 CONTROL PLAN / ACTION 
8‐10 HIGH IS REQUIRED
ALERT LEVEL BUT NO 
<8 MODERATE ACTION REQUIRED

LOW RISK NO ACTION IS REQUIRED

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality DILG‐R03 Top Management
Management Representative

Document Code

FM‐SP‐R03‐02

Republic of the Philippines Rev. No. Eff. Date Page
00 10.16.17 1 of 1
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT

DMGC, Maimpis, City of San Fernandom, Pampanga

www.region3.dilg.gov.ph

OPPORTUNITY MANAGEMENT PLAN

OFFICE TIMELINES MONITORING
OBJECTIVE:
OPPORTUNITY Description: RESPONSIBLE RESOURCE
POTENTIAL BENEFIT:(S) NEEDED FREQUENCY WHO RECORD

NO. ACTIVITIES

Start End

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management DILG‐R03 Top Management

Representative

Republic of the Philippines Document Code
DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT
CENTRAL LUZON FM‐SP‐R03‐03‐03

Rev. No. Eff. Date Page
00 10.16.17 1 of 1

RISK CONTROL / OPPORTUNITY PLAN
STATUS MONITORING

PERIOD COVERED:
DEPARTMENT:
DIVISION / SECTION:

RISK CONTROL

ITEM ACTIVITY Responsible Date Date REMARKS ‐ Status, Constraints, Other
Started
Completed Actions Taken, if any

Prepared By Reviewed By Approved By

JEAN HAZEL P. BACANI ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV
DILG‐R03 QMS Head Secretariat DILG‐R03 Regional Quality Management DILG‐R03 Top Management

Representative



DILG CENTRAL LUZON Document Code Page
1 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

  PROCEDURE REGIONAL INTERNAL QUALITY AUDITING

TITLE

SCOPE This procedure starts with the audit program preparation, communication of audit
plan to concerned auditees, conduct of audit proper, preparation of audit report and
ends with the review of audit program.

PURPOSE/S To define the process of regional internal quality auditing to determine Regional
compliance to its established QMS standards, department’s policies and the applicable
legal requirements.

PROCESS DESCRIPTION

INPUT PROCESS OUTPUT

aC ne dn t Rr a e lg Oi o f nf i a c le O ff ice RegiSocnoaple Q M S INTERNAL QUALITY IQA Reports QMR CO
AUDITING QMR RO




DESCRIPTIVE STATEMENT:


The Regional Internal Quality Audit (RIQA) Leader prepares the Annual Regional Internal Quality Audit
Program, have it reviewed by the Regional Quality Management Representative (QMR), and submits it to
the Central Office IQA Head for review, comments, and recommendation, before the approval of the

Regional Director. Once approved, the Regional Internal Quality Audit (RIQA) Leader prepares the Regional
Internal Quality Audit Plan, seeks recommendation from the Regional QMR and approval of the Top
Management and communicates to all concerned Auditees. All assigned Auditors prepare the audit
checklist, conduct the audit, generate the findings and issue CAR and OFIR (if any), and prepare the IQA

report. The verification of implementation of CA Plans/ Action Plans are then monitored in accordance
with the Correction and Corrective Action Procedure. The process ends with the review of the Audit
Program by the RIQ Audit Head and QMR to be approved by the Top Management.




Step Responsible PROCESS/ACTIVITY Details References
No. Personnel

1 The Regional Prepare the Annual  Prepare the Annual Regional  Annual
Audit Program for the current Regional
Internal Regional Internal year and submit to Regional Internal Quality
QMR for review Audit Program
Quality Audit Quality Audit (FM‐SP‐R03‐
Notes: 04‐01)
(RIQA) Leader Program
1. Audit Program is prepared
during the Regional OPB
Preparation
2. Include the verification of
Corrective Action
effectiveness of the open
CARs in the Annual Regional

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code Page
2 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

 

Step Responsible PROCESS/ACTIVITY Details References
No. Personnel

Internal Quality Audit

Program.

3. The planned interval of the

conduct of internal quality

audit is every six (6) months.



2 Regional QMR Review the Annual  Review the Annual Regional  Annual
Regional Internal
Internal Quality Audit Program Regional
Quality Audit
for suitability and adequacy. Internal Quality
Program
 Make necessary Audit Program

comments/instructions if any,

for appropriate action of the

Regional Internal Quality Audit

(RIQA) Leader; else, approve the

audit program.


3 REGIONAL Submit the Annual  Submit the Annual Regional  Annual
INTERNAL Regional Internal Internal Audit Program to the Regional

QUALITY Audit Program Central Office IQA Head. Internal Quality

AUDIT (RIQA)  Forward to Records Section for Audit Program
LEADER
releasing to Central Office in  Regional

accordance with the Regional Records

Records Management Management
Procedure. Procedure



4 Central Office Review the Annual  Review the Annual Regional  Annual

IQA Head Regional Internal Internal Quality Audit Program Regional

Quality Audit for suitability and adequacy. Internal Quality
Program
 Make necessary Audit Program

comments/instructions if any,

for appropriate action of the
Regional QMR.

 Recommend the Annual

Regional Internal Quality Audit

Program for approval of the

Regional Director.



5 Regional Approve the Annual  Sign the Annual Regional  Annual
Director Regional Internal
Internal Quality Audit Program. Regional
Quality Audit
Internal Quality
Program Audit Program

6 Regional Prepare the Regional  Prepare the Regional Internal  Annual
Internal Internal Quality Audit Quality Audit Plan covering the
Regional
Quality Audit Plan
audit period based on the Internal Quality
(RIQA) Leader
Annual Regional Internal Qality Audit Program

Audit Program indicating the

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code Page
3 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

  Responsible PROCESS/ACTIVITY Details References
Personnel
Step Review and approve
No. the Regional Audit
Plan.
auditees, audit timelines and  Regional
Review and approve audit scope in coordination with Internal Quality
the Regional Internal the Central Office IQA Audit Audit Plan
Quality Audit Plan. Team Leader for confirmaton of

availability of schedule.

Note: On the second audit

onwards, include follow‐

up/verification of effectiveness

of Corrective Action (CA) Plan of

open Corrective Action Report/s

(CAR/s), if any.



7 Regional QMR  Review the Regional Internal  Regional

Quality Audit Plan for suitability Internal Quality

and adequacy. Audit Plan

 Make necessary
comments/instructions if any,

for appropriate action of the

Regional Internal Quality Audit

(RIQA) Leader.

 Approve the Regional Internal
Quality Audit Plan and forward

to Records Section for releasing

to Central Office in accordance

with the Regional Records

Management Procedure.



8 Central Office  Review the Regional Internal  Regional
IQA Head
Quality Audit Plan for suitability Internal Quality

and adequacy. Audit Plan

 Make necessary
comments/instructions if any,

for appropriate action of the

Regional Internal Quality Audit

(RIQA) Leader.

 Approve the Regional Internal
Quality Audit Plan Forward to

Records Section for releasing to

Regional Office in accordance

with the Records Management
Procedure.



THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code Page
4 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

  Responsible PROCESS/ACTIVITY Details References
Personnel Communicate IQ  Memorandum
Step Regional Audit Plan to all  Prepare the Memorandum  Regional IQ
No. Internal concerned communicating the audit
9 Quality Audit schedule, scope and assigned Audit Plan
(RIQA) Leader Prepare Regional IQ auditors based on the approved
10 Audit Checklists IQ Audit Plan to concerned
Internal auditees, for review of the  Regional IQ
11 Quality Review and approve Regional QMR and signature of Audit Checklists
Auditor the Regional IQ Audit the Regional Director.
12 Checklist  Regional IQ
Audit Team Audit Checklists
13 Leader (CO IQ Conduct Opening  Prepare the checklists relevant
Auditor) Meeting to the assigned audit area based  Attendance
on the Regional IQA Plan. sheet
IQA Team Conduct Audit
 Ensure all applicable clauses to  IQ Audit Plan
IQA Team the area of audit are considered
in the checklist.  Regional IQ
Audit Checklists

 Review the Regional IQ Audit  Regional IQ
Checklist for adequacy and Audit plan
suitability of the audit points.

 Make necessary
comments/instructions if any,
for appropriate action of the
Internal Quality Auditor.

 Approve the Regional IQ Audit
Checklist.


 Conduct the opening meeting to
the auditees of the concerned
office to discuss the following:
(a) Objectives, scope and
coverage of the Audit;
(b) Agreement of the Audit
schedule; and
(c) Reporting of Audit findings
for follow‐up.


 Conduct audit in accordance
with the Regional IQ Audit Plan
and Regional IQ Audit
Checklists.


 Confirm the implementation of
the specified processes.



THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code Page
5 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

  Responsible PROCESS/ACTIVITY Details References
Personnel
Step
No.

14 Audit Team Conduct Audit Team  Accomplish the Regional IQ  Regional
Meeting Audit Checklist to be approved Internal Quality
by the RIQA Team Leader. IQ Audit
Checklist

 Record conformities, non‐  Audit Plan
conformities, opportunities for
improvements and items for  Regional Initial
follow‐up. Audit Report


 If audit includes verification,
verify effectiveness of Corrective
Action. If found fully
implemented and root cause did
not recur, recommend close out
of the Correction Action Report
(CAR) by signing the “Verified”
field by the IQ Auditor and the
“Approved” field by the RIQA
Team Leader; else, continue
verification until full
implementation and verified
effectiveness of the CA.



 Furnish a copy of the close out
CAR to the Internal Audit
Service.


 Conduct Provincial/HUC Level
Closing Meeting. Present the
findings
(conformity/nonconformity/op
portunity for improvement)
verbally bassed from the audit
notes in the Audit Checklist.

 Conduct an audit meeting atleast
an hour before the closing
meeting chaired by the Audit
Team Leader to discuss the
following:


 To review the recorded
nonconformities with
supporting audit
evidence, opportunities
for improvements and
other audit observations,

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code Page
6 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

  Responsible PROCESS/ACTIVITY Details References
Personnel
Step
No.

15 IQ Audit Conduct Regional against the audit  Regional Initial
Team, IQ Internal Quality Audit objectives; Audit Report
Audit Head closing meeting
 To agree on the audit
16 IQ Auditor, Formalize the Audit conclusions;
Audit Team Finding and Issue  Regional IQ
Leader (CO IQ CAR/OFIR  To prepare the audit Audit Checklist
Auditor) findings presentation for
the closing meeting;  CAR

 To discuss the flow of  OFIR
the closing meeting
 CAR Monitoring
 Present audit findings and Matrix
conclusions to the auditees of
the concerned office.  OFIR
Monitoring
 IQ Auditor: Formalize the audit Matrix
findings. State the
nonconformity in the Corrective
Action Report and the
opportunity for improvement
for raising the bar of quality in
the OFIR.


 Audit Team Leader (CO IQ
Auditor): Review the
nonconformity statement as to
clarity, reliability and accuracy
and/or the Opportunity for
Improvement statement as to
appropriateness and sign. Else,
make necessary comments and
instructions for appropriate
action of the IQA Auditor.


 IQ Auditor: Secure acceptance
by the concerned Division/Field
Office Head/QMR.


 IQ Auditor: Release CAR/OFIR
to concerned Process Owner and
log accordingly.


NOTE: Concerned Process
Owners shall submit Corrective
Action/s/Action Plan/s within
10 working days upon receipt of
CAR/OFIR in accordance with

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code Page
7 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

  Responsible PROCESS/ACTIVITY Details References
Personnel
Step  Regional
No. Internal Quality
Audit Report
17 IQ Audit Prepare the Regional the Noconformity and
Team, Internal Quality Audit Corrective Planning Procedure  Memo‐
Regional QMR Report transmittal
Upon receipt of the submitted
Action Plan from the process
owner:


 Regional IQ Auditor: Evaluate
the proposed CA Plan/Action
Plan in the CAR/OFIR. If found
appropriate, forward to RIQA
Team leader for acceptance;
else, turn CAR/OFIR to Process
Owner for revision with
timeframe for the auditee to re‐
submit CA Plans/Action Plans.


 Provide copy of the accepted
CAR/OFIR to Central Office IAS
and to the concerned Process
Owner.

 IQ Audit Team: Prepare the
Regional Internal Quality Audit
Report and Memo‐transmittal to
Regional Director and Central
Office, thru Deputy QMR adn
attach the issued CARs, OFIRs,
and CAR/OFIR Monitoring
Matrix to form the Regional IQ
Audit Report.


 Regional QMR: Review the
Audit Report. If found
acceptable, approve the Audit
Report and sign the Memo‐
transmittal and submit to Top
Management; else, return to IQ
Audit team for appropriate
action.


 Distribute the IQ Audit Report
with Memo‐transmittal and log
accordingly.


THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code Page
8 of 8
SYSTEM SP‐R03‐04
PROCEDURE
Rev. No. Eff. Date
00 10.16.17

Step Responsible PROCESS/ACTIVITY Details References
No. Personnel
 CA Plans
 Furnish copy of the Regional IQA  CAR
Report to Central Office IQA  OFIR
Head and QMR.  CAR Monitoring

Verification of implementation of CA Plans/Action Plans Matrix
 OFIR
18 Regional IQ Verify  Verify the implementation of the
Auditor implementation of proposed CA Plan/Action Plan in Monitoring
Corrective Action the CAR/OFIR , refer to Matrix
(CA) Plans/Action Corrective Action Process.  Memorandum
Plans  IQ Audit
 Record result of verification in Program
the CAR and update the CAR  CAR Monitoring
monitoring matrix Matrix

19 Regional IQ Review IQ Audit  Based on the results of the audit,  Control of
Auditor Program and Revise review the IQ audit priogram Retained
as necessary and revise as necessary duly Documented
20 Process approved by the QMR Procedure
Records Retain Records
Custodian  Retain records in accordance  Masterlist of
with Control of Retained Retained
Documented Procedure and the Documented
Masterlist of Retained Information
Documented Information.

Prepared By Reviewed By Approved By

ATTY. PILIPINAS D. BACLAYEN ARACELI A. SAN JOSE, CESO V JULIE J. DAQUIOAG, Ph.D., CESO IV

DILG‐R03 Regional Internal DILG‐R03 Regional Quality DILG‐R03 Top Management

Quality Audit Head Management Representative

THIS DOCUMENT IS CONTROLLED AND NOT TO BE REPRODUCED WITHOUT AUTHORIZATION 

DILG CENTRAL LUZON Document Code

ANNUAL REGIONAL INTERNAL QUALITY AUDIT FM-SP-R03-04-01
PROGRAM
Rev. No. Eff. Date Page
00 10.16.17 1 of 3

(YYYY) REGIONAL INTERNAL QUALITY AUDIT PROGRAM

I. OBJECTIVE/S:
II. SCOPE:

III. REFERENCE STANDARD:

IV. AUDIT SCHEDULE:

Procedure Title Process Owner J F MAM J J A S OND Relevant ISO 9001:2015
(Office/Division) Clauses/ Legal
Requirements

ANNUAL REGIONAL INTERNAL QUALITY AUDIT PROGRAM
DILG CENTRAL LUZON

DILG CENTRAL LUZON Document Code

ANNUAL REGIONAL INTERNAL QUALITY AUDIT FM-SP-R03-04-01
PROGRAM
Rev. No. Eff. Date Page
00 10.16.17 2 of 3

V. BUDGETARY REQUIREMENTS PARTICULARS AMOUNT
ACTIVITY

Total
Note: Include traveling expenses for Central Office IQA Team as basis for inclusion to Internal Audit Service (IAS) Operations Plan and Budget.
V. SELECTION CRITERIA FOR INTERNAL AUDITORS:

Education: Graduate of any 4 year course.
Training: Has attended the following trainings:

1. Understanding ISO 9001:2015
2. Effective Internal Auditing (ISO 9001:2015)
Skills: Communication Skills both oral and written
Analytical Skills
Computer Skills on MS Office (Word, Excel, Powerpoint)
Experience: at least 2 years work experience in DILG

ANNUAL REGIONAL INTERNAL QUALITY AUDIT PROGRAM
DILG CENTRAL LUZON

DILG CENTRAL LUZON Document Code

ANNUAL REGIONAL INTERNAL QUALITY AUDIT FM-SP-R03-04-01
PROGRAM
Rev. No. Eff. Date Page
00 10.16.17 3 of 3

VI. AUDITORS:

VII. AUDIT METHODOLOGY:

VIII. VERIFICATION OF CORRECTIVE ACTION (CA) PLAN/ACTION PLAN
Verification of CA Plan/Action Plan Implementation:
Verification of CA Plan Effectiveness:

IX. INTERNAL AUDIT RECORDS:

Prepared By Reviewed By Approved By
JULIE J. DAQUIOAG, Ph.D., CESO IV
ATTY. PILIPINAS D. BACLAYEN ARACELI A. SAN JOSE, CESO V
DILG-R03 Regional Internal Quality DILG-R03 Regional Quality DILG-R03 Top Management
Management Representative
Audit Head

ANNUAL REGIONAL INTERNAL QUALITY AUDIT PROGRAM
DILG CENTRAL LUZON