qm quality manual - dipp

8/17/2019 QM Quality Manual - DIPP

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Chief Controller of Accounts

DEPARTMENT OF INDUSTRIAL POLICY & PROMOTIONMINISTRY OF COMMERCE & INDUSTRY

QUALITY MANUAL


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Document Title

Qulit! Mnul

"se# on

ISO $%%' (%%) * Qulit! Mn+e,ent S!ste,s * Re-uire,ents

Document Number: CCA – DIPP: QM: V00

Originator

Designation

Management Representatie

ApproalsDesignation

C!ie" Controller o" Accounts

Distribution

Desi+ntion De.rt,ent / Ministr!

CCA CCA

CA CCA

ACA CCA

PAO CCA

PAOs CCA

DDOs CCA

Reision #istor$

Revision

Date Description

V 00 %0&0'&(0%)

Initial release

Rev 00 Page 2 of 27

Not for use or disclosure outside CCA-DIPP New Delhi, except under prior written agreement. This is controlled electronically and any hard copy should be considered as uncontrolled except “Controlled” stamped.


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Section " * T0le of Contents

*ection C +Qualit$ Polic$........................................................................................................5

Qualit$ Polic$...........................................................................................................................5

*ection D – Ob,ecties an- Targets....................................................................................6

*ection . + Pro/le:.....................................................................................................................7

*ection % + *cope Application..........................................................................................9

%&% Application........................................................................................................................9

*ection ( + Normatie Re"erence......................................................................................10

*ection ' + Terms De/nitions Abbreiations..............................................................11

*ection 1 + Qualit$ Management *$stems....................................................................12

1&% 2eneral Re3uirement..................................................................................................12

1&(&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&Documentation Re3uirement13

1&(&% 2eneral.....................................................................................................................131&(&( Qualit$ Manual.......................................................................................................141&(&' Control o" Documents..........................................................................................141&(&1 Control o" Recor-s................................................................................................15

*ection ) + Management Responsibilit$.........................................................................16

)&% Management Commitment.......................................................................................16

)&( Client4Citi5en 6ocus...................................................................................................16

)&' CCA+DIPP Qualit$ Polic$.............................................................................................17

)&1&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&&& Planning17

)&1&% CCA+DIPP Ob,ecties an- Targets.................................................................17)&1&( Management *$stem Planning......................................................................17

)&) Responsibilities7 Aut!orit$ an- Communication...............................................18

)&)&% Responsibilit$ an- aut!orit$.............................................................................18

)&)&( Management Representatie...........................................................................18)&)&' Internal Communication.....................................................................................18

)&8 Management Reie9.............................................................................................18

)&8&% 2eneral.....................................................................................................................18)&8&' Reie9 Output.....................................................................................................19

*ection 8 + Resource Management...................................................................................20

Rev 00 Page 3 of 27



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8&% Proision o" Resources............................................................................................20

8&( #uman Resource.......................................................................................................20

8&(&% 2eneral.....................................................................................................................208&(&( Competence7 A9areness an- Training..........................................................20

8&' In"rastructure............................................................................................................20

8&1 or; .nironment....................................................................................................21

*ection < + *erice Reali5ation...........................................................................................21


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Section C 1Qulit! Polic!

Qulit! Polic!

e at t!e o>ce o" C!ie" Controller o" Accounts7 Department o" In-ustrial Polic$ Promotion7 are a pro"essional accountingorgani5ation an- are committe- to strengt!en goernance t!roug!.?cellence in Public /nancial Management

T!is s!all be ac!iee- t!roug! s$stematic compilation o" Mont!l$Accounts7 timel$ -isbursement o" pa$ments7 e@ectie Internal Au-itan- Monitoring&

e s!all reie9 e@ectieness o" management s$stems "or continualimproement

Date: %0&0'&(0%) *!$am * Dube$BPlace: Ne9 Del!i C!ie" Controller o" Accounts

Rev 00 Page 5 of 27



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Section D * O02ecti3es n# Tr+ets

SNo

Descri.tion Tr+et

% Preparation o" bu-get estimates As per -atesgien b$Ministr$ o"6inance

( .?pen-iture control As perapproe-u-get.stimate

' Ma;ing pa$ments against correct bills it!in <9or;ing -a$s

1 Accounting an- Consoli-ation o" Mont!l$Accounts

$ %)t! o" t!e"ollo9ing mont!

) Ma;ing pa$ments to Pension bene/ciaries On t!e -a$ o"retirement

8 Internal Au-it As perapproe-

sc!e-ule

Rev 00 Page 6 of 27



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Section E 1 Pro4le'

T!e *ecretar$ o" eac! -epartment is t!e C!ie" Accounting Aut!orit$ "or t!atDepartment& #e is assiste- in -isc!arging !is pa$ment7 accounting an-inspection "unctions t!roug! t!e 6inancial A-iser an- t!e C!ie" Controller o" Accounts& T!e accounting organi5ation is common "or all t!e -epartmentsan- comprises a Principal Accounts O>ce7 Nine Pa$ Accounts O>ces an-an Internal Au-it ing& T!e C!ie" Controller o" Accounts is assiste- b$ oneController o" Accounts7 one Deput$ Controller o" Accounts7 one AssistantController o" Accounts an- t9ele Pa$ Accounts O>cers statione- at Ne9Del!i 8B7 aipur %B7 Nagpur %B7 Mumbai (B7 C!ennai %B7 Eol;ata %B

T!e PAY & ACCOUNTS OFFICE is t!e basic unit o" -epartmentali5e-accounts organi5ation& Its main "unctions inclu-e:

%& Pre+au-it an- pa$ment o" all bills7 inclu-ing t!ose o" loans an- grants+

in+ai- submitte- b$ Non+C!e3ue Dra9ing DDOs&(& Issue o" 3uarterl$ Fetters o" Cre-it to C!e3ue Dra9ing DDOs an- Post+

au-it o" t!eirVOGC#.R*&

'& Compilation o" mont!l$ accounts o" receipts an- pa$ments&1& Maintenance o" 2P6 accounts an- aut!ori5ation o" retirement bene/ts&

The Princi.l Accounts O5ce consoli-ates mont!l$ accounts compile- b$its arious Pa$ Accounts O>ces& T!e Principal Accounts O>ce alsoprepares t!roug! t!e CONTACT pac;age7 t!e mont!l$ accounts to beren-ere- timel$ to t!e o>ce o" Controller 2eneral o" Accounts b$ t!eprescribe- -ate o" %)t! o" t!e "ollo9ing mont!& Principal Accounts O>ce"urt!er prepares t!e APPROPRIATION ACCOGNT* an- t!e *TAT.M.NT O6C.NTRAF TRAN*ACTION* an- t!e material "or t!e 6INANC. ACCOGNT O6 T#.GNION 2OV.RNM.NT CIVIFB "or t!e Department relating to In-ustr$7 an-ma;es pa$ments o" loans an- grants to *tate 2oernments t!roug! t!eResere an; o" In-ia an- ren-ers a-ice on accounting matters to t!eMinistr$& It also per"orms all a-ministratie an- co+or-ination "unctions "ort!e Accounting Organi5ation inclu-ing training "unction an- s$stems support&

6GNCTION*

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All Pa$ments pertaining to t!e Ministr$ are ma-e t!roug! t!e Pa$ an-Accounts O>ces& T!ere are %') Dra9ing an- Disbursing O>cers un-er t!eMinistr$ presenting t!eir claims4bills to t!e accre-ite- Pa$ Accounts O>cer9!o issues c!e3ues a"ter e?ercising t!e necessar$ scrutin$& 6or operationalconenience )8 DDOs !ae been aut!ori5e- c!e3ue -ra9ing po9ers& T!e

C!e3ue Dra9ing DDOs are aut!ori5e- to issue c!e3ues basicall$ "or salar$an- contingencies&ACCOGNTIN2 PROC.**: T!e PAOs are t!e /el- units 9!ere t!e accounting process /rst starts& T!eouc!ers an- t!e an; scrolls "orm t!e basis "or compilation o" Accounts& T!e C!e3ue Dra9ing DDOs sen- 9ee;l$ list o" pa$ments along 9it! releantouc!ers to t!e PAO7 9!ic! are also inclu-e- b$ !im in !is accounts& Mont!l$accounts are prepare- an- submitte- to t!e Principal Accounts O>ce& T!ePrincipal Accounts O>ce consoli-ates t!e mont!l$ accounts receie- "rom allt!e PAOs an- ren-ers a consoli-ate- Mont!l$ Account "or t!e entire Ministr$to t!e Controller 2eneral o" accounts&

Annual 6inance Accounts an- Appropriation Accounts are also prepare- b$t!e Principal Accounts O>ce& 6inance Accounts present classi/e- an-consoli-ate- accounts o" transactions o" t!e Ministr$ un-er t!e Consoli-ate-6un-7 Contingenc$ 6un- an- t!e Public Account& Appropriation Accounts giegrant+9ise e?pen-iture against t!e correspon-ing proision approe- b$Parliament 9it! e?planations "or ariation& ot! 6inance Accounts an-Appropriation Accounts are submitte- to t!e Controller 2eneral o" Accounts& T!e$ /nall$ /n- a place in t!e Gnion 2oernmentHs account prepare- b$ t!eController 2eneral o" Accounts an- lai- be"ore t!e Parliament along 9it! t!eAu-it Report o" t!e Comptroller an- Au-itor 2eneral o" In-ia&

ANEIN2 ARRAN2.M.NT:*tate an; o" In-ia is t!e accre-ite- an; "or t!e /e Departments relatingto In-ustr$& T!e C!e3ues issue- b$ t!e P&A&O& are presente- to t!e nominate-branc! o" t!e accre-ite- ban; "or pa$ment& T!e receipts are also remitte- tot!e an; b$ t!e DDOs4concerne- parties4PAOs& A"ter pa$ment t!e ban;sen-s a -ail$ scroll o" pa$ments as 9ell as receipts t!roug! t!e 6ocal Pointan; to t!e PAO& T!e ban;ing arrangements 9ere reie9e- an- streamline-a "e9 $ears earlier un-er 9!ic! one PAO -eals 9it! onl$ one 6ocal Point an;o" t!e accre-ite- an;&INT.RNAF AGDIT:

T!e INT.RNAF AGDIT IN2 carries out au-it o" accounts o" arious units o" t!e Ministr$ to ensure t!at rules7 regulations an- proce-ures prescribe- b$t!e 2oernment are a-!ere- to b$ t!ese units in t!eir -a$+to+-a$"unctioning& It proi-es aluable in"ormation to recti"$ t!e proce-uralomissions an- -e/ciencies an-7 t!us7 acts as an ai- to t!e management& T!eperio-icit$ o" au-it o" a unit is regulate- b$ its nature an- olume o" 9or;&

Rev 00 Page 8 of 27



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Section 1 Sco.e & A..liction

6ormulation o" u-get estimate "or t!e Ministr$7 Disbursement o" Pa$ments7.?pen-iture Control7 Aut!ori5ation o" Pensionar$ an- ot!er Retirementbene/ts7 Accounting an- Internal Au-it t!ere o" pertaining to t!e Ministr$7attac!e- subor-inate o>ces an- arious bo-ies& Compilation o" Mont!l$Accounts "or all t!e pa$ments ma-e an- receipts reali5e- b$ o>ce o" CCA&

1.1 Application

E6clusions 7usti4ction

89: Desi+n n#

De3elo.,ent

As no #esi+n & #e3elo.,ent is in3ol3e# in

relese of fun# to clients

89;9( Monitorin+

Mesurin+ of

E-ui.,ent

There is no E-ui.,ents / Tools re 0ein+

use# in ,onitorin+ the ser3ices9

Rev 00 Page 9 of 27



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Section ( 1 Nor,ti3e Reference

I*O 000: (00)Qualit$ Management *$stems + 6un-amentals an-

ocabular$

I*O 00%: (00= Qualit$ Management *$stems – Re3uirements

I*O 001: (00Managing "or t!e sustaine- success o" an organi5ation – AQualit$ Management approac!

I*O %0%%: (0%% 2ui-elines "or au-iting management s$stems

Rev 00 Page 10 of 27



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Section : 1 Ter,s De4nitions& A00re3itions

S9

No9

A00re3ition/

Ter,inolo+!E6.nsion/ De4nition

% CCA C!ie" Controller o" Accounts

( CA Controller o" Accounts

' ACA Assistant Controller o" Accounts

1 PAO Pa$ an- Accounts O>ce

) PAOs Pa$ an- Accounts O>cers

8 DDOs Dra9ing an- Disbursing O>cer

< ACTT Accountant 4 *r& Accountant

= DIPP Department o" In-ustrial Polic$ Promotion

D.PARTM.NT

An$ o" t!e ministries7 -epartments7secretariats an- o>ces mentione- in t!e 6irst*c!e-ule to t!e 2oernment o" In-iaAllocation o" usinessB Rules7 %8%7 asamen-e- "rom time to time

%0 6IF.

A collection o" papers on a speci/c sub,ectmatter7 assigne- a /le number an-

consisting o" one or more o" t!e "ollo9ingparts: aB NotesJ bB Correspon-enceJ cBAppen-i? to NotesJ an- -B Appen-i? tocorrespon-ence&

%% *.CTION

T!e basic 9or; unit 9it!in a -epartment7responsible "or atten-ing to items o" 9or;allotte- to it& It is generall$ !ea-e- b$ asection o>cer

%( MR Management representatie

%' *OP *tan-ar- Operating Proce-ure%1 I*O International Organi5ation "or *tan-ar-i5ation

%) NC Non+con"ormance

%8 CA Correctie Action

%< PA Preentie Action




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Section ? 1 Qulit! Mn+e,ent S!ste,s

T!is Qualit$ Management *$stem outlines t!e control e?ercise- to9ar-s

Preparation7 Approal7 Issue an- C!anges o" all -ocuments an- control o" recor-s relate- to t!e Management *$stems o" I*O 00% in CCA+DIPP&

4.1 General Requirement

1&%&% DIPP – CCA !as establis!e-7 -ocumente-7 implemente-7maintaine- t!e Qualit$ Management *$stem an- is continuall$improing an- monitoring to ac!iee t!e compliance 9it! I*O 00%:(00= Qualit$ Management *$stems re3uirements&

1&%&(Processes -etermine- "or implementing an- improing t!e Qualit$Management *$stem o" DIPP are gien in Anne6ure I< * List of So.@s&

1&%&' T!e se3uence an- interaction o" all t!e processes is -ocumente-an- -e/ne- in t!e releant *OPs& T!e interactions o" all t!eprocesses applicable at CCA+DIPP are as per Anne6 III * Processinterction ,.&

1&%&1 T!e criteria an- met!o-s nee-e- to control operations an-processes are -etermine- b$ i-enti"$ing t!e inputs7 actiities an-outputs "or eac! process& Parameters are /?e- to control inputs o" anactiit$ to get -esire- outputs&

1&%&) T!e aailabilit$ o" resources in"ormation necessar$ to supportt!e e@ectie operation an- monitoring o" t!ese processes is proi-e-b$ 2eneral A-ministration Department&

1&%&8 T!e processes o" t!e 3ualit$ management s$stem are measure-7monitore- an- anal$se- an- appropriate action is ta;en to ensureac!ieement o" ob,ecties 9it! emp!asis on client satis"action an-continual improement&

CCA+DIPP is outsourcing Manpo9er PeonsB&




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4.2 Documentation Requirement

?9(9 enerl

Qualit$ Management *$stem -ocumentation at CCA+DIPP inclu-es t!e

Qualit$ Polic$7 Qualit$ Manual7 *tan-ar- operating proce-ures an- ot!er

relate- -ocuments 9!ic! CCA+DIPP emplo$ees implement to ensure e@ectieoperation an- process control& T!e e?tent o" Management *$stem

-ocumentation is mappe- to t!e suitabilit$ o" processes in CCA+DIPP an-

competence o" personnel associate- in proi-ing timel$ serices&

6ollo9ing picture illustrates t!e -ocumente- management s$stem at CCA+

DIPP as per I*O 00%:



Quality Policy

Quality Manual

Standad !"eating Pocedue#

$uideline#

%&ec'li#t#( )e*"late# and +o*#


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?9(9( Qulit! Mnul

T!is Qualit$ Manual -e/nes t!e intentions o" CCA+DIPP management an-re"ers to t!e stan-ar- an- relate- 3ualit$ assurance "ormats7 CCA+DIPP portal-ata7 "orms7 an- recor-s& Documents an- -ata are eit!er in t!e "orm o" !ar-cop$ or electronic me-ia&

?9(9: Control of Docu,ents

Management *$stem -ocuments7 inclu-ing "ormats use- to create recor-sare controlle- b$ a proce-ure on Control o" -ocuments+ SOP >8' < %%7 t!isproi-es gui-ance an- proce-ures necessar$ to:

a approe -ocuments "or a-e3uac$ prior to issueJ

b reie97 up-ate as necessar$ an- re+approe -ocumentsJ

c maintaining master list o" -ocument an- i-enti"$ t!e current reision

status o" -ocumentsJ- ensure t!at releant ersions o" applicable -ocuments are aailable at

point o" useJ

e ensure t!at -ocuments remain legible7 rea-il$ i-enti/able an-retrieableJ

" ensure t!at -ocuments o" e?ternal origin re3uire- b$ t!e organi5ationto be necessar$ "or t!e planning an- operation o" t!e Management*$stems are i-enti/e- an- t!eir -istribution is controlle-J

g preent t!e uninten-e- use o" obsolete -ocuments7 an- to appl$suitable i-enti/cation to t!em i" t!e$ are retaine- "or an$ purposeJ

C!anges in Qualit$ Manual are i-enti/e- t!roug! reision numbers&*ubstantial c!anges in Qualit$ Manual are controlle- t!roug! issuenumbers&

Minor corrections li;e spelling mista;es7 etc& can be carrie- out 9it!outreision4re+issue&

Proce-ure "or Control o" Documents proi-es t!e gui-ance an- proce-ures

necessar$ "or control o" internal an- e?ternal -ocuments&

All Qualit$ Management s$stem -ocuments o" CCA+DIPP are not "or use or-isclosure outsi-e CCA+DIPP7 e?cept un-er prior 9ritten agreement& T!is iscontrolle- electronicall$ an- an$ !ar- cop$ s!oul- be consi-ere- asuncontrolle- e?cept stampe- as Kcontrolle- cop$L&




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Qualit$ Manual re"ers to *tan-ar- Operating Proce-ures7 6ormats an-Recor-s& *OPs are ma-e aailable to all personnel 9!o manage7 per"orm an-eri"$ 9or;+a@ecting 3ualit$7 e@ectie implementation an- maintenance o" Qualit$ management *$stems in CCA+DIPP&

?9(9? Control of Recor#s

Recor-s re3uire- "or t!e Management *$stems are controlle- an-maintaine- to proi-e ei-ence o" con"ormit$ to re3uirements an- o" e@ectie operation o" Management *$stems& All recor-s are maintaine- to-emonstrate con"ormit$ to speci/e- re3uirements an- t!e e@ectieoperation o" t!e Management *$stems an- to compl$ 9it! terms an-con-itions -eelope- b$ 2oernment an- ot!er Regulator$ bo-ies7 inclu-ing-ocumentation t!at -escribes:

a results o" processes per"orme-7 along 9it! i-enti/cation o" in-ii-ualper"orming t!e actiit$

b process ealuation "or acceptance criteria

c *OPs an- ot!er instructions use- to per"orm an actiit$7 inclu-ing

reision an-4or -ate o" -ocument7 personnel7 material or e3uipment

3uali/cations

- T!e recor-s -emonstrate t!e e@ectieness o" t!e serices proi-e-

along 9it! continual reie9s an- improements&

Proce-ure "or Control o" recor-s SOP >)'


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Section ; 1 Mn+e,ent Res.onsi0ilit!

5.1 Management Commitment

*ecretar$ 9it! team members o" CCA+DIPP are committe- to -eelop an-

improe t!e Qualit$ Management *$stems& Management o" CCA+DIPP s!allensure t!e communication o" t!e importance o" meeting Citi5ens 4 Clientse?pectations as 9ell as legal re3uirements7 b$ continuall$ improingprocesses an- serices&

Management ensures t!at its Policies are un-erstoo-7 implemente-7 an-maintaine- at all leels o" t!e CCA+DIPP t!roug! training7 regularcommunication inclu-ing erbal rein"orcement&

CCA+DIPP management -emonstrates its commitment to t!e -eelopmentan- improement o" t!e Management *$stems b$ regularl$ establis!ing an-

reie9ing Ob,ecties an- targets Brefer QM' *ection+D Ob,ecties an- Targets7 con-ucting management reie9s Brefer QM' Section ;9>Mn+e,ent Re3ie= an- ensuring t!e aailabilit$ o" necessar$resources Brefer QM' Section > Pro3ision of Resources9

Responsibilit$ an- Aut!orities o" personnel are as per Anne6 II *Res.onsi0ilities n# Authorities9

5.2 Client/Citizen Focus

Principal *ecretar$ 9it! team members o" CCA+DIPP interacts 9it! citi5ens 4clients regularl$ to ensure t!at client re3uirements are a-e3uatel$-etermine-7 un-erstoo-7 suitabl$ -esigne- an- conerte- into operationalactions&

T!e aim o" t!ese interactions is to get clarit$ in un-erstan-ing client 4citi5enHs re3uirements an- e?pectations in or-er to "ul/l t!e agree-re3uirements&

5. CCA!D"## $ualit% #olic%

CCA+DIPP Qualit$ Polic$ is integral to t!e purpose o" Department7 an-proi-es support to t!e members o" CCA+DIPP to accomplis! t!e ision an-mission& T!is polic$ is a statement o" intention o" CCA+DIPP team eole-t!roug! inolement o" all t!e team members&




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In a--ition7 it acts as a compass in proi-ing t!e -irection an- a "rame9or;"or establis!ing an- reie9ing CCA+DIPP ob,ecties an- targets&

Management Representatie ensures t!at CCA+DIPP Qualit$ Polic$ iscommunicate- an- un-erstoo- at all leels o" t!e organi5ation t!roug!

regular communication7 an- erbal rein"orcement&

CCA+DIPP Qualit$ Polic$ is controlle- b$ its inclusion in CCA+DIPP Qualit$Manual an- is reie9e- in Management Reie9 meeting "or continuingsuitabilit$& 6or CCA+DIPP Qualit$ Polic$ re"er QM' Section C * Qulit!.olic!&

5.4 #lanning

;9?9 CCA1DIPP O02ecti3es n# Tr+ets

Ob,ecties an- Targets are -e/ne- in QM' Section D * CCA1DIPPO02ecti3es n# Tr+ets& *peci/c7 measurable7 attainable7 releant an-time boun- targets are -e/ne- "or eac! o" t!e ob,ectie in or-er to proi-et!e -irection to t!e team members& T!ese ob,ecties an- targets s!all bereie9e- "or continual improement&

At t!e operational leel7 metrics are -e/ne- in *OPs to ac!iee Client 4Citi5en *atis"action& CCA+DIPP ob,ecties an- targets are reie9e- as perNational priorities "or ac!ieement an- continuing suitabilit$ -uringmanagement reie9s&

;9?9( Mn+e,ent S!ste, Plnnin+

Management *$stem at CCA+DIPP7 -escribe- in t!e Qualit$ Manual an- its

associate- proce-ures7 is part o" t!e oerall management s$stem 9!ic!

implements CCA+DIPP Qualit$ Polic$7 establis! proce-ures b$ 9!ic! CCA+DIPP

meets Client4Citi5en .?pectations7 an- Management *$stem re3uirements&

CCA+DIPP !as i-enti/e- an- planne- "or resources nee-e- to ensure t!atob,ecties are met& T!e plan inclu-es t!e i-enti/cation o" processes7resource nee-e- to ensure its success"ul implementation7 an- ob,ecties "orcontinual improement& An$ c!anges to s$stem are implemente- in acontrolle- manner so t!at integrit$ o" Management *$stem is maintaine-&




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5.5 Responsi&ilities' Aut(orit% an) Communication

;9;9 Res.onsi0ilit! n# uthorit!

Oerall Responsibilit$ o" proi-ing lea-ers!ip7 -irection an- improements in

CCA+DIPP an- ensuring ma?imum client 4 citi5en satis"action is 9it! Principal*ecretar$7 CCA+DIPP& T!e responsibilities an- aut!orities o" CCA+DIPP teamare -e/ne- in Anne6 II * Res.onsi0ilities n# Authorities&

;9;9(Mn+e,ent Re.resentti3e

C!ie" Controller o" Accounts7 DIPP !as appointe- t!e Controller o" Accountsas Management Representatie MRB an- MRHs responsibilities an-

aut!orities are as per Anne6 II * Res.onsi0ilities n# Authorities&

;9;9:Internl Co,,uniction

Internal communication s$stems in CCA+DIPP inclu-e regular meetings7orientation an- trainings7 lectures7 i-eo con"erences along 9it! circulars7letters an- .+ mails&

5.* Management Revie+

;9>9 enerl

A compre!ensie reie9 o" t!e Qualit$ Management *$stem is carrie- outonce in t!ree mont!s& T!e reie9 elements inclu-e t!e CCA+DIPP Qualit$Polic$7 Ob,ecties an- targets& T!e agen-a "or Management Reie9 Meetings!all be circulate- to all t!e members in or-er to ensure t!at t!e participantscome prepare- 9it! t!eir -ata an- in"ormation&

Recor-s o" management reie9s are maintaine- in QA6: MR: 0'B Minutes o" Meeting MOMB

T!e management reie9 committee consists o":

Sh!, S Du0e! CCA

Stish 7#h3 CA

A,it "hole D!9 CA




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O eethlsh,i N!r PAO

Rno2it "lMn+e,ent Re.resentti3eBMR

Other Me,0ers PAOs n# DDOs

;9>9( Re3ie= In.ut

Management reie9 meeting inclu-es a reie9 o" current per"ormance an-opportunities "or improements an- t!e agen-a "or t!e meeting isJ

aBAction points preious Minutes&bBQualit$ polic$ an- Ob,ectiescB Internal 4 .?ternal Au-it results-BProcess Per"ormance an- *erice Con"ormit$eBResource Re3uirements

"B Customer 6ee-bac;gB*tatus o" correctie4preentie actions!BC!anges t!at coul- a@ect t!e Qualit$ Management *$stem an- Training

Nee- I-enti/cationiB Recommen-ations "or improement

;9>9: Re3ie= Out.ut

Outputs "rom management reie9 9ill inclu-e actions re3uire- "orimproement o" t!e Management *$stem an- its processes7 improement o"

serice relate- to Client 4 Citi5en Re3uirements7 an- proision o" resources&Results o" management reie9 are recor-e- an- recor-s are maintaine- b$t!e management representatie&

Section > 1 Resource Mn+e,ent

*.1 #rovision o, Resources

CCA 9it! team members o" CCA+DIPP s!all ensure resources nee-e- areproi-e- to implement an- maintain t!e Qualit$ management *$stem inor-er to en!ance clients 4 citi5ens satis"action& T!ese resources inclu-e

/nancial bu-gets7 !uman resources7 in"rastructure an- e3uipment toimplement Qualit$ Management *$stems&




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*.2 -uman Resource

>9(9 enerl

Personnel 9it! re3uisite competences are proi-e- "or implementingprocesses in CCA+DIPP& T!e competences o" !uman resources are -eelope-

to meet t!e ision7 mission7 3ualit$ polic$7 ob,ecties an- targets&

>9(9( Co,.etence A=reness n# Trinin+

• Allocation o" 9or; as per t!e competence o" t!e personnel per"orming

9or;+a@ecting 3ualit$ o" serices&

Creation o" A9areness among all members about t!e releance an-

importance o" t!eir ,ob to9ar-s ac!ieing t!e ision7 mission7 3ualit$polic$7 ob,ecties an- targets&

On be!al" o" CCA7 IN2A67 NG an- NIM67 6ari-aba- creates training

calen-ar an- s!are to all t!e CCA& Depen-ing upon t!e re3uirement o" training CCA s!all nominate to emplo$ees "or t!e training& Ot!ertraining 9!ic! 9ill not come in t!e aboe scope s!all be i-enti/e--uring t!e -a$ to -a$ meetings an- management reie9 meeting an-recor-e- in training calen-ar&

.nsuring necessar$ training is proi-e- an- perio-icall$ carr$ing out

training ealuation actiities9

All t!e training recor-s are maintaine-&

.nsure t!at ne9 members s!all un-ergo In-uction Training&

Training "ee-bac; s!all be ta;en "rom t!e trainees a"ter eac! training

an- e@ectieness o" t!e training s!all be c!ec;e- b$ t!e reportingo>cer or #ea- o" o>ce&

*. "n,rastructure

A-min section o" CCA+DIPP !as ensure- a-e3uate in"rastructure to ac!ieet!e -esire- results in CCA+DIPP operations& CCA+DIPP is e3uippe- 9it!computeri5e- 9or; stations an- supporting utilities inclu-ingcommunication7 storage7 an- po9er bac;+up7 i-eo con"erencing7transportation an- librar$&

*.4 or 0nvironment

A-min section o" CCA+DIPP !as ensure- necessar$ cleanliness7 maintenancean- o>ce atmosp!ere& T!e aspects o" 9or; enironment inclu-e p!$sical7sa"et$7 lig!ting7 soun-7 an- temperature&




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Section 8 1 Ser3ice ReliGtion

.1 #lanning o, ervice Realization

T!e planning o" serice reali5ation at CCA+DIPP inclu-es -etermination o"

t!e processes in a-ministration an- implementation o" QM*& CCA+DIPP !as

i-enti/e- an- -ocumente- processes nee-e- to meet t!e clientHs

re3uirements an- to ensure consistenc$ in serice leels& Qualit$

Management *$stem -eelopment7 planning an- implementation process

inclu-es t!e "ollo9ingJ

%& CCA+DIPP Qualit$ Polic$7 ob,ectie an- targets "or t!e serices(& T!e process o9 c!arts are -e/ne- in releant *OPs Anne6ure I< *

List of SOP@sB&

'& Re3uire- eri/cation7 monitoring7 measurement7 actiities speci/c tot!e serices are carrie- out as -e/ne- in respectie *OPs&

1& Recor-s are i-enti/e- as a part o" t!e *OPs – Control o" Recor-s&

CCA+DIPPHs approac! to process management inoles -etermining t!eClient re3uirements7 -eeloping a process capable o" meeting t!esere3uirements7 ensuring t!at t!e inputs to t!e process are appropriate7carr$ing out interrelate- an- interactie actiities7 measuring processper"ormance7 ealuating an- improing t!e processes& Metrics "orprocesses !ae been establis!e- an- -ocumente- in respectie *OPs&

.2 Client!relate) #rocesses

89(9 Deter,intion of re-uire,ent relte# to ser3ices9

Concerne- member o" CCA+DIPP team ensures a-e3uate -etermination o":

a Re3uirements speci/e- b$ t!e client inclu-ing -elier$ an- Post+-elier$ o" t!e serices&

b Re3uirements not state- b$ client but necessar$ "or speci/e- orinten-e- use7 9!ere applicable&

c Fegal inclu-ing statutor$ an- regulator$ re3uirements relate- to t!e

serices&- An$ a--itional re3uirements -etermine- b$ CCA+DIPP suitable to

en!ance t!e 3ualit$ o" serice to its clients&

89(9( Re3ie= of re-uire,ents relte# to the ser3ices




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Reie9 o" Re3uirements relate- to t!e *erices is carrie- out b$ t!emembers connecte- to t!e sub,ect o" reie9& T!e reie9 team be"orema;ing commitments to t!e clients s!all:

aB .nsure t!e re3uirements are clearl$ un-erstoo-7 -ocumente- an- sorting

out ambiguities i" an$B&bB Assess t!e competencies an- resources o" CCA+DIPP in or-er to meet t!eserice re3uirements inclu-ing timeliness an- 3ualit$ o" serice&

cB .nsure c!anges to t!e re3uirements are suitabl$ e?amine-7 -ocumente-an- necessar$ approals obtaine-& Releant -ocuments are amen-e- an-t!at releant personnel are ma-e a9are o" t!e c!ange- re3uirements&

T!e "ollo9ing aspects are consi-ere- "or reie9 as per re3uirements:

• Fegal inclu-ing statutor$ an- regulator$ re3uirements

• *erice re3uirements an- sc!e-ule

• *erice re3uirements -i@ering "rom t!ose preiousl$ e?presse-are resole-

• An$ ot!er speci/c 3ueries&

89(9: CitiGen/Client Co,,uniction

Concerne- members o" CCA+DIPP team are responsible "or coor-inating an-communicating 9it! Citi5en4Client t!roug! appropriate communicationc!annels inclu-ing .MAIF*7 6A7 telep!onic conersations7 ne9sletters7citi5en c!arter an- 9ebsite&

T!is inclu-es coor-inating 9it! Citi5en4Client "or:a *erice in"ormationb Client "ocus inclu-ing complaints an- 2rieances&

. Design an) Development

Not Applicable

.4 #urc(asing

89?9 Purchsin+ Process

Purc!asing process is essentiall$ applicable "or all .3uipment 4in"rastructure& CCA s!all ensure prospectie suppliers are i-enti/e- as pergeneral /nancial rules o" t!e 2oernment o" In-ia an- ot!er applicable




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gui-elines4instructions& All t!e ten-ers or 3uotations gien b$ t!e suppliersare assesse- an- t!e purc!ase is ma-e&

89?9( Purchsin+ Infor,tion

Re3uirements "rom t!e users are "or9ar-e- to t!e A-min an- purc!aseor-ers are place- on t!e approe- suppliers as appropriate:

aB Clearl$ -e/ne- tec!nical7 3uantit$7 3ualit$ an- -elier$ re3uirementsbB Release o" purc!ase or-ers a"ter reie9 o" re3uirementscB An$ C!anges regar-ing purc!ase are communicate-&

89?9:


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• All in"ormation supplie- b$ citi5ens Citi5en 4 Ministries 4DepartmentsB is ;ept con/-ential 9!ere necessar$&

• Access to t!e portal is proi-e- 9it! re3uire- aut!entications&

89;9; Preser3tion of .ro#uct

Preseration o" material use- in proi-ing t!e serices o" CCA+DIPP s!all beensure- 9!ic! inclu-es i-enti/cation7 storage an- !an-ling o" /les& 6ilesmaintenance s!all be ensure- as per proce-ure Control o" Recor-s&

.* Control o, Monitoring an) Measuring 0quipment

Not Applicable

Section ) 1 Mesure,ent Anl!sis n# I,.ro3e,ent

3.1 General

CCA+DIPP !as planne- an- implemente- t!e monitoring7 measurement7

anal$sis an- improement processes nee-e-J

to -emonstrate con"ormit$ o" t!e serices proi-e- to t!e citi5en 4 clients7

0 to ensure con"ormit$ o" t!e management s$stem7 an-c to continuall$ improe t!e e@ectieness o" t!e management s$stem&

T!is inclu-es -etermination o" applicable met!o-s7 inclu-ing statistical

tec!ni3ues7 an- t!e e?tent o" t!eir use&

3.2 Monitoring an) measurement

)9(9 Clients Stisfction

• Regular interaction ta;es place 9it! t!e citi5ens 4 clients& Regular reie9sare carrie- out to un-erstan- re3uirements an- nee-s&

• Citi5en 4Client "ee-bac; reports are anal$5e- an- reie9e- as appropriate&

Necessar$ actions are initiate- to resole Citi5en4Client grieances t!roug!

suitable communication me-ia&




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)9(9( Internl u#it

CCA+DIPP ensures t!at t!e s$stematic au-iting o" management s$stem is

un-erta;en at planne- interal o" once in t!ree mont!s in or-er to

continuousl$ assess its state o" compliance 9it! Vision7 Mission7 Qualit$Polic$7 Ob,ecties an- targets inclu-ing policies -e/ne- in Qualit$ Manual

an- Proce-ures -e/ne- in *OPs&

Internal Au-it Plan is prepare- annuall$&

Internal Au-its are carrie- out at least once in t!ree mont!s

coering all areas&

T!e Au-it *c!e-ule is release- be"ore t!e commencement o" t!e

au-it&

Areas "or internal au-iting are allocate- to t!e 3uali/e- au-itors79!o are in-epen-ent o" t!e area being au-ite-

• T!e non+con"ormance or obserations are recor-e- in Internal

Au-it Report

Correctie an- preentie Action are obtaine- "rom t!e au-itee

on a"ter t!e completion o" Internal Au-it&

T!e commitment o" t!e au-itee "or propose- correctie Action

"or t!e non+con"ormance obsere- are obtaine-&

Completion o" t!e propose- Correctie Action as per t!e agree-

-ates 9it!out un-ue -ela$

T!e "ollo9+up au-it are -one b$ an$one o" t!e au-itors a"ter t!e

propose- correctie Action completion -ate&

.nsuring all t!e non+con"ormance closure an- maintenance o"

Au-it Recor-s&

Au-it status log is maintaine-

Internal au-its are con-ucte- as per QM* Internal Au-it Proce-ure SOP >>'

< %% Proce#ure for internl u#its

)9(9: Monitorin+ n# ,esure,ent of .rocesses

All t!e processes are reie9e- at least once in a $ear consi-ering t!e

process "ailures an- Client "ee-bac; 4 grieances& !ere planne- results are




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not ac!iee-7 correctie an- preentie action are ta;en7 as appropriate7 to

ensure con"ormit$ o" serice& T!e process metrics are -e/ne- in t!e speci/c

proce-ure "or t!e processes i-enti/e-& Re"er Anne?+ IV – Fist o" *OPs&

)9(9? Monitorin+ n# ,esure,ent of Ser3ices

Monitoring an- measuring o" serices s!all be -one b$ anal$sing t!e metrics

proi-e- in t!e respectie *OPs& & Re"er Anne?+ IV – Fist o" *OPs

3. Control o, oncon,orming ervice

All non+con"orming *erices are anal$se- an- Correctie Preentie

actions are ta;en as per SOP 8%' < %% Proce#ure for

correcti3e n# .re3enti3e ction9

3.4 Anal%sis o, Data

T!e actiities 4 processes re3uiring t!e application o" *tatistical Tec!ni3ues"or anal$sis o" -ata o" CCA+DIPP is carrie- out on t!e "ollo9ing aspects:

aB *atis"action o" clients 4 citi5ensbB *erice 3ualit$ an- -elier$ metrics as per respectie *OPscB Internal au-iting

3.5 "mprovement

)9;9 Continul I,.ro3e,ent

CCA+DIPP continuall$ improes t!e e@ectieness o" t!e Management *$stemt!roug! t!e use o" ision7 mission7 CCA+DIPP 3ualit$ polic$7 ob,ecties7targets7 au-it results7 anal$sis o" -ata7 correctie an- preentie actions an-management reie9s&

)9;9( Correcti3e ctionCCA+DIPP ensures t!at all t!e non+con"ormances are inestigate- an- causeso" NCs are i-enti/e-& Responsibilit$ "or ta;ing Correctie action to eliminatecause o" NC an- to c!ec; closure o" complaints is allocate-& It is ensure- t!atcorrectie action is ta;en to commensurate t!e ris; associate- 9it! t!e NCs&



http://www.performance.gov.in/?q=system/files/iso-manuals-pmd/Annex%20V%20-%20List%20of%20SOPs.xlsxhttp://www.performance.gov.in/?q=system/files/iso-manuals-pmd/Annex%20V%20-%20List%20of%20SOPs.xlsxhttp://www.performance.gov.in/?q=system/files/iso-manuals-pmd/Annex%20V%20-%20List%20of%20SOPs.xlsxhttp://www.performance.gov.in/?q=system/files/iso-manuals-pmd/Annex%20V%20-%20List%20of%20SOPs.xlsx


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T!ese actiities s!all be carrie- out as per t!e SOP 8%' < %% Proce#ure forcorrecti3e n# .re3enti3e ction9

)9;9: Pre3enti3e ction

CCA+DIPP i-enti/es t!e potential causes in or-er to preent occurrence o" non+con"ormities&

T!e preentie action ma$ inclu-e:

• Training o" concerne- personnel

• Amen-ment o" -ocuments4proce-ures4gui-elines

• Proision o" Resources etc&

CCA+DIPP ensures t!at t!e preentie action implemente- is commensurate9it! t!e ris; associate- 9it! t!e Non+ con"ormit$& Correctie an- Preentie

actions are initiate- as per SOP 8%' < %% Proce#ure for correcti3e n#.re3enti3e ction

Annexure I – Organization Chart

Annexure II – Responsibilities & Authorities !or" Allo#ation$

Annexure III – %ro#ess Intera#tion Map

Annexure I – List o' %ro#esses ( )O%s


Not for use or disclosure outside CCA-DIPP New Delhi, except under prior written agreement. This is controlled