Do 22 S 2017 - Qms Manual.pdf

tf1? /-1 t1 /vv! Republic of the Philippines DEPARTMENT

ov~~-.l.D/7

OF PUBLIC WORKS AND HIGHWAYS

OFFICE OF THE SECRETARY Manila

FEB 2 8 2017 DEPARTMENTORDER )

22

NO. _ Series of 2017~~>9.t7

) ) )

SUBJECT: Implementation of the Quality Management System (QMS) Manual in conformance with the requirements of ISO 9001:2015

In line with the Department's policy to continuously improve the delivery of its services, all Bureaus, Services, Unified Project Management Offices, Regional Offices and District Engineering Offices are hereby required to implement the processes and mandatory procedures in the Quality Management System (QMS) Manual. Copies of this Manual (DPWH-QMSM-Revision No.3) will be provided by the Records Management Division (RMD) of the Human Resource and Administrative Service (HRAS). This Order shall take effect imme' of 2016.

SIS ersecretary Officer-in-Charge

11.1.3 NJM/NSP/BEY Department

of Public Works and Highways Office of the Secretary

1111111111111111111111111111111111111

WIN7P01517

Iy and shall supersede Department Order No. 93 Series

Department of Public Works and Highways

Quality Management System Manual Table of Contents Section 1. 1.1

1.2 1.3 1.4 1.5 1.6 1.7 Section 2.

2.1 2.2 Section 3. 3.1

3.2 3.3

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Scope Process Approach

Leadership Management Commitment 3.1.1 Core Values 3.1.2 Mandate 3.1.3 Vision 3.1.4 Mission Quality Policy Responsibility, Authority and Communication 3.3.1 Responsibility and Authority 3.3.2 Leadership 3.3.3 Management Representatives 3.3.4 Communication

Planning

Operations

5.5

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Section 5.

5.3 5.4

DPWH-QMSM

Profile Functions Bureaus Services Unified Project Management Offices Regional Offices District Engineering Offices

Strategic Direction Risks and Opportunities Objectives and Targets Planning of Changes

5.2

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Organizational Profile

Section 4. 4.1 4.2 4.3 4.4

5.1

Issue Date:

Planning of Product Realization 5.1.1 Project Identification 5.1.2 Formulation of Plans and Investment Programs 5.1.3 Project Planning Customer Related Processes 5.2.1 Determination of Requirements Related to the Product 5.2.2 Review of Requirements Related to the Product 5.2.3 Customer Communication Surveys and Design Development Production and Service Provision 5.4.1 Control of Production and Service Provision 5.4.2 Validation of Processes for Production and Service Provision 5.4.3 Identification and Traceability 5.4.4 Property Belonging to Customers or External Providers 5.4.5 Preservation of Product (Infrastructure) Control of Nonconforming Outputs

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Section 6. 6.1 6.2

6.3 6.4

6.5 6.6 6.7

6.8 Section 7. 7.1 7.2

7.3 7.4

Section 8. 8.1 8.2

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Support Processes Procurement Management 6.1.1 General Human Resources Management 6.2.1 General 6.2.2 Competence, Training and Awareness Financial Management Physical Resource Management 6.4.1 Facilities and Work Environment Management 6.4.2 Equipment Fleet Management 6.4.3 Survey, Laboratory and Field Testing Equipment Management Information Management Legal Services Documentation Management 6.7.1 Document and Data Control 6.7.1.1 General 6.7.1.2 Document Approval and Issuance 6.7.1.3 Document and Data Changes 6.7.2 Records Control Organizational Knowledge

Petformance Evaluation General Monitoring and Measurement 7.2.1 General 7.2.2 Stakeholder Satisfaction 7.2.3 Internal Audit 7.2.4 Monitoring and Measurement of Processes 7.2.5 Monitoring and Measurement of Products Analysis of Data Management Review 7.4.1 General 7.4.2 Review Input 7.4.3 Review Output

Improvement General Nonconformity and Corrective Action

Mandatory Procedures Control of Documents, DPWH-QMSP-01 Control of Records, DPWH-QMSP-02 Internal Quality Audit, DPWH-QMSP-03 Control of Nonconforming Output, DPWH-QMSP-04 Corrective Action, DPWH-QMSP-05 Management Review, DPWH-QMSP-06

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Annexes A

Relevant Interested Parties

B

Risk Register

C

Opportunity Register

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Section 1. Organizational Profile 1.1

Profile The Department of Public Works and Highways (DPWH) is the state's engineering and construction arm. As a public service agency, its primordial concern is to find the most effective and efficient ways to serve its clientele - the Filipino people. The DPWH is one of the largest organizations in the executive branch in terms of size and budget.

It is composed of six (6) Bureaus, nine (9)

Services, 17 Regional Offices (ROs), over 180 District Engineering Offices (DEOs) and five (5) Unified Project Management Offices (UPMOs).

1.2

Functions The Department

of Public Works and Highways (DPWH) is tasked to continuously develop its

technology for the purpose of ensuring the safety of all infrastructure facilities and securing for all public works and highways the highest efficiency and quality in construction.

1.3

Bureaus a. Bureau of Design (BOD) conducts, supervises and reviews field surveys, schemes, designs, specifications, estimates, tender/contract

documents covering the technical design aspects of

the DPWH projects and that of other government

agencies in accordance with current

guidelines, criteria and standards.

b. Bureau of Construction (BOC) reviews and evaluates programs, estimates, contract documents, progress reports for civil work projects, as well as inspects, checks and construction

projects and provides technical assistance to DPWH implementing

monitors

offices and

other government agencies.

c. Bureau of Maintenance (BOM) handles the maintenance of the nation's public works and highways

facilities.

Relative to this, it conducts field inspections to effectively

maintenance activities of the DEOs; oversees/coordinates

monitor

quick response mechanisms with

ROs and DEOs relating to repair works on calamity-damaged infrastructure.

d. Bureau

of

Equipment

(BOE) monitors compliance to standards, operation and

maintenance of all DPWH land and water-based equipment. It evaluates the Department's equipment requirements and recommends its acquisition and allocation. the DPWH equipment

It takes custody of

including service vehicles; undertakes the maintenance

of service

vehicles and equipment at the Central Office; and administers equipment rental.

e. Bureau of Research& Standards (BRS) undertakes research studies and pilot trials of new materials/technologies

to

improve

the

quality

of

government

infrastructure

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projects;

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formulates specifications, standards and guidelines; and conducts quality testing of various construction materials.

f.

Bureau of Quality and Safety (BQS) monitors the implementation of policies to ensure the safety of infrastructures,

and secure the highest efficiency and quality in construction

through checking of compliance with approved plans and specifications. BQS undertakes the analysis and evaluation

of accident data, annual average daily traffic

(MDT)

data and

weigh bridge data.

1.4

Services a. Planning Service (PS) provides technical services relating to planning, programming and project development. Medium-Term

It prepares the Department's

Public

Infrastructure

Investment

Program

Medium Term Development

including

the

formulation

of

Plan and

the

Annual

Program (AlP) for presentation to and approval of Congress.

b. Public-Private Partnership Service (PPPS) undertakes procurement,

the

planning,

marketing,

monitoring and management of projects as provided for under R.A. 6957 (BOT

Law) and amended under R.A. 7718.

c. Procurement Service (PrS) serves as the main support unit of the various Bids and Awards Committees (BACs) of the Central Office and is responsible for the procurement of contract for civil works,

consultancy,

and goods and services as prescribed

in the DPWH Annual

Procurement Plan (APP); as well as for the registrations of contractors.

d. Human Resources and Administrative Service (HRAS) implements human resource management Placement;

Performance

Development. property

and development

Management;

the integrated

plan, namely: Recruitment,

Rewards

and

Recognition;

and,

Selection and Learning

It provides services related to human resource development,

management,

and

supply and

security and maintenance of building facilities, cash management,

records management and library facilities.

e. Finance Service (FS) provides services related to budgeting, accounting and all financial

f.

housekeeping

matters including preparation

of budget proposals, pursuing formal budget

authorizations,

and undertaking budget execution and control.

Information Management Service (IMS) manages and maintains the DPWH information and communications

technology (lCT) resources and carries out researches on development

and future trends. It undertakes activities to institute IT-enabled develops and maintains the enterprise-wide

process improvements;

and individual unit applications including the

Department's websites; plans and implements IT Training programs, and provides technical support to IT users. BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

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g. Legal Service (LS) provides services in the areas of contract letting and litigation, legislative affairs and research, complaints and investigation. It prepares Department contracts and legal instruments, reviews and interprets contracts and agreements entered into by the Department, and evaluates legal proposals. It also undertakes the acquisition of site and location as rightof-way for national infrastructure

projects.

h. Stakeholders Relations Service (SRS) manages the social marketing and mobilization programs

of the Department

specifically non-government

to strengthen

its relationship

with

external

stakeholders,

organizations (NGOs) and Civil Society Organizations

(CSOs), so

they can take an active part in governance.

i.

Internal Audit Service (IAS) advises the Secretary on all matters related to management control and operations audit. It conducts management

and operations audit, review and

appraisal of systems and procedures, organization structures, assets management practices, and reports. It analyses and evaluates management deficiencies and recommends courses of action.

1.5

Unified Project Management Office (UPMO)

undertakes

project

operations

and

management; project reporting, evaluation and monitoring; coordination with various stakeholders and post project completion, and mainstreaming of project concerns in regular activities.

It is

composed of the following clusters:

a. Bridges Management Cluster (BMC) undertakes project implementation,

supervision and

monitoring of foreign and locally funded bridge and flyover projects located nationwide until its completion, in accordance with the approved plans and specifications.

b. Flood Control Management Cluster (FCMC) undertakes project implementation technical research on water and sediment-related

and

disaster mitigation; formulates programs on

capacity building in flood management and sabo engineering;

evaluates the flood control

system in river basins; and prescribes guidelines on the conduct of post-disaster survey and assessment.

c. Roads Management Cluster I (RMC-I) Bilateral undertakes the overall implementation, supervision

and monitoring

of projects

funded

through

bilateral

agreements

until

its

completion, in accordance with the approved plans and specifications.

d. Roads Management Cluster II implementation,

(RMC-II)

Multilateral undertakes

the

overall

supervision and monitoring of projects funded through multilateral agencies

such as Asian Development

Bank (ADB) and World Bank (WB) until its completion,

accordance with the approved plans and specifications.

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e. Buildings Management Cluster (BuMC) undertakes the administration and enforcement of the provisions of the National Building Code of the Philippines (P.O. 1096) and its IRR, and the monitoring of projects of other national government agencies assigned to this office.

Department of Public Works and Highways Organizational Chart Per Department Order No. 227, s. 2016, dated December 15, 2016

SECRETARY At1achedAgencies - MetropolItan'Newcl1cs an! Sewerage System (~) - RoiIdIloard

..

-

Internal Audit Service

"'

I Undersecretary for Planning & ppp

T

Undersecretary for Support Services

Undersecretary for Technical Services

Undersecretary fOi Legal Affairs & Priority Projects

I

I Assistant Secretary for Technical Services

Undersecretary for Regional Operations In Luzon Assistant Secretary for Regional Q>e!ations in Luzon

Assistant Secretary for Support Seivices

I Planning Service

Ekl'eau of Design

Procurement Service

Legal Service

8 Regional00ites in Luzon CAR NCR

Nlk-PriYate Pertnership Service

EkJ'eau of Construction &nau of Maintenance &nau of EQUipment

~

Resource &. Mmistrative Service

Finance Service

Stakeholders Relations Service

RegionI RegionII RegionIII RegionIV-A Region1V-8 RegionV

Assistant Secretary for Regional Q>e!ations in VISa"""

Assistant Secretary for Regional Q>e!ations in Mindanao

RegionVI RegionVII RegionVIII NIR

EngineeringOffices

5 Regional00ites in Mindanao RegionIX RegionX Regm XI RegionXII RegionXIII

46 District EngineeringOffices

Information Management Service

IlIidges Management Ouster Rood Control Management Ouster • Roads Management Ouster I

-..,

Roads Management Ouster II

~~

!lljldings &. Spedal projects auster

&Jreau of Researd1 &. Standards

EkI'eau of

Undersecretary for upm Operations

I 4 Regional00ites in Vlsayas

§§ Engineering00ites

1

Undersecretary for Regional Q>e!ations In IfIS-Min

• - The oversight functions over the flood Control Management Cluster under the UPMOshall be shared by the Undersecretaries for Regional OperatIons based on the" areas of assignment Withthe Undersecretary for UPMOOperations as defined in D.O. 87. 5.2016.

Figure 1.1 DPWH Organizational Chart

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Regional Offices (ROs)

a. Office of the Regional Director provides overall supervision and administration of technical, financial,

human

resource

and administrative

functions

of the

Region and all District

Engineering Offices (DEOs) under its jurisdiction.

i.

Legal Staff prepares memoranda of agreement and other legal instruments;

reviews,

interprets and processes contract agreements and other instruments entered into by the Region and the District Engineering Offices under its jurisdiction;

and provides legal

services in the acquisition of right-of-way for infrastructure projects in the Region.

ii. Procurement Staff manages and administers the procurement activities and processes of the Regional Office, including provision of Secretariat and technical support services to the Regional Bids and Awards Committee; maintains and administers the registration and accreditation of suppliers for goods and services in the Region; and monitors compliance with procurement processes and guidelines of District Engineering Offices.

iii. Information and Communication Technology Staff manages and maintains the wide area network of the Region which includes network infrastructure,

enterprise servers and

technology environment for both voice and data; and provides support services to Regional web data sources.

iv. Public Affairs and Information

Staff undertakes information

dissemination

Regional Office; manages media-related activities by improving coordination,

in the

expanding

linkages and establishing network with peers in the Region, Districts and Head of Office for quick response to issues and feedback; is also responsible for matters concerning CSO partnerships and customer feedback management.

b. Planning and Design Division implements pertinent laws, policies, standards, guidelines and procedures in the planning and design of roads, bridges, flood mitigation buildings and other public works projects; infrastructure

structures,

reviews, updates and consolidates the annual

program of the Region including the long and medium term infrastructure

development plans. It also reviews, updates and recommends the approved plans, Program of Work (POW), and estimates of infrastructure

projects within the Region and its District

Engineering Offices; and recommends for the approval, by the Central Office, of projects beyond the level of its delegated authority.

c. Construction Division supervises and implements infrastructure projects in accordance with approved

plans, specifications,

and delegated authority

oversees, assists, inspects and monitors infrastructure Engineering

Offices, Local Government

of the Regional Office.

It also

projects implemented by the District

Units (LGUs) and other government

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agencies -

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including those covered by Memoranda of Agreement - in accordance with existing standards

and guidelines, and within its approved level of authority.

d. Maintenance Division implements guidelines and procedures for the effective maintenance of infrastructure

and to ensure that

the annual

maintenance

works,

programs,

and

performance budget are properly implemented. It oversees, inspects, verifies, monitors and evaluates the maintenance of infrastructure

projects implemented by the District Engineering

Offices in accordance with existing standards and guidelines, and within its approved level of authority.

e. Equipment Management Division manages and monitors the use of equipment fleet in the Regional Office both for regular operations and for quick response during calamities and emergency situations.

It advises the Regional Director regarding inter-DEO transfer and

repositioning of Basic Highway Maintenance Equipment (BHME) to ensure strategic Regionwide

equipment

rehabilitation

allocation,

distribution

and utilization.

It

also undertakes

equipment

upon the joint approval of the Regional Director and the Director of the BOE.

f. Quality Assurance and Hydrology Division monitors the implementation

of Quality

Assurance Program of the Region and District Engineering Offices in accordance with the quality assurance policies of the Department. It operates and maintains the Regional Testing Laboratory and conducts testing of construction materials for projects undertaken by the RO, UPMO, DEOs, LGUs and other government agencies within its area of jurisdiction.

g. Administrative Division advises the Regional Director on all matters pertaining to human resource

management,

management,

and

human

supply

and

resource

development,

property

management.

records It

management,

recommends

the

cash needed

organizational development for the Regional and District Engineering Offices to the Central Office.

h. Finance Division provides the Regional Office with coordinated services on budgeting, accounting and other financial services; implements and improves Financial Management and Internal Control System. It also prepares, analyzes and consolidates the budget proposals of the Region, prepares management reports, and gives advice to the Regional Director and District Engineers on matters relating to fiscal administration.

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LEGAL STAFF

PROCUREMENT STAFF

INFORMATION AND COMMUNICATION TECHNOLOGY STAFF

DISTRICT ENGINEERING OFFICES

PUBLIC AFFAIRS AND INFORMATION STAFF

PLANNING AND DESIGN DIVISION

CONSTRUCTION DIVISION

MAINTENANCE DIVISION

EQUIPMENT MANAGEMENT DIVISION

QUALITY ASSURANCE AND HYDROLOGY DIVISION

ADMINISTRATIVE DIVISION

FINANCIAL DIVISION

Figure 1.2 Organizational Chart of Regional Offices 1.7

District Engineering Offices a. Office of the District Engineer provides overall supervision and administration of technical, financial, human resource and administrative activities of the District Engineering Office.

i.

Procurement Staff administers procurement activities and processes of the District Engineering Office.

ii. Information and Communication Technology Staff manages and maintains the wide area network of the District which includes the network infrastructure, and technology environment

enterprise servers

for both voice and data; and provides support services to

Regional web data sources.

iii. Public Information Staff undertakes information dissemination in the District; manages media-related

activities by improving coordination,

expanding linkages, and establishing

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issues and feedback;

is responsible for matters pertaining

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to CSO partnerships

and

customer feedback management.

b. Planning and Design Section implements pertinent laws, policies, standards, guidelines and procedures in the planning and design of roads, bridges, flood mitigation structures, buildings and other public works projects; reviews, updates, and consolidates the annual infrastructure program, and recommends the approved plans, POW, and estimates of infrastructure projects within the DEO.

c. Construction Section supervises and implements infrastructure projects in accordance with approved plans, specifications and delegated authority of the DEO.

d. Maintenance Section implements guidelines and procedures for effective maintenance of infrastructures

and ensures that the annual maintenance works, programs and performance

budget are properly implemented within the DEO.

e. Quality Assurance Section monitors the implementation of Quality Assurance Program of the DEO in accordance with the quality assurance policies of the Department.

f. Human Resource and Administrative Section advises the District Engineer on all matters pertaining

to

human

resources

management,

human

resource

development,

records

management, cash management, and supply and property management.

g. Finance Section provides the DEO with coordinated services on budgeting, accounting and other financial services; implements and improves Financial Management and Internal Control System.

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PROCUREMENT STAFF

INFORMATION AND COMMUNICATION TECHNOLOGY STAFF

PUBLIC INFORMATION STAFF

PLANNING AND DESIGN SECTION

CONSTRUCTION SECTION

MAINTENANCE SECTION

QUALITY ASSURANCE SECTION

HUMAN RESOURCE AND ADMINISTRATIVE SECTION

FINANCIAL SECTION

Figure 1.3 Organizational Chart of District Engineering Offices

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Section 2. Quality Management System 2.1

Scope Based on analysis of the issues of concern, interests of stakeholders, and in consideration of its products and services, the DPWH has determined the scope of the management system as follows: Public administration

covering planning, design, construction, and maintenance of infrastructures,

national highways, flood control, water resources development system and other public works in accordance with the national development objectives. The QMS applies to all Bureaus, Services, Regional Offices (ROs), District Engineering Offices (DEOs) and Unified Project Management Offices (UPMOs). All requirements of ISO 9001 Standard are applicable to DPWH QMS.

2.2

Process Approach The DPWH has adopted a process approach for its QMS. The identification and management of high level processes reduce the potential for nonconforming processes or after delivery. Nonconformities

products and services found during final

and risks are identified and actions are taken within

each of the high level processes. Each high level process has: a. Quality objective b. Applicable risks and opportunities c.

Applicable inputs and outputs

d.

Responsibilities and authorities

e. Supporting resources f. Criteria and methods used to ensure effectiveness of the process

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These high level processes, their sequence and interaction are illustrated in the DPWH process model.

DPWH PROCESS MODEL Customers and Relevant Interested Parties o Genera Pubic o I-Iotorists

o Pedestrians o CMI Sac' Organilations o Contractors

Customer

o Consultants o SuppIiefs o Business SectDr

Satisfaction

o~~

o NatiooaI Government

~ies o lee Govemmeot Aoencies o 0tM GoYemrnen Aoencies

o IntemaI Stakeholders

Products and

Requirements

1.

Services

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2.

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I~."..· E',,~ .(J1

J.. !C-onltl ~0C;I:):C'lS

F:o?:k.o:c1

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Section 3. Leadership 3.1

Management Commitment 3.1.1

Core Values •

Public Service: Anticipating

and responding to the needs of all stakeholders

and

satisfying their needs through quality effort, DPWH officials and employees shall deliver the kind of facilities and services that are responsive to the needs of the Filipino people.

•

Integrity:

Conducting one's business in a transparent,

honest, and ethical manner,

DPWH officials and employees shall maximize the effectiveness of the public's resources entrusted

to them,

practice simple living, have the moral courage to make tough

decisions, and to do what is right for the nation. They shall do the right things the right way.

•

Professionalism: Taking pride in one's work and committed to the pursuit of excellence, DPWH officials and employees shall act competently, accountability

ethically,

diligently,

and with

and dignity in their areas of expertise. They shall be given challenging

assignments and training, and promotions shall be based on merit.

•

Excellence: By continuously pursuing the highest quality of work in serving the public, DPWH officials and employees shall deliver the highest quality results beyond what is expected and required of them - on time, just in time, and all the time.

•

Teamwork: Working together in an environment of trust, fairness, respect, cooperation and communication,

DPWH officials and employees shall focus their efforts

in the

attainment of the vision, mission and goals of the Department.

3.1.2

Mandate The Department of Public Works and Highways (DPWH) is one of the three departments of the government

undertaking

major infrastructure

undertake (a) the planning of infrastructures,

projects. The DPWH is mandated

to

such as national roads and bridges, flood

control, water resources projects, and other public works; and (b) the design, construction and maintenance of national roads and bridges, and major flood control systems.

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Vision By 2030, DPWH is an effective and efficient government agency, improving the life of every Filipino through quality infrastructure.

3.1.4

Mission To provide and manage quality infrastructure facilities and services responsive to the needs of the Filipino people in the pursuit of national development objectives.

3.2

Quality Policy The DPWH Executive Committee regards its QMS as a strategic asset that will help in the continual improvement

of its systems. For this purpose, the following

statement

on Quality Policy is

established: We commit to provide quality, safe, and environment-friendly

public infrastructure

facilities that will improve the life of every Filipino. We commit to comply with all requirements and to continually improve effectiveness and efficiency in serving the public. We endeavour to implement the RIGHT PROJECTSat the RIGHT COST determined through transparent and competitive bidding; with the RIGHT QUALTIY, according to international

standards;

project implementation; and committed

delivered

RIGHT ON TIME through

close monitoring

of

and carried out by the RIGHT PEOPLE who are competent

to uphold the values of public service, integrity,

professionalism,

excellence, and teamwork.

3.3

Responsibility, Authority and Communication 3.3.1

Responsibility and Authority The present mandate of the DPWH is outlined in the approved Organizational Structure under Executive Order 366, series of 2004. The duties and responsibilities of DPWH officials are periodically defined and communicated -as needed - within the organization, and further delineated in Functional Charts, Position Description Forms (PDFs), Qualification Standards, and other QMS documents.

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Leadership The Secretary provides evidence of leadership and commitment implementation

to the development

and

of the QMS and continual improvement of its effectiveness by:

a. taking accountability for the effectiveness of the QMS; b. ensuring that the quality policy and quality objectives are established for the QMS and are compatible with the organization's context and strategic direction; c.

ensuring the integration

of the QMS requirements

into the organization's

business

processes; d. promoting the use of the process approach and risk-based thinking; e. ensuring that the resources needed for the QMS are available; f.

communicating the importance of effective QMS and of conforming to the requirements;

g. ensuring that the QMS achieves its intended results; h. engaging, directing, and supporting persons to contribute to the effectiveness of the QMS; i. j.

promoting improvement; and, supporting other relevant management roles to demonstrate his leadership as it applies to his areas of responsibility.

3.3.3

Management Representatives The Secretary designates an Overall Quality Management Representative, a Deputy Quality Management Engineers

Representative, as

Office

Quality

Bureau/Service/RegionaIjProject Management

Directors,

Representatives.

These

and

Management

Representatives have the defined authority to: a. Oversee the overall affairs of the QMS and not only the operation of function areas; b. Initiate

the QMS activities

and monitor

its implementation,

as a delegated

task from Top Management; c.

Ensure that processes needed by the QMS are established, implemented and

d.

maintained; Ensure the promotion

of awareness of customer requirements

throughout the

organization; and, e. Act as liaison with external parties on matters related to the QMS.

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Communication The Executive Committee ensures that the internal and external communications procedures are in place. Internal and external communications, including communications regarding the effectiveness of the QMS, are carried out in accordance with a procedure which sets out a process to ensure that written

and verbal communications

are adequately

preserved, distributed, and acted upon.

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Section4. Planning 4.1

Strategic Direction The DPWH reviews and analyzes the key aspects of the organization and its stakeholders to determine its strategic direction. This involves: a.

Understanding the core products and services, and scope of the Quality Management System (QMS).

b. Identifying

stakeholders who receive products and services, or who may be impacted by them,

or those parties who may otherwise have a significant interest in DPWH. These parties are identified in the document Relevant Interested Parties Matrix (RIPM). c.

Understanding internal and external issues that are of concern to DPWH and its interested parties and also identified in the RIPM. Many such issues are identified through an analysis of risks facing either DPWH or the interested parties. Such issues are monitored and updated - as appropriate - and discussed as part of management reviews.

These information

are used by the Executive Committee to determine the organization's strategic

direction. This is defined in records of management review and periodically updated as conditions and situations change.

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VISION

STRATEGY MAP 2022 Department 01 Public Works

DPWH is an effective and efficient government agency. improving the life of every Filipino through quality infrastructure.

and Highways

Right Project. Right Cost. Right Duality, Right on Time, Ri ht People

Inr: ease

1'03

P ov"de tha engine3~ing solution safa y onC8rns

a

Conform 'tn esign standards

Instit tionalize mul"i-year plann:ng

Co nect COIlYErgeice roa projects 0 e national r ad networ

'01'

, urture a cui ure f ethical'nnDV3 'on 0 ccntinuous learning

MISSION

Mligate ood damaga bas'ns

Mae inte~na ional standard Lr road sur' ace quality

network capacity

onst uct new roads S br'dges seamless trans~lor· systa

lives S properties protected from natural disasters

Invoved road quatrty S safety

Reduced travel time

0

major ri "e

BuiL:!disaster-ra . ien 'ruet:!. as fn calamit' -pro 18areas

road

Expedite proeu a

nt

D OCBSS

Augment pe sennelS enhance conpetencies

On

m Iy with m intanane standards

E aMe the co e processes ."ith the la est ajl~.ro ria :: tec ology

pti he e ipmeot uti ization 0 increase absorptive apaci

COREVALUES

.

To provide and manage quality infrastructure faci~ties and services responsive to the needs olthe FaipinD people in the pursuit 01 national development objectives.

Public Service. Integrity. Professionalism. Excellence. Teamwork

Figure 4.1 DPWHStrategy Map

4.2

Risks and Opportunities The DPWH considers risks and opportunities opportunities

when taking actions within the QMS. Risks and

are identified as part of understanding the internal and external issues that are of

concern to the organization, its interested parties, and throughout all other activities of the QMS. Risks and opportunities are managed in accordance with the Risk and Opportunity Registers. These documents define how risks are managed in order to minimize its "likelihood" and "impact", and how opportunities

are tapped to increase its likelihood and benefit.

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Objectives and Targets

The DPWH Executive Committee ensures that quality objectives, including those needed to meet the requirements for the delivery of projects, are established at relevant functions and levels within the organization. Each process has at least one objective which is a statement of the intent of the process. Each objective is supported by at least one metric which is then measured to determine the process' ability to meet the quality objective. The specific quality objective for each process is defined in the scorecards. Metrics data are measured and gathered by process owners or other assigned personnel and are presented to the Executive Committee during Management Review. These data are analyzed by the Executive Committee to set goals and to make adjustments for the purposes of long-term continual

improvement.

Review of the performance

of these objectives

is recorded in the

Management Review minutes. When a process does not meet a goal, or a problem is encountered within a process, the corrective action process is implemented to resolve the issue.

4.4

Planningof Changes When DPWH determines the need for changes to the QMS or its processes, these changes are planned, implemented, and then verified for effectiveness.

If the change necessitates creation of

a new document or revision of an existing one, the document is changed in accordance with the Control of Documents Procedure.

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Section 5. Operations 5.1

Planning of Product Realization 5.1.1. Project Identification The Planning Service classifies projects by Major Final Output such as national road network services, flood management services, and maintenance and construction services of other infrastructures. It categorizes these projects under various programs (i.e., roads and bridges, flood control and drainage, water supply and sewerage, and other infrastructures)

and can

be funded from local, foreign or public-private partnership funding sources. Project identification and prioritization are based on the outputs of planning applications such as the Pavement Management System (PMS) using the Highway Development Management (HDM-4), the Bridge Management System (BMS), and area development surveys, master plans, regional development plans and convergence programs. These are undertaken by the DPWH in coordination with other concerned entities and stakeholders such as NEDA, Regional Development Council (RDCs) and other National Government Agencies (NGAs), consistent with the national development goals and objectives. The DPWH established a planning process involving the use of planning tools for an objective selection

and

prioritization

policy of implementing

of road and bridge

projects,

consistent with

the

DPWH

the right projects. This planning process starts with data collection

conducted by the District Engineering Offices under the supervision of the Regional Offices. The data collected are stored in centralized databases: the Road and Bridge Information Application

(RBIA) managed by the Planning Service, and the Road Traffic Information

Application (RTIA) managed by the Bureau of Quality and Safety. The data in the RBIA and RTIA are used in the objective selection and prioritization of road and bridge projects. For projects that require big investments, pre-feasibility (business case) and feasibility studies are generally implementation to ascertain environmental,

undertaken

to verify

its viability

and to determine

the investment

and

requirements. These studies consist of various investigations and analyses if the project

is desirable

in terms

of the technical,

economic,

social,

financial and operational aspects.

5.1.2. Formulation of Plans and Investment Programs Projects that have been selected and prioritized - based on the outputs of the planning applications, or having passed the feasibility criteria - are considered candidates for inclusion in the medium-term

infrastructure

program and budget using the Multi-Year Programming

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and Scheduling (MYPS) Application, where they are evaluated and ranked using the MultiCriteria Analysis (MCA) for roads and bridges. Flood control projects are evaluated using the flood control evaluation criteria. The selection and prioritization

of identified and evaluated projects are based on the requirements and

needs assessment of the ROs and DEOs, the master plan on the major river basins and principal rivers, and from the studies conducted by the Flood Control Management Division of the Unified Project Management Office (UPMO). For other infrastructure

projects, prioritization and selection are based on the convergence

programs of the Department with other agencies (e.g., tourism roads with Department of Tourism, school building projects with the Department of Education, and farm-to-market roads with the Department of Agriculture, among others). DPWH prepares the Annual Infrastructure

Program based on the Public Investment Program

(PIP) and available budgetary resources, which is submitted to the Department of Budget and Management (DBM). This is incorporated in the National Expenditure Program (NEP) and is submitted to Congress by the President for appropriation Appropriation

of funds under the General

Act (GAA) for the following budget year.

The DPWH Annual Infrastructure

Program contains

the projects

to be implemented

by PPP Service, the UPMOs (for foreign-assisted projects) and the ROs and DEOs (for locallyfunded projects), based on the approved levels of authority. These implementing offices are responsible for the conduct of detailed engineering as part of project planning prior to project implementation.

5.1.3.

Project Planning The QMS contains a documented procedure and provides a uniform process and template for the development preparations

of project specific plans. Planning activities

start

(such as engineering surveys together with soil investigation),

and social survey, and the preparation

of necessary documents:

with

project

environmental

Environmental

Impact

Assessment (EIS), Initial Environmental Examination (lEE), Social Impact Assessment (SIA), Resettlement Action Plan (RAP), Indigenous People Development Plan (IPDP) and Gender and Development (GAD) Plan. Project specific plans are based on the procedures in this QMS Manual, and can also include processes and documents which are specific to a project. Project specific plans contain the required verification, validation, monitoring, measurement, inspection and test activities specific to the project and the criteria for product acceptance.

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Project specific plans also contain records showing evidence that the realization processes and resulting product meet requirements.

5.2

Customer Related Processes 5.2.1. Determination of Requirements Related to the Product The implementing office shall determine the necessary project requirements on customer needs and the technical, financial and environmental

based

aspects of the project.

These include delivery and post-delivery activity requirements as well as other statutory and regulatory requirements applicable to the project, including those not stated by the customers but necessary for its specified or intended use.

5.2.2. Review of Requirements Related to the Product Before the implementation

of a new project, the project requirements are assessed and

reviewed to determine the accuracy of data and to verify if there are inconsistencies that would lead to possible variations in design. Any changes in the requirements

are communicated

to the responsible personnel, and

documents are amended to reflect these changes.

5.2.3. Customer Communication DPWH has implemented

effective

relation

of contractual

to the delivery

arrangements

for communicating

obligations,

customer

with customers

enquiries

in

and customer

feedback, including customer complaints. The DPWH, through the Stakeholders Relations Service (SRS), monitors and responds to customers'

concerns through

the following

channels:

24/7 Call Center 165-02,

short

messaging system (SMS) TXT DPWH 2920, phone-in, letters (direct and referrals), DPWH website, DPWH Public Information Facebook and Twitter

accounts),

Division (PID) email account, social media (DPWH official the President's Facebook account, walk-in,

print and

broadcast media, and civil society organizations. The SRS assesses customer satisfaction through the analysis of feedback gathered from these mechanisms and channels.

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Surveys and Design Development

The DPWH, through the Bureau of Design (BOD) and its counterpart regional and district offices, conducts and reviews detailed engineering

surveys and investigations.

In order to come up with

the most functional, safe and cost-effective infrastructure design, it also monitors and implements the following design stages,: a.

Preliminary Design Development. In this stage, the initial requirements of design (e.g., design parameters and criteria), initial site survey (such as geological/geotechnical

investigation,

as

needed), detailed engineering survey, and right-of-way requirements are incorporated. The field

books, together with electronic files relative to the conduct of detailed engineering

surveys and investigations, are preserved. b. Design Development Stage. During this stage, the initial comments/recommendations preliminary incorporated

design schemes, final results of

engineering surveys and value engineering, are

into the final design schemes. These

comments and recommendations

on the

are reviewed and evaluated and the final

are provided, which are subsequently incorporated into the

Final Design Plan. Final Design Plan Development. At this stage, the Evaluation of the final design plan incorporates the comments/recommendations

on the design development and the monitoring of compliance.

Final Design Approval. This stage involves the Approval of the final design plans, Bill of Quantities, specifications and other contract documents for implementation. c.

Control of Design Change. This involves the verification of proposed changes in the approved design plans and the validation of their appropriateness to actual site condition. Any changes in the design plans are reviewed and concurred with, both for outsourced and in-house projects. Revised plans are issued for implementation

to concerned implementing

offices. All changes

made by the implementing office through site instructions are first validated and approved. For PPP Projects, the design and development is in accordance with the Concession Agreement.

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Production and Service Provision

5.4.1. Control of Production and Service Provision A project document contains procedures for operations control to ensure that all work is performed under planned and controlled conditions. Controlled conditions include, but are not limited to, the following: a. Construction

Documents

(approved

construction

plans and approved

contract

documents, among others); b. Documented workmanship standards where such standards were not defined in the c.

specification; Compliance with reference standards and documented procedures;

d.

Monitoring and control of operations as part of the supervision, inspection and/or audit

requirements; e. Carrying out of special processes under pre-qualified conditions or procedures, utilizing qualified/specialized

personnel;

f.

Pre-delivery services such as Final Inspection and Testing; and,

g.

Post-delivery activities such as warranty period and maintenance.

5.4.2. Validation of Processes for Production and Service Provision The Bureau of Research and Standards (BRS) and the Implementing

Offices concerned

(UPMO, ROs and DEOs) conduct tests on samples of construction materials prior to use in the projects. If the implementing offices do not have the capability to conduct such tests due to non-availability

of necessary equipment/apparatus

and/or chemical reagents, or due to

voluminous samples to be tested, the samples are brought to the BRS or to duly-accredited private testing laboratories, upon issuance of waiver by the concerned implementing offices. This is to ensure that only materials of the highest quality are used in the projects. The Bureau of Quality and Safety, its Regional and District counterparts and UPMO ensure the conformance

of the project to plans and specifications.

5.4.3. Identification and Traceability The Bureau of Construction (BOC), its Regional and District counterparts and UPMO maintain project

records to ensure adequate

infrastructure

identification

and traceability.

Information

on the

projects such as project description, project ID, start and completion dates,

duration, contract number, implementing

office, the contractor/s

name, contract amount,

and funding source are maintained in the database. The QMS ensures that

a procedure

to positively

indicate the conformance

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conformance of a product and/or the process with regard to inspection and tests performed is in place.

5.4.4. Property Belonging to Customers or External Providers The DPWH exercises care for customer organization's

or supplier

property

while it is under the

control or being used by the organization. Upon receipt, such property is

identified, verified, protected and safeguarded. If such property is lost, damaged, or found unsuitable for use, this is reported to the customer or supplier, and corresponding records are maintained.

5.4.5. Preservation of Product (Infrastructure) The DPWH has a documented procedure on the detailed phases of acceptable construction practices - which includes the preservation of completed structures - that is made available to DPWH field engineers as guide. As soon as a project is completed, it is subjected to final inspection prior to the issuance of a certificate of completion. If no defects/deficiencies

are noted a year after completion, a

certificate of acceptance is issued. Upon acceptance, the project is automatically included in the DPWH maintenance activities of the Bureau of Maintenance (BOM) and its Regional and District counterparts. When an infrastructure

is beyond the scope of regular maintenance, rehabilitation activities

is undertaken by the concerned implementing office.

5.5

Control of Nonconforming Outputs DPWH's inspection and test procedure ensures that an output which does not conform to product requirements is identified and controlled to prevent its unintended use or delivery.

The Control of

Nonconforming Outputs procedure, DPWH-QMSP-04, defines the controls and related responsibilities and authorities for dealing with nonconforming outputs. When a nonconforming

output is corrected, DPWH subjects the output to re-verification to validate

its conformity to the requirements.

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Section 6. Support Processes 6.1

Procurement Management 6.1.1

General The Procurement Service and its counterpart procurement units in the Regional and District Offices act as Bids and Awards Committee (BAC) Secretariat and provide TWG services to the DPWH's BAC for Civil Works, Consultancy Services and Goods. These offices assist the BAC of all DPWH offices by providing advice and recommendations

based on the existing

laws and regulations and procurement guidelines of funding institutions. Preparing for procurement is an important phase, which basically involves three activities: a.

Procurement Planning where the procuring entity and its BAC schedule in advance its procurement activities for the year through the Project Procurement Management Plan (PPMP), which is consolidated into the Annual Procurement Plan (APP);

b. Preparation of Bidding Documents where the procuring entity ensures that all the information provided to the bidders are accurate and comprehensively reflect the main c.

activities of the PPMP, and; Conduct of Pre-Procurement

Conference

where

all the

officials

involved

in the

procurement meet and discuss all aspects of the transaction. For the procurement of Consultancy Services, in conformity with the schedule provided in the

existing

Rules and Regulations

and Procurement

Guidelines

of foreign

lending

institutions, the following activities are undertaken: a. Advertisement b. Receipt of Applications for Eligibility and Shortlisting and conduct of Eligibility Check c. Shortlisting d. Issuance of Request for Proposals (RFP)jBid Documents (BDs) e. Conduct of Pre-Bid Conference f.

Submission and Receipt of Bids

g.

Bid Evaluation

h. Negotiation i.

Post-Qualification

j.

Issuance of Notice of Award.

To measure the performance of consultants in their completed projects, the Consultant's

Performance Evaluation System (ConsPES) is applied. The results derived from the ConsPES is considered as input for shortlisting and bid evaluation.

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As to the procurement of Infrastructure

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Projects, and Goods and Services, the following

activities - which also follow the existing Rules and Regulations and Procurement Guidelines of foreign lending institutions - are undertaken: a. Advertisement b. Pre-Bid Conference c.

Submission and Receipt of Bids

d.

Eligibility Check

e.

Bid Evaluation

f.

Post-Qualification

g. Award of Contract The Specialized Offices ensure that the goods delivered

are in accordance with the

specifications.

6.2

Human ResourcesManagement 6.2.1

General The Human Resources and Administrative

Service (HRAS) and its Regional and District

counterparts ensure that applicants who get hired and employees who are promoted have the required credentials and qualifications for their respective positions, prescribed under the Qualification Standards (QS) Manual of the Civil Service Commission (CSC) as well as the Preferred Qualification Standards set by the office where the vacancy exists. The QMS contains procedure for the training of employees in the tasks they are expected to perform. Training needs are assessed annually and are documented. The HRAS formulates and implements policies, guidelines, systems, methodologies, programs and projects

on human

resource development,

which

included

capacity-building

and

empowerment. These are carried out thru: a. Competency Gap Determination

and Evaluation thru Training Needs Assessment and

Impact Evaluation b. Capacity Building and Empowerment thru Course Administration/Facilitation c. d.

Development of Course Design Management of Training Equipment,

Facilities

and of

Materials

Development e. Coordination of External Learning and Development

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Competence, Training, and Awareness To ensure that employees have the competencies required by their function, the HRAS and its Regional and District counterparts carry out the following: a.

Determine the necessary skills and aptitudes of employees performing work that affects

conformity to product requirements; b. Provide training or take other actions so that the necessary competence is acquired; c. d.

Evaluate the effectiveness of actions taken; Ensure that employees are aware of the relevance and importance of their role and how they contribute to the achievement of the quality objectives; and,

e.

6.3

Maintain records of employees' education, training, skills, and experience.

Financial Management The Finance Service (FS) and its Regional and District counterparts manage and administer all finance-related matters of the Department through the following: a.

Ensure that all financial transactions and operations are being recorded in accordance with generally accepted accounting principles and pertinent laws, rules and regulations.

b. Control allotments by maintaining a Registry of Allotments and Obligations to ensure that all monies appropriated for function, activities, projects and programs shall be available solely for the specific purposes for which these were appropriated. c.

Control the Notice of Cash Allocations (NCA) to ensure that disbursements

do not exceed

the NCA released based on approved Cash Program. d.

Ensure that all disbursements

are supported with complete documents

and that government

resources are being safeguarded through the practice of sound financial management. e.

Keep and maintain basic financial records and books of accounts - through the e-Budget and eNGAS - that reflect the propriety of transactions and evidence of accountability for assets and other resources available for use.

f.

Prepare and submit financial reports containing information

on past operations and present

conditions as basis for planning and budget preparation.

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Physical Resource Management

6.4.1

Facilities and Work Environment Management The DPWH ensures that a suitable environment for the operation of its processes and the achievement

of conformity

of products

and services are determined,

provided,

and

maintained. For this purpose, a quality workplace standards is implemented to ensure a clean, organized and well-maintained workplace to promote quality and productivity. Human factors are considered to the extent that they directly impact the quality of products and services. The HRAS and its Regional and District counterparts manage and ensure the maintenance of buildings and facilities. All offices designate Building Administrators to monitor the safety of all DPWH structures, electrical circuitry and lighting systems, cleanliness of the premises and its surroundings, recommendations

and that all pathways are free from obstruction. They also submit

to management

on DPWH buildings and/or facilities that need repair,

rehabilitation or improvement.

6.4.2

Equipment Fleet Management The Bureau of Equipment and its Regional and District counterparts

ensure the safe,

environmental compliance, availability and optimum utilization of the fleet of land and waterbased equipment of the Department. The BOE and its Regional and District counterparts ensure that the equipment life cycle stages are in accordance with the current standards and policies. The matrix on the next page shows the levels and areas of responsibilities for the equipment resources life cycle:

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Equipment Equipment

Planning

Portfolio

Demand

and Procurement!

Management Dredger

Life Cycle Stage

Distribution

Operations

and

and

Deployment2

Maintenance

and

Ancillary

BOE,

BOE

BOE

BOE

BOE,RO

BOE

BOE,RO

UPMO,

RO

Equipment

Rehabilitation

DisposaP

BOE,RO

BOE,RO

Road Maintenance and

BOE,

UPMO,

RO,DEO

Construction

BOE, RO,

BOE,RO

DEO

Equipment Central Service

BOE,RO,DEO

BOE,RO

Vehicle

Office, UPMO,

BOE,RO

BOE,

RO,

BOE, RO,

BOE,RO

DEO

DEO Shop

Tools BOE,RO,DEO

BOE,RO

and Equipment

BOE,

RO,

BOE, DEO

DEO

RO,

BOE, RO,

BOE,RO

DEO

Notes: 1.

Regional Offices (ROs) and District Engineering

Offices (DEOs) may be allowed to procure

Service Vehicles provided that these offices can secure Authority

Equipment

and

to Purchase from the DPWH Secretary thru

the Bureau of Equipment. 2.

The Regional Directors

are authorized

to distribute

and deploy both land and water-based

equipment

and

service vehicles within their areas of jurisdiction. 3.

In the Disposal Process, ROs and DEOs initiate the Disposal Procedure of Equipment

and Service Vehicles.

The Regional Offices, thru the Regional Disposal Committee,

and Service Vehicles

can dispose Equipment

holdings in their regions within their level of authority.

6.4.3

Survey, Laboratory and Field Testing Equipment Management The matrix below shows the office responsible for the management and maintenance of Survey, Laboratory and Field Testing Equipment, which support the Department's Processes:

Equipment/Resource Portfolio Laboratory Equipment Field Testing Equipment

Responsible Office/ s BRS and its Regional and District counterparts BRS and BQS, and their Regional and District cou nterpa rts

Engineering Survey

UPMO - Flood Management Cluster and BOD and

Equipment

its Regional and District counterparts

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Information Management

The Information

Management Service (IMS) ensures appropriate investment in Information

Communications Technology (lCT) infrastructure

and

and skills to effectively manage the DPWH wide

area network (WAN) and servers, and to be able to provide application and software support services. This is done through

Information

Management

planning whereby

strategic

assessments are

conducted to identify future IT-enabled needs and Business Process Improvements (BPls), based on the Department's

Strategic Plan. The BPls are presented to the Reform Institutionalization

and

Management Support System (RIMSS) Steering Committee for approval and prioritization, as well as funding sources. These are carried out and translated into the Information

Systems Strategic Plan

(lSSP) of the Department. The ISSP is the basis of ICT activities in the Department. The ICD Steering Committee holds regular meetings for activity status reporting, monitoring and evaluation of performance improvement targets. The IMS also maintains process and data models, as well as data architecture. It monitors compliance with data policies, procedures, operating standards and guidelines. As to hardware maintenance, the IMS and its Regional and District counterparts conduct daily, weekly, monthly or annual maintenance tasks for all production Department.

servers that run the enterprise-wide

application

systems used by the

It also conducts regular and preventive maintenance activities for all voice and data

communication equipment and desktop computers. For application systems, a regular quarterly review and enhancement activity is being done on top of the application maintenance for the immediate resolution of critical problems that impede the operation of systems, as reported to the IT Service Desk.

6.6

LegalServices The Legal Service (LS) prepares, reviews, evaluates and interprets Agreement

(MOA),

Memorandum

of Understanding

contract,

Memorandum

(MOU), legal proposals and other

of

legal

instruments entered into by the Department. LS also conducts administrative investigation and reviews administrative charges. It is in charge with the issuance of resolution of administrative cases brought before it, and legal clearances of concerned officers and employees of the Department. It also undertakes the acquisition of site and location as right-of-way

for national infrastructure

projects.

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Documentation Management

The DPWH's QMS documentation

includes both documents and records. The DPWH documentation

may be in hardcopy or electronic form and is described in the figure below.

Level 2

Level 3 Figure 6.1 DPWH Documentation Management Level 1 The quality manual is the highest level of documentation.

It describes DPWH's quality

management system.

Level 2 This level of documentation

includes prescriptive documents such as Department

policies and procedures, manuals, specifications, externally-sourced

Orders,

documents, and the like.

Level 3 This level includes descriptive documents providing evidence of conformity and are referred to as records.

The organization "document"

does not use the term "documented

information";

instead it uses the terms

and "record" which undergo different controls as indicated herein.

Documents refer to documented information to be maintained, while Records refer to documented information to be retained.

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Document and Data Control 6.7.1.1

General a. The Quality Management System contains documented

procedure to control

all essential documents and data affecting the processes within the scope of the QMS. b. Controlled Documents include, but are not limited to, Department Order, Special Order, Department

Memorandum Circular, Unnumbered Memorandum,

Plans,

Specifications and Drawings, Quality Management System Manual, Procedures and Forms.

6.7.1.2

Document Approval and Issuance a. In accordance with Department Order No. 33 series of 2011, Policy Issuance Guidelines, Department Orders shall address changes in internal procedures in reference to laws, Executive Orders, Administrative

Orders, and/or to update

existing Department Orders. DOs for department-wide implementation shall be subjected to comprehensive review and impact analysis prior to issuance. b. The Records Management

Division (RMD) of the

Administrative

Service (HRAS) shall be responsible for the filing of hardcopy,

dissemination

and posting in the DPWH intranet and internet websites, of

issuances for Department-wide c.

Human Resources and

implementation;

Heads of Services, Bureaus, UPMOs, Regional and District Offices shall be responsible for the distribution/dissemination

of issuances to their respective

units. d. Issuance of Office Orders, procedures, guidelines and other documents be used internally Documents

by an office shall be in accordance

to

with the Control of

Procedure.

e. The designated

Records Officers shall be responsible for the control and

distribution of internally generated documents.

6.7.1.3

Document and Data Changes The

QMS contains

a documented

Control

of Document procedure, DPWH -

QMSP-Ol, to ensure that procedures are identified,

prepared, documented

and

revised in a uniform manner in order to give users clear guidance and direction on how to use it. BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

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6.7.2 RecordsControl a. The QMS contains a documented Control of Records procedure, DPWH-QMSP-02, for the identification, collection, indexing, filing, access, storage, maintenance and disposition of all records. b. Records are maintained to demonstrate conformance to specified requirements and for the effective operation of each facet of the QMS. c. All incoming mails and records are attended to and processed in accordance with the provisions of R.A. 9485 or the Anti-Red Tape Act. d.

Records are classified according to the approved file classification

scheme (DPWH

Classification Guide) and are stored, filed, secured and properly labeled to guarantee fast retrieval when needed, as well as to protect records from damage, loss and deterioration pursuant to D.O. No. 148 series of 1992 on Records Management Manual. Any record printed on thermal paper must be photocopied before filing. e. The disposition of records is in accordance with the latest Records Disposition Schedule (RDS) of the Department as approved by the National Archives of the Philippines (NAP). f.

6.8

Records can also be stored in electronic form.

Organizational Knowledge The DPWH determines the knowledge necessary for the operation of its processes and to achieve conformity of products and services. This knowledge, used to achieve the organization's objective, may be obtained from: a. Internal sources, such as lessons learned from success and failures, feedback from subject matter experts, intellectual property, knowledge gained from experience, research; and, b. External sources such as standards, academia, conferences, or information

gathered from

customers or suppliers. This knowledge is maintained and made available to the extent necessary. When addressing changing needs and trends, the DPWH considers its current knowledge and determines how to acquire or access the additional knowledge necessary.

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•

Section 7. 7.1

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Performance Evaluation

General The DPWH plans and implements

the monitoring,

measurement,

analysis, and improvement

processes needed to: a. demonstrate conformity to product requirements, b. ensure conformity to the quality management system, and c.

7.2

continue the effectiveness of the quality management system.

Monitoring and Measurement 7.2.1 General The

DPWH

requirements

has

established

benchmarks

for

performance,

based

on

and industry standards, and has a process for monitoring

stakeholders

and measuring

performance and analysis of data. There is a documented process for the conduct of audits, including selection criteria for the determination audits,

of the subject of the audit. Data gathered

performance

reviews of processes,

contractors,

from stakeholders feedback,

consultants,

and suppliers are

analyzed, documented and acted upon - as warranted - and reported to the management and to the stakeholder, where appropriate.

7.2.2 Stakeholder Satisfaction The DPWH, through

the Stakeholders Relations Service (SRS), monitors and documents

information provided by both internal and external stakeholders through results of customer satisfaction surveys carried out by in-house and/or independent

survey organizations, to

determine

requirements.

whether

its products

and services meet customer

Gathered

information is analyzed quantitatively and qualitatively, and reported to the management.

7.2.3 Internal Audit Internal audit is the conduct of management and operations audit and the determination of the degree of conformance to ISO 9001:2015 standards, and compliance regulations,

managerial

policies,

and

with

laws,

contractual obligations. It includes the appraisal

of the plan of the organization and all the coordinate methods and measures, the results of which are used to recommend courses of action on matters relating to management control and operations audit. Internal audit, being a separate component of internal control, is instituted to determine BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

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whether other internal controls are well designed and properly operated. The QMS contains a documented planning

and implementing

Internal

internal

Quality Audit procedure,

quality

DPWH-QMS-03, for

audits. Audits are performed

regularly

in

accordance with a defined program, taking into account the importance and status of the processes and risks considerations. Audits are conducted on both procedures and systems to enable scrutiny of the interaction between procedures. The head who is responsible for the area being audited ensures that any necessary corrections and corrective actions are undertaken without

undue delay to

eliminate detected nonconformities and their causes. Results of audits are maintained and compliance is regularly monitored.

7.2.4

Monitoring and Measurement of Processes The DPWH applies suitable methods for monitoring and, where applicable, measurement of the QMS processes. DPWH uses the Project Monitoring System (PMS) / Project Contract Management Application (PCMA) and the respective office scorecards in tracking the progress of planned targets. DPWH also uses its internal audit procedure to monitor the QMS processes. Through this strategy, DPWH is able to gauge the effectiveness of the processes to achieve planned results. When planned

results are not attained,

corrective actions are taken to ensure

conformity.

7.2.5

Monitoring and Measurement of Product The DPWH regularly conducts inspection, assessment, monitoring and field/laboratory

tests

to verify conformance to specification requirements of construction materials, or of the very structure on which these were used or had been incorporated into. Sampling and testing of materials are done at various stages of construction. dimensions

are measured to verify conformance

For completed works and structures, to the approved

construction

plans.

Likewise, if warranted by circumstance or necessity, destructive or non-destructive tests can be done to determine

structural

integrity

and adequacy vis-a-vis the specified design

DPWH collects and analyzes data to demonstrate

the suitability and effectiveness of the QMS,

strength.

7.3

Analysis of Data

and to evaluate where continual improvement on the effectiveness of the QMS may be applied.

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Data analysis is contrasted with the Scorecard to determine changes in performance.

Trend analysis is an important aspect of the data analysis process as it provides significant evidence of the effectiveness of the system.

7.4

Management Review 7.4.1 General The DPWH management reviews the QMS at least once a year to ensure its continuing suitability,

adequacy

improvement,

and effectiveness.

The review includes assessing opportunities

for

the need for changes to the QMS, and the quality policy and quality objectives.

This is carried out in one of the Management Committee and/or staff meetings. A Management

Review procedure,

DPWH-QMSP-07 is established to ensure the proper

conduct and recording of the review process.

7.4.2 Review Input The input to management review may include any or all of the following: a.

project status reports

b. results of audit since last Management Review c.

status of corrective actions

d. customer feedback e. status of objectives and targets f.

follow up actions from last management review

g. changes that could affect the QMS h. opportunity for improvement i. changes in external and internal issues that are relevant to the QMS j.

performance of external providers

k. adequacy of resources I. effectiveness of actions taken to address risks and opportunities

7.4.3 Review Output The outputs from management review include decisions and actions related to any need for changes to the QMS and its processes, improvement of operations/services customer requirements, and resource needs.

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Improvement

General The DPWH determines and selects opportunities for improvement and implements any necessary actions to meet customer requirements and enhance customer satisfaction.

These include:

a. improving products and services to meet requirements as well as to address future needs and expectations; b. correcting, preventing or reducing undesired effects; and, c.

8.2

improving the performance of the QMS.

Nonconformityand CorrectiveAction The QMS contains a documented Corrective Action procedure, DPWH-QMSP-OS,to ensure that nonconformities

in performance and product are corrected. The procedure also provides a system

for determining the causejs of nonconformities and implementing appropriate corrective actions to ensure that nonconformities will not recur, or occur elsewhere.

Prepared by:

B~E~Ut

. ASIS Und

Assistant Secretary for Support Services Deputy Quality Management Representative

Ov

retary for Technical Services

all Quality Management Representative

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Control of Documents Procedure

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Purpose

To provide a guide for an effective implementation

2.0

Issue Date:

method of controlling

internal documents

used in the

of DPWH's Quality Management System (QMS).

Definition of Terms Internal Documents refer to documents generated within the confines of DPWH such as Quality Management

System Manual, Department

Orders, Special Orders, Department

Circulars, National Building Code Development

Office (NBCDO) Memorandum

Memorandum

Circulars, Office

Orders, and unnumbered Memoranda.

External Documents refer to documents used in the implementation

of DPWH's QMS which

originate from outside the agency. These may include customer specifications, technical manuals, regulations, and other information used as references. These are disseminated through Department Memorandum Circulars.

Records Office refers to the office that handles the filing and safekeeping of the master copies of documents. The Records Officer (RO) is the custodian of documents. master copies of department-wide

documents.

The Central RO keeps the

Bureaus, Services, UPMO, Regional, and District

Offices shall designate their respective RO to keep master copies of documents originating from their respective offices.

Master Copy refers to the original document that has to be always controlled. These are filed at the Records Office and should not be taken out from there. Writing on and/or any form of erasure and/or unauthorized changes on these copies are strictly forbidden.

Controlled Copy refers to the copy of documents issued to all Heads of DPWH offices and published in the DPWH website. This also includes Office Orders issued to specific recipients in a given bureau/service/office.

In cases of revisions, the RO need to furnish a revised copy of the

document for updating.

Uncontrolled Copy refers to the printed copy of documents that are published in the DPWH website and are disseminated for information and/or reference purposes only. In cases of revisions, the RO need not furnish a revised copy of the document for updating.

Obsolete Copy refers to the copy of documents that have become outdated due to revisions. Although

no longer valid for use, the master copy of obsolete documents should be kept in

accordance with the prescribed retention period in the Records Disposition Schedule (RDS).

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Control of Documents Procedure

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Procedure

Process Flow

Determine the need to create/revise internal documents

Responsible

Details

Concerned Office

Create or revise internal document based on the need of a concerned office, unit or customer;

or as a

result of audit, the concerned office shall. Concerned Records Create/revise the document

Officer

Every five (5) years, the Records Officer reminder

(RO)

shall

prepare

memorandum

for

a all

offices to review existing documents in order to determine adequacy and suitability.

The Memorandum shall

be signed by the Overall QMR. For Department Orders and Special Orders, refer to Department Order No. 33 Series of 2011 - Policy Issuance Guidelines.

Approve document

Head of Concerned Office

The head of office shall discuss the contents

of the

document

in a

meeting with concerned personnel before signing. When amending a document, attach all documents to be superseded.

Ensure proper management of document

Concerned Records

Approved

Officer

forwarded Records

documents to Officer

management.

(

shall

the

End) BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

be

designated for

proper

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The Records Officer shall: a. Log the document in the Masterlist. b. Assign document code for DPWH QMS manual, procedures and related forms, as follows: Manual and Procedures:

DPWH-XXXX-L Series Number Type of Document* Name of Organization * QMSM - QMS Manual QMSP - QMS Procedure

Forms:

Revision Number Series Number Document Code For other documents, the Records Officer of the concerned office shall be responsible in ensuring that all issued documents are current. Reproduce the document.

Refer to the DPWH Classification Guide when assigning codes.

For documents to be implemented department-wide:

scan the controlled hard copy and post in

the DPWH internet and intra net websites; for standardized forms: coordinate with the IMS to make it downloadable from the DPWH websites. Distribute copies of document to concerned offices through electronic-mail

blast facility of the

IMS. Controlled hard copies distributed to concerned offices shall bear the classification code. Documents intended for internal use shall be disseminated through a memorandum (for specific personnel/unit);

or through office order (for office-wide implementation)

signed by the head of

office. Documents posted in the intranet and internet websites of the Department

are considered

controlled copies, while printed copies from the websites are considered uncontrolled copies and BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

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valid only on the date the document was printed. Documents published in the websites are backed-up daily by the IMS and back-up copies are stored onsite and off-site. Superseded documents are removed from the document Masterlist, stamped "Obsolete", filed separately, and retained in accordance with the Control of Records Procedure, DPWH-QMSP-02. Superseded

documents

in the

DPWH websites

shall have the

remarks "Superseded

by

" Other copies of obsolete documents shall be disposed based on the National Archives of the Philippines Guidelines. For external documents, refer to Department Order No. 126 Series of 2015.

4.0

References DPWH Quality Management System Manual, DPWH-QMSM PNS ISO 9001:2015 Standards Control of Records Procedure, DPWH-QMSP-02 Department Order No. 33 Series of 2011 Department Order No. 77 Series of 2014 Department Order No. 126 Series of 2015 Records Disposition Schedule National Archives of the Philippines Guidelines DPWH Classification Guide

5.0

Records Policy Impact Analysis Document MasterlistjLogbook Administrative

Issuance Form

Reviewed by:

Prepared by:

~ GO.:n~~ ~.~

B.·~~TV'P Assistant Secretary for Su Deputy Quali

Mana

rt Services

ent Representative

. ASIS Undersecr

for Technical Services

Ity Management Representative

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1.0

DPWH-QMSP-02

Doc. Code:

Quality Management System Manual Control of Records Procedure

•

FEB 2 B 2017

Issue Date:

Department of Public Works and Highways

02

Revision No.:

1 of 4

Page No.

Purpose

To define a system for maintaining

DPWH's Quality Management

System (QMS) through

complete and reliable records control.

2.0

Definition of Terms Record refers to a document stating results achieved or providing evidence of activities performed.

Retention Period refers to the length of time a record is kept in a particular location as defined in the Department Memorandum Circular No. 47 Series of 2012.

Records Disposition Schedule (RDS) refers to a document that contains the list of records and indicates,

as applic-able, the record's identification

such as document

code and title,

location, retention period, and disposition schedule.

3.0

Procedure Process Flow

Responsible

Details

Concerned Personnel

Identify the record. It can be in any form or type of media (electronic, hardcopy, etc.) and are identified through any or combination of the following:

Identify the record

• Title • Date • Name and/or Signature of the originator and/or approving person • Code • Control Number

Maintain the Records Disposition Schedule (RDS)

Records Officer

Records Disposition Schedule (RDS) Maintain

a

that provides the list of records and

indicates,

as applicable,

the record's identification as

code

and

retention

title, period,

disposition schedule.

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such

location, and

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02 2 of 4

Details

Responsible

Refer to current RDS, as required by the National Archives of the Philippines (NAP), to determine if there is an existing file or record, and to update the list for additional records. Concerned Personnel File in corresponding location

supplemental QMS RDS Form, DPWH-QMSP-02-F01,

A

is used for new records especially generated from the established QMS. Generally, records are with the Records Officer - although some records are maintained by the process owners themselves. Provide a numbering system to all filing cabinets and cabinet shelves. Proper labeling is likewise established for boxfiles, folders, envelopes, etc. to easily locate needed records. Records can be alphabetically, chronologically. Concerned Personnel

Protect records

numerically, or

Records are kept in a place where it can be protected from physical deterioration, damage, loss, and data tampering. To prevent unauthorized amendments on the recorded data, the following are observed: • Liquid eraser, etc. for correcting data is prohibited . • Only permanent blue or black ink pens are used to fill out forms.

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Quality Management System Manual

Control of Records Procedure Process Flow

Responsible

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02 3 of 4

Details • All corrections are countersigned by the issuer and/or authorized personnel. Electronic records are backedup regularly.

Concerned Personnel

Records are retained for a period specified in the Records Disposition Schedule (RDS). Retention is in accordance with the provision of the National Archives of the Philippines (NAP) and other applicable statutory and regulatory requirements.

Concerned Personnel

Disposition of records is in accordance with the provision of NAP and other applicable statutory and regulatory requirements.

Retain record

Dispose records

Disposed records are properly documented with appropriate proof, e.g., Certificate of Disposal issued by NAP.

4.0

References DPWH Quality Management System Manual, DPWH-QMSM PNS ISO 9001:2015 Standards National Archives of the Philippines (NAP) Rules and Guidelines Department Memorandum Circular No. 47 Series of 2012

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Quality Management System Manual Control of Records Procedure

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Records NAP Records Disposition Schedule (RDS) NAP Certificate of Disposal Records Disposition Schedule (RDS)

Reviewed by:

Prepared by:

.. tl ~~ o

D

M.

Chief Rec rds

ONE

anagement Division, HRAS

t~H~

Assistant Secretary for Support Services Deputy Quality Management Representative

Approved by:

r Technical Services Management Representative

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•

Department

DPWH-QMSP-02

of Public Works and Highways QMS Records Disposition

-F01-Rev .03

Schedule (RDS)

Supplemental to the NAP RDS Records Officer:

Office:

Code (as applicable)

Inactive

Active Record Title and Description

No. of Years

No. of

Location

Years

Reviewed and Approved by:

Prepared by:

Office Head

Records Officer

Page 1 of 1

Location

Mode of Disposal

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1.0

Internal Quality Audit Procedure

Issue Date:

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Doc. Code:

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Revision No.:

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Page No.

Purpose

To define a system for planning and executing internal quality audit and follow-up audit activities, reporting results and monitoring the actions taken, and to ensure that the Quality Management System (QMS) is effectively implemented and maintained.

2.0

Definition of Terms Audit refers to the systematic, independent and documented process of obtaining evidence and evaluating to objectively determine the extent to which requirements are fulfilled.

Auditee refers to the person being audited. Auditor refers to the person who has the competency to conduct the audit. Nonconformity (NC) refers to non-fulfilment of a requirement. Correction refers to action taken to eliminate the detected nonconformity. Corrective Action refers to action taken to eliminate the cause/s of the detected nonconformity, thus preventing its recurrence.

3.0

Procedure Process Flow

(

Start

Responsible

Details

)

Prepare the audit program

Internal Quality Audit Committee Leader

Prepare the internal quality program, DPWH-QMSP-03-F01, into consideration the frequency, methodologies, results of previous audits.

audit

taking audit scope, as well as the

Form the audit teams and assign team leaders. Auditors are selected from the pool of qualified auditors. Auditors are qualified on the basis of their education and knowledge on internal control systems, internal auditing experience, and basic computer operations skills. Auditors must have attended the seminar/training on auditing ISO 9001:2015 Quality Management System. Ensure that audits are performed by personnel independent from the areas being audited. Internal Quality Audit is conducted at least once a year.

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Quality Management System Manual

Internal Quality Audit Procedure

Process Flow

Prepare the audit plan

Responsible

IQA Committee Leader Audit Team

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2017

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B

2 of 5

Details

For each scheduled

audit,

prepare

an

Internal Quality Audit Plan, DPWHQMSP-03-F02, containing the specific criteria for the processes and the actual date of the conduct of audit. It also takes into consideration the status and importance of the areas to be audited, as well as, the results of previous audits.

Audit Team Leader

Prepare an audit notification memo with the

Internal Quality Audit Itinerary, DPWH-QMSP-03-F03, for each

Notify the auditee

officejarea that includes purpose, audit scope, areas or divisions to be audited, assigned auditors, date and time of. audit. This must be received by the auditee at least one week before the audit.

Conduct Pre-Audit Activities

Conduct Audit Proper Activities

Prepare Audit Finding

IQA Committee Leaderj Audit Team Leaderj Auditors

Prepare audit checklists, review documents and records of previous audits. Use Audit

Checklist Form, DPWH-QMSP-03-F04.

IQA Team

Conduct audit and include follow-up on the previously agreed action plans and the effectiveness of implementation.

Auditors

Determine the strong and weak points of the system by reviewing previous results.

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Quality Management System Manual

Internal Quality Audit Procedure

Process Flow

Prepare Summary of Findings

Doc. Code: Revision No.: Page No.

DPWH-QMSP-03

03 3 of 5

Responsible

Details

Auditors

The findings are summarized to show conformities, opportunity for improvement and nonconformities. Use IQA Summary

Report

Form, DPWH-QMSP-03-FOS.

The findings are discussed to the auditee. Accomplish the first part of CPAR Form, DPWH-QMSP-OS-FOl for nonconformities. Once approved by the IQA Committee Chairman, the IQA Summary and CPAR is issued to the auditee.

Auditors/ Auditees

Gather data and, where needed, use appropriate approaches and techniques, e.g. brainstorming, cause and effect analysis, and the like.

Process Owner

Action planning is done by Process Owner's Group and -where necessary- all the affected areas, to arrive at possible solutions.

Process Owner

The concerned process owner will accomplish the second part of the CPAR Form.

Auditors/Audit Team Leader

The auditee returns the CAR Form within ten days from receipt, for monitoring of action plans. The auditors may condct follow-up audit to check if action plans are being implemented and are effective.

IQA Committee Chairman Management Process Owners

IQA Committee Chairman reports to Management the results of audit including results of follow-up activities.

Investigate cause of nonconformity

Prepare Corrective Action Plan

Implement Action Plans

Follow-up Action Plans

Review Audit Results

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Doc. Code:

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Revision No.:

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Page No.

Responsible

Details

Process Owners

Determine areas for improvement that needs to be elevated to management for review, if there is any.

Management

Management reviews the results of audit to identify the processes, services, product, or system that need improvement, as reflected in the Management Review

Process Flow

Determine areas for improvements

Issue Date:

Identify improvements on processes/services

Procedure, DPWH-QMSP-07.

Monito measure improvements

Process Owners

If the action plan is effective, existing documents may be revised or new document may be created following the

Control of Document DPWH-QMSP-Ol.

4.0

References DPWH-QMS-Manual, Quality Manual PNS ISO 9001:2015 Standards DPWH-QMSP-07, Management Review Procedure DPWH-QMSP-01, Control of Documents Procedure

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Procedure,

Department of Public Works and Highways

•

5.0

Quality Management System Manual

Internal Quality Audit Procedure

Issue Date: Doc. Code: Revision No.: Page No.

Records DPWH-QMS-03-F01, Audit Program DPWH-QMS-03-F02, Audit Plan

DPWH-QMS-03-F03, Audit Itinerary DPWH-QMS-03-F04, Audit Checklist DPWH-QMS-03-FOS, Audit Summary Report DPWH-QMS-OS-F01, Corrective Action Request (CAR) Audit Notification/Memorandum

Reviewed by:

Prepared by:

GLIRICI

Approved by:

RAU

. ASIS for Technical Services

Overall Quality Management Representative

BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

FEB 2 8 2017 DPWH-QMSP-03

03 S of S

DPWH-QMSP-03-F01-Rev.03

Department of Public Works and Highways

INTERNAL QUALITY AUDIT PROGRAM FOR CY

I.

_

Objective 1. To determine conformance to the DPWH requirements for its quality management system; 2. To provide information whether the quality management system is effectively implemented and maintained; 3. To verify compliance, adherence to quality policy and achievement of objectives and targets; and 4. To determine areas for improvement on all processes.

II. Scope and frequency of audit All the processes described in the DPWH QMS Manual being performed by the Bureaus, Services, Regional Offices, District Engineering Offices and Unified Project Management Offices, shall be audited at planned interval i.e., at least once a year.

III. Audit Schedule Area

Process/ es

1 2 3 4 5 6 7 8 9

10 11 12 13 14 15 16 17 IV. Audit Criteria

V.

Audit Methodology

Page 1 of 2

Audit Schedule

.~~

~ ••

DPWH-QMSP-03-F01-Rev.03

Department of Public Works and Highways

VI. Selection and Evaluation of Auditors

VII. Reporting

VIII.

Verification of Previous Nonconformities(NC)/Foliow

Up Actions

IX. In order to advocate independence as an audit principle, cross posting of auditors will be implemented.

In no case will any auditor be assigned to audit his/her own work or division.

Reviewed by:

Prepared by:

Internal Quality Audit Chairman

Internal Quality Audit Leader

Approved by:

Undersecretary for Technical Services Overall Quality Management Representative (QMR)

Page 2 of 2

•

Deparbnent of Public Works and Highways

DPWH-QMSP-DH02-Rev.

03

INTERNAL QUALITY AUDIT PLAN FOR CY

_

Purpose: 1. 2. 3. Area

Process/es

Auditor Is

Criteria

Audit Schedule

Reviewed by:

Prepared by:

Internal Quality Audit Chairman

Internal Quality Audit Leader Approved by:

Undersecretary and Overall Quality Management Representative (QMR)

Page 1 of 1

•

Department of Public Works and Highways

D PWH-QMSP-03-

F03- Rev .03

INTERNAL QUALITY AUDIT ITINERARY FOR CY

_

Date Covered:

Bureau/ Office: Process Scope:

Criteria:

Date/ Time

Activitv

Areal Divisionl Unit

Auditor / s

Reviewed by:

Prepared by:

Internal Quality Audit Leader

Audit Team Leader Noted by:

Internal Quality Audit Chairman

Page 1 of 1

.Department

of PublicWorksand Highways

DPWH-QMSP-03-F04-Rev.03

INTERNAL QUALITY AUDIT CHECKLIST Area( s) I Office( s):

Process Scope:

Criteria:

Referencel Section No.

Itemsl Questions

C/NC IOFI

Remarksl Notes (Evidence Collected)

Reviewed by:

Prepared by:

Audit Team Leader

Audit Team Member Noted by: Internal Quality Audit Chairman

Page 1 of 1

DPWH-QSM P-03-FOS-Rev .03

Republic of the Philippines DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

CENTRAL OFFICE Manila

Internal Quality Audit Summary Report

Office:

Date Audited:

Auditors:

Auditees:

Notes! Remarks:

Conformities

Total No.

Opportunity for Improvement (OFls):

Total No.

Nonconformities:

Total No.

Deadline of Submission of Accomplished CPARs:

Prepared by: (Name and Signature of AuditorsjTeam Members)

Reviewed and Approved by: (Name and Signature of Audit Team Leader)

Page 1 of 1

Department of Public Works and Highways

Quality Management System Manual

• 1.0

Control of Nonconforming Outputs Procedure

Issue Date: Doc. Code: Revision No.: Page No.

EB 2 B 2017 DPWH-QMSP-04

03 1 of 2

Purpose To define a system for identifying nonconforming outputs and applying the necessary control to prevent its unintended use or delivery.

2.0

Definition of Terms Nonconforming Output refers to an output that does not meet requirement. Disposition refers to action taken concerning the detected nonconforming output.

3.0

Procedure Process Flow

Identify nonconforming

Responsible

Details

Concerned Personnel

Nonconforming output may be detected during receipt, storage, or internal processing.

Concerned Personnel

Upon detection of nonconforming outputs, apply any of the following: • eliminate the detected nonconform ity • preclude its original intended use • take action when found after delivery or use has started

Concerned Personnel

Where applicable, accomplish the

output

\

Apply disposition

\11

Determine cause of nonconformity

CAR form, DPWH-QMSP-OSF01, in accordance with the Corrective Action Procedure, DPWH-QMSP-OS or appropriate form designed by the concerned office.

o \1

BE CERTAIN THATTHIS

IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

Department of Public Works and Highways

Quality Management System Manual

•

Control of Nonconforming Outputs Procedure Process Flow

Identify action plan

1 Implement action plan

Issue Date: Doc. Code: Revision No.: Page No.

FEB 2

B 03

2 of 2

Responsible

Details

Concerned Personnel

Gather data and, where needed, use appropriate techniques, e.g. brainstorming, cause and effect analysis, and the like.

Concerned Personnel

Use CAR Form to show action plans. to Corrective Action Procedure, DPWH-QMSP-05. Refer

4.0

References DPWH Quality Management System Manual, DPWH-QMSM PNS ISO 9001:2015 Standards Corrective Action Procedure, DPWH-QMSP-05

5.0

Records Corrective Action Request (CAR) Form, DPWH-QMSP-OS-F01

Prepared by:

6.~~~ ce.w-

B. ELIZABETHE~~

Assistant Secretary for Support Services Deputy Quality Management Representative

BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

2017

DPWH-QMSP-04

Department of Public Works and Highways

Quality Management System Manual

• 1.0

Corrective Action Procedure

Issue Date: Doc. Code: Revision No.: Page No.

FEB 2

B

2017

DPWH-QMSP-OS

03 1 of 3

Purpose To define a system for identifying nonconformities,

determining the causejs of nonconformities,

and providing action to ensure that nonconformities do not recur.

2.0

Definition of Terms Nonconformity refers to non-fulfilment of a requirement. Correction refers to the action taken to eliminate the detected nonconformity. Corrective Action refers to an action taken to eliminate the causejs of detected nonconformity to prevent recurrence.

Corrective Action Request (CAR) Form, DPWH-QMSP-OS-F01,refers to the form used to document the detected nonconformity,

its causes, and the necessary correction and corrective

action.

3.0

Procedure Process Flow

Identify nonconformity

Responsible

Concerned Personnel

Details

Nonconformity may be identified through, but not limited to, the following: • Customer feedback and complaints • Conduct of internal quality audit • Day-to-day operation where there is nonfulfillment of QMS requirements

Use CAR form, DPWH-QMSP-OSFOl or appropriate form designed by the concerned office! personnel.

Review nonconformity and determine cause

Concerned Personnel

Review the nonconformity and determine the possible causejs using appropriate techniques, e.g. brainstorming, cause and effect analysis, and the like.

BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

Department of Public Works and Highways

•

Quality Management System Manual Corrective Action Procedure

Issue Date: Doc. Code:

DPWH-QMSP-OS

Revision No.: Page No.

03 2 of 3

Responsible

Details

Concerned Personnel

Document and review the correction and corrective action plans thoroughly in coordination with other personnel involved to ensure effectiveness. Seek approval of concerned head.

Approve the proposed action plan

Concerned Unit Head

Approve the proposed action plans, otherwise will be returned to improve on the corrective action proposed. For CAR forms issued through internal quality audit, copies are kept by IAS. For other forms, copies are kept by the concerned office.

Implement correction and corrective action

Concerned Unit Head

Implement the approved action plans. Oversee the implementation of the action plans. For CAR forms issued through audit, verification of effectiveness of actions taken is done through the follow-up audit. For other forms issued outside audit, verification is done by the concerned office.

Process Flow

Prepare correction and corrective action

Also, revisit and update the Risk and Opportunities Register, if necessary. Determine if the action plan is effective

Concerned Personnel

If the action plan is effective, existing documents may be revised or new document may be created following the Control of Document

Procedure, DPWH-QMSP-Ol. Otherwise, if there is no need to create or revise the document, the concerned unit head auditors shall monitor the implementation

BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

Department of Public Works and Highways

Quality Management System Manual

•

Corrective Action Procedure

Process Flow

Create/revise document

Monitor implementation

4.0

Issue Date:

FEB 2 8 2017

Doc. Code:

DPWH-QMSP-OS

Revision No.: Page No.

03 3 of 3

Responsible

Details

Concerned Personnel

Document the results of action taken as part of the continual improvement program.

Concerned Unit Head Auditors

Summarize results of corrective action for Management Review.

References DPWH Quality Management System Manual, DPWH-QMSM PNS ISO 9001:2015 Standards Control of Documents Procedure, DPWH-QMSP-01 Management Review Procedure, DPWH-QMSP-07

5.0

Records Corrective Action Request (CAR) Form, DPWH-QMSP-05-F01

Prepared by:

~.ca~~.bt-

B. ELIZABETHE~P\ Assistant Secretary for Support Services Deputy Quality Management Representative

. ASIS aersecretary for Technical Services Overall Quality Management Representative

BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

Republic of the Philippines DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

•

OFFICE OF THE SECRETARY Manila

Corrective

Action

Report

(CAR) DPW H-QM SP-OS-FOI-Rev .03

Section 1 - Details of Nonconformity (To be accomplished by the Auditor/Initiator) References:

Date:

CAR Number:

(manuals, procedures, policies,

ISO clauses, etc.)

Auditor/

Nonconformity

Initiator:

requirement)

Initiator:

Issued To : Details:

D

Office:

(As a result of)

Internal

Quality Audit

D

Service Realization

D

Other (Pis. specify) Issued to:

Issued by :

(Office Head)

Signature over Printed Name

Signature over Printed Name

Description

(Nan-fulfillment

of the Nonconformity/OFI:

(Include evidence)

Acknowledged

by:

Section 2 - Necessary Action(s) (To be accomplished by the Auditee/Process Owner).

Target Completion

Correction:

Analyzed By:

Root Cause Analysis:

Described the necessary Corrective

Approved

Date:

Action{s):

Target Completion

By :

Note: Submit to IAS within

Date:

10 days upon receipt. Section 3 - Verification of Effectiveness (To be accomplished by the Initiator) Remarks

Results of Action(s) Taken

Acknowldeged

Verification

:

Verified By

Date

Next Verification

By

Date: Remarks

Results of Action(s) Taken

Verification

Verified By Acknowldeged

Date

Next Verification

By

Page 1 of 1

Date:

of

017

Issue Date:

Department of Public Works and Highways

•

1.0

Management

Review Procedure

Doc. Code: Revision No.: Page No.

DPWH-QMSP-06 03 Page 1 of 3

Purpose

To provide a guide for reviewing the DPWH Quality Management System (QMS) to determine its suitability, issue courses of action and provide resources for its improvement.

2.0

Definition of Terms Management Review refers to the meeting conducted by the Management Committee to assess the quality management system and to introduce necessary actions for its continual improvement. Quality Management Representatives (QMRs) refer to the designated Management Committee members responsible for the conduct of Management Review in order to ensure continual improvement of the QMS in the Department. The designation is done through the issuance of Special Order (SO). (Please refer to SO No. 29, Series of 2013)

3.0

Procedure Process Flow

Responsible

START

Details

General Management Review of the QMS is held at least once a year for Department level, and at least twice a year for the specified groupings Planning and PPP, SRS, Technical Services, Support Services, UPMOs, Luzon Operations, and Visayas and Mindanao Operations. Overall QMR

Initiate the review

Respective Group QMRs

Initiate the review Department Level Discuss the agenda with the Group QMRs. Group Level Discuss the agenda with the Office QMRs. Included in the agenda for review but not limited to the following are: (a) project status reports (b) results of audit since last Management Review, (c) status of corrective, (d) customer (e) feedback (f) status of objectives and targets

BE CERTAIN THAT IT IS THE CURRENT REVISION BEFORE USING THIS DOCUMENT

Department

•

of Public Works and Highways

Management

Review Procedure

Issue Date:

FEB 2

Doc. Code:

DPWH-QMSP-06

Revision No.: Page No.

Process Flow

Responsible

B

2017

03 Page 2 of 3

Details (g) follow up actions from last management review, (h) changes that could affect the QMS, and (i) opportunity for improvement (j) changes in external and internal issues that are relevant to the QMS, (k) performance of external providers, (I) adequacy of resources, and effectiveness of actions taken to address risks and opportunities

Overall QMR/Deputy QMR

Notify committee members of the schedule of the review meeting through a memorandum containing the agenda. Notification is done at least 3 working days before the scheduled date.

Overall QMR with the Group QMRs and Audit Chair

Conduct the Review The review is conducted as follows: 1. Discussion of the agenda. 2. Presentation of respective reports. 3. Evaluation of the QMS. 4. Agreement and approval of proposed actions. 5. Recording. See Management Review Minutes.

Notify members

Conduct review

Group QMR with Office QMRs and Audit Chair

All concerned Implement agreed resolutions

Implement agreed resolutions. Resolutions may involve revision of existing policies/ procedures or creation of new one. Follow the QMS Procedures on Internal Quality Audit, Control of Nonconforming Outputs, Corrective Action as appropriate

BE CERTAIN THAT IT ISTHE CURRENT REVISION BEFOREUSING THIS DOCUMENT

Issue Date:

Department of Public Works and Highways

•

Management

Review Procedure

Revision

No.:

Page No.

Process Flow

Monitor implementation

4.0

Doc. Code:

Page 3 of 3

Responsible

Details

Overall QMR/ Group QMR/ Office QMR

The Overall QMR exercises overall authority with regard to the implementation and monitoring of the QMS. Proper monitoring is supported by signed commitment among the parties involved. Status of monitoring and results are discussed in the next management reviews.

References DPWH Quality Management System Manual, DPWH-QMSM PNS ISO 9001:2015 Standards Internal Quality Audit Procedure, DPWH-QMSP-03 Control of Nonconforming Products, DPWH-QMSP-04 Corrective Action Procedure, DPWH-QMSP-05

5.0

Record Minutes of Management Review

Prepared by:

B.~.~~~ ELIZABETH.

P

Assistant Secreta for Support Services Deputy Quality Management Representative

S ersecretary for Technical Services Overall Quality Management Representative

BE CERTAIN THAT IT IS THE CURRENT REVISION BEFORE USING THIS DOCUMENT

ANNEX A

Department of Public Works and Highways Quality Management System

• Interested Party General Public Motorist Pedestrian Civil Society Organizations

FEB 2 B 2017

Doc. Code:

Annex A

Revision No.:

0

Page No.

lof9

Relevant Interested Parties Matrix

Type External

Reason for Inclusion Recipient of infrastructu re project

Tax Payer/Road User Tax Payer

General Public

Issue Date:

External

Needs and Expectations Expect high quality infrastructure & services Provide protection to lives and properties Expect on-time delivery of projects and services Ensure safety on the use of infrastructure

• • • •

Ensure environmentally compliant projects and infrastructure Regulatory Compliance

• • • •

Factor

Bias

Legal Social Economic Environment

Risk

Affected Process(es) Core Process

Priority

Treatment Method

High

• Risk Assessment • Management Review

High

• Risk Assessment • Management Review

High

• Risk Assessment • Management Review

Support Processes

Core Process Support Processes

• • • •

Legal Social Economic Environment

Risk

Core Process Support Processes

Core Process Support Processes

Legal Social Economic Environment

Risk

Core Process Support Processes

Core Process • Legal • Social

Mixed

Support Processes Core Process

High

Department of Public Works and Highways Quality Management System

• Interested Party

Issue Date:

FEB 2 8 2~17

Doc. Code:

Annex A

Revision No.:

0

Page No.

2 of 9

Relevant Interested Parties Matrix

Reason for Inclusion

Type

Civil Society Organizations

External

Constructors/ Contractors

External

Needs and Expectations

Factor

Recipient of infrastructure project

Preference to hire local residents

• Economic

"Watchdog" (refer to Ra9184)

Expect organization to be a "good example" locally Expect fair com petitive public bidding

• • • • • • • •

• •

Contract Awardee Builders

Expect prom pt payment of claims

Legal Social Economic Environment Legal Social Economic Environment

Affected process( es)

Bias

Priority

•

Risk

Human Resource Management • Financial Management • Information Management • Legal Services • Documentation Manaqement Core Process

• Opportunity and Risk Assessment • Management Review

High

Support Processes Mixed

Core Process

High

Support Processes

Risk

Core Process Support Processes

Treatment Method

High

• Risk Assessment • Management Review • Opportunity and Risk Assessment • Management Review • Internal Quality Audit • Risk Assessment • Management Review

Issue Date:

Department of Public Works and Highways Quality Management System

Doc. Code:

Annex A

Revision No.:

a

Page No.

3 of9

Relevant Interested Parties Matrix

Interested Party

Reason for Inclusion

Type

Needs and Expectations

Factor

Bias

FEB 2 B 2017

Affected Process(es)

Priority

Treatment Method • Internal Quality Audit

Expect fidelity in the legal norms/issuances/ contracts

Consultants

External

• •

Contract Awardee Service Provider

Expect fair competitive public bidding

• Legal • Social • Economic

Mixed

Core Process Support Processes

High

Mixed

Core Process

High

Support Processes

Expect prompt payment of claims

Risk

Core Process

High

Support Processes

Mixed

Core Process

High

• Opportunity and Risk Assessment • Management Review • Internal Quality Audit • Opportunity and Risk Assessment • Management Review • Internal Quality Audit • Risk Assessment • Management Review • Internal Quality Audit

Issue Date:

Department of Public Works and Highways Quality Management System

• Interested Party

Reason for Inclusion

Needs and Expectations

Factor

Bias

Annex A

Revision No.:

0

Page No.

4of9

External

• •

Contract Awardee Goods and Services Provider

Expect fair competitive public bidding

Expect prompt payment of claims

Expect fidelity in the legal norms/issuances

Affected process( es)

Priority

Support Processes

Expect fidelity in the legal norms/ issuances

Suppliers

Doc. Code:

Relevant Interested Parties Matrix

Type

• Legal • Social • Economic

Mixed

Risk

Mixed

FEB 2 B 2017

Core Processes

High

Support Processes

High

Core Processes

High

Support Processes

High

Core Processes

High

Treatment Method • Opportunity and Risk Assessment • Management Review • Internal Quality Audit • Opportunity and Risk Assessment • Management Review • Internal Quality Audit • Risk Assessment • Management Review • Internal Quality Audit • Risk Assessment

Issue Date:

Department

Quality Management System

• Interested Party

Business Sectors

Local Government Units

of Public Works and Highways

Doc. Code:

Annex A

Revision No.:

0

Page No.

50f9

Relevant Interested Parties Matrix

Type

External

External

Reason for Inclusion

Encourage investments

Recipient of products and services

Needs and Expectations

Quality and safe public infrastructure Properties / businesses protected from natural disasters Expect Loca I Projects to be implemented.

Expect compliance with all regulations

Factor

• • • •

Legal Social Economic Environment

Bias

Mixed

Priority

Support Processes

High

• Management Review • Internal Quality Audit

Core Processes

High

• Opportunity and Risk Assessment • Management Review • Internal Quality Audit

Medium

• Risk Assessment • Management Review • Internal Quality Audit

High

• Risk Assessment • Management Review • Internal Quality Audit

Support Processes

Support Processes Legal Social Economic Environment Political

Risk

Treatment Method

Affected Process(es)

Core Processes

• • • • •

FES 2 8 2017

Core Processes

Support Processes

Core Processes

Support Processes

Issue Date:

Department

Quality Management System

• Interested Party

of Public Works and Highways

Doc. Code:

Annex A

Revision No.:

0

Page No.

6of9

Relevant Interested Parties Matrix

Type

Reason for Inclusion

Needs and Expectations

Factor

Bias

Expect on time delivery of project

Affected Process(es) Core Processes

Priority

Funding Agencies

External

External

Recipient of products and services

Source of fund

Expect compliance with all regulations Expect on time delivery of project Expect implementation of projects that would complement their proiects Expect delivery of project within the approved project cost Expect on time delivery

• • • • •

Legal Social Economic Environment Political

Risk

Core Processes

Treatment Method .

High

• Risk Assessment • Management Review • Internal Quality Audit

High

• Risk Assessment • Management Review • Internal Quality Audit

High

• Risk Assessment • Management Review • Internal Quality Audit

Support Processes

National Government Agencies

FEB 2 8 2017

Support Processes Core Processes Support Processes Core Processes Support Processes

• • • • •

Legal Social Economic Environment Political

Risk

Core Processes Support Processes Core Processes Support Processes

Issue Date:

Department of Public Works and Highways Quality Management System

• Interested Party

Management Committee

Middle Management

Annex A

Revision No.:

0

Page No.

7of9

Relevant Interested Parties Matrix

Type

Internal

Internal

Reason for Inclusion

Sets the policy directions and targets of the Department

Implements the policy directions and targets of the Department

Needs and Expectations Expect compliance with all guideline Expect realization of the outcomes of the DPWH Strategy Map 2022 and identified long term strategies Expect compliance to policies Expect compliance with the requirements of ISO 9001:2015 Standards Ensure provision of adequate resources (Human Resource, Finance, Equipment, etc.)

Factor

Bias

FEB 2 B 7011

Doc. Code:

Affected Process(es)

Priority

Treatment Method

Core Processes Support Processes • • • •

Values Culture Knowledge Performance

Mixed

Core Processes

High

• Risk Assessment • Management Review • Internal Quality Audit

High

• Opportunity and Risk Assessment • Management Review • Internal Quality Audit

Support Processes

Risk

Opportunity

Core Processes Support Processes Core Processes Support Processes

• • • •

Values Culture Knowledge Performance

Mixed

Core Processes

Support Processes

Issue Date:

Department of Public Works and Highways Quality Management System

• Interested Party

Doc. Code:

Annex A

Revision No.:

0

Page No.

8of9

Relevant Interested Parties Matrix

Type

Reason for Inclusion

Needs and Expectations

FEB 2 8 2017

Factor

Bias

Affected Process(es)

Ensure a more organized and responsive workforce

• Values • Culture • Knowledge • Performance

Mixed

Core Processes

Deliver quality of performance

• • • •

Mixed

Priority

Treatment Method

to produce the required outputs Operationalizes the core and support processes

Personnel

Internal

Service delivery of the required output

Values Culture Knowledge Performance

Employee engagement

• On time salaries and

Support Processes

Core Processes

High

Support Processes

Opportunity

Expect appropriate learning & development programs

High

Core Processes

Medium

Support Processes

• Performance • Knowledge

Mixed

Core Processes Support Processes

High

• Opportunity and Risk Assessment • Management Review • Internal Quality Audit • Opportunity and Risk Assessment • Management Review • Internal Quality Audit • Opportunity Assessment • Management Review • Internal Quality Audit

Issue Date:

Department of Public Works and Highways Quality Management System

• Interested Party

Reason for Inclusion

Needs and Expectations

•

wages and benefits Conducive environment for the operation of processes

Factor

Bias

B

Doc. Code:

Annex A

Revision No.:

0

Page No.

90f9

Relevant Interested Parties Matrix

Type

FEB 2

Affected Process(es)

• Values • Culture Core Processes Support Processes

Priority

2017

Treatment Method • Opportunity and Risk Assessment • Management Review • Internal Quality Audit

ANNEX B

Issue Date:

• Office: Process:

Activity Evaluation of unsolicited projects for PPP Scheme

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Page No.

FEB 2 B 2017 Annex B 0 1 of 57

Public Private Partnership Service Strategic Planning

Risk Event Delayed evaluation of unsolicited projects due to non-compliance to guidelines

Likelihood (l) M

Consequence (if risk is encountered) Delayed implementation unsolicited projects

of

Severity

Risk Factor

M

M

Mitigation

Contingency

Responsible

A detailed updated guideline should be in place with the proper information to PPP concessionaire and concerned DPWH offices

Inform PPP concessionaire to revise the project alignment / location Coordinate with other DPWH Office like UPMOs or Regional Offices

Director of PPP

Concerned Division Chief Concerned Staff

Issue Date:

• Office: Process:

Activity Resolution of complaints

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

FEB 2 B 20il Annex B 0 2 of 57

Page No.

Stakeholders Relations Service Management Process - Feedback Management

Risk Event Delay in resolution of complaints because of the need for longer time in resolving complaints due to: a) Investigation and validation (ROW)

Likelihood (l) H

Consequence (if risk is encountered) Low customer satisfaction

Severity

Risk Factor

H

H

Mitigation

Contingency

Responsible

Review the existing process and applicability of the current "promptness" standard;

Issue follow up memos or Regional Office on-site validation of complaints

All DPWH Offices

Categorization of issues and prioritization something to do with policies and guidelines formulation

Hire additional job order personnel

Executive Committee

'.

Issue Date:

•

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.: Page No.

Risk Register b) Request for project funding

c)

Employment

d) Deluge of complaints from Presidential Hotline 8888

Unable to comply to ARTA law Unable to resolve as to prescribed time

Do a series of campaign on Core Values and other programs supporting values strengthening like SPMS, PGS, Strategic Planning, Teambuilding, Story of DPWH Unsung Heroes, etc., as it seems the root cause of the majority issues are deviations from core values, approved standards and processes. Additional manpower to call/inform the complainant and/or prepare Request for Action Memos

FEB 2

B

2017

Annex B 0 3 of 57

Stakeholders Relations Service

• Office: Process:

Activity Development of news/photo releases

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

a 4 of 57

Stakeholders Relations Service Management Process - Communication

Risk Event Release of erroneous news due to inaccurate data

likelihood (l) M

Consequence (if risk is encountered) Question of integrity in future DPWH statements

Decline in DPWH Customers Satisfaction Rating

Severity

Risk Factor

H

M

Mitigation Obtain clearance from Regional Directors prior to release of Regional data as national news Have the office of origin sign off the details in the news as correct prior to release

Contingency

Responsible

Park the release of news stories not yet vetted by concerned office until clearance is obtained

SRS

IOs

• Office: Process:

Activity Accreditation of CSO

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 5 of 57

Stakeholders Relations Service Management Process - Civil Society Organization Relations

Risk Event Accreditation of Bogus CSO

likelihood (L) M

Consequence (if risk is encountered) Integrity of CSO engagement is endangered

Severity

Risk Factor

H

M

Mitigation

Contingency

Responsible

Validate with due diligence the authenticity of CSOs

Counter checking with DSWD's CSO database

SRS

Come up with guidelines on monitoring activities of CSOs

• Office: Process:

Activity Data Gathering 1. Road and Bridge Inventory (DEO)

2. Road

3.

Condition (DEO) Traffic Inventory (DEO)

4. Uploading (RO)

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

a 6 of 57

Planning Service Planning Process

Risk Event

Likelihood (L)

1. Inaccurate data

Consequence (if risk is encountered)

Severity

Risk Factor

Inaccurate generation of prioritized list of projects

gathered due to:

Mitigation

Review of data gathering process.

a) lack of manpower

L

H

M

Thorough data quality checking.

b) untrained personnel

M

H

H

Proper planning and scheduling of manpower.

c) questionable motivation

L

H

M

d) survey equipment failure

L

H

M

Conduct of trainings and cascading regarding data gathering. Coaching and mentoring.

Contingency

Tap other knowledgeable personnel from other section/ division. Close supervision of concerned personnel. Recalibration or Immediate repair of survey equipment

Responsible

ROs, DEOS and Planning Service

• 5. Flood Control

6. Road Right of Way

Issue Date:

FEB 2 B ZQ17

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.: Page No.

Risk Register 2. delayed of uploading due to network issues

L

H

M

Regular network maintenance

Incomplete data gathered due to unavailability of Flood Control Structures data Wrong information gathered

H

H

H

Establish a database for the location and inventory of flood control structures

M

Over/Under Compensation to right person

Compensation to wrong person Delayed project implementation

H

H

Establish a database in coordination with LRA with the following information: 1. DPWH or Gap owned projects

2. Outstanding ROW Claims 3. PPP projects

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Upload data to areas where network is available SaM / FCMC Use of historical records for reference Legal action

Legal Service/ Staff

• 7. Environmental and Social Survey (*feasibility of work during non-regular working hours) 8. Validation (CO/RO/DEO)

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register Wrong information gathered

Failure to validate data objectively due to: a) Absence of standard validation procedure b) Untrained personnel

H

Delayed project implementation

Page No.

H

H

H

M

H

Establish standard validation procedure

Coaching and mentoring.

L

M

L

Conduct of trainings and cascading regarding data gathering.

Close supervision of concerned personnel.

Wrong ranking due to inaccurate data gathered.

H

H

Ensure the quality and integrity of data gathered in compliance with D.O. 124 (RBIA).

Correct the data inconsistencies

S of 57

Inaccurate generation of prioritized list of projects

Project Identification 1. Initial ranking (DPD - PS)

0

H

Wrong projects identified.

Re-run of HDM4.

Planning Service

• 2. Validation (RO/DEO) (ongoing, completed, committed, structural defects warranty)

3. Initial Budget Proposal for presentation to Regional Development Council (IOs)

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.: Page No.

Risk Register

0 g of 57

Inaccurate generation of prioritized list of projects

Failure to validate data objectively due to:

a) absence of standard validation procedure

H

M

H

Establish standard validation procedure

Coaching and mentoring.

b) untrained personnel

L

M

L

Conduct of trainings and cascading regarding data gathering.

Close supervision of concerned personnel.

Revised project proposal due to Political Intervention

H

H

H

Delayed project implementation

Misallocation of resources

Planning Service

PS I RO IDEO

ManCom

IExeCom

• 4. Stakeholder Consultation (Civil Society Organizations)

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register Revised project proposal due to Political Intervention

H

Lapse of funding allocation

Page No.

H

H

a 10 of 57

ManCom jExeCom

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

• Office: Process:

Activity 1. Engineering Survey (PDD / PDS)

a) Subsurface Exploration

b) Traffic Survey c) Utility Survey (Water lines, electrical lines, telecommu nication lines, MMDA

Risk Register Bureau of Design/Implementing Preparation of Plans

Risk Event Failure to conduct survey due to:

a) lack of survey equipment and loqistics b) lack of manpower

Likelihood (l) H

Page No.

a 11 of 57

Office (ROs, DEOs and UPMO)

Consequence (if risk is encountered) Plans prepared are not reflective to the actual site condition

Severity

Risk Factor

H

H

Mitigation Procurement of equipment and logistics

Outsourcing of manpower

Contingency Tap other knowledgeable personnel from other section/ division.

Responsible 10

•

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 12 of 57

sensors, etc. )

d) Tree Survey

2. Plans, Design and Specifications (PDD/PDS)

3. DUPA (PDD/PDS) *CMPD for reference (CD / CS) POW (PDD/PDS) ABC (PDD/PDS)

Inaccurate plans, design and specifications due to inaccurate engineering survey Wrong cost estimate due to Inaccurate plans, design and specifications due to inaccurate engineering survey

H

Increase the likelihood of VO/CO/EWO.

H

H

Proper conduct of detailed engineering in accordance with existing department issuances.

Variation Orders during Project Implementation

10

L

Costly projects

H

M

Proper conduct of detailed engineering in accordance with existing department issuances.

Variation Orders during Project 1mplementation

10

• 4. Preparation of Plans (Inhouse)

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register Delayed completion of design plans due to lack of com petent personnel and design software with compatible hardware No standard design procedurefrevie w process

Page No.

H

Delayed approval of design plan

H

H

H

Delayed project procurement

H

H

Train design engineersf architects using the latest design technology and tools in compliance with updated guidelines, criteria and standards Procure latest design software and hardware to fully automated and timely design preparation with accurate results. Institutionalize an improved plan review process and ensure quality desiqn product Conduct design audit

0 13 of 57

Request additional plantilla positions

Bureau of Design

Outsourcing

Implementing Offices

DPWH Secretary

• 5. Preparation of Plans (Outsourced)

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register Delay/inaccurate design analysis due to lack of strict monitoring by the Implementing Office

H

Additional cost (Variation Order)

Page No.

H

H

Strict compliance of the approved Terms of Reference

Extend the services of the Consultants at no additional cost Evaluation of Consultant's Performance Sanction/legal action against the Consultants/Firm

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Bureau of Design

Implementing Offices DPWH Secreta ry

• Office: Process:

Activity 1. Quality Audit

2. Road Safety Audit

Issue Date:

Department of Public Works and Highways

FEB 2 B 2017

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 15 of 57

Bureau of Quality and Safety Quality and Safety Assurance Audit

Risk Event Non-compliance with proper quality audit methodology due to lack/poor maintenance of quality audit equipment

Failure to conduct comprehensive road safety audit

Likelihood (l) M

M

Consequence (if risk is encountered) Failure to conduct comprehensive quality audit

Failure to road safety issues

Severity

Risk Factor

M

M

M

M

Mitigation Conduct study to identify the actual required number of units Conduct regular preventive maintenance

Calibration on existing quality audit equipment Purchase additional quality audit equipment Conduct study to identify the actual required number of units

Contingency

Responsible

Perform appropriate corrective maintenance Request for additional funds to cover unexpected quality audit equipment breakdown

Bureau Quality and Safety

Perform appropriate corrective maintenance

Bureau Quality and Safety

•

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register due to lack of competent personnel

Page No.

Conduct regular preventive maintenance

Calibration on existing quality audit equipment Purchase additional quality audit equipment

Request for additional funds to cover unexpected quality audit equipment breakdown

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• Office: Process:

Activity 1. Selection of Audit Teams/ Auditors

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 17 of 57

Internal Audit Internal Audit

Risk Event

Likelihood (L)

1. Selected auditors

L

may not have the competency requirements due to insufficient traininqs 2. Selected auditors may have biases and not observe independence due to familiarity with the auditee

L

Consequence (if risk is encountered) Result of audit is not objective

Severity

Risk Factor

H

M

Conduct trainings and seminars on relevant updates in laws, rules and regulations

Coaching and mentoring from immediate supervisor

H

M

Auditors shall not be assigned to same/previously audited offices Require attendance to values formation proqrams.

Bench auditor after due process

Mitigation

Contingency

Review working papers

Responsible IAS

Issue Date:

• 2.

Identification of audit areas, procedures and criteria

3. Conduct of audit

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register Incomplete audit findings due to error in sampling and misapplication of audit criteria Auditors may have different interpretations due to sometimes conflicting or inconsistent rules, regulations and orders

Page No.

L

Unsubstantiated audit results

H

M

M

Different audit recommendations

M

M

Standardize audit checklist and procedures Proper coordination with concerned process owner Proper review of Department Orders and policies Offices affected by new DOs should provide comments prior to issuance of DO Strictly observe preparation of Policy Impact Analysis

FEB 2 B 2017 Annex B

0 18 of 57

Review and revise audit procedures and criteria

IAS

Elevate the matter to the management and/or the Legal Service for a more authoritative position.

IAS

Issue Date:

• Office: Process:

Activity 1. Acquisition of Site or location for Right of Way of National Gov't. projects

2. Removal of site obstructions (utilities)

3. Payment of outstanding claims

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Page No.

FEB 2 8 2017 Annex B

0 19 of 57

Legal Service / Legal Staff Legal Service

Risk Event 1. Refusal of owners to vacate their properties due to low offer of the qovernment 2. Conflicting claimants 3. Ownerjs unknown 4. Unregistered property Refusal of utilities to relocate site obstructions due to non-payment of relocation cost 1. Insufficient funds released due to lack of allocated

Likelihood (L)

Consequence (if risk is encountered)

H

Severity

Risk Factor

H

H

The proposed project may not push through

Mitigation Prompt and immediate payment of just compensation

Delayed project implementation

Contingency

Responsible

File expropriation case

Legal Service

Issue demand to occupant to vacate premises

H

Delayed project completion

H

H

H

Delayed payment of

H

H

Prompt payment of relocation costs upon the approval of the guidelines issued by the DOE and DPWH Request appropriation of funds

Issue notice that DPWH will remove the obstructions at the expense of the utility company Proper coordination with

•

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

the Implementing Offices

funds for the purpose

2. Lack of

Claims compensation Duplication of payment

competent personnel to validate/ evaluate claims

4. Preparation of Legal Opinion

5. Review of Contracts

6. Conduct of Investigation

Training/Seminar/W orkshop to employees involved in the va Iidation/ eva Iuation of claims

Payment of invalid claims

Lack of legal basis due to absence of jurisprudence

L

Insufficient documentary requirements due to noncompliance with the checklist Biased or prejudiced investigation/dec ision due to influence of respondents/offic ials, etc.

L

L

Wrong decision made Conflicting opinions with different DPWH Offices Approval of contract is delayed

Wrong decision made

H

M

Regular updates of jurisprudence, rules and regulations and issuances of other government agencies

Recall / revise legal opinion/ request DOJ opinion

M

L

Conduct periodic training of personnel involved in contract preparation/review

Require concerned office/personnel to comply with the requirements before submission

M

L

Develop checklist as basis for decision

Re-evaluate investigation results

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• Office: Process:

Activity Inland Channel Dredging Project by Administration

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 21 of 57

Bureau of Equipment Project Implementation

Risk Event Delayed completion of inland dredging by administration due to insufficient provision of budget

Likelihood (L) H

Consequence (if risk is encountered) Damaged to loss of lives and properties

Delayed completion to noncommencement of dredging projects

Severity

Risk Factor

H

H

Mitigation

Contingency

Responsible

Ensure provision of budget in the National Expenditure Program and General Appropriations Act Institutionalize Annual Dredging Program and Management

File immediately request for budget from allowable MOOE available funds

Undersecretary for Technical Services / Assistant Secretary for Technical Services / Financial Service / Planning Service / UPMO-FCMC / IOs / BOM

Monitor Dredging Budget Utilization

•

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

~

Office: Process:

Activity Undertake infrastructure asset maintenance

Risk Register

Page No.

0 22 of 57

Bureau of Maintenance Infrastructure Asset Maintenance

Risk Event Recurrence of defects due to poor quality of maintenance works

likelihood (L) H

Consequence (if risk is encountered) Increased maintenance cost

Increased frequency of repair

Costlier future rehabilitation work

Severity

Risk Factor

H

H

Mitigation Apply appropriate maintenance activity thru the Annual Maintenance Work Proqram Equip maintenance crew with sufficient knowhow on proper infrastructure knowledge and methodoloqy Provide sufficient basic road maintenance equipment and tools

Contingency Close supervision and strict enforcement of quality control during maintenance operations

Responsible Bureau of Maintenance

Implementing Offices

• Office: Process:

Activity Inspect / validate compliance of all Districts to policy guidelines on the maintenance of infrastructure

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 23 of 57

Bureau of Maintenance Inspectorate and Monitoring

Risk Event Failure to complete inspection/ validation of compliance of District Engineering Offices to the policy guidelines on the maintenance of infrastructure due to: a) Lack of personnel

Likelihood (L)

Consequence (if risk is encountered)

Severity

Risk Factor

Mitigation

Contingency

Insufficient data required for the evaluation of performance of the DEOs and the analysis of the result of inspection/ validation

H

Responsible Bureau of Maintenance

H

H

Plan and schedule inspection / validation in coordination with other Divisions and Offices

Engage concerned RO personnel in the inspection / validation

Implementing Offices

•

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

b) Adverse weather condition

H

H

H

c)

H

H

H

Peace and order

Train additional personnel on the conduct of inspection /validation activity Increase area of coverage per inspector / staff Plan schedule of inspection/va Iidation based on historical weather data

Use of latest technology and modern gadgets to monitor areas with peace and order issues

Reschedule conduct of inspection/ validation with increased number of inspectors Seek the assistance of local authorities during inspection/ validation activity

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• Office: Process:

Activity Construction of smalljfullscale pilot trials.

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System Risk Register

Revision No.: Page No.

0 25 of 57

Bureau of Research and Standards Research and Development Management

Risk Event Delayed implementation due to lesser priority given by the concerned implementing office .

Likelihood (l) M

Consequence (if risk is encountered) Delayed evaluation of new products and marginal materials.

Severity

Risk Factor

L

L

Mitigation Close coordination with the implementing offices, product proponent and the contractor

Contingency

Responsible

Request to implementing Office for site identification sent on the first quarter of the year. Sampling and testing of materials for the pilot trials completed prior to site identification .

Bureau of Research and Standards /DPWH Implementing Office / Product Proponent

Issue Date:

• Office: Process:

Activity Standard specifications formulation

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Page No.

FEB 2

B

2017

Annex B

0 26 of 57

Bureau of Research and Standards Research and Development Management

Risk Event Delayed formulation of standard specifications due to insufficient international references such as ASTM, MSHTO, ACI, etc.

Likelihood (l) M

Consequence (if risk is encountered) Outdated specifications formulated

Severity

Risk Factor

L

L

Mitigation Seek assistance from other agencies such as D11 and DOST which are members of MSHTO and ASTM. Procure latest MSHTO and ASTM book of Standards and apply for membership of the same.

Contingency

Responsible Bureau of Research and Standards

• Office: Process:

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.: Page No.

Risk Register

0 27 of 57

Procurement Service Procurement Management

Activity

Risk Event

1. Preparation of Bid Documents

1. Bid Document is not compliant with the latest revisions of RA 9184, DPM, GPPB issuancesl resolutions and IFI's Evaluation Guidelines due to lack of competent personnel and/or lack of man power 2. Bid Document is inconsistent with approved plans,

TORI Specificationsl POW and ABC

Likelihood (L)

Consequence (if risk is encountered)

Severity

Risk Factor

Mitigation

Contingency

Responsible

M

Delayed bidding process (Advertisement I Publication)

H

H

Proper assignment and training of TWG on the latest revisions of RA 9184, DPM, GPPB issuancesl resolutions and IFI's Procurement Guidelines

Issue Bid Bulletin containing amendments and/or clarifications

Procurement Service I Unit Staff I Implementing Office

M

Bid proposals submitted by bidder not responsive with the actual project requirements

H

H

Proper assignment and training of TWG on the latest revisions of RA 9184, DPM, GPPB issuancesl

Issue Bid Bulletin containing amendments and/or clarifications

Procurement Service I Unit Staff I Implementing Office

• 2. Prequalification and Sid Evaluation

a) Performance Evaluation

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register due to lack of competent personnel and/or lack of man power Incorrect evaluation presented to SAC due to noncompliance with the approved set forth criteria for evaluation in the bidding documents Delay postqualification due to late reply of Implementing Unit including private firms regarding verification of performance

Page No.

Delayed bidding process (Advertisement / Publication)

a 28 of 57

resolutions and IFI's Procurement Guidelines

M

Sidder/s submitted motion for reconsideration which may prolong the procurement of the contract

H

M

Proper assignment and training of TWG on the latest revisions of RA 9184, DPM, GPPS issuances/ resolutions and IFI's Evaluation Guidelines

SAC thoroughly review the recommendation of TWG and recommend reevaluation if necessary

SAC/ SAC TWG/ Procurement Service

M

Prolonged procurement process

H

H

Specify the deadline of submission of verifications & continue postqualification if not submit on specified date

Reiterate to Implementing Office the submission of the verification project status

SAC/ SAC TWG/ Procurement Service/ Implementing Office

•

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

29 of 57

L

Prolonged procurement process

H

M

Specify deadline of submission of verification

Reiterate to Bureau of Quality and Safety the submission of the verification project status

BAC/ BAC TWG/ Procurement Service/ Bureau of Quality and Safety

1. Delay of award due to unavailability of "permit to enter"

L

Delayed project implementation

H

M

Request bidder to extend its bid and bid security validity

BAC/ Procurement Service/ Implementing Office

2. Delay of award

L

Delayed project implementation

H

M

Presentation of status of "permit to enter" in the PPCto assure its acquirement. (Ensure that before any project could start the bidding process proper due diligence shall be conducted including status of status of ''permit to enter" in the PPC to assure its aCQuirement) Emphasize administrative sanctions in the PreBid Conference

Delay in the evaluation due to incomplete evaluation of the Bidders Performance

b) Award of Contract

Page No.

0

because LCRB/HRRB did

Impose sanctions based on Sec. 69 of the revised IRR of RA 9184.

BAC! BAC TWG/ Procurement Service

Issue Date:

•

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register not accept award of contract

In case of lone bidder (failure of bidding)

Page No.

Proceed with next LCBjHRB, else in case of lone bidder; BAC recommends failure of biddinq

FEB 2 8 2017 Annex B 0 30 of 57

• Office: Process:

Activity

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System Risk Register

Revision No.: Page No.

0 31 of 57

Financial Service Financial Management

Risk Event

Likelihood (l)

Consequence (if risk is encountered)

Severity

Risk Factor

H

H

Mitigation

Contingency

Implementing Office should fast track the identification of claimants and the preparation of the required supporting documents especially if there are voluminous request for issuance of Obligation for RROW Fast track the Procurement process to facilitate the awarding of contracts for the issuance of Obligation

The incurrence of Low Absorptive Capacity (Ae) will be reported to the concerned Undersecretary for appropriate action

Responsible

Fund Control Accounting Preparation of Obligation Request and Status (ORS)

Non-issuance of Obligation due to non-submission of Memorandum Request for Obligation by the implementing office on:

M

Lapsed Fundingthe Department shall request again for the release of funding

a) SARO

a) Road Right of Way (RROW)

Low Absorptive Capacity

b) GAA

b) Project Implementation

Delay in the processing of Disbursement Vouchers.

Issuance of Memorandum reminding the Implementing Office that funds will lapse.

Implementing Office

Budget Division

•

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

a 32 of 57

Fiscall financial Accountability Preparation and submission of Budget and Financial Accountability Reports (BFARs)

Delay in the preparation and submission of BFARs to COA and DBM due to non- compliance of Regional/District Offices to submit reports on the set deadline.

M

Inclusion to COA Audit Findings Non-entitlement of the Department to PBB

H

H

Full implementation of technology like the eNgas and eBudget version 2 for easy preparation of the reports

Imposition of Sanctions for failure to comply with the deadline

Finance Service Regional Office

Issue Date:

•

Department of Public Works and Highways

Doc. Code:

Quality Management System Risk Register

Revision No.: Page No.

FEB 2 B 2017 Annex B 0 33 of 57

Reporting Preparation and submission of Consolidated Annual Financial Report

Delays in the preparation and submission of Financial Reports to COA and DBM are due to the non-compliance of Regions and District Offices on the set deadline/ guidelines

M

Issuance of Audit Findings by COA

Non-entitlement of the Department to PBB

H

H

Full implementation of technology like the eNgas and eBudget version 2 for easy preparation of the reports

Imposition of sanctions to Offices who failed to comply with the set deadline

Finance Service

Regional Office

Issue Date:

• Office: Process:

Activity

Regular maintenance of facilities, buildings, pumping station, work environment, and sanitation

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Page No.

FEB 2 8 2017 Annex B

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Human Resource and Administrative Service Physical Resource Management

Risk Event

1. Breakdown of facilities and equipment (air con Offices, elevators, generator) due delay in the implementation of facility maintenance schedule

Likelihood (l) H

Consequence (if risk is encountered) Negative feedback of the Department from its internal and external stakeholders

Untimely facility aging/deterioration of facility spaces Increased utilities expenses

Severit y

Risk Factor

H

H

Mitigation

Draft a policy institutionalizing and standardizing Facility and Work Environment Management for all Department-owned Facilities, including Pumping Stations, and Buildings which covers: a) Audit

b) Space Management

Contingency

Conduct Root Cause Analysis

Perform immediately corrective maintenance Emergency Purchase of required supplies and materials

Responsible

Facilities Maintenance Division-Human Resource and Administrative Service

UPMO-FCMC

Implementing Offices

Issue Date:

•

Department of Public Works and Highways

Doc. Code:

Quality Management System Risk Register

Revision No.: Page No.

Increased facilities and work environment maintenance expenses

c) Operations and Maintenance

Increase frequency in facility repair

e) Resource Management (including Utility Consumption) Facility management automation

d) Health, Safety and Environment

Ensure annually that there is a standard facility maintenance plan and schedule, with approved budget allocation, for all facilities and buildinqs Study in Determining/ Establishing the right Facility Maintenance Crew and Craft for each Type of Facility/Building

FEB 2 B 2017 Annex B 0 35 of 57

Issue Date: Doc. Code:

•

Revision No.: Page No.

H

n

H

H

FEB 2 B 2017 Annex B 0 36 of 57

•

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

-

13.

Breakdown of facilities and equipment (air con, offices, elevators, generator) due to unavailability of supplies and materials

Risk Register

Page No. -

-

-

-

H

H

H

0 37 of 57

Issue Date

FEB

Doc. Code

•

Revision No Page No.

o 38 of 57

Human Resource and Administrative Service Human Resource Management

Risk Event

Likelihood

Contingency

(l)

H

2

2

Issuance of Appointment

Responsible

HRAS

H

H

Shortage of manpower

H

H

Participate n Job Fairs

Failure to address competency gap

H

H

Coordinate with Head Hunters

Termination of CSC Accreditation

H

H

HRAS

Enforce 0.0

2016

42

s

HRAS

•

Issue Date:

FEB 1 8 1017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.: Page No.

Risk Register Invalidation of appointment

applicants due to erroneous credentials

H

M

H

H

Establish policy and guidelines on background investiqation

0 39 of 57

Imposition of administrative sanction

Retention Strategy Retention Strategy

Fast turnover of personnel due to better job opportunities outside DPWH

H

Increased cost of training

Delayed project completion

Widen competency gap

Conduct programs on motivating millennial to stay in government

Increase awareness of supervisors on how to handle millennial Engage in job fairs

Improve employeremployee relationships based on current workforce trends Explore outsourcing (body shopping alternative)

HRAS

•

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 40 of 57

Performance Management Performance evaluation

Subjective evaluation due to the absence of SPMS Database

H

Demoralization among employees

H

H

Ensure the preparation and use of SPMS Database and Workflow to all offices by updating the standard job description for each position periodically Develop an application intended for SPMS Standardization of Database & Workflow for Region and District Offices

Compliance to CSC Rules and Regulations reimplementation of Strategic Performance Management System (SPMS)

HRAS

H

M

Ensure the preparation and use of SPMS Database and Workflow to all offices by updating the standard job description for each position periodically

Conduct investigation

HRAS

"Unqualified" employees receiving higher Performance Based Bonus (PBB)

Rewards and Recognition Granting of meritorious salary step increment

Subjective performance rating due to absence of SPMS Database and Workflow

L

Demoralization among employees

Employees who received meritorious salary

Develop an application intended for SPMS

•

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

step increment are not qualified

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Standardization of Database & Workflow for the Region and District Offices by the Central Office Activate the PRAISE Committee

Learning and Development Learning needs assessment

Failure to address training needs of employees due to the absence the Individual Development Plans (IDP) Database

H

Competency gap not addressed

H

H

Issuance of Memo directing the submission of projected actual & prioritized training needs per Office with specific guidelines Develop the IDP Database Enhance Training Management System (TMS) Issue policy for submission of certificates of external training attended for inclusion in the TMS

Improve the implementation process of needs assessment

CDD, HRAS

Issue Date:

• Office: Process:

Activity 1. Demand Management

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Page No.

FEB 2 8 2017 Annex B

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Bureau of Equipment Equipment Fleet Management

Risk Event Failed to establish enduser actual equipment demand due to non-compliance of Needs Analysis procedure

Likelihood (l) M

Consequence (if risk is encountered) Acquired wrong equipment requirement and quantity Continuous fleet requirement deficiency

Lower equipment fleet utilization

Increased wastage in

Severity

Risk Factor

H

H

Mitigation

Contingency

Responsible

Compliance and enforcement of DO 64 s.2016

Immediately review and revise results of Needs Analysis

Bureau of Equipment

Continuous learning and training of concerned in Equipment Fleet Demand Manaqement Establish a policy in the use of Life Cycle Costing and Analysis Adopt ISO 55001:2014 - "Asset Management: Management Systems Requirements" Physical Asset Management Automation

Inform concerned end-user

Implementing Offices

•

Issue Date:

FEB 2 B 7017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.: Page No.

Risk Register

0 43 of 57

resources optimization

2. Systems Engineering

Wrong equipment specification due to lack to research and publication materials

M

Acquired wrong equipment requirement Lower equipment fleet utilization

Increased wastage in resources optimization

H

H

Compliance and enforcement of DO

64-2016 Continuous learning and training of concerned in Equipment Fleet Demand Manaqement Establish a policy in the use of Life Cycle Costing and Analysis Establish guidelines and procedure in determining Equipment Specification relative to Actual End-User Requirement Adopt ISO 55001:2014"Asset Management: Management Systems Requirements"

Immediately review and revise Equipment Specification Inform concerned end-user

Bureau of Equipment

Implementing Offices

Issue Date:

• 3. Acquisition

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Delayed acquisition of fleet requirements due to lack or non-participation of suppliers in the Public Bidding

M

Delayed Refleeting Program

Page No.

H

H

Physical Asset Management Automation Conduct continuous market and supplier availability research

Insufficient Fleet Size to respond to road maintenance program and quick response

Conduct continuous updating of equipment pricing

Fund reversion to national treasury

Ensure equipment specification covers wider brands and dealers Careful preparation prior to the start of the Public Bidding Process Adopt ISO 55001:2014 - "Asset Management: Management Systems Requirements" Physical Asset Management Automation

Immediate conduct of Root Cause Analysis of the Public Bidding Failure Reschedule Public Bidding (Rebidding)

FEB 2 B 2017 Annex B

0 44 of 57

BAC for Goods

Bureau of Equipment

Implementing Offices

Issue Date:

• 4. Disposal of obsolete/ uneconomical! unserviceable equipment

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register Failed disposal, thru public auction proceeding, due to nonparticipation auctioneers

H

Failure/Delayed the Re to fleeting Program

Low Equipment Utilization

Increased in the Liability Portfolio of the Department "Bloated" Fleet Inventory Missed revenue

Page No.

H

H

Review and updating of the DPWH Basic Highway Maintenance Equipment Refleetinq Proqram Annual Nationwide Disposal Plan and Schedule for Implementation in the followinq year Review of the extent of coverage of the publication company and notification procedure Regular survey of scrap to metal buying companies Designation of dedicated staff to perform regular assessment and updating of scrap metals price Adopt ISO 55001:2014"Asset Management: Manaqement

Immediate conduct of Root Cause Analysis of the Public Auction Failure

Re-schedule public auction

FEB 2

B 7017

Annex B

a 45 of 57

Central Disposal Committee

Bureau of Equipment /Implementing Offices /Regional Disposal Committee

•

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

0 46 of 57

Systems Requirements"

5. Operations and Maintenance (O&M)

Failed to conduct prescribed Preventive Maintenance by End- users jROs'jDEOs'jCen tral Office Motorpool due to absence of Annual Preventive Maintenance Plan & Schedule

M

Increased road maintenance activities backlog

No programmed road maintenance activity performed

H

H

Physical Asset Management Automation Creation of Policy Institutionalizing and Requiring all BOEj Regional OfficesjDEOs' Performing Annual Preventive Maintenance Planning and Schedulinq Closed coordination with the Bureau of Maintenance in developing an equipment maintenance plan and schedule that will support the Annual Maintenance Work Program (AMWP)

Immediate conduct of Root Cause Analysis of risk occurrence

Bureau of Equipment

Implementing Offices

•

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

Delayed to none dispatching to disaster to stricken areas

Implement Reiiabi Iity-Centered Maintenance

Increased frequency of equipment/ service vehicles' failure

Conduct training on maintenance planning and scheduling Adopt

Increased occurrence of corrective maintenance Low Equipment Utilization Low Equipment Availability Increased maintenance expenses Improper utilization of resources

ISO 55001:2014 "Asset Management: Management Systems Requirements" Physical Asset Management Automation, including PM Proqram automation

0 47 of 57

Issue Date:

• 6. Configuration Management

Department of Public Works and Highways

Doc. Code:

Quality Management System Risk Register

Revision No.:

Wrong equipment rehabilitation procedure performed due to lack of operations and maintenance history

M

Wastage of funds and other resources utilized

H

Page No.

H

Compliance and enforcement of DO

64-2016

Increased in "Infant Mortality" type of equipment failure

Implement Reliability-Centered Maintenance

Shorter equipment life

Establish Equipment Failure History Recording Procedure and Database Establish policy and procedure on Equipment Rehabilitation and Component & Parts Transfer Continuous learning and training of concerned in Equipment Fleet Demand Management

Failed to increase to the right fleet size

Immediate conduct of Root Cause Analysis of risk occurrence

FES 2 8 2017 Annex B

0 48 of 57

Bureau of Equipment Implementing Offices

•

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register

Page No.

Establish a policy in the use of Life Cycle Costing and Analysis Adopt ISO 55001:2014 - "Asset Management: Management Systems Requirements" Physical Asset Management Automation

0 49 of 57

• Office: Process:

Activity Verification/ Calibration of Engineering Survey, Laboratory and Field Testing Equipment

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.: Page No.

Risk Register

0 50 of 57

Bureau of Research and Standards, Bureau of Design, and Bureau of Quality and Safety Engineering Survey, Laboratory and Field Testing Equipment Management

Risk Event Inconsistent test result due to verification /calibration of equipment accuracy

Likelihood (l) H

Consequence (if risk is encountered) Poor Project Quality

Severity

Risk Factor

H

H

Mitigation

Contingency

Responsible

Formulate Policy and Guideline for the Semi to Annual Verification/ Calibration of Engineering Survey, Laboratory and Field Testing Equipment

Perform corrective maintenance (if can be done in house) Refer to other accredited/ designated calibrating laboratory

Bureau of Design / Bureau of Research and Standards /Bureau of Quality and Safety

Issue Date:

• Office: Process:

Activity Verification and calibration of laboratory testing equipment

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.: Page No.

Risk Register

~l:tl

2 8 2017

Annex B 0 51 of 57

Bureau of Research and Standards Physical Resource Management

Risk Event Inaccurate test results due to lack of training of technical personnel in equipment calibration and irregular calibration of laboratory testing equipment

Likelihood (L) M

Consequence (if risk is encountered) Potential inclusion of substandard materials in the project.

Poor quality of projects

Severity

Risk Factor

H

H

Mitigation

Contingency

Responsible

Monitor, thru appropriate Preventive Maintenance, regularly the accuracyj reliability of equipment in the laboratory

Conduct investigation and root cause analysis

Bureau of Research and Standards j DPWH Implementing Offices

Provide training for technical personnel and implement existing calibration program and maintenance of equipment

Refer to other accreditedjdesigna ted calibrating laboratory.

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

• Office: Process:

Activity 1. Identification of needs

2. Development of application system

Risk Register

Page No.

0 52 of 57

Information Management Application Development

Risk Event Needs are overlooked by business analysts due to lack of familiarity with DPWH business processes

1. Unmet timelines in the completion of prioritized applications due to unprogrammed requests from offices 2. Unmet timelines in the completion of prioritized applications due

Likelihood (L) M

M

M

Consequence (if risk is encountered) List of priorities does not match the actual needs Business processes will not be enabled by technoloqy Delayed completion of application

Technologyenabled business process improvements are hindered

Severity

Risk Factor

L

M

M

M

M

M

Mitigation

Contingency

Responsible

Exposure to the different business processes of DPWH

Conduct skills inventory and reassign personnel to the appropriate area

Business Innovation Division, IMS

Hire additional skilled personnel

Application Support Division, IMS

Training to strengthen business analysis skills of BID personnel Establish guidelines on the observance of the order of prioritization

Augment manpower complement

Issue Date:

•

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Page No.

FEB 2 8 2017 Annex B

a 53 of 57

to insufficient manpower

3. Deployment

4. Maintenance

Application Support Div. (ASD) and Technology Support Division (TSD), IMS

Deployment of application is delayed due to incomplete documentation requirements

L

Efficiency and productivity of the concerned office will be compromised

M

L

Reiterate compliance with application deployment procedure

1. Unmet Service

M

Efficiency in service delivery is impeded and productivity of the concerned office will be compromised

M

M

Establish guidelines on solution prioritization Augment manpower complement

Hire additional skilled manpower

Loss or unusability of data

H

Establish Business Continuity Planning (BCM) as part of our risk management program Ensure regular back-up of databases Ensure back-up is stored offsite

Send IT security officers to training

Level Agreement (SLA) to resolve incident reported in the IT Service Desk due to insufficient manpower 2. Lost or damaged data due to natural disaster, virus infection, or hacking (IT Security breaches)

L

Disruption of business continuity

M

User Support Division, IMS

Authorize overtime on high priority incidents

Technology Support Division, IMS

Issue Date:

•

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.: Page No.

Risk Register

FEB 2 B 2017 Annex B 0 54 of 57

Ensure anti-virus software is updated

3. Fast updating of

L

Technologyenabled business process improvements are hindered Disruption of business continuity

H

M

Conduct periodical audit of IT assets versions vs current IMS skill set inventory Increase awareness in technology updates by attending IT conferences, symposiums. Strengthen the skills of the BID personnel

Maintain good relationship with IT service providers

H

Delayed completion of application

H

H

Conduct programs on motivating millennial to stay in government

IMS

Increase awareness of supervisors on how to handle millennia I

Improve employeremployee relationships based on current workforce trends Explore outsourcing (body shopping alternative)

Intensify recruitment program

Explore outsourcing (body

IMS

IT resources due to incompatibility of version

4. Lack of necessary technical knowhow on the new tech/version

5. Loss of technical support

6. Fast turnover of personnel due to better job opportunities in the private sector

7. Difficulty in the recruitment of IT professionals due

H

Technologyenabled business process improvements are hindered Delayed completion of application

H

H

All Divisions of IMS

Issue Date:

•

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register to few number of applicants

Technologyenabled business process improvements are hindered

Page No.

Participate in Job Fairs conducted by colleges and universities

shopping alternative)

FEB 7

B

2017

Annex B

0 55 of 57

Issue Date:

• Office: Process:

Activity 1. Records Management

2. Document Management

Department of Public Works and Highways

Doc. Code:

Quality Management System

Revision No.:

Risk Register

Page No.

FEB 2 B 2017 Annex B 0 56 of 57

Human Resource and Administrative Service Documentation Management

Risk Event 1. Returned mail due to incomplete address or change of address 2. Undisposed valueless records

1. Failure/Delay to disseminate copies of issuances down to the lowest Offices due to failure to check the intra net posts

Likelihood (l)

Consequence (if risk is encountered)

Severity

Risk Factor

Mitigation

Contingency

Responsible

L

Undelivered mails; inability to respond by the recipient

L

L

Diligence in determining contact data

Indicate postal codes for mailjs

HRAS

M

Overstocking of documents, clouded filing room, voluminous records Non-compliance to latest issuances during the period of delay

M

M

Annual Inventory of Non-Active Records

HRAS

H

H

Strict compliance with rules and regulations set by National Archive of the Philippines Utilize e-mail blast facility to all employees connected with WAN

H

Send hard copy to concerned office

RMD-HRAS

•

Issue Date:

FEB 2 B 2017

Department of Public Works and Highways

Doc. Code:

Annex B

Quality Management System

Revision No.:

Risk Register 2. Failure/Delay to

L

Page No.

H

M

disseminate copies of issuances down to the lowest Offices due to network disconnection

Likelihood: (L) Unlikely

(M) Likely

(H) Very Likely

Severity: (L) Low

(M) Medium

Issue a policy to all RITSO/DITSO and AOs regarding dissemination and retrieval of issuances Ensure network maintenance and security is in place

(H) High

Note: Action Plan is required for Risk Factor ~ M, Action Plan is required if regulatory or statutory requirement A risk is a specific event that could happen at some point in the future, Le .. "Insufficient

test resources" is not a risk. "Project is delayed because of insufficient test resources" is a risk

0 57 of 57

IMS

ANNEX C

Issue Date:

Department of Public Works and Highways

FEB 2 B 2017

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

1 of 13

•

Unit: Human Resource and Administrative Service Process: Documentation Management

Activity

Sending of Issuances to all units in the Department

Opportunity Event

Utilization of email blast facility to all employees connected with WAN

LEGEND: Likelihood - (1) Unlikely Note:

(2) Likely

Likelihood (l) Likely

(3) Very Likely

Benefit (if opportunity is encountered)

Benefit Rating (BR)

Benefit Factor (LxBR)

High

6

1. Instantaneous dissemination of Issuances 2. Decrease in use of physical resource. 3. significant savings in postage cost 4. Benefit for the environment

Benefit Rating - (1) Low

(2) Medium

Action Plan is required for Benefit Factor ~ 4, Action Plan is required

Action Plan(s)

Engage IMS disseminate Department emails of all

in helping new Orders to the email users

(3) High

if regulatory or statutory

requirement

Responsible

HRAS

Issue Date:

FEB 2 8 2017

Department of Public Works and Highways

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

2 of 13

•

Unit: Human Resource and Administrative Service Process: Human Resource Management

Activity

Opportunity Event

Benefit (if opportunity is encountered)

Benefit Rating (BR)

Benefit Factor (LxBR)

Likely

The Department is more likely to hire the best applicant among the pool

High

6

Likely

No room for bias in the performance rating

High

6

Very Likely

1. Improved personnel performance 2. Increased internal satisfaction

High

9

Strengthen advocacy on the rewards system of DPWH

HRAS

Likely

1. No funds are wasted 2. Bridge of competency gap

Low

2

Form a team to come up with guidelines

HRAS

Likelihood (L)

Action Plan(s)

Responsible

Recruitment, Selection and Placement Filling up of vacant position

Wide selection for best candidate due to Influx of candidates

1. Participate in job fairs 2. Engage in social media and print advertisements

HRAS

Performance Mana ~ement Performance evaluation

Strict implementation of SPMS due to previously reported concerns

HRAS

Rewards and Reco~nition Granting of meritorious salary step increment

Boosted morale of employees due to increased salary

Learning and Development Training needs assessment

Only important Training Programs are given priority

LEGEND: Likelihood - (1) Unlikely

(2) Likely

(3) Very Likely

Benefit Rating - (1) Low

(2) Medium

(3) High

Note: Action Plan is required for Benefit Factor 2: 4, Action Plan is required if regulatory or statutory requirement

Issue Date:

•

Unit: Process:

FEB 2

B

2017

Department of Public Works and Highways

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

3 of 13

Bureau of Equipment Project Implementation

Activity

Inland Channel Dredging Project by Administration

Opportunity Event

Reduced Capital Expenditure for Dredging Project by Contract

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Likelihood (L) Likely

(3) Very Likely

Benefit (if opportunity is encountered) 1. Protect Lives and Properties 2. Protect environment 3. Reduced impact of climate change - flooding 4. Sustained improvement of dredging crew and fleet utilization

Benefit Rating (BR)

Benefit Factor (LxBR)

High

6

High

6

High

6

High

6

Benefit Rating - (1) Low

(2) Medium

Action Plan(s)

Responsible

1. Institutionalization of Annual Strategic Dredging Program and Management 2. Identification of Proposed Dredging Sites in Major Rivers and Flood-Prone Areas where Dredging-byAdministration is feasible 3. Strategic Dredging Fleet Refleeting Program

1. Undersecretary for Technical Services 2. Assistant Secretary for Technical Services 3. Financial Service 4. Planning Service 5. UPMO-Flood Control Management Cluster 6. Implementing Offices 7. Bureau of Equipment

(3) High

Note: Action Plan is required for Benefit Factor ~ 4, Action Plan is required if regulatory or statutory requirement

•

Unit: Process:

Department of Public Works and Highways

FEB 2 B 2017

Doc. Code:

Annex C

Quality Management System

Revision No.:

a

Opportunity Register

Page No.

4 of 13

Bureau of Maintenance Infrastructure Asset Maintenance

Activity

Undertake infrastructure maintenance

Issue Date:

Opportunity Event

asset

1. Generate additional employment in the local community 2. Further utilization of local materials

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Benefit (if opportunity is encountered)

Benefit Rating (BR)

Benefit Factor

Very Likely

Contribution to poverty reduction through job creation

High

9

Very Likely

1. Price competitiveness 2. Faster delivery of materials

High

9

Likelihood (L)

(3) Very Likely

Benefit Rating - (1) Low

(2) Medium

Action Plan

Responsible

1. Bureau of Maintenance 2. Implementing Offices Sustain further utilization of local materials

(3) High

Note: Action Plan is required for Benefit Factor ~ 4, Action Plan is required if regulatory or statutory requirement

1. Bureau of Maintenance 2. Implementing Offices

Issue Date:

•

Unit: Process:

F

2017

Department of Public Works and Highways

Doc. Code:

Annex C

Quality Management System

Revision No.:

o

Opportunity Register

Page No.

5 of 13

Bureau of Maintenance Inspectorate and Monitoring

Activity

Inspectorate and Monitoring

Opportunity Event

Engagement of the public in reporting defects / deficiencies on infrastructure

Likelihood (L) Likely

Benefit (if opportunity is encountered) More timely response to the maintenance needs of infrastructure

Benefit Rating (BR)

Benefit Factor

High

6

Action Plan

Promote the use of the DPWH feedback mechanism

Responsible

1. Bureau Director 2. Assistant Bureau Director

3. Division Chiefs 4. Concerned BOM Staff

5. Regional Offices 6. District Engineering Offices

LEGEND: Likelihood - (1) Unlikely

(2) Likely

(3) Very Likely

Benefit Rating - (1) Low

(2) Medium

(3) High

Note: Action Plan is required for Benefit Factor ~ 4, Action Plan is required if regulatory or statutory requirement

•

Unit:

Process:

Issue Date:

Department of Public Works and Highways

FEB 2 B 2017

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

6 of 13

Bureau of Equipment Equipment Fleet Management

Activity

1. Operations and Maintenance (O&M)

Opportunity Event

1. Increased Fleet Operating Life due to sustainable PM Program Compliance

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Likelihood (l) Likely

(3) Very Likely

Benefit (if opportunity is encountered) Lower or deferred capital expenditure from equipment acquisition

Benefit Rating (BR)

Benefit Factor

High

6

Benefit Rating - (1) Low

(2) Medium

Action Plan

1. Ensure 'On time' submission per standard Annual Preventive Maintenance (PM) Program 2. Monitor all end users and implementing offices Annual PM Program Compliance 3. Adopt ISO 55001:2014 - "Asset Management Standard" 4. Physical Asset Management Automation 5. Procurement of the latest and most appropriate preventive and (3) High

Note: Action Plan is required for Benefit Factor ~ 4, Action Plan is required if regulatory or statutory requirement

Responsible

1. Bureau Director 2. Assistant Bureau Director 3. Equipment Operation and Maintenance Division Chief 4. Floating Equipment Division Chief 5. Regional Office Equipment Management Division 6. DEO - Equipment Services Unit

Issue Date:

Department of Public Works and Highways

FEB 2 8 2017

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

7 of 13

• Activity

Opportunity Event

Likelihood (l)

Benefit (if opportunity is encountered)

Benefit Rating (BR)

Benefit Factor

Action Plan

Responsible

predictive maintenance equipment and tools

2. Decreased Equipment Fleet Failure Rate due to sustainable PM Program Compliance

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Likely

(3) Very Likely

1. Better 11mproved Department Image 2. Low or reduced in maintenance expenditures from corrective and emergency maintenance 3. Optimized Resources Utilization Manpower, Materials and Tools

High

6

High

6

High

6

Benefit Rating - (1) Low

(2) Medium

1. Ensure on time submission per standard Annual Preventive Maintenance Program 2. Monitor all end users and implementing offices Annual PM Program Compliance 3. Adopt ISO 55001:2014 - "Asset Management Standard" 4. Physical Asset Management Automation 5. Procurement of the latest and most appropriate (3) High

Note: Action Plan is required for Benefit Factor::=: 4, Action Plan is required if regulatory or statutory requirement

1. Bureau Director 2. Assistant Bureau Director 3. Equipment Operation and Maintenance Division Chief 4. Floating Equipment Division Chief 5. Regional Office Equipment Management Division 6. DEO - Equipment Services Unit

Issue Date:

Department of Public Works and Highways

FEB 2 B 2017

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

g of 13

• Activity

Opportunity Event

Likelihood

(l)

Benefit (if opportunity is encountered)

Benefit Rating (BR)

Benefit Factor

Action Plan

Responsible

preventive and predictive maintenance equipment and tools

3. Local and International recognition due to PM Program Implementation

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Likely

(3) Very Likely

1. Better 11m proved Department Image 2. International Standard of Excellence

High

6

High

6

Benefit Rating - (1) Low

(2) Medium

1. Ensure on time submission per standard Annual PM Program 2. Monitor all end users and implementing offices Annual PM Program Compliance 3. Adopt ISO 55001:2014 - "Asset Management Standard" 4. Physical Asset Management Automation 5. Procurement of the latest and most appropriate preventive and (3) High

Note: Action Plan is required for Benefit Factor::: 4, Action Plan is required if regulatory or statutory requirement

1. Bureau Director 2. Assistant Bureau Director 3. Equipment Operation and Maintenance Division Chief 4. Floating Equipment Division Chief 5. Regional Office Equipment Management Division 6. DEO - Equipment Services Unit

Issue Date:

Department of Public Works and Highways

FEB 2 B 2011

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

g of 13

• Activity

Opportunity Event

Likelihood (l)

Benefit (if opportunity is encountered)

Benefit Rating (BR)

Benefit Factor

Action Plan

Responsible

predictive maintenance equipment and tools

2. Disposal of obsolete/ uneconomical! unserviceable equipment

Revenue from sales of Disposable Equipment

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Likely

(3) Very Likely

1. Better/Improved Department Image 2. Acquisition of new or replacement equipment 3. Low or reduced in maintenance expenditures from corrective and emergency maintenance 4. Reduced safekeeping and storage cost 5. Optimized Resources Utilization Manpower,

High

6

High

6

High

6

High

6

High

6

Benefit Rating - (1) Low

(2) Medium

1. Adopt ISO 55001:2014 - "Asset Management Standard" 2. Establish Annual Disposal Plan and Schedule

(3) High

Note: Action Plan is required for Benefit Factor::: 4, Action Plan is required if regulatory or statutory requirement

1. Central Disposal Committee 2. Bureau Director 3. Assistant Bureau Director 4. Equipment Planning Division Chief 5. Regional Disposal Committee 6. Bureau staff who are members of the Central Disposal Committee

Issue Date: Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

10 of 13

• Activity

FES 2 B 2017

Department of Public Works and Highways

Opportunity Event

Likelihood (l)

Benefit (if opportunity is encountered)

6.

LEGEND: Likelihood - (1) Unlikely

(2) Likely

(3) Very Likely

Materials and Tools Encouraged scrap business participation

Benefit Rating (BR)

Benefit Factor

High

6

Benefit Rating - (1) Low

(2) Medium

Action Plan

(3) High

Note: Action Plan is required for Benefit Factor::::4, Action Plan is required if regulatory or statutory requirement

Responsible

•

Unit: Process:

Issue Date:

Department of Public Works and Highways

FES 1 B 2011

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

11 of 13

Procurement Service I Unit Staff Procurement Management

Activity

Opportunity Event

1. Preparation of Bid Documents

Bid Documents are reviewed and finalized earlier due to early submission of Implementing Office to Procurement Service 12 days before the PPC

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Likelihood (l) Likely

(3) Very Likely

Benefit (if opportunity is encountered) Prompt advertisement Expedite procurement process

Benefit Rating (BR)

Benefit Factor

High

6

Action Plan

1. Require IO's for early submission of PPMP, duly signed by Head of 10 and evaluated by Head of Budget Office, to PrS for consolidation to monitor preparation of bidding documents prior to the IO's request of PPC 2. Follow up 10 on the submission of Bidding Documents emphasizing the deadline of 12 calendar days before scheduled PPC

Benefit Rating - (1) Low (2) Medium (3) High Note: Action Plan is required for Benefit Factor::: 4, Action Plan is required if regulatory or statutory requirement

Responsible

1. Procurement Service / Unit Staff 2. Implementing Office

Issue Date:

Department of Public Works and Highways

Doc. Code:

Annex C

Quality Management System

Revision No.:

o

Opportunity Register

Page No.

12 of 13

• Activity

2. Pre- qualification and Bid Evaluation

Likelihood Opportunity Event (l) Completion of Bid Evaluation earlier than the schedule due to compliance with the existing guidelines

LEGEND: Likelihood - (1) Unlikely

(2) Likely

likely

(3) Very Likely

Benefit (if opportunity is encountered)

Benefit Rating (BR)

Benefit Factor

Probability that a bidder/applicant rated "failed" in the evaluation to submit Motion for Reconsideration will lessen, thus, duration of evaluation will be shorten

High

6

Benefit Rating - (1) Low

(2) Medium

Action Plan

Responsible

1. Proper assignment and training of TWG on the latest revisions of RA 9184, GPPB issuances/resol utions and IFI's Evaluation Guidelines. 2. BAC thoroughly review the recommendation of TWG and recommend re-evaluation if necessary

BAC/ BAC TWG/ Procurement Service

(3) High

Note: Action Plan is required for Benefit Factor ~ 4, Action Plan is required if regulatory or statutory requirement

Issue Date:

Department of Public Works and Highways

FEB 2 B 2017

Doc. Code:

Annex C

Quality Management System

Revision No.:

0

Opportunity Register

Page No.

13 of 13

• Activity

3. Performance Evaluation

Opportunity Event

Completion of Post Qualification Evaluation earlier than the schedule due to compliance with the existing guidelines

LEGEND: Likelihood - (1) Unlikely

(2) Likely

Likelihood (l) Likely

(3) Very Likely

Benefit (if opportunity is encountered) Probability that the LCS found "Postqualified" in the evaluation to submit Motion for Reconsideration will lessen, thus, recommendation of Award will be earlier

Benefit Rating (BR)

Benefit Factor

High

6

Benefit Rating - (1) Low

(2) Medium

Action Plan

Responsible

1. Proper assignment and training of TWG on the latest revisions of RA 9184, GPPS issua ncesj resol utions and IFI's Evaluation Guidelines. 2. SAC thoroughly review the recommendation of TWG and recommend re-evaluation if necessary

SACj SAC TWGj Procurement Service

(3) High

Note: Action Plan is required for Benefit Factor ~ 4, Action Plan is required if regulatory or statutory requirement