DO 22 s 2017 - QMS Manual.pdf

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Republ Republic ic of the the Philip Philippin pines es DEPA DEPART RTME MENT NT

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OF PUBL PUBLIC IC WORK WORKS S AND AND HIGH HIGHWA WAYS YS

OFFIC OFFICE E OF THE THE SECR SECRET ETARY ARY Manila

17 F E B 2 8 2 0 17 DEPARTMENT DEPARTMENTOR ORDER DER )

N O.

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SUBJE BJECT: Imple mpleme menta ntatio tion n of the the Quality uality Manageme Management nt System yst em (QMS (QMS) Manual Manual in conf or mance wi t h t he requirements requi rements of ISO 9001 9001:201 :2015 5

Series of 2017~~>9.t7

In line line with with the the Depar Departm tmen ent' t's s poli policy cy to cont contin inuo uous usly ly impr improv ove e the the deli delive very ry of its serv servic ices es,, all all Bure Bureau aus, s, Serv Servic ices es,, Unif Unifie ied d Proj Projec ectt Mana Manage geme ment nt Offi Office ces, s, Regi Region onal al Offi Office ces s and and Dist Distri rict ct Engi Engine neer eriing Offi Office ces s are are here hereby by requ requiired red to impl implem emen entt the the proc proces esse ses s and and manda andato tory ry procedu procedures res in the the Qualit Quality y Manage Managemen mentt System System (QMS) (QMS) Manual. Manual. Copi Copies es of this this Manu Manual al (DPW (DPWHH-QM QMSM SM-R -Rev evis isio ion n No.3 No.3)) will will be provi provide ded d by the the Reco Record rds s Managem Management ent Divisi Division on (RMD) (RMD) of the Human Human Resourc Resource e and Admini Administr strati ative ve Servic Service e (HRAS). (HRAS). This This Order Order shall shall take take effect effect imme imme'' of 2016.

Iy and and sha shall ll supe superse rsede de Depar Departm tmen entt Order Order No. 93 Seri Series es

Departm Department ent of Public Public Work Works s and Highways Highways

Q u a l iti t y M a n a g e m e n t S y s t e m M a n u a l Table of Contents Section 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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Organiza Organizational tional Profile Profile Functions Bureaus Services Unified Unified Project Project Management Offices Offices Regional Regional Offices Offices District District Engineering Engineering Offices Offices

Quality Quality Manage Management ment System System Scope Process Approach

Leadership Management Management Commitment Commitment 3.1.1 3.1.1 Core Core Values Values 3.1.2 3.1.2 Manda Mandate te 3.1.3 3.1.3 Visi Vision on 3.1.4 3.1.4 Miss Missio ion n Quality Quality Policy Policy Responsibili Responsibility, ty, Authority Authority and Communic Communication ation

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Table of Contents

Section 6. 6.1 6.2

6.3 6.4

6. 5 6. 6 6. 7

6. 8

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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



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A n n e x e s

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.

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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 Infrastructure

Public

It prepares the Department's Investment

Program

Medium Term Development

including

the

of

the

Annual

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

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

formulation

Plan and

the

planning,

marketing,

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

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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


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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.

D ep artm en t of P ublic W orks and H igh w ays Organizational Chart Per Department Order No. 227, s. 2016, dated December 15, 2016 SECRETARY

A t1ach edA gencies - M etropolItan 'N ewcl1c s an! S ew erage System (~) - R oiIdIloard

-

..

I n t er n a l A u d i t Service

"'

I U nders ecretary fo r Planning & ppp

T

U nderse cretary fo r T echnical Services

U nderse cretary fo r S u p p o r t S e r v ic e s

I

I

U ndersecretary fO i L egal A ffairs & Priority Projects

U nders ecretary fo r R egiona l O perations In L uzon A ssistant Secre tary

U nderse cretary fo r R egiona l Q >e!a tions In IfIS-M in A s s is t a nt S e c r e ta r y

A s s is t a nt S e c r e ta r y

1

U nderse cretary fo r upm O perations


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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


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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

performance budget are properly implemented. evaluates the maintenance of infrastructure

maintenance

works,

programs,

and

It oversees, inspects, verifies, monitors and

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

f.

allocation,

distribution

and

utilization.

It

also undertakes

equipment

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

Quality Assurance and Hydrology Division monitors the implementation

of Quality


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LEGALSTAFF

PROCUREMENT STAFF

INFORMATION AND COMMUNICATION TECHNOLOGY STAFF PUBLIC AFFAIRS AND INFORMATION STAFF

DISTRICT ENGINEERING OFFICES

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is responsible for matters

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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.


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PROCUREMENT STAFF

INFORMATION AND COMMUNICATION TECHNOLOGY STAFF

PUBLIC INFORMATION STAFF

PLANNING AND

CONSTRUCTION

MAINTENANCE

QUALITY ASSURANCE

HUMAN RESOURCE AND

FINANCIAL

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Section 2. Quality Management System 2.1

Sc ope 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



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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 C M I Sac' Organilations o Contractors

o C onsultants o SuppIiefs o Business SectD r o~~

o N atiooaI G overnm ent

~ies

Customer Satisfaction

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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.

•

In teg ri ty :

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,

ethically,

diligently,

and with

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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 facilities that will improve the life of every Filipino.

public infrastructure



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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.

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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

preserved, distributed, and acted upon.

are adequately

recorded,



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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.

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VISION

STRATEGY MAP 2022 D epartm ent 01 Public W orks

D PW H is a n e ff e ct iv e a n d e f fi ci e nt g o v e rn m e n t a g e n cy . im proving the lif e of every Filipino through quality infrastructure.

and H ighw ays

Right Project. Right Cost. Righ t Duality, Right on Time, Ri ht People lives S properties protected from natural disasters

Reduced travel time

Invoved road quatrty S safety

Inr: ease 1'03 netw ork capacity

M ae inte~na ional standard L r road sur' ace quality

o n s t u c t n e w r o ad s S b r' dg e s seam less trans~lor· systa

Instit tionalize m ul"i-year plann:ng

'01'

a

P ov"de tha engine3~ing solution safa y onC 8rns

C o n fo rm 't n e si gn standards

M ligate ood dam aga bas' ns

D OCBSS

m ajor ri "e

B uiL :!d isaster-ra . ien 'ruet:!. as fn calam it' -pro 18 areas

0 road

E x p ed it e p r oe u a

On

nt

m Iy w ith m intanane standards

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4.3



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 continual

improvement.

Review of the performance

for the purposes of long-term

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

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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

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and and Sched Schedul ulin ing g (MYP (MYPS) S) Appl Applic icat atio ion, n, where where they they are are eval evaluat uated ed and and rank ranked ed usin using g the the Mult MultiiCriter Criteria ia Analys Analysis is (MCA) (MCA) for roads roads and bridge bridges. s. Flood Flood control control project projects s are evalua evaluated ted using using the flood control control evalua evaluatio tion n criteri criteria. a. The selecti selection on and and priori prioriti tiza zati tion on

of identi identifi fied ed and and eval evalua uated ted proje project cts s are are based based on the requi requirem remen ents ts and and

need needs s asse assess ssme ment nt of the the ROs ROs and and DEOs DEOs,, the the mast master er plan plan on the majo majorr rive riverr basi basins ns and and princ princip ipal al rive rivers rs,, and and from from the the stud studie ies s cond conduc ucte ted d by the the Flood Flood Con Contr trol ol Manag Managem emen entt Divi Divisi sion on of the Unifie Unified d Projec Projectt Manage Managemen mentt Office Office (UPMO) (UPMO).. For For other other infr infras astr truc uctu ture re progr program ams s of the the

proje project cts, s, prio priori riti tiza zati tion on

and and sele select ctio ion n are based based on the the conv conver ergen gence ce

Depa Departm rtmen entt with with other other agenc agencie ies s (e.g. (e.g.,, tour touris ism m roads roads with with Depa Depart rtme ment nt of

Touri Tourism sm,, scho school ol buil buildi ding ng proj projec ects ts with with the the Depa Depart rtme ment nt of Educ Educat atio ion, n, and farm farm-to -to-m -mark arket et roads roads with the Departm Department ent of Agric Agricult ulture, ure, among among others). others). DPWH DPWH prep prepares ares the Annual Annual Infras Infrastruc tructure ture

Program Program based based on the Public Public Invest Investmen mentt Progra Program m

(PIP (PIP)) and and avai availa labl ble e budg budget etary ary reso resour urce ces, s, whic which h is subm submit itte ted d to the Depa Departm rtmen entt of Budg Budget et and Manageme Management nt (DBM). (DBM). This is incor incorpor porated ated in the Nation National al Expendi Expenditure ture Program Program (NEP) and is subm submit itte ted d to Cong Congre ress ss by the the Pres Presid iden entt for for appr approp opri riat atio ion n

of fund funds s unde underr the the Gene Genera rall

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Proj Projec ectt speci specifi fic c plan plans s also also cont contai ain n reco records rds show showin ing g evid eviden ence ce that that the the real realiz izat atio ion n proce process sses es

and resulting resulting product product meet meet require requiremen ments. ts.

5.2 5.2

Customer ustomer Rela elated ted Processe rocesses s 5.2. 5.2.1. 1. Determina Determination tion of Require Requirements ments Relate Related d to the Product The imp imple lem menti enting ng offi offic ce shal shalll det deter erm mine ine the the neces necess sary ary pro proje ject ct requ requir irem emen ents ts on custom customer er needs needs and and the the tech techni nica cal, l, finan financi cial al and and enviro environm nmen enta tall

base based d

aspec aspects ts of the proje project ct..

These These include include delive delivery ry and post-del post-delive ivery ry activi activity ty requir requireme ements nts as well well as other other statuto statutory ry and regulat regulatory ory require requiremen ments ts applic applicabl able e to the project, project, includ including ing those those not stated stated by the customer customers s but necess necessary ary for its spec specifi ified ed or intende intended d use.

5.2. 5.2.2. 2. Review Review of Requireme Requirements nts Relate Related d to the Product Befo Before re the the impl implem emen enta tati tion on

of a new new proj projec ect, t, the the proj projec ectt requ requir irem emen ents ts are are asse assess ssed ed and

revie reviewe wed d to dete determ rmin ine e the the accu accurac racy y of data and to veri verify fy if there there are are inco incons nsis iste tenc ncie ies s that that

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Surveys urveys and Design Developm velopme ent

The The DPWH DPWH,, throu through gh the the Burea Bureau u of Desi Design gn (BOD (BOD)) and and its its counte counterpa rpart rt regio regiona nall and and dist distri rict ct offi office ces, s, condu conduct cts s and and revie reviews ws detai detaile led d engi enginee neeri ring ng

surv survey eys s and inve invest stig igat atio ions ns..

the most most func functi tion onal al,, safe safe and cost-e cost-effe ffect ctiv ive e infr infras astr truct uctur ure e

In orde orderr to come come up up with with

desi design gn,, it also moni monito tors rs and and impl implem ement ents s

the followin following g design design stages,: stages,: a.

Prel Prelim imin inar ary y Desi Design gn Devel Developm opmen ent. t. In this stage, stage, the the init initia iall requi require reme ment nts s of desi design gn (e.g. (e.g.,, desi design gn param paramet eters ers and and crit criter eria ia), ),

init initia iall site site survey survey (suc (such h as geo geolo logi gica cal/ l/ge geot otech echni nica call

inve invest stig igat atio ion, n,

as

needed) needed),, detail detailed ed engine engineerin ering g survey survey,, and right-o right-of-w f-way ay require requiremen ments ts are incorp incorpora orated. ted. The The fiel field d

book books, s, toge togeth ther er with with elec electro troni nic c file files s rela relati tive ve to the cond conduc uctt of detai detaile led d engi engine neeri ering ng

survey surveys s and investig investigati ations, ons, are preserve preserved. d. b.

Desi Design gn Develo Developm pmen entt preli prelimi minar nary y inco incorpo rpora rate ted d

Stag Stage. e. Duri During ng this this stage, stage, the the init initia iall comme comment nts/ s/rec recom omme mend ndat atio ions ns

desi design gn sche scheme mes, s, fina finall resu result lts s of

engi engine neeri ering ng surv survey eys s and and value value engi engine neeri ering ng,,

into into the the final final desi design gn schem schemes es.. Thes These e

comm commen ents ts and reco recomm mmend endat atio ions ns

on the the are

are are review reviewed ed and and evalua evaluate ted d and and the fina finall

are are provi provide ded, d, whic which h are are subseq subsequen uentl tly y incor incorpo pora rated ted into into the



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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

specification; c.

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 f.

personnel;

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



•



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

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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

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As to the procurement

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of Infrastructure

2

B

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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 specifications.

6.2

Human ResourcesManagement 6.2.1

General

are in accordance with the

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• 6.2.2

DPWH-QMSM


03 27 of 37

Competence, Training, and Awareness

To ensure that employees have the competencies required by their function, the HRAS and its Regional and District counterparts a.

carry out the following:

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.

Evaluate the effectiveness of actions taken;

d.

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 finance-related

matters of the Department through the following:

manage and administer all

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Page No.

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 rehabilitation

and that all pathways are free from obstruction.

to management

or improvement.

They also submit

on DPWH buildings and/or facilities that need repair,



Planning

and

Demand


Operations

BOE

BOE

BOE,RO

BOE

and

Deployment2

Maintenance BOE, UPMO,

BOE

RO

Equipment

Rehabilitation

and

and

Ancillary

Life Cycle Stage

Distribution

Procurement!

Management Dredger

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Page No.

Equipment

Portfolio

J:J:R 2 B 2 0 1 7

Revision No.:

• Equipment

Issue Date:

BOE,RO

DisposaP

BOE,RO

Road Maintenance

and

BOE, UPMO, RO,DEO

BOE,RO

Construction

BOE,RO

BOE, RO, DEO

Equipment Central Service

BOE,RO

Vehicle

BOE,RO,DEO

Office, UPMO,

BOE,RO

BOE,

RO,

BOE,RO

BOE, RO, DEO

DEO Shop

Tools

and Equipment

BOE,RO

BOE,RO,DEO

BOE, DEO

RO,

BOE, DEO

RO,

BOE,RO

BOE, RO, DEO

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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

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6.7

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03 31 of 37

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

7

~sueD~e: Department of Public Works and Highways


• 6.7.1



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

FFR 2 8 2 0 1 7



•



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.

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Section 7. 7.1

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Page No.

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

and industry standards, and has a process for monitoring

performance and analysis of data.

on

stakeholders

and measuring


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Page No.

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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

Quality Audit procedure, audits.

DPWH-QMS-03, for

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

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Page No.

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 suitability,

adequacy

improvement,

and effectiveness.

its continuing

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



• Section 8. 8.1



Improvement

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

These include:

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.

Nonconformity and CorrectiveAction The QMS contains a documented nonconformities

Corrective Action procedure, DPWH-QMSP-OS,to ensure that

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.

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•

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Page No.

Pu rp os e To provide

a guide for an effective

implementation

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1.0

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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,

Circulars, National Building Code Development

Department

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

Issue Date:


03

Revision No.:

C o n tr o l o f D o c u m e nt s P ro c ed u r e

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Page No.

Procedure

Process Flow

Determine the need

Responsible

Details

Concerned Office

Create or revise internal document based on the need of a concerned

to create/revise internal documents

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


Qual ity Management System Manual

•

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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: D P W H -X X X X -L

Series Number Type of Document* Name of Organization

* QMSM - QMS Manual QMSP - QMS Procedure

Forms:


Issue Date:

Q u al it y M a n ag e m e n t S y s t em M a n u al

•

C o n tr o l o f D o c u m en t s P ro c e d u re


03

4 of 4

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

Q u al it y M an a g em e n t S y s te m M a n u al

• 1.0

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2 B 2017 DPWH-QMSP-02

02 1 of 4

Page No.

Purpos e 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

Pr oc ed ur e Process Flow

Responsible

Details

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Process Flow

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2 B 2017 DPWH-QMSP-02

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

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

A

supplemental

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.

Issue Date:


Doc. Code:


•

Revision No.:

C o n t ro l o f R ec o r d s P r o c ed u r e

Process Flow

Responsible

Page No.

DPWH-QMSP-02

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

Retain record

Disposerecords



• 5.0

C o nt ro l o f R ec o r d s Pr o c ed u r e

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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

t~H~

anagement Division, HRAS

Assistant Secretary for Support Services Deputy Quality Management Representative

Department

•

D P W H -Q M S P -0 2

of Public Works and Highways QMS Records Disposition

- F0 1- R ev . 03

Schedule (RDS)

Supplemental to the NAP RDS Records Officer:

Office:

Code (as applicable)

Acti ve Record Title and Description

No. of Years

Location

Inactive

No. of Years

Location

Mo d e o f Disposal


Q u a li ty M a n ag e m e n t S y s t em M a n u al

•

In t er n a l Q u a li t y A u d i t P r o c e d u r e

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Purpos e 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 Au di t refers to the systematic, independent and documented process of obtaining evidence and evaluating to objectively determine the extent to which requirements are fulfilled.

Au di tee refers to the person being audited. Au di to r 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

Pr oc ed ur e


•

In t er n a l Q u a li ty A u d i t P r o c e d u r e

Process Flow

Prepare the audit plan


2

2017

B

DPWH-QMSP-03

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Details

Responsible

IQA Committee Leader Audit Team

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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 Notify the auditee

Prepare an audit notification memo with the

In ter nal Qu al it y A udi t It in er ar y, DPWH-QMSP-03-F03, for each officejarea that includes purpose, audit scope, areas or divisions to be audited,

Issue Date:



•

In t er n a l Q u a li ty A u d i t P r o c e d u r e


DPWH-QMSP-03

03 3 of 5

Process Flow

Responsible

Details

Prepare Summary of

Auditors

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

Findings

Report

Form,

DPWH-QMSP-03-FOS.

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

Auditors/ Auditees Investigate cause of nonconformity

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



•

In t er n al Q u al it y A u d i t P ro c ed u r e

Process Flow

Determine areas for

on processes/services

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DPWH-QMSP-03

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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

improvements

Identify improvements

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Proc edur e, DPWH-QMSP-07.



•

Internal Quality Audit Procedure

5.0

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

Prepared by:

Reviewed by:

GLIRICI

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DPWH-QMSP-03

03 S of S


DPWH-QMSP-03-F01-Rev.03

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

Audit Schedule

. ~ ~

~ ••

Dep art ment o f Pu bl ic Wor ks an d Hi ghw ay s


VI. Selection and Evaluation of Auditors

VII. Reporting

VIII.

Verification of Previous Nonconformities(NC)/Foliow

Up Actions

•

Deparbnent of Public Works and Highways

DPWH-QMSP-DH02-Rev.

03

I NT E RN A L Q U AL IT Y A U DI T P L AN FOR CY _

Purpose: 1. 2. 3.

Ar ea

Process/es

Criteria

Auditor I s

Audit Schedule

•


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

.Department

of PublicWorksandHighways


INTERNAL QUALITY AUDIT CHECKLIST Process Scope:

Area( s) I Office( s):

Criteria:

Referencel Section No.

Itemsl Questions

C/NC

IOFI

Remarksl Notes (Evidence Collected)

D P W H -Q S M

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.

P -0 3- FO S -R e v

. 03



• 1.0

C o n tr o l o f N o n c o n fo r m i n g O u t p u ts Procedure

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2 B 2017

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Pur pose 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


Identify nonconforming

output

Responsible

Details

Concerned Personnel

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



•

Control of Nonconforming Outputs Procedure

Process Flow

Identify action plan


2 B 2017

DPWH-QMSP-04

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.

1 Implement action

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plan

Action Procedure, DPWH-QMSP-05. Refer

to Corrective



• 1.0

Corrective Action Procedure

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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,r efers to the form used to document the detected nonconformity, action.

3.0

Procedure

its causes, and the necessary correction and corrective



•


Process Flow

Prepare correction and corrective

proposed action plan


DPWH-QMSP-OS

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.

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

action

Approve the

Issue Date:



•


Process Flow

Create/revise document

Monitor implementation

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DPWH-QMSP-OS

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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.

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

Date:

References:

(To be accomplished by the Auditor/Initiator)

(manuals, procedures,

CAR Number:

policies,

ISO clauses, etc.)

Auditor/

Initiator:

requirement)

Issued To : Details:

Nonconformity

Initiator:

(As a result of)

Internal D

Quality Audit

Service D

Realization

Office: Other D

(Pis. specify)

Issued to:

Issued by :

(Office Head)

Signature over Printed Name

Signature over Printed Name

Description

of the Nonconformity/OFI:

(Include

evidence)

Acknowledged

by:

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

Correction:

Target Completion

Date:

Anal

d By:

(Nan-fulfillment

of


Management

• 1.0

Review Procedure

Issue Date:

017

D oc. C ode :

D PW H-Q MS P-0 6


03 Page 1 of 3

Pur pose 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


START

Responsible

Details

General Management Review of the QMS is

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of Public Works a nd Highways

Management

•

Process Flow

Review Procedure

Doc. Code:


Responsible

2

B

2017

DPWH-QMSP-06 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 in external and (j) changes 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 members

Notify committee members of the schedule of the review meeting through a memorandum containing

Issue Date:


Management

•

Process Flow

Monitor implementation

40

R fe

Review Procedure

Doc. Code: Revision

No.:

Page No.

Responsible

Overall QMR/ Group QMR/ Office QMR

Page 3 of 3

Details

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.

A N NE X A

Issue Date:

Department of Public Works and Highways Quality Management System

Interested Party General Public Motorist Pedestrian Civil Society Organizations

Reason for Inclusion

Type External

Recipient of infrastructu re project

Tax Payer/Road User Tax Payer

General Public

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

2

B

Doc. Code:

Annex A

Revision No.:

0

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Relevant Interested Parties Matrix

•

FEB

Affected Process(es)

Priority

Core Process Support Processes

2017

Treatment Method

High

• Risk Assessment • Management Review

High


High



• • • •


Risk

Core Process

Support Processes Core Process Support Processes


Risk

Core Process

Support Processes Core Process

• Legal • Social

Mixed


High

FEB

Issue Date:


• In ter est ed Par ty

Doc. Code:

Annex A

Revision No.:

0

Page No.

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Reaso n for In cl us io n

Ty pe

Recipient of infrastructure project

Needs an d Ex pec tat io ns Preference to hire local residents

Factor

Bias

Affected process(es)

Priority

• Human

• Economic

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

•

Civil Society Organizations

External

Constructors/ Contractors

External

"Watchdog" (refer to Ra9184)

Contract Awardee • Builders

•

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

Expect prom pt payment of claims

• • • •

Legal Social Economic Environment • Legal • Social • Economic • Environment

Risk


Mixed


Treatment Method

• Opportunity and Risk Assessment • Management Review

High


High

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

Support Processes

Risk

2 8 2 ~1 7

High


Issue Date:



Type

Needs and Expectations

Factor

Bias

2 B 2 01 7

Doc. Code:

Annex A

Revision No.:

a

Page No.

3 of9


Interested Party

FEB


Priority

Treatment Method

• Internal Quality Audit Mixed

Expect fidelity in the legal norms/issuances/ contracts

Consultants

External

• Contract •

Awardee Service Provider

Expect fair competitive public bidding


High


High


High

• Risk Assessment • Management Review • Internal Quality Audit

• Legal • Social • Economic

Core Process

Mixed

Support Processes

Expect prompt payment of claims

Core Process

Risk

Support Processes

Mixed

Core Process

High

Issue Date:

Depar Departme tment nt of Public Works Works and Highwa Highways ys Quality Quality Management Management System System

Intereste Interested d Party Party

Needs Needs and Ex pe pec ta tat io io ns ns

Reason Reason for In cl cl us us i on on

Type

Factor

External

• Contract •

Awardee Goods and Services Provider

Expect Expect fair competitive public public bidding bidding

0

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4of9

Core Processes

Mixed

Priority

Expect prompt paymen paymentt of claims

Core Processes

Risk

High

High High

High

Mixed

Treatment Method

• Opport Opportuni unity ty and Risk Assessment • Management Management Review • Intern Internal al Qualit Quality y Audit

Supp Suppor ortt Proc Proces esse ses s

Expect Expect fidelity fidelity in the legal norms/issuances

Affected process(es)

2 01 7

Revision Revision No.:

• Legal Legal • Social Social • Economic Economic

B

Annex A

Support Support Processes Processes

Expect Expect fidelity fidelity in the legal norms/ norms/ issuances

Suppliers

Bias

2

Doc. Code:

Releva Relevant nt Intereste Interested d Parties Parties Matrix

•

FEB

Supp Suppor ortt Proc Proces esse ses s

High High

Core Processes

High

• Oppor Opportun tunity ity and Risk Assessment • Manageme Management nt Review • Intern Internal al Qualit Quality y Audit • Ris Risk k Assessment • Management Management Review • Intern Internal al Qualit Quality y Audit • Ris Risk k Assessment

FES

Issue Date:

Depa Departme rtment nt

of Publi Public c Works and Highwa ighways

Quality Quality Management System System

In te ter es es te ted

Par ty ty

Business Sectors

Local Government Units

Doc. Code:

Annex A


0

Page No.

50f9

Releva Relevant nt Intereste Interested d Parties Parties Matrix Matrix

•

Reas o n f o r In c l u s i o n

Ty pe pe

External

External

Encourage investments

Recipient of products products and services

Need s an d Ex p ec t at i o n s

Quality Quality and safe public infrastructure Properties Properties / businesses protected protected from natural natural disasters disasters Expect LocaI Projec Projects ts to be implemented.

Expect compliance compliance with all regulations

Fac t o r

• • • •

Legal Social Social Economic Economic Environment

B i as

Mixed

Affected Pr o c es s ( es )

Priority

• Managem Management ent Review • Intern Internal al Qualit Quality y Audit

Core Processes

High

• Oppor Opportun tunity ity and Risk Assessment


• Management Review • Intern Internal al Qualit Quality y Audit

Core Core Proc Proces esse ses s

Risk

Treatment Met h o d

High

Support Support Processes Processes Legal Legal Social Social Economic Economic Environment Environment Political Political


Core Processes

• • • • •

2 8 2 01 7

Medi Medium um

• Risk Risk Assessment Management Review • Intern Internal al Qualit Quality y Audit

•


Core Processes

High


• Ris Risk k Assessment • Management Management Review • Intern Internal al Qualit Quality y Audit

FEB

Issue Date:

Departme partment nt

of Public Public Works Works and Highwa ighways ys

Quality Quality Management Management System System

In te ter es es te ted Par ty ty

Doc. Code:

Annex Annex A

Revision No.:

0

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Releva Relevant nt Intereste Interested d Parties Parties Matrix

• Ty p e

Reas o n f o r In c l u s i o n

Need s an d Ex p ec t at i o n s

Fac t o r

B i as

Expect on time delivery of project

Affected Pr o c es s (es ) Core Processes

Priority High


National Government Agencies

Funding Agencies

External

Ext Externa ernall

Recipient of products and services

Sour Source ce of fund fund

Expect compliance with all regulations Expe Expect ct on time time delivery delivery of project Expect implementation of projec projects ts that that would complement complement their proiects Expe Expec ct deli delive verry of project project within within the approved approved project project cost Expect on time delivery

• • • • •

Legal Legal Social Social Economic Economic Env Envir iron onme ment nt Political Political

Risk

2 8 2017

Core Processes Support Support Processes Processes Core Processes

High

Support Processes

Treatment Method Method .

• Ris Risk k Assessment • Management Management Review • Intern Internal al Qualit Quality y Audit • Ris Risk k Assessment • Management Review • Intern Internal al Qualit Quality y Audit

Core Processes


• • • • •

Legal Legal Social Social Economic Economic Environmen Environmentt Political Political

Risk

Core Processes Support Support Processes Processes

High

Core Processes Support Support Processes Processes

• Ris Risk k Assessment • Management Management Review • Intern Internal al Qualit Quality y Audit

Issue Date:


Interested Party

Management Committee

Middle Management

Type

Internal

Internal


Sets 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

Implements the Ensure provision policy directions of adequate and targets of the resources (Human Department Resource, Finance, Equipment, etc.)

Factor

7 0 11

Revision No.:

0

7of9

Page No.

Bias

2 B

Annex A


•

FEB

Doc. Code:


Priority

Treatment Method

Core Processes Support Processes • • • •

Values Culture Knowledge Performance

Core Processes

Mixed

High

Support Processes

Risk

• Risk Assessment • Management Review • Internal Quality Audit

Core Processes Support Processes

Opportunity

Core Processes

Support Processes

• • • •


Mixed


High


FE B 2 8 2017

Issue Date:


Annex A

Revision No.:

0


• Interested Party

Doc. Code:

Type

Reason for In cl us io n

Needs and Exp ec tati on s

Factor

8of9

Page No.

Bias


Priority

Treatment Method

to produce the required outputs Operationalizes the core and support processes

Personnel

Internal

Service delivery of the required output

Ensure a more organized and responsive workforce

Deliver quality of performance

Expect appropriate learning & development programs Employee engagement

•

On time salaries and

• Values • Culture Knowledge • Performance

Mixed

• • • •

Mixed

Core Processes

High

•


High


Medium

• Opportunity Assessment • Management Review • Internal Quality Audit

Support Processes

Opportunity

Core Processes

Support Processes

• Performance • Knowledge

• Management Review • Internal Quality Audit

Support Processes

Core Processes

Mixed


• Opportunity and Risk Assessment

High

FEB

Issue Date:


Interested

Party

Type


Needs and Expectations wages and benefits Conducive • environment for the operation of processes

Factor

Bias

Annex A

Revision No.:

0

Page No.

90f9


Priority

• Values • Culture Core Processes Support Processes

B

Doc. Code:


•

2

2 0 17

Treatment Method


A NN E X B

Issue Date:


Doc. Code:

Quality M anagement System

Revision No.:

• Office: Process:

2 B 2 0 17 Annex B 0

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Page No.

Public Private Partnership Service Strategic Planning

Activity Evaluation of unsolicited projects for PPPScheme

Risk Register

FEB

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

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

Contingency

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

Responsible Director of PPP

Concerned Division Chief Concerned Staff

Issue Date:


Doc. Code:

Quality Management System

Revision No.:


Act iv it y Resolution of complaints

Risk Register

FEB

2 B 2 0il Annex B 0

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Page No.

Stakeholders Relations Service Management Process - Feedback Management

Ris k 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

Co nt in gen cy

Res po ns ib l e

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:


Doc. Code:


Revision No.:

•

Risk Register

b) Request for project funding

c)

Employment

Unable to comply to ARTA law

d)

Deluge of complaints from Presidential Hotline 8888

Unable to resolve as to prescribed time

Page No.

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

2 01 7

Annex B 0

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Stakeholders Relations Service

Issue Date:


Doc. Code:


Revision No.:


Act iv it y Development of news/photo releases

Risk Register

Page No.

FEB

2 8 2 01 7 Annex B a

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Stakeholders Relations Service Management Process - Communication

Ris k 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

Co nt in gen cy

Res po ns ib l e

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

SRS

IOs

Issue Date:


Doc. Code:


Revision No.:


Act iv it y Accreditation of CSO

Risk Register

Page No.

FEB

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Stakeholders Relations Service Management Process - Civil Society Organization Relations

Risk Event Accreditation of Bogus CSO

likelihood (L) M

Consequence (i f r is k i s encountered) Integrity of CSO engagement is endangered

Sev er ity

Risk Factor

H

M

Miti gation

Conti ngency

Validate with due Counter checking diligence the with DSWD's CSO authenticity of CSOs database Come up with guidelines on monitoring activities of CSOs

Responsibl e SRS

Issue Date:

Depa Department rtment of Public Works and Highways Highways

Doc. Code:




Ac ti vi ty

Risk Register

Page No.

FEB

2 B 2 01 7 Annex Annex B a

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Planning Planning Service Service Planning Planning Process Process

Ris k Event

Likelihood (L)

Consequence (i f r is is k i s encountered)

Sev er er itit y

Risk Factor

Mi Mi t i g at i on on

Co n t i ng ng en c y

Res p o n si si bl bl e

Tap other knowledgeable personnel from other section/ division. Close supervision of conc concer erne ned d personnel. Recali Recalibra bratio tion n or or Immediate Immediate repair of survey survey equipment

ROs, DEOS and Planning Service

Data Gathering 1. Road and Bridge Inventory (DEO) 2.

Road Condition (DEO) 3 . Traffic Inventory (DEO)

4.

Uploading (RO)

1. Inaccurate data gathered due to:

Inaccurate generation of prioritized list of projects

Review of data gathering process.

H

M

Thorough Thorough data qual qualit ity y chec checki king ng..

M

H

H

Proper Proper planni planning ng and scheduling scheduling of manpower.

c) questionable motivation

L

H

M

d) survey equipment failure

L

H

M

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

a) lack of manpower

L

b) untrained personnel

Issue Date:

Department epartment of Public Works and Highways Highways

Doc. Code:

Quality Quality Management Management System

Revision No.:

•

5. Flood Control

6.

Road Right Right of Wa y

Risk Register

Page No.

2. dela delaye yed d of uploading due to network network issues issues

L

H

M

Re Regular network maintenance

Incomplete data gather gathered ed due to unavailabil unavailability ity of Flood Control Structures Structures data Wrong information gathered

H

H

H

Establish a database for for the the loca locati tion on and and inve invent ntor ory y of floo flood d cont contro roll stru struct ctur ures es

M

Over/Under Compensation to right person

Compensati Compensation on to wrong person Delayed Delayed project project implementation

H

H

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

2. Outsta Outstandi nding ng ROW Claims 3. PPP projects projects

FEB

2 B Z Q17 Annex B 0

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Upload data to areas where networ network k is available SaM / FCMC FCMC Use Use of hist histor oric ical al reco record rds s for for refe refere renc nce e Legal action

Legal Service/ Staff

Issue Date:

Depa Department rtment of Public Works and Highways Highways

D o c. C o de :


Revision No.:

• 7 . Environmental and Social Survey (*feas (*feasibi ibilit lity y of work during during non-regular working hours) 8.

Validation (CO/RO/DEO)

Wrong information gathered

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

Risk Register H

Delayed project implementation

H

H

H

M

H

Establish standard validation procedure

Coaching and mentoring.

L

M

L

Conduc Conductt of traini trainings ngs and cascading regarding data gathering.

Close Close superv supervisi ision on of concerned personnel.

Wrong ranking due to inaccurate data gathered. gathered.

H

H

Ensu Ensure re the the qual qualit ity y and integr integrity ity of data data gathered gathered in compliance compliance with D.O. 124 (RBIA). (RBIA).

Corr Correc ectt the the data data incons inconsist istenc encies ies

2 8 2017 An n ex B 0

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Page No.

Inaccurate generation of prioritized prioritized list of projects

Project Project Identification Identification 1. Initial ranking (DPD (DPD - PS)

FEB

H

Wrong projects projects identified.

Re-run Re-run of HDM4.

Planning Service

Issue Date:


Doc. Code:


Revision No.:

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

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

Failure to validate data objectively due to:

Risk Register

Page No.

2 8 2017 Annex B 0

g of 57

Inaccurate generation of prioritized list of projects

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.

H

H

Revised project proposal due to Political Intervention

FEB

H


Misallocation of resources

Planning Service

PS I RO IDEO

ManCom IExeCom

Issue Date:


Doc. Code:


Revision No.:

• 4.

Stakeholder Consultation (Civil Society Organizations)

Revised project proposal due to Political Intervention

Risk Register H

Lapse of funding allocation

Page No.

H

H

2 8 2017

FEB

Annex B a

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ManCom jExeCom

Issue Date:


Doc. Code:


Revision No.:


Act iv it y 1.

Risk Register

Bureau of Design/Implementing Preparation of Plans

Ris k Event

Engineering Survey (PDD / PDS)

Failure to conduct survey due to:

a) Subsurface Exploration

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

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

Likelihood (l)

H

Page No.

FEB

2 B 2 01 7 Annex B a

11 of 57

Office (ROs, DEOs and UPMO)

Consequence (i f r is k i s encountered) Plans prepared are not reflective to the actual site condition

Sev er ity

Risk Factor

H

H

Mitigation

Procurement of equipment and logistics

Outsourcing of manpower

Conti ngency Tap other knowledgeable personnel from other section/ division.

Responsibl e 10

Issue Date:


Doc. Code:


Revision No.:

•

Risk Register

Page No.

FEB

2 8 2017 Annex B

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

H

M

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

Variation Orders during Project 1mplementation

10

L

Costly projects

Issue Date:


Doc. Code:


Revision No.:

• 4. Preparation of Plans (Inhouse)

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

Risk Register H

H

Delayed approval of design plan

Delayed project procurement

Page No.

H

H

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

Request additional plantilla positions

Outsourcing

FEB

2 B 2 01 7 Annex B

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Bureau of Design

Implementing Offices

DPWH Secretary

Issue Date:


Doc. Code:


Revision No.:

• 5 . Preparation of Plans (Outsourced)

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

Risk Register H

Additional cost (Variation Order)

Page No.

H

H

Strict compliance of the approved Terms of Reference

FEB

2 8 2017 Annex B 0

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Extend the Bureau of services of the Design Consultants at no additional cost Evaluation of Implementing Consultant's Offices Performance Sanction/legal DPWH action against the Secreta ry Consultants/Firm

Issue Date:


Doc. Code:


Revision No.:


2.

Quality Audit

Road Safety Audit

2 B 2 0 17 Annex B

0 15 of 57

Page No.

Bureau of Quality and Safety Quality and Safety Assurance Audit

Ac ti vi ty

1.

Risk Register

FEB

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 M

M

Risk Factor M

M

Mitigation

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

Contingency

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

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

Responsible

Bureau Quality and Safety

Bureau Quality and Safety

Issue Date:


Doc. Code:


Revision No.:

• due to lack of competent personnel

Risk Register

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

FEB

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Issue Date:


Doc. Code:


Revision No.:


Selection of Audit Teams/ Auditors

Page No.

2 B 2 0 17 Annex B

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Internal Audit Internal Audit

Ac ti vi ty 1.

Risk Register

FEB

Risk Event 1.

Selected auditors 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

Likelihood (L) L

Consequence (i f r is k i s encountered) Result of audit is not objective

Sev er it y

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

L

Mi ti gati on

Contingency

Review working papers

Responsi ble

IAS

Issue Date:


Doc. Code:


Revision No.:

• 2 . Identification of audit areas, procedures and criteria

3.

Conduct of audit

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

Risk Register L

M

Page No.

Unsubstantiated audit results

H

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 2 01 7 Annex B

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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:


Doc. Code:


Revision No.:


Risk Register

Risk Event

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

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

3.

Removal of site obstructions (utilities)

Payment of outstanding claims

2 8 2017 Annex B

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Legal Service / Legal Staff Legal Service

Act iv it y

2.

Page No.

FEB

Likelihood (L)

Consequence (if risk is encountered)

H

Severity

Risk Factor

H

H

The proposed project may not push through

Mitigati on

Conti ngency

Respon si ble

Prompt and File expropriation immediate payment case of just compensation

Legal Service


Issue demand to occupant to vacate premises

H

H

Delayed project completion

Delayed payment of

H

H

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:


Doc. Code:


Revision No.:

•

Risk Register

funds for the purpose 2.

5. Review of Contracts

6. Conduct of Investigation

Lack of competent personnel to validate/ evaluate claims

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

the Implementing Offices

Claims compensation Duplication of payment

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

4. Preparation of Legal Opinion

Page No.

L

L

L

Wrong decision made

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 Re-evaluate investigation basis for decision results

H

Conflicting opinions with different DPWH Offices Approval of contract is delayed

Wrong decision made

FEB

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Issue Date:


Doc. Code:


Revision No.:


Act iv it y Inland Channel Dredging Project by Administration

Risk Register

Page No.

FEB

2 B 2 0 17 Annex B

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Bureau of Equipment Project Implementation

Ris k 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

Conti ngency

Responsibl e

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

FEB

Issue Date:


Doc. Code:


Revision No.:

• ~

Office: Process:

B

2 0 17

Annex B 0

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Page No.

Bureau of Maintenance Infrastructure Asset Maintenance

Ac ti vi ty Undertake infrastructure asset maintenance

Risk Register

2

Risk Event

Recurrence of defects due to poor quality of maintenance works

likelihood (L) H


Severity

Risk Factor

H

H

Increased maintenance cost

Increased frequency of repair

Costlier future rehabilitation work

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


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Page No.

Bureau of Maintenance Inspectorate and Monitoring

Act iv it y Inspect / validate compliance of all Districts to policy guidelines on the maintenance of infrastructure

Risk Register

2 8 2 0 17

Ris k 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)


Severity

Risk Factor

Mitigati on

Conti ngency

Respon si ble

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

H

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


Issue Date:


Doc. Code:


Revision No.:

•

Risk Register

b) Adverse weather condition

H

c)

H

Peace and order

Page No.

H

H

H

H

Train additional personnel on the conduct of inspection /validation activity Increase area of coverage per inspector / staff Plan schedule of inspection/va I idation 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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Revision No.:


Act iv it y Construction of smalljfullscale pilot trials.

Page No.

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Bureau of Research and Standards Research and Development Management

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

Likelihood (l) M

Consequence (i f r is k i s encountered) Delayed evaluation of new products and marginal materials.

Sever it y

Risk Factor

L

L

Mitigation

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

Conti ngency

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:


Doc. Code:


Revision No.:


Ac ti vi ty Standard specifications formulation

Risk Register

Page No.

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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.

Co nt in gen cy

Res po ns ib l e

Bureau of Research and Standards

Issue Date:


Doc. Code:


Revision No.:


Risk Register

Page No.

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Procurement Service Procurement Management

Act iv it y

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, T O R I Specificationsl POW and ABC

Likelihood (L) M

Consequence (if risk is encountered) Delayed bidding process (Advertisement I Publication)

Severity

Risk Factor

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

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

M

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

Mitigati on

Conti ngency

Respon si ble

Issue Date:


Doc. Code:


Revision No.:

•

2. Prequalification and Sid Evaluation

a) Performance Evaluation

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

Risk Register Delayed bidding process (Advertisement / Publication) M

M

Page No.

H

Prolonged procurement process

H

M

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

H

Specify the deadline Reiterate to of submission of Implementing verifications & Office the continue postsubmission of the qualification if not verification project submit on specified status date

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resolutions and IFI's Procurement Guidelines

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

FEB

SACthoroughly review the recommendation of TWG and recommend reevaluation if necessary

SAC/ SACTWG/ Procurement Service

SAC/ SAC TWG/ Procurement Service/ Implementing Office

Issue Date:


Doc. Code:


Revision No.:

•

Risk Register

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

b) Award of Contract

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

2.

Delay of award because LCRB/HRRB did

L

Prolonged procurement process

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Page No.

H

M

Specify deadline of submission of verification

Reiterate to BAC/ BAC TWG/ Bureau of Quality Procurement and Safety the Service/ Bureau submission of the of Quality and verification project Safety status

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 PP C to assure its aCQuirement) Emphasize administrative sanctions in the PreBid Conference

Request bidder to extend its bid and bid security validity

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

BAC! BAC TWG/ Procurement Service

L


H

M

L


H

M

FEB

BAC/ Procurement Service/ Implementing Office

Issue Date:


Doc. Code:


Revision No.:

• not accept award of contract

Risk Register 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

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Revision No.:


2 8 2017 Annex B

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Page No.

Financial Service Financial Management Likelihood

Ac ti vi ty

Ris k Event

(l)

Consequence (if ri sk is encountered)

Severity

Risk Factor

H

H

Mi ti gati on

Contingency

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:

a) SARO

a)

b) GAA

b) Project Implementation

Road Right of Way (RROW)

M

Lapsed Fundingthe Department shall request again for the release of funding

Low Absorptive Capacity Delay in the processing of Disbursement Vouchers.

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

Implementing Office

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

Budget Division

Issue Date:


Doc. Code:


Revision No.:

•

Risk Register

Page No.

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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:


•

Quality Management System Risk Register


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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

FEB

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Doc. Code:


Revision No.:


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Page No.

Human Resource and Administrative Service Physical Resource Management

Act iv it y

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

Risk Register

2 8 2017 Annex B

Ris k 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

Sever it y

Ri sk Factor

H

H

Increased utilities expenses

Contingency

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

Untimely facility aging/deterioration of facility spaces

Mitigation

b) Space Management

Conduct Root Cause Analysis

Perform immediately corrective maintenance Emergency Purchase of required supplies and materials

Responsibl e

Facilities Maintenance Division-Human Resource and Administrative Service

UPMO-FCMC


Issue Date:

•


Doc. Code:

Q u al i ty M an a g em e n t S y s te m Risk Register


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

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Issue Date: Doc. Code: Revision No.:

•

Page No.

H

n

H

H

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Issue Issue Date:

Departme Department nt of Public Works and Highways Highways

Doc. Code:



• Breakdown 13. Breakdown

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

Risk Register

Page No.

-

-

-

-

-

H

H

H

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Issue Date

FEB

Doc. Code Revision No

•

Page No.

o 38 of 5 5 7

Human Human Resource Resource and and Administrative Service Service Human Resource Management Management

Risk Event

Likelihood (l )

Co nt nt in in ge gen cy cy

H

2

2

Issuance Issuance of Appointment

HRAS

H

H

Shortage Shortage of manpower

H

H

Participate n Job Fairs

Failure Failure to address address competency competency gap

H

H

Coordinate Coordinate with Head Hunters Hunters

Termin Terminati ation on of CSC Accreditation

H

H

Res po po ns ns ib ib l e

HRAS

Enforce Enforce 0.0 2016

42 s

HRAS

Issue Date:

Departme Department nt of Public Works and Highways

D o c. C od e :


Revision No.:

• applicants applicants due to erroneous credentials

Page No.

Risk Register Register Invalidatio Invalidation n of appointment

H

M

H

H

Establish Establish policy policy and guidelines guidelines on background investiqation

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Imposi Impositio tion n of administrative sanction

Retention Retention Strategy Retention Strategy

Fast turnover turnover of personnel due to better better job opportunities outside outside DPWH

H

Increased cost of training

Delayed Delayed project project completion

Widen competency competency gap

Conduct programs on motivating motivating mill millen enni nial al to stay stay in government

Increa Increase se awaren awareness ess of supe superv rvis isor ors s on how to handle millennial Engage Engage in job fairs

Improve employerempl employ oyee ee relationships based on current current workforce workforce trends trends Explor Explore e outs outsou ourc rcin ing g (bod (body y shopping alternative)

HRAS

F E B 2 8 2 01 7

Issue Date:


Doc. Code:


Revision No.:

•

Risk Register

Annex B 0 40 of 57

Page No.

Performance Management Performance evaluation

Subjective evaluation due to the absence of SPMS Database

H

Demoralization among employees

H

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

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

M

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

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

HRAS

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

H

Develop an application intended for SPMS

HRAS

Issue Date:


Doc. Code:


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

FEB

Issue Date:


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Act iv it y 1. Demand Management

Risk Register

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Page No.

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

Severity

Risk Factor

H

H

Conti ngency

Compliance and enforcement of DO 64 s.2016

Immediately review and revise results of Needs Analysis

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

Continuous fleet requirement deficiency

Lower equipment fleet utilization

Increased wastage in

Mitigation

Responsible Bureau of Equipment


Issue Date:


Doc. Code:


Revision No.:

•

Page No.

Risk Register

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resources optimization 2.

Systems Engineering

Wrong equipment specification due to lack to research and publication materials

M

H

Acquired wrong equipment requirement

H

Compliance and enforcement of DO 64-2016

Lower equipment fleet utilization

Increased wastage in resources optimization

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


Issue Date:


Doc. Code:


Revision No.:

•

3.

Acquisition

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

Risk Register

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)

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BAC f or Goods

Bureau of Equipment


Issue Date:


Doc. Code:


Revision No.:

• 4.

Disposal of obsolete/ uneconomical! unserviceable equipment

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

Risk Register 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

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Central Disposal Committee

Bureau of Equipment /Implementing Offices /Regional Disposal Committee

Issue Date:


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Revision No.:

•

Risk Register

Page No.

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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


Issue Date:

•


Doc. Code:


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

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Issue Date:


Doc. Code:

Quality Management System Risk Register

Revision No.:

• 6.

Configuration Management

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

F E S 2 8 2 0 17 Annex B 0

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Bureau of Equipment Implementing Offices

Issue Date:

•


Doc. Code:


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

FEB 2 B 2017 Annex B 0

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Issue Date:


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Revision No.:


Act iv it y Verification/ Calibration of Engineering Survey, Laboratory and Field Testing Equipment

Page No.

Risk Register

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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 (i f r is k i s encountered) Poor Project Quality

Sev er it y

Risk Factor

H

H

Mitigation

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

Co nt in gen cy

Res po ns ib le

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:


Doc. Code:


Revision No.:


Ac ti vi ty Verification and calibration of laboratory testing equipment

Page No.

Risk Register

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Bureau of Research and Standards Physical Resource Management

Ris k 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

Miti gation

Contingency

Responsi ble

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.

FEB

Issue Date:


Doc. Code:


Revision No.:


2.

Ris k Event

Likelihood (L)

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

M

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

M

Identification of needs

Development of application system

0

52 of 57

Page No.

Information Management Ap pl ic ati on Develo pm ent

Ac ti vi ty 1.

Risk Register

2 8 2017 Annex B

1.

M

Consequence (i f r is k i s 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

Sev er it y

Risk Factor

L

M

M

M

M

M

Responsible

Conduct skills inventory and reassign personnel to the appropriate Training to area strengthen business analysis skills of BID personnel Establish guidelines Hire additional on the observance s killed personnel of the order of prioritization

Business Innovation Division, IMS

Mitigation Exposure to the different business processes of DPWH

Augment manpower complement

Contingency

Application Support Division, IMS

Issue Date:


Doc. Code:


Revision No.:

•

Risk Register

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Page No.

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

to insufficient manpower

3.

4.

Deployment of application is delayed due to incomplete documentation requirements

L

Unmet Service 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)

M

Deployment

Maintenance

1.

L

Efficiency and productivity of the concerned office will be compromised

M

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

M

Loss or unusability of data

H

Disruption of business continuity

L

Reiterate compliance with application deployment procedure

M

Establish guidelines on solution prioritization Augment manpower complement

Hire additional skilled manpower

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

Technology Send IT security Support officers to training Division, IMS

M

User Support Division, IMS

Authorize overtime on high priority incidents

Issue Date:


Doc. Code:


Revision No.:

•

Page No.

Risk Register

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Annex B 0

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Ensure anti-virus software is updated 3.

Fast updating of 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

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

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

H

H

Delayed completion of application

Technologyenabled business process improvements are hindered Delayed completion of application

H

H

H

All Divisions of IMS

Issue Date:


Doc. Code:


Revision No.:

• to few number of applicants

Risk Register Technologyenabled business process improvements are hindered

Page No.

Participate in Job Fairs conducted by colleges and universities

shopping alternative)

FEB

7

B

2 01 7

Annex B 0

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Issue Date:


Doc. Code:


Revision No.:


2.

Records Management

Document Management

2 B 2 01 7 Annex B 0

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Page No.

Human Resource and Administrative Service Documentation Management

Act iv it y 1.

Risk Register

FEB

Ris k Event

Likelihood (l)

1.

L

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

M

H


Severity

Risk Factor

Undelivered mails; inability to respond by the recipient

L

L

Diligence in determining contact data

Indicate postal codes for mailjs

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

Send hard copy to concerned office

RMD-HRAS

Mitigation

Co nt i ng en cy

Res po ns ib le HRAS

Issue Date:


Doc. Code:


Revision No.:

• 2.

Risk Register

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

Likelihood: (L) Unlikely

(M) Likely

L

(H) Very Likely

Page No.

H

Severity: (L) Low

(M) Medium

M

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

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IMS

A N NE X C

Issue Date:


•

Opportunity Register

FEB

2 B 2 01 7

Doc.Code:

Annex C

Revision No.:

0

PageNo.

1 of 13

Unit: Human Resource and Administrative Service Process: Documentation Management

Act iv it y

Sending of Issuances to all units in the Department

Opp or tun it y 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) 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 (BR)

Benefit Factor (LxBR)

High

6

Benefit Rating - (1) Low

(2) Medium

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

Action Plan(s)

Engage IMS disseminate Department emails of all

in helping new Orders to the email users

(3) High

or statutory requirement

Responsible

HRAS

Issue Date:

FEB

2 8 2017


Doc. Code:

Annex C


Revision No.:

0

PageNo.

2 of 13

•


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

Ac ti vi ty

Opportunity Event

Likelihood (L)

Benefit (if o pp or tu ni ty i s encountered)

Benefit Benefit Rat in g F ac to r (BR) (L xBR)

Ac ti on Pl an (s )

Responsible

Recruitment, Selection and Placement Filling up of vacant W ide selection for position best candidate due to Influx of candidates

Likely

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

High

6

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

Performance Mana ~ement Performance evaluation

Strict implementation of SPMS due to previously reported concerns

Likely

No room for bias in the performance rating

High

6

HRAS

Rewards and Reco~nition Granting of meritorious salary step increment

Boosted morale of employees due to increased salary

Very Likely

1. Improved personnel performance 2. Increased internal satisfaction

High

9

Strengthen advocacy on the rewards system of DPWH

Likely

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

Low

2

Form a team to come up HRAS with guidelines

HRAS

Learning and Development Training needs assessment

Only important Training Programs are given priority

LEGEND: Likelihood - (1) Unlikely

Note:

(2) Likely

(3) Very Likely


(2) Medium

(3) High

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

2 0 17

Doc.Code:

Annex C

RevisionNo.:

0

PageNo.

3 of 13

Bureau of Equipment Project Implementation

Ac ti vi ty

Inland Channel Dredging Project by Administration

Opportunity Event

Reduced Capital Expenditure for Dredging Project by Contract


Note:

(2) Likely

Benefit (if o pp or tu ni ty i s encountered)

Likelihood (L) Likely

(3) Very Likely

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 Rat in g (BR)

Benefit Factor (LxBR)

High

6

High

6

High

6

High

6


(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-by Administration 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

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

Issue Date:

Annex C


Revision No.:

a


4

Page No.

of 13

Bureau of Maintenance Infrastructure Asset Maintenance

Act iv it y

Undertake infrastructure maintenance

2 B 201 7

Doc. Code:

•

Unit: Process:

FEB



asset

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


(2) Likely

Not e: Acti on Plan

Likelihood (L) Very Likely

Very Likely

(3) Very Likely is required

Benefit Benefit (if opportunity is Rating en co un ter ed ) (BR) Contribution to poverty reduction through job creation

High

1. Price competitiveness 2. Faster delivery of materials

High

Action Plan

9

9


for Benefit Factor ~ 4, Action Plan

Benefit Factor

(2) Medium

is required

Sustain further utilization of local materials

(3) High

if regulatory or statutory requirement

Responsible

1. Bureau of Maintenance 2. Implementing Offices 1.

Bureau of Maintenance 2. Implementing Offices

Issue Date:

2017

Doc.Code:

Annex C


RevisionNo.:

o

Page No.

5 of 13

•

Unit: Process:

F

Department of Public Works and Highways Opportunity Register

Bureau of Maintenance Inspectorate and Monitoring

Act iv it y

Inspectorate and Monitoring


Engagement of the public in reporting defects / deficiencies on infrastructure


(2) Likely

Likelihood (L) Likely

(3) Very Likely

Benefit (i f o pp or tu ni ty i s en co un ter ed )


Benefit Factor

More timely response to the maintenance needs of infrastructure

High

6


(2) Medium

Action Plan

Promote the use of the DPWH feedback mechanism

(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 . Division Chiefs 4. Concerned BOM Staff 5. Regional Offices 6. District Engineering Offices

Issue Date:


•

Unit:

Process:


Doc.Code:

FEB

2

B

2 01 7

Annex C

RevisionNo.:

0

PageNo.

6 of 13

Bureau of Equipment Equipment Fleet Management

Act iv it y

Opp or tun it y Event Likelihood (l)

1. Operations and Maintenance (O&M)

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


(2) Likely

Likely

Benefit (if opportunity is en co un ter ed ) Lower or deferred capital expenditure from equipment acquisition

Benefit Rating (BR) High

Benefit Factor 6

(3) Very Likely


(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


Annex C


RevisionNo.:

0

PageNo.

7 of 13

• Ac ti vi ty

F E B 2 8 2017



Opp or tu ni ty Event Likelihood (l)

Benefit Benefit (if opportunity is Rating en co un ter ed ) (B R)

Benefit Factor

Action Plan

Responsible

predictive maintenance equipment and tools

2.

Decreased Equipment Fleet Failure Rate due to sustainable PM Program Compliance


(2) Likely

Likely

(3) Very Likely

1. Better 1 1mproved 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


(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

Not e: Act ion Pla n is r equ ired for Ben efit Fac tor: :=:4, Action Plan is required if regulatory or statutory requirement


Issue Date:


• Ac ti vi ty


Opp or tu ni ty Event Likelihood (l )

Benefit (i f o pp or tu ni ty i s encountered)


Benefit Factor

FEB

2 B 2 01 7

Doc.Code:

Annex C

RevisionNo.:

0

PageNo.

g of 13

Action Plan

Responsible

preventive and predictive maintenance equipment and tools

3. Local and International recognition due to PM Program Implementation


Note:

Likely

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

High

6

High

6

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

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


Issue Date:

2 B 2 0 11

Doc. Code:

Annex C


RevisionNo.:

0

PageNo.

g of 13

• Ac ti vi ty

FEB



Opp or tu ni ty Event Likelihood (l)


Benefit Rat in g (B R)

Benefit Factor

Action Plan

Responsible

predictive maintenance equipment and tools

2.

Disposal of obsolete/ uneconomical! unserviceable equipment

Revenue from sales of Disposable Equipment


(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

High

6

High

6

4, Action

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

High

6

High

6


Not e: Act ion Pla n is r equ ired for Ben efit Fa ctor :::

6

(2) Medium

(3) High

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


Annex C


RevisionNo.:

0

PageNo.

10 of 13

• Ac ti vi ty

FES 2 B 2017



Opp or tu ni ty Event L ik el i ho od (l)


6.


(2) Likely

(3) Very Likely

Materials and Tools Encouraged scrap business participation

Benefit Rat in g (B R)

High


Benefit Factor

Action Plan

6

(2) Medium

(3) High

Not e: Act ion Pla n is r equ ired for Ben efit Fac tor: ::: 4, Action Plan is required if regulatory or statutory requirement

Responsible


Annex C


RevisionNo.:

0

PageNo.

11 of 13

Responsible

•

Unit: Process:

F E S 1 B 2 01 1



Procurement Service I Unit Staff Procurement Management

Act iv it y

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


(2) Likely

Likelihood (l)

Likely

(3) Very Likely

Benefit (i f o pp or tu ni ty i s encountered) Prompt advertisement


Benefit Factor

High

6

Expedite procurement process


(2) Medium

Action Plan

1. Procurement 1. Require IO's for early submission of PPMP, Service / Unit Staff duly signed by Head of 10 and evaluated 2. Implementing by Head of Budget Office 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

(3) High

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

Issue Date:


Doc.Code:

Annex C


RevisionNo.:

o

• Ac ti vi ty

2. Pre- qualification and Bid Evaluation


Opp or tu ni ty Event

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


Note:

(2) Likely

Likelihood (l)

likely

(3) Very Likely

Benefit (if opportunity is encountered) Probability that a bidder/applicant rated "failed" in the evaluation to submit Motion for Reconsideration will lessen, thus, duration of evaluation will be shorten

Page No.

Benefit Rating (BR)

Benefit Factor

High

6


(2) Medium

12 of 13

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

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

DO 22 s 2017 - QMS Manual.pdf

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