DO 22 S 2017 - QMS Manual PDF

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Republic of the Philippines ov~~-.l.D/7
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

OFFICE OF THE SECRETARY
Manila
FEB 2 8 2017
DEPARTMENTORDER ) SUBJECT: Implementation of the Quality
) Management System (QMS) Manual
NO.
22
_
)
)
in conformance with
requirements of ISO 9001:2015
the
Series of 2017~~>9.t7
In line with the Department's policy to continuously improve the delivery of its services, all
Bureaus, Services, Unified Project Management Offices, Regional Offices and District
Engineering Offices are hereby required to implement the processes and mandatory
procedures in the Quality Management System (QMS) Manual.
Copies of this Manual (DPWH-QMSM-Revision No.3) will be provided by the Records

Management Division (RMD) of the Human Resource and Administrative Service (HRAS).
This Order shall take effect imme' Iy and shall supersede Department Order No. 93 Series
of 2016.
SIS
ersecretary
Officer-in-Charge
11.1.3 NJM/NSP/BEY
Department of Public Works and Highways

Office of the Secretary
1111111111111111111111111111111111111
WIN7P01517
Issue Date: FEB 2 2017
Doc. Code: DPWH-QMSM
Quality Management System Manual
Revision No.: 03
Page No. 1 of 3
Table of Contents
Section 1. Organizational Profile

1.1 Profile
1.2 Functions
1.3 Bureaus
1.4 Services
1.5 Unified Project Management Offices
1.6 Regional Offices
1.7 District Engineering Offices
Section 2. Quality Management System

2.1 Scope
2.2 Process Approach
Section 3. Leadership
3.1 Management Commitment
3.1.1 Core Values
3.1.2 Mandate
3.1.3 Vision
3.1.4 Mission
3.2 Quality Policy
3.3 Responsibility, Authority and Communication
3.3.1 Responsibility and Authority
3.3.2 Leadership
3.3.3 Management Representatives
3.3.4 Communication
Section 4. Planning
4.1 Strategic Direction
4.2 Risks and Opportunities
4.3 Objectives and Targets
4.4 Planning of Changes
Section 5. Operations
5.1 Planning of Product Realization
5.1.1 Project Identification
5.1.2 Formulation of Plans and Investment Programs
5.1.3 Project Planning
5.2 Customer Related Processes
5.2.1 Determination of Requirements Related to the Product
5.2.2 Review of Requirements Related to the Product
5.2.3 Customer Communication
5.3 Surveys and Design Development
5.4 Production and Service Provision
5.4.1 Control of Production and Service Provision
5.4.2 Validation of Processes for Production and Service Provision
5.4.3 Identification and Traceability
5.4.4 Property Belonging to Customers or External Providers
5.4.5 Preservation of Product (Infrastructure)
5.5 Control of Nonconforming Outputs
BE CERTAIN THAT THIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT
Issue Date: 2Q17
• Section 6.
Table of Contents
Support Processes
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6.1 Procurement Management

6.1.1 General
6.2 Human Resources Management
6.2.1 General
6.2.2 Competence, Training and Awareness
6.3 Financial Management
6.4 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
6.5 Information Management
6.6 Legal Services
6.7 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
6.8 Organizational Knowledge
Section 7. Petformance Evaluation

7.1 General
7.2 Monitoring and Measurement
7.2.1 General
7.2.2 Stakeholder Satisfaction
7.2.3 Internal Audit
7.2.4 Monitoring and Measurement of Processes
7.2.5 Monitoring and Measurement of Products
7.3 Analysis of Data
7.4 Management Review
7.4.1 General
7.4.2 Review Input
7.4.3 Review Output
Section 8. Improvement
8.1 General
8.2 Nonconformity and Corrective Action
Mandatory Procedures
Control of Documents, DPWH-QMSP-01

Control of Records, DPWH-QMSP-02
Internal Quality Audit, DPWH-QMSP-03
Control of Nonconforming Output, DPWH-QMSP-04
Corrective Action, DPWH-QMSP-05
Management Review, DPWH-QMSP-06
Issue Date: FEB
• Annexes
Table of Contents
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A Relevant Interested Parties

B Risk Register
C Opportunity Register
Issue Date: FEB 2 B 2017
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Section 1. Organizational Profile
1.1 Profile
The Department of Public Works and Highways (DPWH) is the state's engineering and construction
arm. As a public service agency, its primordial concern is to find the most effective and efficient
ways to serve its clientele - the Filipino people. The DPWH is one of the largest organizations in
the executive branch in terms of size and budget. It is composed of six (6) Bureaus, nine (9)
Services, 17 Regional Offices (ROs), over 180 District Engineering Offices (DEOs) and five (5)
Unified Project Management Offices (UPMOs).
1.2 Functions
The Department of Public Works and Highways (DPWH) is tasked to continuously develop its
technology for the purpose of ensuring the safety of all infrastructure facilities and securing for all
public works and highways the highest efficiency and quality in construction.
1.3 Bureaus
a. Bureau of Design (BOD) conducts, supervises and reviews field surveys, schemes, designs,
specifications, estimates, tender/contract documents covering the technical design aspects of
the DPWH projects and that of other government agencies in accordance with current
guidelines, criteria and standards.
b. Bureau of Construction (BOC) reviews and evaluates programs, estimates, contract

documents, progress reports for civil work projects, as well as inspects, checks and monitors
construction projects and provides technical assistance to DPWH implementing offices and
other government agencies.
c. Bureau of Maintenance (BOM) handles the maintenance of the nation's public works and
highways facilities. Relative to this, it conducts field inspections to effectively monitor
maintenance activities of the DEOs; oversees/coordinates quick response mechanisms with
ROs and DEOs relating to repair works on calamity-damaged infrastructure.
d. Bureau of Equipment (BOE) monitors compliance to standards, operation and

maintenance of all DPWH land and water-based equipment. It evaluates the Department's
equipment requirements and recommends its acquisition and allocation. It takes custody of
the DPWH equipment including service vehicles; undertakes the maintenance of service
vehicles and equipment at the Central Office; and administers equipment rental.
e. Bureau of Research& Standards (BRS) undertakes research studies and pilot trials of new
materials/technologies to improve the quality of government infrastructure projects;
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formulates specifications, standards and guidelines; and conducts quality testing of various
construction materials.
f. Bureau of Quality and Safety (BQS) monitors the implementation of policies to ensure
the safety of infrastructures, and secure the highest efficiency and quality in construction
through checking of compliance with approved plans and specifications. BQS undertakes the
analysis and evaluation of accident data, annual average daily traffic (MDT) data and
weigh bridge data.
1.4 Services
a. Planning Service (PS) provides technical services relating to planning, programming and
project development. It prepares the Department's Medium Term Development Plan and
Medium-Term Public Investment Program including the formulation of the Annual
Infrastructure Program (AlP) for presentation to and approval of Congress.
b. Public-Private Partnership Service (PPPS) undertakes the planning, marketing,

procurement, monitoring and management of projects as provided for under R.A. 6957 (BOT
Law) and amended under R.A. 7718.
c. Procurement Service (PrS) serves as the main support unit of the various Bids and Awards
Committees (BACs) of the Central Office and is responsible for the procurement of contract for
civil works, consultancy, and goods and services as prescribed in the DPWH Annual
Procurement Plan (APP); as well as for the registrations of contractors.
d. Human Resources and Administrative Service (HRAS) implements the integrated

human resource management and development plan, namely: Recruitment, Selection and
Placement; Performance Management; Rewards and Recognition; and, Learning and
Development. It provides services related to human resource development, supply and
property management, security and maintenance of building facilities, cash management,
records management and library facilities.
e. Finance Service (FS) provides services related to budgeting, accounting and all financial
housekeeping matters including preparation of budget proposals, pursuing formal budget
authorizations, and undertaking budget execution and control.
f. Information Management Service (IMS) manages and maintains the DPWH information
and communications technology (lCT) resources and carries out researches on development
and future trends. It undertakes activities to institute IT-enabled process improvements;
develops and maintains the enterprise-wide and individual unit applications including the
Department's websites; plans and implements IT Training programs, and provides technical
support to IT users.
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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 right-
of-way for national infrastructure projects.
h. Stakeholders Relations Service (SRS) manages the social marketing and mobilization
programs of the Department to strengthen its relationship with external stakeholders,
specifically non-government organizations (NGOs) and Civil Society Organizations (CSOs), so
they can take an active part in governance.
i. Internal Audit Service (IAS) advises the Secretary on all matters related to management
control and operations audit. It conducts management and operations audit, review and
appraisal of systems and procedures, organization structures, assets management practices,
and reports. It analyses and evaluates management deficiencies and recommends courses of
action.
1.5 Unified Project Management Office (UPMO) undertakes project operations and
management; project reporting, evaluation and monitoring; coordination with various stakeholders
and post project completion, and mainstreaming of project concerns in regular activities. It is
composed of the following clusters:
a. Bridges Management Cluster (BMC) undertakes project implementation, supervision and

monitoring of foreign and locally funded bridge and flyover projects located nationwide until its
completion, in accordance with the approved plans and specifications.
b. Flood Control Management Cluster (FCMC) undertakes project implementation and

technical research on water and sediment-related disaster mitigation; formulates programs on
capacity building in flood management and sabo engineering; evaluates the flood control
system in river basins; and prescribes guidelines on the conduct of post-disaster survey and
assessment.
c. Roads Management Cluster I (RMC-I) Bilateral undertakes the overall implementation,

supervision and monitoring of projects funded through bilateral agreements until its
completion, in accordance with the approved plans and specifications.
d. Roads Management Cluster II (RMC-II) Multilateral undertakes the overall

implementation, supervision and monitoring of projects funded through multilateral agencies
such as Asian Development Bank (ADB) and World Bank (WB) until its completion, in
accordance with the approved plans and specifications.
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e. Buildings Management Cluster (BuMC) undertakes the administration and enforcement

of the provisions of the National Building Code of the Philippines (P.O. 1096) and its IRR, and
the monitoring of projects of other national government agencies assigned to this office.

Organizational Chart
Per Department Order No. 227, s. 2016, dated December 15, 2016
SECRETARY
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- MetropolItan'Newcl1cs an! Sewerage System (~) Internal Audit
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Undersecretary Undersecretary
Undersecretary Undersecretary Undersecretary Undersecretary fOi for Undersecretary
for
for for for Legal Affairs & Regional Operations for
Regional Q>e!ations
Planning & ppp Technical Services Support Services Priority Projects In Luzon In IfIS-Min upm Operations
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Assistant Secretary Assistant Secretary Assistant Secretary
Assistant Secretary Assistant Secretary for for for
for for Regional Q>e!ations Regional Q>e!ations Regional Q>e!ations
Technical Services Support Seivices in Luzon in VISa""" in Mindanao
I I
Ekl'eau 8 Regional00ites 4 Regional00ites 5 Regional00ites IlIidges
of Procurement Legal Service in Luzon in Vlsayas in Mindanao Management
Planning Service
Design Service Ouster
CAR RegionVI RegionIX
NCR RegionVII RegionX
RegionI RegionVIII Regm XI
Nlk-PriYate EkJ'eau ~ Resource &. Stakeholders RegionII NIR RegionXII Rood Control
of Relations RegionIII RegionXIII Management
Pertnership Mmistrative RegionIV-A
Service Construction Service Service Ouster •
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of Researd1 projects
&. Standards auster
• - The oversight functions over the flood Control Management Cluster

EkI'eau under the UPMOshall be shared by the Undersecretaries for Regional
of OperatIons based on the" areas of assignment Withthe Undersecretary
for UPMOOperations as defined in D.O. 87. 5.2016.
Figure 1.1 DPWH Organizational Chart
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1.6 Regional Offices (ROs)
a. Office of the Regional Director provides overall supervision and administration of technical,
financial, human resource and administrative functions of the Region and all District
Engineering Offices (DEOs) under its jurisdiction.
i. Legal Staff prepares memoranda of agreement and other legal instruments; reviews,
interprets and processes contract agreements and other instruments entered into by the
Region and the District Engineering Offices under its jurisdiction; and provides legal
services in the acquisition of right-of-way for infrastructure projects in the Region.
ii. Procurement Staff manages and administers the procurement activities and processes
of the Regional Office, including provision of Secretariat and technical support services to
the Regional Bids and Awards Committee; maintains and administers the registration and
accreditation of suppliers for goods and services in the Region; and monitors compliance
with procurement processes and guidelines of District Engineering Offices.
iii. Information and Communication Technology Staff manages and maintains the wide
area network of the Region which includes network infrastructure, enterprise servers and
technology environment for both voice and data; and provides support services to Regional
web data sources.
iv. Public Affairs and Information Staff undertakes information dissemination in the
Regional Office; manages media-related activities by improving coordination, expanding
linkages and establishing network with peers in the Region, Districts and Head of Office for
quick response to issues and feedback; is also responsible for matters concerning CSO
partnerships and customer feedback management.
b. Planning and Design Division implements pertinent laws, policies, standards, guidelines
and procedures in the planning and design of roads, bridges, flood mitigation structures,
buildings and other public works projects; reviews, updates and consolidates the annual
infrastructure program of the Region including the long and medium term infrastructure
development plans. It also reviews, updates and recommends the approved plans, Program
of Work (POW), and estimates of infrastructure projects within the Region and its District
Engineering Offices; and recommends for the approval, by the Central Office, of projects
beyond the level of its delegated authority.
c. Construction Division supervises and implements infrastructure projects in accordance with

approved plans, specifications, and delegated authority of the Regional Office. It also
oversees, assists, inspects and monitors infrastructure projects implemented by the District
Engineering Offices, Local Government Units (LGUs) and other government agencies -
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including those covered by Memoranda of Agreement - in accordance with existing standards

and guidelines, and within its approved level of authority.
d. Maintenance Division implements guidelines and procedures for the effective maintenance
of infrastructure and to ensure that the annual maintenance works, programs, and
performance budget are properly implemented. It oversees, inspects, verifies, monitors and
evaluates the maintenance of infrastructure projects implemented by the District Engineering
Offices in accordance with existing standards and guidelines, and within its approved level of
authority.
e. Equipment Management Division manages and monitors the use of equipment fleet in
the Regional Office both for regular operations and for quick response during calamities and
emergency situations. It advises the Regional Director regarding inter-DEO transfer and
repositioning of Basic Highway Maintenance Equipment (BHME) to ensure strategic Region-
wide equipment allocation, distribution and utilization. It also undertakes equipment
rehabilitation upon the joint approval of the Regional Director and the Director of the BOE.
f. Quality Assurance and Hydrology Division monitors the implementation of Quality

Assurance Program of the Region and District Engineering Offices in accordance with the
quality assurance policies of the Department. It operates and maintains the Regional Testing
Laboratory and conducts testing of construction materials for projects undertaken by the RO,
UPMO, DEOs, LGUs and other government agencies within its area of jurisdiction.
g. Administrative Division advises the Regional Director on all matters pertaining to human
resource management, human resource development, records management, cash
management, and supply and property management. It recommends the needed
organizational development for the Regional and District Engineering Offices to the Central
Office.
h. Finance Division provides the Regional Office with coordinated services on budgeting,
accounting and other financial services; implements and improves Financial Management and
Internal Control System. It also prepares, analyzes and consolidates the budget proposals of
the Region, prepares management reports, and gives advice to the Regional Director and
District Engineers on matters relating to fiscal administration.
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LEGAL STAFF
PROCUREMENT STAFF
INFORMATION AND COMMUNICATION

TECHNOLOGY STAFF DISTRICT
ENGINEERING
PUBLIC AFFAIRS AND INFORMATION OFFICES
STAFF
QUALITY FINANCIAL
EQUIPMENT ADMINISTRATIVE
PLANNING AND CONSTRUCTION MAINTENANCE ASSURANCE AND
MANAGEMENT DIVISION DIVISION
DESIGN DIVISION DIVISION DIVISION HYDROLOGY
DIVISION
DIVISION
Figure 1.2 Organizational Chart of Regional Offices
1.7 District Engineering Offices
a. Office of the District Engineer provides overall supervision and administration of technical,
financial, human resource and administrative activities of the District Engineering Office.
i. Procurement Staff administers procurement activities and processes of the District

Engineering Office.
ii. Information and Communication Technology Staff manages and maintains the wide
area network of the District which includes the network infrastructure, enterprise servers
and technology environment for both voice and data; and provides support services to
Regional web data sources.
iii. Public Information Staff undertakes information dissemination in the District; manages
media-related activities by improving coordination, expanding linkages, and establishing
network with peers in the Region, Districts and the Head of Office for quick response to
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issues and feedback; is responsible for matters pertaining to CSO partnerships and
customer feedback management.
b. Planning and Design Section implements pertinent laws, policies, standards, guidelines and
procedures in the planning and design of roads, bridges, flood mitigation structures, buildings
and other public works projects; reviews, updates, and consolidates the annual infrastructure
program, and recommends the approved plans, POW, and estimates of infrastructure projects
within the DEO.
c. Construction Section supervises and implements infrastructure projects in accordance with

approved plans, specifications and delegated authority of the DEO.
d. Maintenance Section implements guidelines and procedures for effective maintenance of

infrastructures and ensures that the annual maintenance works, programs and performance
budget are properly implemented within the DEO.
e. Quality Assurance Section monitors the implementation of Quality Assurance Program of

the DEO in accordance with the quality assurance policies of the Department.
f. Human Resource and Administrative Section advises the District Engineer on all matters
pertaining to human resources management, human resource development, records
management, cash management, and supply and property management.
g. Finance Section provides the DEO with coordinated services on budgeting, accounting and
other financial services; implements and improves Financial Management and Internal Control
System.
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PROCUREMENT STAFF
INFORMATION AND COMMUNICATION

TECHNOLOGY STAFF
PUBLIC INFORMATION STAFF
HUMAN RESOURCE
FINANCIAL
PLANNING AND CONSTRUCTION MAINTENANCE QUALITY ASSURANCE AND
SECTION
DESIGN SECTION SECTION SECTION SECTION ADMINISTRATIVE
SECTION
Figure 1.3 Organizational Chart of District Engineering Offices
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Section 2. Quality Management System
2.1 Scope
Based on analysis of the issues of concern, interests of stakeholders, and in consideration of its
products and services, the DPWH has determined the scope of the management system as follows:
Public administration covering planning, design, construction, and maintenance of infrastructures,

national highways, flood control, water resources development system and other public works in
accordance with the national development objectives.
The QMS applies to all Bureaus, Services, Regional Offices (ROs), District Engineering Offices (DEOs)
and Unified Project Management Offices (UPMOs).
All requirements of ISO 9001 Standard are applicable to DPWH QMS.
2.2 Process Approach
The DPWH has adopted a process approach for its QMS. The identification and management of high
level processes reduce the potential for nonconforming products and services found during final
processes or after delivery. Nonconformities and risks are identified and actions are taken within
each of the high level processes.
Each high level process has:
a. Quality objective
b. Applicable risks and opportunities
c. Applicable inputs and outputs
d. Responsibilities and authorities
e. Supporting resources
f. Criteria and methods used to ensure effectiveness of the process
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These high level processes, their sequence and interaction are illustrated in the DPWH process model.
DPWH PROCESS MODEL
Customers and
Relevant Interested
Parties
o Genera Pubic
o I-Iotorists
o Pedestrians
o CMI Sac' Organilations
o Contractors
o Consultants Customer
o SuppIiefs
o Business SectDr Satisfaction
o~~
o NatiooaI Government
~ies
o lee Govemmeot Aoencies
o 0tM GoYemrnen Aoencies
o IntemaI Stakeholders
Products and
Requirements Services
1. N;-.t"odc(l:)'
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El31u:./j:(1 ;0:
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2. N,1'1.Je~'C(tUTlin;
I~."..· E',,~ .(J1
J.. !C-onltl
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Section 3. Leadership
3.1 Management Commitment
3.1.1 Core Values
• Public Service: Anticipating and responding to the needs of all stakeholders and
satisfying their needs through quality effort, DPWH officials and employees shall deliver
the kind of facilities and services that are responsive to the needs of the Filipino people.
• Integrity: Conducting one's business in a transparent, honest, and ethical manner,

DPWH officials and employees shall maximize the effectiveness of the public's resources
entrusted to them, practice simple living, have the moral courage to make tough
decisions, and to do what is right for the nation. They shall do the right things the right
way.
• Professionalism: Taking pride in one's work and committed to the pursuit of excellence,
DPWH officials and employees shall act competently, ethically, diligently, and with
accountability and dignity in their areas of expertise. They shall be given challenging
assignments and training, and promotions shall be based on merit.
• Excellence: By continuously pursuing the highest quality of work in serving the public,
DPWH officials and employees shall deliver the highest quality results beyond what is
expected and required of them - on time, just in time, and all the time.
• Teamwork: Working together in an environment of trust, fairness, respect, cooperation

and communication, DPWH officials and employees shall focus their efforts in the
attainment of the vision, mission and goals of the Department.
3.1.2 Mandate
The Department of Public Works and Highways (DPWH) is one of the three departments of
the government undertaking major infrastructure projects. The DPWH is mandated to
undertake (a) the planning of infrastructures, such as national roads and bridges, flood
control, water resources projects, and other public works; and (b) the design, construction
and maintenance of national roads and bridges, and major flood control systems.
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3.1.3 Vision
By 2030, DPWH is an effective and efficient government agency, improving the life of every
Filipino through quality infrastructure.
3.1.4 Mission
To provide and manage quality infrastructure facilities and services responsive to the needs
of the Filipino people in the pursuit of national development objectives.
3.2 Quality Policy
The DPWH Executive Committee regards its QMS as a strategic asset that will help in the continual
improvement of its systems. For this purpose, the following statement on Quality Policy is
established:
We commit to provide quality, safe, and environment-friendly public infrastructure

facilities that will improve the life of every Filipino.
We commit to comply with all requirements and to continually improve effectiveness

and efficiency in serving the public.
We endeavour to implement the RIGHT PROJECTSat the RIGHT COST determined

through transparent and competitive bidding; with the RIGHT QUALTIY, according to
international standards; delivered RIGHT ON TIME through close monitoring of
project implementation; and carried out by the RIGHT PEOPLE who are competent
and committed to uphold the values of public service, integrity, professionalism,
excellence, and teamwork.
3.3 Responsibility, Authority and Communication
3.3.1 Responsibility and Authority
The present mandate of the DPWH is outlined in the approved Organizational Structure
under Executive Order 366, series of 2004.
The duties and responsibilities of DPWH officials are periodically defined and communicated
-as needed - within the organization, and further delineated in Functional Charts, Position
Description Forms (PDFs), Qualification Standards, and other QMS documents.
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3.3.2 Leadership
The Secretary provides evidence of leadership and commitment to the development and
implementation 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. promoting improvement; and,
j. supporting other relevant management roles to demonstrate his leadership as it applies
to his areas of responsibility.
3.3.3 Management Representatives
The Secretary designates an Overall Quality Management Representative, a Deputy Quality

Management Representative, Bureau/Service/RegionaIjProject Directors, and District
Engineers as Office Quality Management Representatives. These Management
Representatives have the defined authority to:
a. Oversee the overall affairs of the QMS and not only the operation of function
areas;
b. Initiate the QMS activities and monitor its implementation, as a delegated
task from Top Management;
c. Ensure that processes needed by the QMS are established, implemented and
maintained;
d. Ensure the promotion of awareness of customer requirements throughout the
organization; and,
e. Act as liaison with external parties on matters related to the QMS.
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3.3.4 Communication
The Executive Committee ensures that the internal and external communications procedures
are in place. Internal and external communications, including communications regarding the
effectiveness of the QMS, are carried out in accordance with a procedure which sets out a
process to ensure that written and verbal communications are adequately recorded,
preserved, distributed, and acted upon.
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Section4. Planning
4.1 Strategic Direction
The DPWH reviews and analyzes the key aspects of the organization and its stakeholders to
determine its strategic direction. This involves:
a. Understanding the core products and services, and scope of the Quality Management System
(QMS).
b. Identifying stakeholders who receive products and services, or who may be impacted by them,
or those parties who may otherwise have a significant interest in DPWH. These parties are
identified in the document Relevant Interested Parties Matrix (RIPM).
c. Understanding internal and external issues that are of concern to DPWH and its interested parties
and also identified in the RIPM. Many such issues are identified through an analysis of risks facing
either DPWH or the interested parties. Such issues are monitored and updated - as appropriate
- and discussed as part of management reviews.
These information are used by the Executive Committee to determine the organization's strategic
direction. This is defined in records of management review and periodically updated as conditions
and situations change.
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VISION STRATEGY MAP 2022

DPWH is an effective and efficient government agency. Department 01 Public Works
improving the life of every Filipino through quality infrastructure. and Highways
Right Project. Right Cost. Right Duality, Right on Time, Ri ht People
Invoved road lives S properties protected from

Reduced travel time quatrty S safety natural disasters
Mae inte~na ional standard Lr road Mligate ood damaga On major ri "e
Inr: ease 1'03 network capacity bas'ns
sur' ace quality
onst uct new roads S br'dges '01' a P ov"de tha engine3~ing solution 0 road BuiL:!disaster-ra . ien 'ruet:!. as fn
seamless trans~lor· systa safa y onC8rns calamit' -pro 18areas
Instit tionalize Conform 'tn esign Expedite proeu a nt m Iy with m intanane

mul"i-year plann:ng standards D OCBSS standards
E aMe the co e
Co nect COIlYErgeice , urture a cui ure f Augment pe sennelS pti he e ipmeot
processes ."ith the
roa projects 0 e ethical'nnDV3 'on 0 enhance uti ization 0 increase
la est ajl~.ro ria ::
national r ad networ ccntinuous learning conpetencies absorptive apaci
tec ology
MISSION . COREVALUES
To provide and manage quality infrastructure faci~ties and services responsive to the needs olthe FaipinD Public Service. Integrity. Professionalism.
people in the pursuit 01 national development objectives. Excellence. Teamwork
Figure 4.1 DPWHStrategy Map
4.2 Risks and Opportunities
The DPWH considers risks and opportunities when taking actions within the QMS. Risks and
opportunities are identified as part of understanding the internal and external issues that are of
concern to the organization, its interested parties, and throughout all other activities of the QMS.
Risks and opportunities are managed in accordance with the Risk and Opportunity Registers.
These documents define how risks are managed in order to minimize its "likelihood" and "impact",
and how opportunities are tapped to increase its likelihood and benefit.
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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 for the purposes of long-term
continual improvement. Review of the performance of these objectives is recorded in the
Management Review minutes.
When a process does not meet a goal, or a problem is encountered within a process, the corrective
action process is implemented to resolve the issue.
4.4 Planningof Changes
When DPWH determines the need for changes to the QMS or its processes, these changes are
planned, implemented, and then verified for effectiveness. If the change necessitates creation of
a new document or revision of an existing one, the document is changed in accordance with the
Control of Documents Procedure.
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Section 5. Operations
5.1 Planning of Product Realization
5.1.1. Project Identification
The Planning Service classifies projects by Major Final Output such as national road network
services, flood management services, and maintenance and construction services of other
infrastructures. It categorizes these projects under various programs (i.e., roads and bridges,
flood control and drainage, water supply and sewerage, and other infrastructures) and can
be funded from local, foreign or public-private partnership funding sources.
Project identification and prioritization are based on the outputs of planning applications such
as the Pavement Management System (PMS) using the Highway Development Management
(HDM-4), the Bridge Management System (BMS), and area development surveys, master
plans, regional development plans and convergence programs. These are undertaken by the
DPWH in coordination with other concerned entities and stakeholders such as NEDA, Regional
Development Council (RDCs) and other National Government Agencies (NGAs), consistent
with the national development goals and objectives.
The DPWH established a planning process involving the use of planning tools for an objective
selection and prioritization of road and bridge projects, consistent with the DPWH
policy of implementing the right projects. This planning process starts with data collection
conducted by the District Engineering Offices under the supervision of the Regional Offices.
The data collected are stored in centralized databases: the Road and Bridge Information
Application (RBIA) managed by the Planning Service, and the Road Traffic Information
Application (RTIA) managed by the Bureau of Quality and Safety.
The data in the RBIA and RTIA are used in the objective selection and prioritization of road
and bridge projects.
For projects that require big investments, pre-feasibility (business case) and feasibility studies
are generally undertaken to verify its viability and to determine the investment and
implementation requirements. These studies consist of various investigations and analyses
to ascertain if the project is desirable in terms of the technical, economic, social,
environmental, financial and operational aspects.
5.1.2. Formulation of Plans and Investment Programs
Projects that have been selected and prioritized - based on the outputs of the planning
applications, or having passed the feasibility criteria - are considered candidates for inclusion
in the medium-term infrastructure program and budget using the Multi-Year Programming
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and Scheduling (MYPS) Application, where they are evaluated and ranked using the Multi-
Criteria Analysis (MCA) for roads and bridges.
Flood control projects are evaluated using the flood control evaluation criteria. The selection
and prioritization of identified and evaluated projects are based on the requirements and
needs assessment of the ROs and DEOs, the master plan on the major river basins and
principal rivers, and from the studies conducted by the Flood Control Management Division
of the Unified Project Management Office (UPMO).
For other infrastructure projects, prioritization and selection are based on the convergence
programs of the Department with other agencies (e.g., tourism roads with Department of
Tourism, school building projects with the Department of Education, and farm-to-market
roads with the Department of Agriculture, among others).
DPWH prepares the Annual Infrastructure Program based on the Public Investment Program
(PIP) and available budgetary resources, which is submitted to the Department of Budget
and Management (DBM). This is incorporated in the National Expenditure Program (NEP) and
is submitted to Congress by the President for appropriation of funds under the General
Appropriation Act (GAA) for the following budget year.
The DPWH Annual Infrastructure Program contains the projects to be implemented

by PPP Service, the UPMOs (for foreign-assisted projects) and the ROs and DEOs (for locally-
funded projects), based on the approved levels of authority. These implementing offices are
responsible for the conduct of detailed engineering as part of project planning prior to project
implementation.
5.1.3. Project Planning
The QMS contains a documented procedure and provides a uniform process and template
for the development of project specific plans. Planning activities start with project
preparations (such as engineering surveys together with soil investigation), environmental
and social survey, and the preparation of necessary documents: Environmental Impact
Assessment (EIS), Initial Environmental Examination (lEE), Social Impact Assessment (SIA),
Resettlement Action Plan (RAP), Indigenous People Development Plan (IPDP) and Gender
and Development (GAD) Plan.
Project specific plans are based on the procedures in this QMS Manual, and can also include
processes and documents which are specific to a project.
Project specific plans contain the required verification, validation, monitoring, measurement,
inspection and test activities specific to the project and the criteria for product acceptance.
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Project specific plans also contain records showing evidence that the realization processes
and resulting product meet requirements.
5.2 Customer Related Processes
5.2.1. Determination of Requirements Related to the Product
The implementing office shall determine the necessary project requirements based
on customer needs and the technical, financial and environmental aspects of the project.
These include delivery and post-delivery activity requirements as well as other statutory and
regulatory requirements applicable to the project, including those not stated by the customers
but necessary for its specified or intended use.
5.2.2. Review of Requirements Related to the Product
Before the implementation of a new project, the project requirements are assessed and
reviewed to determine the accuracy of data and to verify if there are inconsistencies that
would lead to possible variations in design.
Any changes in the requirements are communicated to the responsible personnel, and
documents are amended to reflect these changes.
5.2.3. Customer Communication
DPWH has implemented effective arrangements for communicating with customers in

relation to the delivery of contractual obligations, customer enquiries and customer
feedback, including customer complaints.
The DPWH, through the Stakeholders Relations Service (SRS), monitors and responds to
customers' concerns through the following channels: 24/7 Call Center 165-02, short
messaging system (SMS) TXT DPWH 2920, phone-in, letters (direct and referrals), DPWH
website, DPWH Public Information Division (PID) email account, social media (DPWH official
Facebook and Twitter accounts), the President's Facebook account, walk-in, print and
broadcast media, and civil society organizations. The SRS assesses customer satisfaction
through the analysis of feedback gathered from these mechanisms and channels.
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5.3 Surveys and Design Development
The DPWH, through the Bureau of Design (BOD) and its counterpart regional and district offices,
conducts and reviews detailed engineering surveys and investigations. In order to come up with
the most functional, safe and cost-effective infrastructure design, it also monitors and implements
the following design stages,:
a. Preliminary Design Development. In this stage, the initial requirements of design (e.g., design
parameters and criteria), initial site survey (such as geological/geotechnical investigation, as
needed), detailed engineering survey, and right-of-way requirements are incorporated.
The field books, together with electronic files relative to the conduct of detailed engineering
surveys and investigations, are preserved.
b. Design Development Stage. During this stage, the initial comments/recommendations on the
preliminary design schemes, final results of engineering surveys and value engineering, are
incorporated into the final design schemes. These are reviewed and evaluated and the final
comments and recommendations are provided, which are subsequently incorporated into the
Final Design Plan.
Final Design Plan Development. At this stage, the Evaluation of the final design plan incorporates
the comments/recommendations on the design development and the monitoring of compliance.
Final Design Approval. This stage involves the Approval of the final design plans, Bill of
Quantities, specifications and other contract documents for implementation.
c. Control of Design Change. This involves the verification of proposed changes in the approved
design plans and the validation of their appropriateness to actual site condition. Any changes
in the design plans are reviewed and concurred with, both for outsourced and in-house projects.
Revised plans are issued for implementation to concerned implementing offices. All changes
made by the implementing office through site instructions are first validated and approved.
For PPP Projects, the design and development is in accordance with the Concession Agreement.
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5.4 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 personnel;
f. Pre-delivery services such as Final Inspection and Testing; and,
g. Post-delivery activities such as warranty period and maintenance.
5.4.2. Validation of Processes for Production and Service Provision
The Bureau of Research and Standards (BRS) and the Implementing Offices concerned
(UPMO, ROs and DEOs) conduct tests on samples of construction materials prior to use in
the projects. If the implementing offices do not have the capability to conduct such tests due
to non-availability of necessary equipment/apparatus and/or chemical reagents, or due to
voluminous samples to be tested, the samples are brought to the BRS or to duly-accredited
private testing laboratories, upon issuance of waiver by the concerned implementing offices.
This is to ensure that only materials of the highest quality are used in the projects.
The Bureau of Quality and Safety, its Regional and District counterparts and UPMO ensure
the conformance of the project to plans and specifications.
5.4.3. Identification and Traceability
The Bureau of Construction (BOC), its Regional and District counterparts and UPMO maintain
project records to ensure adequate identification and traceability. Information on the
infrastructure projects such as project description, project ID, start and completion dates,
duration, contract number, implementing office, the contractor/s name, contract amount,
and funding source are maintained in the database.
The QMS ensures that a procedure to positively indicate the conformance or non-
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conformance of a product and/or the process with regard to inspection and tests performed
is in place.
5.4.4. Property Belonging to Customers or External Providers
The DPWH exercises care for customer or supplier property while it is under the
organization's control or being used by the organization. Upon receipt, such property is
identified, verified, protected and safeguarded. If such property is lost, damaged, or found
unsuitable for use, this is reported to the customer or supplier, and corresponding records
are maintained.
5.4.5. Preservation of Product (Infrastructure)
The DPWH has a documented procedure on the detailed phases of acceptable construction
practices - which includes the preservation of completed structures - that is made available
to DPWH field engineers as guide.
As soon as a project is completed, it is subjected to final inspection prior to the issuance of

a certificate of completion. If no defects/deficiencies are noted a year after completion, a
certificate of acceptance is issued.
Upon acceptance, the project is automatically included in the DPWH maintenance activities
of the Bureau of Maintenance (BOM) and its Regional and District counterparts.
When an infrastructure is beyond the scope of regular maintenance, rehabilitation activities

is undertaken by the concerned implementing office.
5.5 Control of Nonconforming Outputs
DPWH's inspection and test procedure ensures that an output which does not conform to product
requirements is identified and controlled to prevent its unintended use or delivery. The Control of
Nonconforming Outputs procedure, DPWH-QMSP-04, defines the controls and related responsibilities
and authorities for dealing with nonconforming outputs.
When a nonconforming output is corrected, DPWH subjects the output to re-verification to validate
its conformity to the requirements.
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Section 6. Support Processes
6.1 Procurement Management
6.1.1 General
The Procurement Service and its counterpart procurement units in the Regional and District
Offices act as Bids and Awards Committee (BAC) Secretariat and provide TWG services to
the DPWH's BAC for Civil Works, Consultancy Services and Goods. These offices assist the
BAC of all DPWH offices by providing advice and recommendations based on the existing
laws and regulations and procurement guidelines of funding institutions.
Preparing for procurement is an important phase, which basically involves three activities:
a. Procurement Planning where the procuring entity and its BAC schedule in advance its
procurement activities for the year through the Project Procurement Management Plan
(PPMP), which is consolidated into the Annual Procurement Plan (APP);
b. Preparation of Bidding Documents where the procuring entity ensures that all the
information provided to the bidders are accurate and comprehensively reflect the main
activities of the PPMP, and;
c. Conduct of Pre-Procurement Conference where all the officials involved in the
procurement meet and discuss all aspects of the transaction.
For the procurement of Consultancy Services, in conformity with the schedule provided in
the existing Rules and Regulations and Procurement Guidelines of foreign lending
institutions, the following activities are undertaken:
a. Advertisement
b. Receipt of Applications for Eligibility and Shortlisting and conduct of Eligibility Check
c. Shortlisting
d. Issuance of Request for Proposals (RFP)jBid Documents (BDs)
e. Conduct of Pre-Bid Conference
f. Submission and Receipt of Bids
g. Bid Evaluation
h. Negotiation
i. Post-Qualification
j. Issuance of Notice of Award.
To measure the performance of consultants in their completed projects, the Consultant's

Performance Evaluation System (ConsPES) is applied. The results derived from the
ConsPES is considered as input for shortlisting and bid evaluation.
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As to the procurement of Infrastructure Projects, and Goods and Services, the following
activities - which also follow the existing Rules and Regulations and Procurement Guidelines
of foreign lending institutions - are undertaken:
a. Advertisement
b. Pre-Bid Conference
c. Submission and Receipt of Bids
d. Eligibility Check
e. Bid Evaluation
f. Post-Qualification
g. Award of Contract
The Specialized Offices ensure that the goods delivered are in accordance with the
specifications.
6.2 Human ResourcesManagement
6.2.1 General
The Human Resources and Administrative Service (HRAS) and its Regional and District
counterparts ensure that applicants who get hired and employees who are promoted have
the required credentials and qualifications for their respective positions, prescribed under the
Qualification Standards (QS) Manual of the Civil Service Commission (CSC) as well as the
Preferred Qualification Standards set by the office where the vacancy exists.
The QMS contains procedure for the training of employees in the tasks they are expected to
perform. Training needs are assessed annually and are documented.
The HRAS formulates and implements policies, guidelines, systems, methodologies, programs
and projects on human resource development, which included capacity-building and
empowerment. These are carried out thru:
a. Competency Gap Determination and Evaluation thru Training Needs Assessment and
Impact Evaluation
b. Capacity Building and Empowerment thru Course Administration/Facilitation
c. Development of Course Design
d. Management of Training Equipment, Facilities and of Materials and Multimedia
Development
e. Coordination of External Learning and Development
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6.2.2 Competence, Training, and Awareness
To ensure that employees have the competencies required by their function, the HRAS and
its Regional and District counterparts carry out the following:
a. Determine the necessary skills and aptitudes of employees performing work that affects
conformity to product requirements;
b. Provide training or take other actions so that the necessary competence is acquired;
c. 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. Maintain records of employees' education, training, skills, and experience.
6.3 Financial Management
The Finance Service (FS) and its Regional and District counterparts manage and administer all
finance-related matters of the Department through the following:
a. Ensure that all financial transactions and operations are being recorded in accordance with
generally accepted accounting principles and pertinent laws, rules and regulations.
b. Control allotments by maintaining a Registry of Allotments and Obligations to ensure that all
monies appropriated for function, activities, projects and programs shall be available solely for
the specific purposes for which these were appropriated.
c. Control the Notice of Cash Allocations (NCA) to ensure that disbursements do not exceed
the NCA released based on approved Cash Program.
d. Ensure that all disbursements are supported with complete documents and that government
resources are being safeguarded through the practice of sound financial management.
e. Keep and maintain basic financial records and books of accounts - through the e-Budget and e-
NGAS - that reflect the propriety of transactions and evidence of accountability for assets and
other resources available for use.
f. Prepare and submit financial reports containing information on past operations and present
conditions as basis for planning and budget preparation.
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6.4 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, and that all pathways are free from obstruction. They also submit
recommendations to management on DPWH buildings and/or facilities that need repair,
rehabilitation or improvement.
6.4.2 Equipment Fleet Management
The Bureau of Equipment and its Regional and District counterparts ensure the safe,
environmental compliance, availability and optimum utilization of the fleet of land and water-
based equipment of the Department. The BOE and its Regional and District counterparts
ensure that the equipment life cycle stages are in accordance with the current standards and
policies.
The matrix on the next page shows the levels and areas of responsibilities for the equipment
resources life cycle:
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Equipment Life Cycle Stage

Equipment Planning and Distribution Operations
Portfolio Demand Procurement! and and Rehabilitation DisposaP
Management Deployment2 Maintenance
Dredger and
BOE, UPMO,
Ancillary BOE BOE BOE BOE,RO BOE,RO
RO
Equipment
Road
Maintenance
BOE, UPMO, BOE, RO,
and BOE,RO BOE BOE,RO BOE,RO
RO,DEO DEO
Construction
Equipment
Central
Service Office, UPMO, BOE, RO,
BOE,RO BOE,RO,DEO BOE,RO BOE,RO
Vehicle BOE, RO, DEO
DEO
Shop Tools
BOE, RO, BOE, RO, BOE, RO,
and BOE,RO BOE,RO,DEO BOE,RO
DEO DEO DEO
Equipment
Notes:
1. Regional Offices (ROs) and District Engineering Offices (DEOs) may be allowed to procure Equipment and
Service Vehicles provided that these offices can secure Authority to Purchase from the DPWH Secretary thru
the Bureau of Equipment.
2. The Regional Directors are authorized to distribute and deploy both land and water-based equipment and
service vehicles within their areas of jurisdiction.
3. In the Disposal Process, ROs and DEOs initiate the Disposal Procedure of Equipment and Service Vehicles.
The Regional Offices, thru the Regional Disposal Committee, can dispose Equipment and Service Vehicles
holdings in their regions within their level of authority.
6.4.3 Survey, Laboratory and Field Testing Equipment Management
The matrix below shows the office responsible for the management and maintenance of
Survey, Laboratory and Field Testing Equipment, which support the Department's Core
Processes:
Equipment/Resource
Responsible Office/ s
Portfolio
Laboratory Equipment BRS and its Regional and District counterparts
BRS and BQS, and their Regional and District
Field Testing Equipment
cou nterpa rts
Engineering Survey UPMO - Flood Management Cluster and BOD and
Equipment its Regional and District counterparts
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6.5 Information Management
The Information Management Service (IMS) ensures appropriate investment in Information and
Communications Technology (lCT) infrastructure and skills to effectively manage the DPWH wide
area network (WAN) and servers, and to be able to provide application and software support services.
This is done through Information Management planning whereby strategic assessments are
conducted to identify future IT-enabled needs and Business Process Improvements (BPls), based on
the Department's Strategic Plan. The BPls are presented to the Reform Institutionalization and
Management Support System (RIMSS) Steering Committee for approval and prioritization, as well as
funding sources. These are carried out and translated into the Information Systems Strategic Plan
(lSSP) of the Department. The ISSP is the basis of ICT activities in the Department.
The ICD Steering Committee holds regular meetings for activity status reporting, monitoring and
evaluation of performance improvement targets.
The IMS also maintains process and data models, as well as data architecture. It monitors compliance
with data policies, procedures, operating standards and guidelines. As to hardware maintenance, the
IMS and its Regional and District counterparts conduct daily, weekly, monthly or annual maintenance
tasks for all production servers that run the enterprise-wide application systems used by the
Department. It also conducts regular and preventive maintenance activities for all voice and data
communication equipment and desktop computers.
For application systems, a regular quarterly review and enhancement activity is being done on top
of the application maintenance for the immediate resolution of critical problems that impede the
operation of systems, as reported to the IT Service Desk.
6.6 LegalServices
The Legal Service (LS) prepares, reviews, evaluates and interprets contract, Memorandum of
Agreement (MOA), Memorandum of Understanding (MOU), legal proposals and other legal
instruments entered into by the Department.
LS also conducts administrative investigation and reviews administrative charges. It is in charge with
the issuance of resolution of administrative cases brought before it, and legal clearances of concerned
officers and employees of the Department.
It also undertakes the acquisition of site and location as right-of-way for national infrastructure
projects.
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6.7 Documentation Management
The DPWH's QMS documentation includes both documents and records. The DPWH documentation
may be in hardcopy or electronic form and is described in the figure below.
Level 2
Level 3
Figure 6.1 DPWH Documentation Management
Level 1
The quality manual is the highest level of documentation. It describes DPWH's quality
management system.
Level 2
This level of documentation includes prescriptive documents such as Department Orders,
policies and procedures, manuals, specifications, externally-sourced documents, and the like.
Level 3
This level includes descriptive documents providing evidence of conformity and are referred
to as records.
The organization does not use the term "documented information"; instead it uses the terms
"document" and "record" which undergo different controls as indicated herein.
Documents refer to documented information to be maintained, while Records refer to documented

information to be retained.
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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
existing Department Orders. DOs for department-wide implementation shall be
subjected to comprehensive review and impact analysis prior to issuance.
b. The Records Management Division (RMD) of the Human Resources and

Administrative Service (HRAS) shall be responsible for the filing of hardcopy,
dissemination and posting in the DPWH intranet and internet websites, of
issuances for Department-wide implementation;
c. Heads of Services, Bureaus, UPMOs, Regional and District Offices shall be

responsible for the distribution/dissemination of issuances to their respective
units.
d. Issuance of Office Orders, procedures, guidelines and other documents to

be used internally by an office shall be in accordance with the Control of
Documents Procedure.
e. The designated Records Officers shall be responsible for the control and
distribution of internally generated documents.
6.7.1.3 Document and Data Changes
The QMS contains a documented Control of Document procedure, DPWH -

QMSP-Ol, to ensure that procedures are identified, prepared, documented and
revised in a uniform manner in order to give users clear guidance and direction on
how to use it.
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6.7.2 RecordsControl
a. The QMS contains a documented Control of Records procedure, DPWH-QMSP-02, for the
identification, collection, indexing, filing, access, storage, maintenance and disposition of
all records.
b. Records are maintained to demonstrate conformance to specified requirements and for

the effective operation of each facet of the QMS.
c. All incoming mails and records are attended to and processed in accordance with the
provisions of R.A. 9485 or the Anti-Red Tape Act.
d. Records are classified according to the approved file classification scheme (DPWH
Classification Guide) and are stored, filed, secured and properly labeled to guarantee fast
retrieval when needed, as well as to protect records from damage, loss and deterioration
pursuant to D.O. No. 148 series of 1992 on Records Management Manual. Any record
printed on thermal paper must be photocopied before filing.
e. The disposition of records is in accordance with the latest Records Disposition Schedule
(RDS) of the Department as approved by the National Archives of the Philippines (NAP).
f. Records can also be stored in electronic form.
6.8 Organizational Knowledge
The DPWH determines the knowledge necessary for the operation of its processes and to achieve
conformity of products and services. This knowledge, used to achieve the organization's objective,
may be obtained from:
a. Internal sources, such as lessons learned from success and failures, feedback from subject matter
experts, intellectual property, knowledge gained from experience, research; and,
b. External sources such as standards, academia, conferences, or information gathered from
customers or suppliers.
This knowledge is maintained and made available to the extent necessary.
When addressing changing needs and trends, the DPWH considers its current knowledge and
determines how to acquire or access the additional knowledge necessary.
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Section 7. Performance Evaluation
7.1 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. continue the effectiveness of the quality management system.
7.2 Monitoring and Measurement
7.2.1 General
The DPWH has established benchmarks for performance, based on stakeholders

requirements and industry standards, and has a process for monitoring and measuring
performance and analysis of data.
There is a documented process for the conduct of audits, including selection criteria for the
determination of the subject of the audit. Data gathered from stakeholders feedback,
audits, performance reviews of processes, contractors, consultants, and suppliers are
analyzed, documented and acted upon - as warranted - and reported to the management
and to the stakeholder, where appropriate.
7.2.2 Stakeholder Satisfaction
The DPWH, through the Stakeholders Relations Service (SRS), monitors and documents
information provided by both internal and external stakeholders through results of customer
satisfaction surveys carried out by in-house and/or independent survey organizations, to
determine whether its products and services meet customer requirements. Gathered
information is analyzed quantitatively and qualitatively, and reported to the management.
7.2.3 Internal Audit
Internal audit is the conduct of management and operations audit and the determination
of the degree of conformance to ISO 9001:2015 standards, and compliance with laws,
regulations, managerial policies, and contractual obligations. It includes the appraisal
of the plan of the organization and all the coordinate methods and measures, the results of
which are used to recommend courses of action on matters relating to management control
and operations audit.
Internal audit, being a separate component of internal control, is instituted to determine
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whether other internal controls are well designed and properly operated.
The QMS contains a documented Internal Quality Audit procedure, DPWH-QMS-03, for
planning and implementing internal quality audits. Audits are performed regularly in
accordance with a defined program, taking into account the importance and status of the
processes and risks considerations.
Audits are conducted on both procedures and systems to enable scrutiny of the interaction
between procedures. The head who is responsible for the area being audited ensures that
any necessary corrections and corrective actions are undertaken without undue delay to
eliminate detected nonconformities and their causes.
Results of audits are maintained and compliance is regularly monitored.
7.2.4 Monitoring and Measurement of Processes
The DPWH applies suitable methods for monitoring and, where applicable, measurement of
the QMS processes. DPWH uses the Project Monitoring System (PMS) / Project Contract
Management Application (PCMA) and the respective office scorecards in tracking the progress
of planned targets.
DPWH also uses its internal audit procedure to monitor the QMS processes. Through
this strategy, DPWH is able to gauge the effectiveness of the processes to achieve planned
results. When planned results are not attained, corrective actions are taken to ensure
conformity.
7.2.5 Monitoring and Measurement of Product
The DPWH regularly conducts inspection, assessment, monitoring and field/laboratory tests
to verify conformance to specification requirements of construction materials, or of the very
structure on which these were used or had been incorporated into. Sampling and testing of
materials are done at various stages of construction. For completed works and structures,
dimensions are measured to verify conformance to the approved construction plans.
Likewise, if warranted by circumstance or necessity, destructive or non-destructive tests can
be done to determine structural integrity and adequacy vis-a-vis the specified design
strength.
7.3 Analysis of Data
DPWH collects and analyzes data to demonstrate the suitability and effectiveness of the QMS,
and to evaluate where continual improvement on the effectiveness of the QMS may be applied.
•
Revision No.: 03
Page No. 36 of 37
Data analysis is contrasted with the Scorecard to determine changes in performance.
Trend analysis is an important aspect of the data analysis process as it provides significant evidence
of the effectiveness of the system.
7.4 Management Review
7.4.1 General
The DPWH management reviews the QMS at least once a year to ensure its continuing
suitability, adequacy and effectiveness. The review includes assessing opportunities for
improvement, the need for changes to the QMS, and the quality policy and quality objectives.
This is carried out in one of the Management Committee and/or staff meetings.
A Management Review procedure, DPWH-QMSP-07 is established to ensure the proper

conduct and recording of the review process.
7.4.2 Review Input
The input to management review may include any or all of the following:
a. project status reports

b. results of audit since last Management Review
c. status of corrective actions
d. customer feedback
e. status of objectives and targets
f. follow up actions from last management review
g. changes that could affect the QMS
h. opportunity for improvement
i. changes in external and internal issues that are relevant to the QMS
j. performance of external providers
k. adequacy of resources
I. effectiveness of actions taken to address risks and opportunities
7.4.3 Review Output
The outputs from management review include decisions and actions related to any need
for changes to the QMS and its processes, improvement of operations/services related to
customer requirements, and resource needs.
Issue Date:
•
Revision No.: 03
Page No. 37 of 37
Section 8. Improvement
8.1 General
The DPWH determines and selects opportunities for improvement and implements any necessary
actions to meet customer requirements and enhance customer satisfaction. These include:
a. improving products and services to meet requirements as well as to address future needs and
expectations;
b. correcting, preventing or reducing undesired effects; and,
c. improving the performance of the QMS.
8.2 Nonconformityand CorrectiveAction
The QMS contains a documented Corrective Action procedure, DPWH-QMSP-OS,to ensure that
nonconformities in performance and product are corrected. The procedure also provides a system
for determining the causejs of nonconformities and implementing appropriate corrective actions
to ensure that nonconformities will not recur, or occur elsewhere.
Prepared by:
B~E~Ut
Assistant Secretary for Support Services Und
. ASIS
retary for Technical Services
Deputy Quality Management Representative Ov all Quality Management Representative
BE CERTAiN THAT THIS is THE CURRENT VERSION BEFORE USING THIS DOCUMENT
Issue Date: ~EB 2 8 2017
Doc. Code: DPWH-QMSP-Ol
•
1.0 Purpose
Control of Documents Procedure
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03
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To provide a guide for an effective method of controlling internal documents used in the
implementation of DPWH's Quality Management System (QMS).
2.0 Definition of Terms
Internal Documents refer to documents generated within the confines of DPWH such as Quality
Management System Manual, Department Orders, Special Orders, Department Memorandum
Circulars, National Building Code Development Office (NBCDO) 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. The Central RO keeps the
master copies of department-wide documents. Bureaus, Services, UPMO, Regional, and District
Offices shall designate their respective RO to keep master copies of documents originating from
their respective offices.
Master Copy refers to the original document that has to be always controlled. These are filed at
the Records Office and should not be taken out from there. Writing on and/or any form of erasure
and/or unauthorized changes on these copies are strictly forbidden.
Controlled Copy refers to the copy of documents issued to all Heads of DPWH offices and
published in the DPWH website. This also includes Office Orders issued to specific recipients in a
given bureau/service/office. In cases of revisions, the RO need to furnish a revised copy of the
document for updating.
Uncontrolled Copy refers to the printed copy of documents that are published in the DPWH
website and are disseminated for information and/or reference purposes only. In cases of revisions,
the RO need not furnish a revised copy of the document for updating.
Obsolete Copy refers to the copy of documents that have become outdated due to revisions.
Although no longer valid for use, the master copy of obsolete documents should be kept in
accordance with the prescribed retention period in the Records Disposition Schedule (RDS).
Issue Date:
•
3.0 Procedure
Control of Documents Procedure
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Process Flow Responsible Details
Concerned Office Create or revise internal document

Determine the need
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 Every five (5) years, the Records

Create/revise the Officer Officer (RO) shall prepare a
document reminder memorandum for all
offices to review existing documents
in order to determine adequacy and
suitability. The Memorandum shall
be signed by the Overall QMR.
For Department Orders and Special

Orders, refer to Department Order
No. 33 Series of 2011 - Policy
Issuance Guidelines.
Head of Concerned The head of office shall discuss the

Approve document
Office contents of the document in a
meeting with concerned personnel
before signing.
When amending a document, attach

all documents to be superseded.
Ensure proper Concerned Records Approved documents shall be

management of Officer forwarded to the designated
document Records Officer for proper
management.
( End)
Issue Date: FEB
Qual ity Management System Manual
• Control of Documents Procedure
The Records Officer shall:

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03
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a. Log the document in the Masterlist.

b. Assign document code for DPWH QMS manual, procedures and related forms, as follows:
Manual and Procedures:
DPWH-XXXX-L
Series Number
Type of Document*
Name of Organization
* QMSM - QMS Manual

QMSP - QMS Procedure
Forms:
Revision Number
Series Number
Document Code
For other documents, the Records Officer of the concerned office shall be responsible in ensuring
that all issued documents are current.
Reproduce the document. Refer to the DPWH Classification Guide when assigning codes.
For documents to be implemented department-wide: scan the controlled hard copy and post in
the DPWH internet and intra net websites; for standardized forms: coordinate with the IMS to
make it downloadable from the DPWH websites.
Distribute copies of document to concerned offices through electronic-mail blast facility of the
IMS. Controlled hard copies distributed to concerned offices shall bear the classification code.
Documents intended for internal use shall be disseminated through a memorandum (for specific
personnel/unit); or through office order (for office-wide implementation) signed by the head of
office.
Documents posted in the intranet and internet websites of the Department are considered
controlled copies, while printed copies from the websites are considered uncontrolled copies and
Issue Date:
Doc. Code:
• Control of Documents Procedure

Revision No.:
Page No.
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.
03
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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
Records Disposition Schedule
National Archives of the Philippines Guidelines
DPWH Classification Guide
5.0 Records
Policy Impact Analysis
Document MasterlistjLogbook
Administrative Issuance Form
Prepared by: Reviewed by:
~ GO.:n~~ ~.~
B.·~~TV'P
Assistant Secretary for Su rt Services
Deputy Quali Mana ent Representative
. ASIS
Undersecr for Technical Services
Ity Management Representative
Doc. Code: DPWH-QMSP-02
•
1.0 Purpose
Control of Records Procedure
To define a system for maintaining DPWH's Quality Management

Revision No.:
Page No.
System (QMS) through

02
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complete and reliable records control.
Record refers to a document stating results achieved or providing evidence of activities

performed.
Retention Period refers to the length of time a record is kept in a particular location as
defined in the Department Memorandum Circular No. 47 Series of 2012.
Records Disposition Schedule (RDS) refers to a document that contains the list of records
and indicates, as applic-able, the record's identification such as document code and title,
location, retention period, and disposition schedule.
3.0 Procedure
Concerned Personnel Identify the record. It can be in

Identify the record any form or type of media
(electronic, hardcopy, etc.) and
are identified through any or
combination of the following:
• Title
• Date
• Name and/or Signature of
the originator and/or
approving person
• Code
• Control Number
Records Officer Maintain Records

a
Maintain the
Records Disposition Disposition Schedule (RDS)
Schedule (RDS) that provides the list of records
and indicates, as applicable,
the record's identification such
as code and title, location,
retention period, and
disposition schedule.
Issue Date: EB 2 B 2017
• Process Flow
Responsible
Revision No.:
Page No.
Details
Refer to current RDS, as
02
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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 A supplemental QMS RDS

File in corresponding Form, DPWH-QMSP-02-F01,
location is used for new records
especially generated from the
established QMS.
Generally, records are with the

Records Officer - although
some records are maintained
by the process owners
themselves.
Provide a numbering system to

all filing cabinets and cabinet
shelves. Proper labeling is
likewise established for
boxfiles, folders, envelopes,
etc. to easily locate needed
records.
Records can be numerically,

alphabetically, or
chronologically.
Concerned Personnel Records are kept in a place

where it can be protected from
Protect records physical deterioration, damage,
loss, and data tampering.
To prevent unauthorized
amendments on the recorded
data, the following are
observed:
• Liquid eraser, etc. for
correcting data is
prohibited .
• Only permanent blue or
black ink pens are used to
fill out forms.
Issue Date:
• Process Flow
Responsible
Revision No.:
Page No.
• All
Details
corrections
02
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are
countersigned by the issuer
and/or authorized personnel.
Electronic records are backed-

up regularly.
Concerned Personnel Records are retained for a

Retain record 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

Dispose records accordance with the provision
of NAP and other applicable
statutory and regulatory
requirements.
Disposed records are properly

documented with appropriate
proof, e.g., Certificate of
Disposal issued by NAP.
4.0 References
National Archives of the Philippines (NAP) Rules and Guidelines
Department Memorandum Circular No. 47 Series of 2012
• Control of Records Procedure

Revision No.:
Page No.
02
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5.0 Records
NAP Records Disposition Schedule (RDS)
NAP Certificate of Disposal
Records Disposition Schedule (RDS)
~~
o..
tl D M.
Chief Rec rds
ONE
anagement Division, HRAS
t~H~
Assistant Secretary for Support Services
Deputy Quality Management Representative
Approved by:
r Technical Services
Management Representative
• Department of Public Works and Highways
QMS Records Disposition Schedule (RDS)

Supplemental to the NAP RDS
DPWH-QMSP-02 -F01-Rev .03
Office: Records Officer:
Active Inactive
Code Mode of
(as Record Title and Description No. of No. of Location Disposal
applicable) Location
Years Years
Prepared by: Reviewed and Approved by:
Records Officer Office Head
Page 1 of 1
•
1.0 Purpose
Internal Quality Audit Procedure
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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.

Audit refers to the systematic, independent and documented process of obtaining evidence and
evaluating to objectively determine the extent to which requirements are fulfilled.
Auditee refers to the person being audited.

Auditor refers to the person who has the competency to conduct the audit.
Nonconformity (NC) refers to non-fulfilment of a requirement.
Correction refers to action taken to eliminate the detected nonconformity.
Corrective Action refers to action taken to eliminate the cause/s of the detected nonconformity,
thus preventing its recurrence.
3.0 Procedure
( Start )
Internal Quality Audit Prepare the internal quality audit

Prepare the audit Committee Leader program, DPWH-QMSP-03-F01, taking
program into consideration the audit scope,
frequency, methodologies, as well as the
results of previous audits.
Form the audit teams and assign team

leaders. Auditors are selected from the pool
of qualified auditors. Auditors are qualified
on the basis of their education and
knowledge on internal control systems,
internal auditing experience, and basic
computer operations skills. Auditors must
have attended the seminar/training on
auditing ISO 9001:2015 Quality
Management System.
Ensure that audits are performed by

personnel independent from the areas
being audited. Internal Quality Audit is
conducted at least once a year.
•Process Flow
Responsible
Revision No.:
Page No.
Details
03
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IQA Committee Leader For each scheduled audit, prepare an

Prepare the audit Audit Team Internal Quality Audit Plan, DPWH-
plan QMSP-03-F02, containing the specific
criteria for the processes and the actual
date of the conduct of audit. It also takes
into consideration the status and
importance of the areas to be audited, as
well as, the results of previous audits.
Audit Team Leader Prepare an audit notification memo with the

Notify the auditee Internal Quality Audit Itinerary,
DPWH-QMSP-03-F03, for each
officejarea that includes purpose, audit
scope, areas or divisions to be audited,
assigned auditors, date and time of. audit.
This must be received by the auditee at
least one week before the audit.
IQA Committee Leaderj Prepare audit checklists, review documents

Conduct Pre-Audit
Audit Team and records of previous audits. Use Audit
Activities
Leaderj Auditors Checklist Form, DPWH-QMSP-03-F04.
IQA Team Conduct audit and include follow-up on the

Conduct Audit
previously agreed action plans and the
Proper Activities
effectiveness of implementation.
Auditors Determine the strong and weak points of

Prepare Audit the system by reviewing previous results.
Finding
BE CERTAIN THATTHIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

Issue Date:
•Process Flow
Responsible
Revision No.:
Page No.
Details
03
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Auditors The findings are summarized to show

Prepare Summary of
Findings
conformities, opportunity for improvement
and nonconformities. Use IQA Summary
Report Form, DPWH-QMSP-03-FOS.
The findings are discussed to the auditee.
Accomplish the first part of CPAR Form,
DPWH-QMSP-OS-FOl for non-
conformities. Once approved by the IQA
Committee Chairman, the IQA Summary
and CPAR is issued to the auditee.
Auditors/ Auditees Gather data and, where needed, use

Investigate cause of appropriate approaches and techniques,
nonconformity e.g. brainstorming, cause and effect
analysis, and the like.
Process Owner Action planning is done by Process Owner's

Prepare Corrective Group and -where necessary- all the
Action Plan affected areas, to arrive at possible
solutions.
Process Owner The concerned process owner will

Implement Action accomplish the second part of the CPAR
Plans Form.
Auditors/Audit Team The auditee returns the CAR Form within

Follow-up Action
Leader ten days from receipt, for monitoring of
Plans
action plans. The auditors may condct
follow-up audit to check if action plans are
being implemented and are effective.
IQA Committee IQA Committee Chairman reports to

Review Audit
Chairman Management the results of audit including
Results
Management results of follow-up activities.
Process Owners
• Internal Quality Audit Procedure

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Page No.
03
4 of 5
Process Owners Determine areas for improvement that

Determine areas for
needs to be elevated to management for
improvements
review, if there is any.
Management Management reviews the results of audit to

Identify improvements
identify the processes, services, product, or
on processes/services
system that need improvement, as
reflected in the Management Review
Procedure, DPWH-QMSP-07.
Process Owners If the action plan is effective, existing

Monito measure
documents may be revised or new
improvements
document may be created following the
Control of Document Procedure,
DPWH-QMSP-Ol.
4.0 References
DPWH-QMS-Manual, Quality Manual
DPWH-QMSP-07, Management Review Procedure
DPWH-QMSP-01, Control of Documents Procedure
•
5.0 Records
DPWH-QMS-03-F01, Audit Program

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Page No.
03
S of S
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
GLIRICI
Approved by:
RAU . ASIS
for Technical Services
Overall Quality Management Representative
Department of Public Works and Highways 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

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
IV. Audit Criteria
V. Audit Methodology
Page 1 of 2
.~~
~
•• Department of Public Works and Highways DPWH-QMSP-03-F01-Rev.03
VI. Selection and Evaluation of Auditors
VII. Reporting
VIII. Verification of Previous Nonconformities(NC)/Foliow Up Actions
IX. In order to advocate independence as an audit principle, cross posting of auditors will be
implemented. In no case will any auditor be assigned to audit his/her own work or division.
Internal Quality Audit Leader Internal Quality Audit Chairman
Approved by:
Undersecretary for Technical Services

Overall Quality Management Representative (QMR)
Page 2 of 2
• Deparbnent of Public Works and Highways DPWH-QMSP-DH02-Rev. 03
INTERNAL QUALITY AUDIT PLAN

FOR CY _
Purpose:
1.
2.
3.
Area Process/es Criteria Auditor Is Audit Schedule
Internal Quality Audit Leader Internal Quality Audit Chairman
Approved by:
Undersecretary and
Overall Quality Management Representative (QMR)
Page 1 of 1
• Department of Public Works and Highways D PWH-QMSP-03- F03- Rev .03
INTERNAL QUALITY AUDIT ITINERARY

FOR CY _
Bureau/ Office: Date Covered:
Process Scope:
Criteria:
Date/ Time Activitv Areal Divisionl Unit Auditor / s
Audit Team Leader Internal Quality Audit Leader
Noted by:
Internal Quality Audit Chairman
Page 1 of 1
.Department of PublicWorksand Highways DPWH-QMSP-03-F04-Rev.03
INTERNAL QUALITY AUDIT CHECKLIST
Process Scope: Area( s) I Office( s):
Criteria:
Referencel C/NC Remarksl Notes

Itemsl Questions IOFI (Evidence Collected)
Section No.
Audit Team Member Audit Team Leader
Noted by:
Internal Quality Audit Chairman
Page 1 of 1
DPWH-QSM P-03-FOS-Rev .03
Republic of the Philippines

CENTRAL OFFICE
Manila
Internal Quality Audit Summary Report
Office: Date Audited:
Auditors: Auditees:
Notes! Remarks:
Conformities Total No.
Opportunity for Improvement (OFls): Total No.
Nonconformities: Total No.
Deadline of Submission of Accomplished

CPARs:
Prepared by: Reviewed and

Approved by:
(Name and
Signature of (Name and
AuditorsjTeam Signature of Audit
Members) Team Leader)
Page 1 of 1
Issue Date: EB 2 B 2017
•
1.0 Purpose
Control of Nonconforming Outputs
Procedure
Revision No.:
Page No.
03
1 of 2
To define a system for identifying nonconforming outputs and applying the necessary control to
prevent its unintended use or delivery.
Nonconforming Output refers to an output that does not meet requirement.

Disposition refers to action taken concerning the detected nonconforming output.
3.0 Procedure
Concerned Nonconforming output may be

Identify
Personnel detected during receipt, storage,
nonconforming
or internal processing.
output
Concerned Upon detection of nonconforming

Apply disposition Personnel outputs, apply any of the
following:
• eliminate the detected
nonconform ity
• preclude its original intended
use
• take action when found after
delivery or use has started
\11
Concerned Where applicable, accomplish the

Determine cause of Personnel CAR form, DPWH-QMSP-OS-
nonconformity F01, in accordance with the
Corrective Action Procedure,
DPWH-QMSP-OS or appropriate
form designed by the concerned
office.
o
\1
BE CERTAIN THATTHIS IS THE CURRENT VERSION BEFORE USING THIS DOCUMENT

• Control of Nonconforming Outputs
Process Flow
Procedure
Responsible
Revision No.:
Page No.
Details
03
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Concerned Gather data and, where needed,

Identify action plan Personnel use appropriate techniques, e.g.
brainstorming, cause and effect
1
Concerned Use CAR Form to show action

Implement action Personnel plans.
plan
Refer to Corrective Action
Procedure, DPWH-QMSP-05.
4.0 References
Corrective Action Procedure, DPWH-QMSP-05
5.0 Records
Corrective Action Request (CAR) Form, DPWH-QMSP-OS-F01
Prepared by:
6.~~~ ce.w-
B. ELIZABETHE~~
Assistant Secretary for Support Services
Deputy Quality Management Representative
Doc. Code: DPWH-QMSP-OS
•
1.0 Purpose
Corrective Action Procedure
Revision No.:
Page No.
03
1 of 3
To define a system for identifying nonconformities, determining the causejs of nonconformities,

and providing action to ensure that nonconformities do not recur.
Nonconformity refers to non-fulfilment of a requirement.

Correction refers to the action taken to eliminate the detected nonconformity.
Corrective Action refers to an action taken to eliminate the causejs of detected nonconformity
to prevent recurrence.
Corrective Action Request (CAR) Form, DPWH-QMSP-OS-F01,refers to the form used to

document the detected nonconformity, its causes, and the necessary correction and corrective
action.
3.0 Procedure
Concerned Nonconformity may be identified

Identify
Personnel through, but not limited to, the
nonconformity
following:
• Customer feedback and complaints
• Conduct of internal quality audit
• Day-to-day operation where there
is nonfulfillment of QMS
requirements
Use CAR form, DPWH-QMSP-OS-

FOl or appropriate form designed
by the concerned office!
personnel.
Review Concerned Review the nonconformity and

nonconformity and Personnel determine the possible causejs using
determine cause appropriate techniques, e.g.
brainstorming, cause and effect
Issue Date:
• Process Flow
Responsible
Revision No.:
Page No.
Details
03
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Concerned Document and review the correction

Prepare correction
Personnel and corrective action plans thoroughly
and corrective
in coordination with other personnel
action
involved to ensure effectiveness.
Seek approval of concerned head.
Concerned Unit Approve the proposed action plans,

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

Implement
correction and Head Oversee the implementation of the
corrective action
action plans. For CAR forms issued
through audit, verification of
effectiveness of actions taken is done
through the follow-up audit. For other
forms issued outside audit,
verification is done by the concerned
office.
Also, revisit and update the Risk and

Opportunities Register, if necessary.
Determine if the Concerned If the action plan is effective, existing

action plan is Personnel documents may be revised or new
effective document may be created following
the Control of Document
Procedure, DPWH-QMSP-Ol.
Otherwise, if there is no need to

create or revise the document, the
concerned unit head auditors shall
monitor the implementation
• Process Flow
Responsible
Revision No.:
Page No.
Details
03
3 of 3
Concerned Document the results of action taken

Create/revise
Personnel as part of the continual improvement
document
program.
Concerned Unit Summarize results of corrective action

Monitor
Head for Management Review.
implementation
Auditors
4.0 References
Control of Documents Procedure, DPWH-QMSP-01
Management Review Procedure, DPWH-QMSP-07
5.0 Records
Corrective Action Request (CAR) Form, DPWH-QMSP-05-F01
Prepared by:
~.ca~~.bt- . ASIS
B. ELIZABETHE~P\
Assistant Secretary for Support Services aersecretary for Technical Services
Deputy Quality Management Representative Overall Quality Management Representative
Republic of the Philippines
•
OFFICE OF THE SECRETARY
Manila
Corrective Action Report (CAR)

DPW H-QM SP-OS-FOI-Rev .03
Section 1 - Details of Nonconformity (To be accomplished by the Auditor/Initiator)
Date: References: (manuals, procedures, policies, CAR Number:
ISO clauses, etc.)
Auditor/ Nonconformity (Nan-fulfillment of
Initiator: requirement)
Issued To : Initiator:
Details: (As a result of) Office:
D Internal Quality Audit D Service Realization D Other (Pis. specify)

Issued by : Issued to: (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:
Root Cause Analysis: Analyzed By:
Described the necessary Corrective Action{s):
Approved By : Target Completion Date:
Note: Submit to IAS within 10 days upon receipt.

Section 3 - Verification of Effectiveness (To be accomplished by the Initiator)
Results of Action(s) Taken Remarks
Verified By : Verification Date
Acknowldeged By Next Verification Date:
Results of Action(s) Taken Remarks
Verified By Verification Date
Acknowldeged By Next Verification Date:
Page 1 of 1
Issue Date: 017
Department of Public Works and Highways Doc. Code: DPWH-QMSP-06
•
1.0 Purpose
Management Review Procedure Revision No.:
Page No.
To provide a guide for reviewing the DPWH Quality Management System (QMS) to determine
03
Page 1 of 3
its suitability, issue courses of action and provide resources for its improvement.
Management Review refers to the meeting conducted by the Management Committee to
assess the quality management system and to introduce necessary actions for its continual
improvement.
Quality Management Representatives (QMRs) refer to the designated Management
Committee members responsible for the conduct of Management Review in order to ensure
continual improvement of the QMS in the Department. The designation is done through the
issuance of Special Order (SO). (Please refer to SO No. 29, Series of 2013)
3.0 Procedure
START General
Management Review of the QMS is
held at least once a year for
Department level, and at least twice
a year for the specified groupings -
Planning and PPP, SRS, Technical
Services, Support Services, UPMOs,
Luzon Operations, and Visayas and
Mindanao Operations.
Overall QMR Initiate the review

Initiate the review Department Level
Discuss the agenda with the Group
QMRs.
Respective Group QMRs Group Level
Discuss the agenda with the Office
QMRs.
Included in the agenda for review
but not limited to the following are:
(a) project status reports
(b) results of audit since last
Management Review,
(c) status of corrective,
(d) customer
(e) feedback
(f) status of objectives and targets
BE CERTAIN THAT IT IS THE CURRENT REVISION BEFORE USING THIS DOCUMENT

Department of Public Works and Highways Doc. Code: DPWH-QMSP-06
•Process Flow
Management Review Procedure
Responsible
Revision No.:
Page No.
Details
03
Page 2 of 3
(g) follow up actions from last

management review,
(h) changes that could affect the
QMS, and
(i) opportunity for improvement
(j) changes in external and
internal issues that are relevant
to the QMS,
(k) performance of external
providers,
(I) adequacy of resources, and
effectiveness of actions taken
to address risks and
opportunities
Overall QMR/Deputy QMR Notify committee members of the

Notify members schedule of the review meeting
through a memorandum containing
the agenda. Notification is done at
least 3 working days before the
scheduled date.
Overall QMR with the Group Conduct the Review

Conduct review QMRs and Audit Chair The review is conducted as follows:
1. Discussion of the agenda.
Group QMR with Office 2. Presentation of respective
QMRs and Audit Chair reports.
3. Evaluation of the QMS.
4. Agreement and approval of
proposed actions.
5. Recording. See Management
Review Minutes.
All concerned Implement agreed resolutions.

Implement agreed Resolutions may involve revision of
resolutions existing policies/ procedures or
creation of new one. Follow the
QMS Procedures on Internal Quality
Audit, Control of Nonconforming
Outputs, Corrective Action as
appropriate
BE CERTAIN THAT IT ISTHE CURRENT REVISION BEFOREUSING THIS DOCUMENT

Issue Date:
Department of Public Works and Highways Doc. Code:
• Process Flow
Management Review Procedure
Responsible
Revision
Page No.
No.:
Details
Page 3 of 3
Overall QMR/ The Overall QMR exercises overall

Monitor
Group QMR/ authority with regard to the
implementation
Office QMR 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.
4.0 References

Internal Quality Audit Procedure, DPWH-QMSP-03
Control of Nonconforming Products, DPWH-QMSP-04
Corrective Action Procedure, DPWH-QMSP-05
5.0 Record
Minutes of Management Review
Prepared by:
B.~.~~~
ELIZABETH. P S
Assistant Secreta for Support Services ersecretary for Technical Services
Deputy Quality Management Representative Overall Quality Management Representative
BE CERTAIN THAT IT IS THE CURRENT REVISION BEFORE USING THIS DOCUMENT

ANNEX A
Issue Date:
FEB 2 B 2017
Department of Public Works and Highways Doc. Code: Annex A
Quality Management System
•
Revision No.: 0
Relevant Interested Parties Matrix Page No. lof9
Reason for Needs and Affected Treatment

Interested Party Type Factor Bias Priority
Inclusion Expectations Process(es) Method
General Public External Recipient of Expect high • Legal Risk Core Process High • Risk
Motorist infrastructu re quality • Social Support Processes Assessment
Pedestrian project infrastructure & • Economic • Management
Civil Society services • Environment Review
Organizations Provide Core Process
protection to Support Processes
lives and
properties
Tax Payer/Road Expect on-time • Legal Risk Core Process High • Risk
User Tax Payer delivery of • Social Support Processes Assessment
projects and • Economic • Management
services • Environment Review
Ensure safety on Core Process
the use of Support Processes
infrastructure
Ensure • Legal Risk Core Process High • Risk

environmentally • Social Support Processes Assessment
compliant • Economic • Management
projects and • Environment Review
infrastructure
Regulatory Core Process
Compliance Support Processes
General Public External • Legal Mixed Core Process High
• Social
Issue Date: FEB 2 8 2~17
•
Revision No.: 0
Relevant Interested Parties Matrix Page No. 2 of 9

Inclusion Expectations process( es) Method
Recipient of Preference to • Economic • Human • Opportunity and
infrastructure hire local Resource Risk
project residents Management Assessment
• Financial • Management
Management Review
• Information
Management
• Legal Services
• Documentation
Manaqement
Civil Society External "Watchdog" (refer Expect • Legal Risk Core Process High • Risk
Organizations to Ra9184) organization to • Social Assessment
Support Processes
be a "good • Economic • Management
example" locally • Environment Review
Constructors/ External • Contract Expect fair • Legal Mixed Core Process High • Opportunity and
Contractors Awardee com petitive • Social Risk
• Builders public bidding • Economic Assessment
• Environment • Management
Support Processes
Review
• Internal Quality
Audit
Expect prom pt Risk Core Process High • Risk
payment of Assessment
claims • Management
Support Processes
Review
Issue Date:
FEB 2 B 2017
Quality Management System Revision No.: a
Relevant Interested Parties Matrix Page No. 3 of9

Audit
Expect fidelity in Mixed Core Process High • Opportunity and

the legal Support Processes Risk
norms/issuances/ Assessment
contracts • Management
Review
Audit
Consultants External • Contract Expect fair • Legal Mixed Core Process High • Opportunity and
Awardee competitive • Social Risk
• Service public bidding • Economic Assessment
Provider • Management
Support Processes
Review
Audit
Expect prompt Risk Core Process High • Risk
Support Processes Review
Audit
Mixed Core Process High
Issue Date:
FEB 2 B 2017
•
Revision No.: 0
Relevant Interested Parties Matrix Page No. 4of9

Inclusion Expectations process( es) Method
Expect fidelity in Support Processes • Opportunity and
the legal norms/ Risk
issuances Assessment
• Management
Review
Audit
Suppliers External • Contract Expect fair • Legal Mixed Core Processes High • Opportunity and
Awardee competitive • Social Risk
• Goods and public bidding • Economic Assessment
Services • Management
Support Processes High
Provider Review
Audit
Expect prompt Risk Core Processes High • Risk
Support Processes High Review
Audit
Expect fidelity in Mixed Core Processes High • Risk
the legal Assessment
norms/issuances
Issue Date: FES 2 8 2017
•
Revision No.: 0
Relevant Interested Parties Matrix Page No. 50f9

Support Processes High • Management
Review
Audit
Business Sectors External Encourage Quality and safe • Legal Mixed Core Processes High • Opportunity and
investments public • Social Risk
Support Processes
infrastructure • Economic Assessment
• Environment • Management
Properties / Core Processes Review
businesses • Internal Quality
protected from Support Processes Audit
natural disasters
Local Government External Recipient of Expect Loca I • Legal Risk Core Processes Medium • Risk
Units products and Projects to be • Social Assessment
services implemented. • Economic • Management
• Environment Support Processes Review
• Political • Internal Quality
Audit
Expect Core Processes High • Risk
compliance with Assessment
all regulations • Management
Audit
Issue Date:
FEB 2 8 2017
•
Revision No.: 0

Inclusion Expectations Process(es) Method .
Expect on time Core Processes High • Risk
delivery of Assessment
project • Management
Audit
National Government External Recipient of Expect • Legal Risk Core Processes High • Risk
Agencies products and compliance with • Social Assessment
services all regulations • Economic Support Processes • Management
Expect on time • Environment Core Processes Review
delivery of • Political • Internal Quality
project Support Processes Audit
Expect Core Processes

implementation
of projects that
Support Processes
would
complement their
proiects
Funding Agencies External Source of fund Expect delivery • Legal Risk Core Processes High • Risk
of project within • Social Assessment
the approved Support Processes
• Economic • Management
project cost • Environment Review
Expect on time • Political Core Processes • Internal Quality
delivery Support Processes Audit
Issue Date:
FEB 2 B 7011
•
Revision No.: 0

Expect Core Processes
compliance with
Support Processes
all guideline
Management Internal Sets the policy Expect realization • Values Mixed Core Processes High • Risk
Committee directions and of the outcomes • Culture Assessment
targets of the of the DPWH • Knowledge • Management
Department Strategy Map • Performance Support Processes Review
2022 and • Internal Quality
identified long Audit
term strategies
Expect Risk Core Processes
compliance to Support Processes
policies
Expect Opportunity Core Processes
compliance with
the requirements
Support Processes
of ISO 9001:2015
Standards
Middle Management Internal Implements the Ensure provision • Values Mixed Core Processes High • Opportunity and
policy directions of adequate • Culture Risk
and targets of the resources • Knowledge Assessment
Department (Human • Performance Support Processes • Management
Resource, Review
Finance, • Internal Quality
Equipment, etc.) Audit
•
Revision No.: 0

to produce the
required outputs
Operationalizes Ensure a more • Values Mixed Core Processes High • Opportunity and
the core and organized and • Culture Risk
support processes responsive • Knowledge Assessment
workforce • Performance • Management
Support Processes
Review
Audit
Personnel Internal Service delivery of Deliver quality of • Values Mixed Core Processes High • Opportunity and
the required performance • Culture Risk
output • Knowledge Assessment
• Performance • Management
Support Processes
Review
Audit
Expect Opportunity Core Processes Medium • Opportunity
appropriate Assessment
learning & • Management
development Support Processes Review
programs • Internal Quality
Audit
Employee • On time • Performance Mixed Core Processes High
engagement salaries and • Knowledge
Support Processes
•
Revision No.: 0
Relevant Interested Parties Matrix Page No. 90f9

wages and • Values • Opportunity and
benefits • Culture Risk
• Conducive Core Processes Assessment
environment Support Processes • Management
for the Review
operation of • Internal Quality
processes Audit
ANNEX B
Issue Date:
FEB 2 B 2017
Department of Public Works and Highways Doc. Code: Annex B
• Quality Management System Revision No.: 0
1 of 57
Risk Register Page No.
Office: Public Private Partnership Service

Process: Strategic Planning
Consequence
Likelihood Risk
Activity Risk Event (if risk is Severity Mitigation Contingency Responsible
(l) Factor
encountered)
Evaluation of Delayed M Delayed M M A detailed updated Inform PPP Director of PPP
unsolicited evaluation of implementation of guideline should be concessionaire to
projects for unsolicited unsolicited in place with the revise the project
PPP Scheme projects due to projects proper information alignment /
non-compliance to PPP location
to guidelines concessionaire and Coordinate with Concerned
concerned DPWH other DPWH Office Division Chief
offices like UPMOs or Concerned
Regional Offices Staff
Issue Date:
FEB 2 B 20il
2 of 57
Office: Stakeholders Relations Service

Process: Management Process - Feedback Management
Consequence
Likelihood Risk
(l) Factor
encountered)
Resolution of Delay in H Low customer H H Review the existing Issue follow up All DPWH
complaints resolution of satisfaction process and memos or Offices
complaints applicability of the Regional Office
because of the current on-site validation
need for longer "promptness" of complaints
time in resolving standard;
complaints due
to:
a) Investigation Categorization of Hire additional job Executive
and issues and order personnel Committee
validation prioritization -
(ROW) something to do
with policies and '.
guidelines
formulation
Issue Date:
FEB 2 B 2017
Page No. 3 of 57
Risk Register
b) Request for Do a series of Stakeholders

project campaign on Core Relations
funding Values and other Service
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.
c) Employment Unable to comply Additional
to ARTA law manpower to
d) Deluge of Unable to resolve call/inform the
complaints as to prescribed complainant and/or
from time prepare Request for
Presidential Action Memos
Hotline 8888
Issue Date:
FEB 2 8 2017
• Quality Management System Revision No.: a

4 of 57

Process: Management Process - Communication
Consequence
likelihood Risk
(l) Factor
encountered)
Development Release of M Question of H M Obtain clearance Park the release of SRS
of news/photo erroneous news integrity in future from Regional news stories not
releases due to inaccurate DPWH statements Directors prior to yet vetted by
data release of Regional concerned office
data as national until clearance is
news obtained
Decline in DPWH Have the office of IOs
Customers origin sign off the
Satisfaction details in the news
Rating as correct prior to
release
Issue Date:
FEB 2 8 2017
5 of 57

Process: Management Process - Civil Society Organization Relations
Consequence
likelihood Risk
(L) Factor
encountered)
Accreditation Accreditation of M Integrity of CSO H M Validate with due Counter checking SRS
of CSO Bogus CSO engagement is diligence the with DSWD's CSO
endangered authenticity of CSOs database
Come up with
guidelines on
monitoring activities
of CSOs

6 of 57
Office: Planning Service

Process: Planning Process
Consequence
Likelihood Risk
(L) Factor
encountered)
Data Gathering
1. Road and 1. Inaccurate data Inaccurate Review of data Tap other ROs, DEOS and
Bridge gathered due to: generation of gathering process. knowledgeable Planning
Inventory prioritized list of personnel from Service
(DEO) projects other section/
division.
2. Road a) lack of L H M Thorough data Close supervision
Condition manpower quality checking. of concerned
(DEO) personnel.
3. Traffic b) untrained M H H Proper planning and Recalibration or
Inventory personnel scheduling of Immediate repair
(DEO) manpower. of survey
equipment
4. Uploading c) questionable L H M Conduct of trainings
(RO) motivation and cascading
regarding data
gathering.
d) survey L H M Coaching and
equipment mentoring.
failure
Issue Date: FEB 2 B ZQ17
Page No. 7 of 57
Risk Register
2. delayed of L H M Regular network Upload data to

uploading due to maintenance areas where
network issues network is
available
5. Flood Control Incomplete data H H H Establish a database SaM / FCMC
gathered due to for the location and Use of historical
unavailability of inventory of flood records for
Flood Control control structures reference
Structures data
6. Road Right of Wrong M Over/Under H H Establish a database Legal action Legal Service/
Way information Compensation to in coordination with Staff
gathered right person LRA with the
following
information:
1. DPWH or Gap
owned projects
Compensation to 2. Outstanding ROW

wrong person Claims
Delayed project
3. PPP projects
implementation
Issue Date:
FEB 2 8 2017
S of 57
7. Environmental Wrong H Delayed project H H

and Social information implementation
Survey gathered
(*feasibility of
work during
non-regular
working
hours)
8. Validation Failure to Inaccurate
(CO/RO/DEO) validate data generation of
objectively due prioritized list of
to: projects
a) Absence of H M H Establish standard Coaching and Planning
standard validation procedure mentoring. Service
validation
procedure
b) Untrained L M L Conduct of trainings Close supervision
personnel and cascading of concerned
regarding data personnel.
gathering.
Project Identification
1. Initial ranking Wrong ranking H Wrong projects H H Ensure the quality Correct the data
(DPD - PS) due to inaccurate identified. and integrity of data inconsistencies
data gathered. gathered in Re-run of HDM4.
compliance with
D.O. 124 (RBIA).
Page No. g of 57
Risk Register
2. Validation Failure to Inaccurate

(RO/DEO) - validate data generation of
(ongoing, objectively due prioritized list of
completed, to: projects
committed,
structural
defects
warranty)
a) absence of H M H Establish standard Coaching and Planning
standard validation procedure mentoring. Service
validation
procedure
b) untrained L M L Conduct of trainings PS I RO IDEO

Close supervision
personnel and cascading
of concerned
regarding data
personnel.
gathering.
3. Initial Budget Revised project H Delayed project H H ManCom
Proposal for proposal due to implementation IExeCom
presentation Political
to Regional Intervention
Development
Council (IOs) Misallocation of
resources

10 of 57
4. Stakeholder Revised project H Lapse of funding H H ManCom

Consultation proposal due to allocation jExeCom
(Civil Society Political
Organizations) Intervention
Issue Date:
FEB 2 B 2017

11 of 57
Office: Bureau of Design/Implementing Office (ROs, DEOs and UPMO)

Process: Preparation of Plans
Consequence
Likelihood Risk
(l) Factor
encountered)
1. Engineering Failure to H Plans prepared H H Procurement of Tap other 10

Survey (PDD / conduct survey are not reflective equipment and knowledgeable
PDS) due to: to the actual site logistics personnel from
condition other section/
division.
a) Subsurface a) lack of Outsourcing of
Exploration survey manpower
equipment
and loqistics
b) Traffic b) lack of
Survey manpower
c) Utility
Survey
(Water
lines,
electrical
lines,
telecommu
nication
lines,
MMDA
12 of 57
sensors,
etc. )
d) Tree
Survey
2. Plans, Design Inaccurate H Increase the H H Proper conduct of Variation Orders 10
and plans, design likelihood of detailed engineering during Project
Specifications and VO/CO/EWO. in accordance with Implementation
(PDD/PDS) specifications existing department
due to issuances.
inaccurate
engineering
survey
3. DUPA Wrong cost L Costly projects H M Proper conduct of Variation Orders 10
(PDD/PDS) estimate due to detailed engineering during Project
*CMPD for Inaccurate in accordance with 1mplementation
reference (CD / plans, design existing department
CS) and issuances.
POW specifications
(PDD/PDS) due to
ABC inaccurate
(PDD/PDS) engineering
survey
13 of 57
4. Preparation of Delayed H Delayed approval H H Train design Request additional Bureau of

Plans (In- completion of of design plan engineersf architects plantilla positions Design
house) design plans due using the latest
to lack of design technology
com petent and tools in
personnel and compliance with
design software updated guidelines,
with compatible criteria and
hardware standards
No standard H Delayed project H H Procure latest design Outsourcing Implementing
design procurement software and Offices
procedurefrevie hardware to fully
w process automated and
timely design
preparation with
accurate results.
Institutionalize an DPWH
improved plan Secretary
review process and
ensure quality
desiqn product
Conduct design
audit
•
5. Preparation of Delay/inaccurate
H
Risk Register
Additional cost H H Strict compliance of

Revision No.:
Page No.
Extend the
0
14 of 57
Bureau of
Plans design analysis (Variation Order) the approved Terms services of the Design
(Outsourced) due to lack of of Reference Consultants at no
strict monitoring additional cost
by the Evaluation of Implementing
Implementing Consultant's Offices
Office Performance
Sanction/legal DPWH
action against the Secreta ry
Consultants/Firm
Issue Date:
FEB 2 B 2017
•
Office:
Bureau of Quality and Safety

Risk Register
Revision No.:
Page No.
0
15 of 57
Process: Quality and Safety Assurance Audit
Consequence
Activity Likelihood Risk
Risk Event (if risk is Severity Mitigation Contingency
(l) Factor Responsible
encountered)
1. Quality Audit Non-compliance M Failure to conduct M M Conduct study to Perform Bureau Quality
with proper comprehensive identify the actual appropriate and Safety
quality audit quality audit required number of corrective
methodology due units maintenance
to lack/poor Conduct regular Request for
maintenance of preventive additional funds to
quality audit maintenance cover unexpected
equipment
quality audit
equipment
breakdown
Calibration on
existing quality audit
equipment
Purchase additional
quality audit
equipment
2. Road Safety Failure to M Failure to road M M Conduct study to Perform Bureau Quality
Audit conduct safety issues identify the actual appropriate and Safety
comprehensive required number of corrective
road safety audit units maintenance
Issue Date:
FEB 2 8 2017
16 of 57
due to lack of Conduct regular Request for

competent preventive additional funds to
personnel maintenance cover unexpected
quality audit
equipment
breakdown
Calibration on
existing quality audit
equipment
Purchase additional
quality audit
equipment
17 of 57
Office: Internal Audit

Process: Internal Audit
Consequence
Likelihood Risk
(L) Factor
encountered)
1. Selection of 1. Selected auditors L Result of audit is H M Conduct trainings Coaching and IAS
Audit Teams/ may not have not objective and seminars on mentoring from
Auditors the competency relevant updates in immediate
requirements laws, rules and supervisor
due to regulations
insufficient
traininqs
2. Selected auditors L H M Auditors shall not be Bench auditor
may have biases assigned to after due process
and not observe same/previously
independence audited offices
due to familiarity Require attendance Review working
with the auditee to values formation papers
proqrams.
18 of 57
2. Identification Incomplete audit L Unsubstantiated H M Standardize audit Review and revise IAS
of audit areas, findings due to audit results checklist and audit procedures
procedures error in sampling procedures and criteria
and criteria and Proper coordination
misapplication of with concerned
audit criteria process owner
3. Conduct of Auditors may M Different audit M M Proper review of Elevate the matter IAS
audit have different recommendations Department Orders to the
interpretations and policies management
due to Offices affected by and/or the Legal
sometimes new DOs should Service for a more
conflicting or provide comments authoritative
inconsistent prior to issuance of position.
rules, regulations DO
and orders Strictly observe
preparation of Policy
Impact Analysis
19 of 57
Office: Legal Service / Legal Staff

Process: Legal Service
Consequence
Likelihood Risk
(L) Factor
encountered)
1. Acquisition of 1. Refusal of H H H Prompt and File expropriation Legal Service
Site or owners to vacate immediate payment case
The proposed
location for their properties of just compensation
project may not
Right of Way due to low offer
push through
of National of the
Gov't. projects qovernment
2. Conflicting Delayed project Issue demand to
claimants implementation occupant to vacate
3. Ownerjs premises
unknown
4. Unregistered
property
2. Removal of Refusal of H Delayed project H H Prompt payment of Issue notice that
site utilities to completion relocation costs DPWH will remove
obstructions relocate site upon the approval of the obstructions at
(utilities) obstructions due the guidelines issued the expense of the
to non-payment by the DOE and utility company
of relocation cost DPWH
3. Payment of 1. Insufficient funds H Delayed payment H H Request Proper
outstanding released due to of appropriation of coordination with
claims lack of allocated funds
20 of 57
funds for the the Implementing

purpose Offices
2. Lack of Claims Training/Seminar/W
competent compensation orkshop to
personnel to Duplication of employees involved
validate/ payment in the
evaluate claims Payment of va Iidation/ eva Iuation
invalid claims of claims
4. Preparation of Lack of legal L Wrong decision H M Regular updates of Recall / revise

Legal Opinion basis due to made jurisprudence, rules legal opinion/
absence of Conflicting and regulations and request DOJ
jurisprudence opinions with issuances of other opinion
different DPWH government
Offices agencies
5. Review of Insufficient L Approval of M L Conduct periodic Require concerned
Contracts documentary contract is training of personnel office/personnel to
requirements delayed involved in contract comply with the
due to non- preparation/review requirements
compliance with before submission
the checklist
6. Conduct of Biased or L Wrong decision M L Develop checklist as Re-evaluate
Investigation prejudiced made basis for decision investigation
investigation/dec results
ision due to
influence of
respondents/offic
ials, etc.
Issue Date:
FEB 2 B 2017
21 of 57
Office: Bureau of Equipment

Process: Project Implementation
Consequence
Likelihood Risk
(L) Factor
encountered)
Inland Delayed H Damaged to loss H H Ensure provision of File immediately Undersecretary
Channel completion of of lives and budget in the request for budget for Technical
Dredging inland dredging properties National Expenditure from allowable Services /
Project by by administration Program and MOOE available Assistant
Administration due to General funds Secretary for
insufficient Appropriations Act Technical
provision of Delayed Institutionalize Services /
budget completion to Annual Dredging Financial
non- Program and Service /
commencement Management Planning
of dredging Service /
projects UPMO-FCMC /
Monitor Dredging IOs / BOM
Budget Utilization
Department of Public Works and Highways Doc. Code:
•
Annex B
Quality Management System Revision No.: 0

~ Risk Register Page No. 22 of 57
Office: Bureau of Maintenance

Process: Infrastructure Asset Maintenance
Consequence
Activity likelihood Risk
Risk Event (if risk is Severity Mitigation Contingency
(L) Factor Responsible
encountered)
Undertake Recurrence of H Increased H H Apply appropriate Close supervision Bureau of
infrastructure defects due to maintenance cost maintenance activity and strict Maintenance
asset poor quality of thru the Annual enforcement of
maintenance maintenance Maintenance Work quality control
works Proqram during
Increased Equip maintenance maintenance Implementing
frequency of crew with sufficient operations Offices
repair knowhow on proper
infrastructure
knowledge and
methodoloqy
Costlier future Provide sufficient
rehabilitation basic road
work maintenance
equipment and tools
23 of 57
Office: Bureau of Maintenance

Process: Inspectorate and Monitoring
Consequence
Likelihood Risk
(L) Factor
encountered)
Inspect / Failure to Insufficient data Bureau of

validate complete required for the Maintenance
compliance of inspection/ evaluation of
all Districts to validation of performance of
policy compliance of the DEOs and the
guidelines on District analysis of the
the Engineering result of
maintenance Offices to the inspection/
of policy guidelines validation
infrastructure on the
maintenance of
infrastructure
due to:
a) Lack of H H H Plan and schedule Engage concerned Implementing
personnel inspection / RO personnel in Offices
validation in the inspection /
coordination with validation
other Divisions and
Offices
Issue Date:
FEB 2 B 2017
24 of 57
Train additional
personnel on the
conduct of
inspection
/validation activity
Increase area of
coverage per
inspector / staff
b) Adverse H H H Plan schedule of Reschedule
weather inspection/va Iidation conduct of
condition based on historical inspection/
weather data validation with
increased number
of inspectors
c) Peace and H H H Use of latest Seek the
order technology and assistance of local
modern gadgets to authorities during
monitor areas with inspection/
peace and order validation activity
issues
25 of 57
Office: Bureau of Research and Standards

Process: Research and Development Management
Consequence
Likelihood Risk
(l) Factor
encountered)
Construction Delayed M Delayed L L Close coordination Request to Bureau of
of smalljfull- implementation evaluation of new with the implementing Research and
scale pilot due to lesser products and implementing Office for site Standards
trials. priority given by marginal offices, product identification sent /DPWH
the concerned materials. proponent and the on the first quarter Implementing
implementing contractor of the year. Office / Product
office . Sampling and Proponent
testing of
materials for the
pilot trials
completed prior to
site identification .
26 of 57

Process: Research and Development Management
Consequence
Likelihood Risk
(l) Factor
encountered)
Standard Delayed M Outdated L L Seek assistance Bureau of

specifications formulation of specifications from other agencies Research and
formulation standard formulated such as D11 and Standards
specifications DOST which are
due to members of
insufficient MSHTO and ASTM.
international Procure latest
references such MSHTO and ASTM
as ASTM, book of Standards
MSHTO, ACI, and apply for
etc. membership of the
same.
Page No. 27 of 57
Risk Register
Office: Procurement Service

Process: Procurement Management
Consequence
Likelihood Risk
(L) Factor
encountered)
1. Preparation of 1. Bid Document is M Delayed bidding H H Proper assignment Issue Bid Bulletin Procurement
Bid not compliant process and training of TWG containing Service I Unit
Documents with the latest (Advertisement I on the latest amendments Staff I
revisions of RA Publication) revisions of RA and/or Implementing
9184, DPM, 9184, DPM, GPPB clarifications Office
GPPB issuancesl issuancesl
resolutions and resolutions and IFI's
IFI's Evaluation Procurement
Guidelines due to Guidelines
lack of
competent
personnel and/or
lack of man
power
2. Bid Document is M Bid proposals H H Proper assignment Issue Bid Bulletin Procurement
inconsistent with submitted by and training of TWG containing Service I Unit
approved plans, bidder not on the latest amendments Staff I
TORI responsive with revisions of RA and/or Implementing
Specificationsl the actual project 9184, DPM, GPPB clarifications Office
POW and ABC requirements issuancesl
Issue Date:
FEB 2 8 2017

28 of 57
due to lack of Delayed bidding resolutions and IFI's

competent process Procurement
personnel and/or (Advertisement / Guidelines
lack of man Publication)
power
2. Pre- Incorrect M Sidder/s H M Proper assignment SAC thoroughly SAC/ SAC TWG/
qualification evaluation submitted motion and training of TWG review the Procurement
and Sid presented to SAC for on the latest recommendation Service
Evaluation due to non- reconsideration revisions of RA of TWG and
compliance with which may 9184, DPM, GPPS recommend re-
the approved set prolong the issuances/ evaluation if
forth criteria for procurement of resolutions and IFI's necessary
evaluation in the the contract Evaluation
bidding Guidelines
documents
a) Performance Delay post- M Prolonged H H Specify the deadline Reiterate to SAC/ SAC TWG/
Evaluation qualification due procurement of submission of Implementing Procurement
to late reply of process verifications & Office the Service/
Implementing continue post- submission of the Implementing
Unit including qualification if not verification project Office
private firms submit on specified status
regarding date
verification of
performance
Issue Date:
FEB 2 8 2017
29 of 57
Delay in the L Prolonged H M Specify deadline of Reiterate to BAC/ BAC TWG/

evaluation due to procurement submission of Bureau of Quality Procurement
incomplete process verification and Safety the Service/ Bureau
evaluation of the submission of the of Quality and
Bidders verification project Safety
Performance status
b) Award of 1. Delay of award L Delayed project H M Presentation of Request bidder to BAC/

Contract due to implementation status of "permit to extend its bid and Procurement
unavailability of enter" in the PPCto bid security Service/
"permit to enter" assure its validity Implementing
acquirement. Office
(Ensure that before
any project could
start the bidding
process proper due
diligence shall be
conducted including
status of status of
''permit to enter" in
the PPC to assure its
aCQuirement)
2. Delay of award L Delayed project H M Emphasize Impose sanctions BAC! BAC TWG/
because implementation administrative based on Sec. 69 Procurement
LCRB/HRRB did sanctions in the Pre- of the revised IRR Service
Bid Conference of RA 9184.
30 of 57
not accept award In case of lone Proceed with next

of contract bidder (failure of LCBjHRB, else in
bidding) case of lone
bidder; BAC
recommends
failure of biddinq
Issue Date:
FEB 2 8 2017
31 of 57
Office: Financial Service

Process: Financial Management
Likelihood
(l) Consequence
Risk
Factor
encountered)
Fund Control Accounting

Preparation of Non-issuance of M Lapsed Funding- H H Implementing Office The incurrence of Implementing
Obligation Obligation due to the Department should fast track the Low Absorptive Office
Request and non-submission of shall request identification of Capacity (Ae) will
Status (ORS) Memorandum again for the claimants and the be reported to the
Request for release of funding preparation of the concerned
Obligation by the required supporting Undersecretary for
implementing documents appropriate action
office on: especially if there
are voluminous
request for issuance
of Obligation for
RROW
a) SARO a) Road Right of Low Absorptive Fast track the Issuance of Budget Division
Way (RROW) Capacity Procurement Memorandum
b) GAA b) Project Delay in the process to facilitate reminding the
Implementation processing of the awarding of Implementing
Disbursement contracts for the Office that funds
Vouchers. issuance of will lapse.
Obligation

32 of 57
Fiscall financial Accountability
Preparation Delay in the M Inclusion to COA H H Full implementation Imposition of Finance Service
and preparation and Audit Findings of technology like Sanctions for
submission of submission of Non-entitlement the eNgas and failure to comply Regional Office
Budget and BFARs to COA of the eBudget version 2 with the deadline
Financial and DBM due to Department to for easy preparation
Accountability non- compliance PBB of the reports
Reports of
(BFARs) Regional/District
Offices to submit
reports on the set
deadline.
Issue Date:
FEB 2 B 2017
•
Reporting
Risk Register
Revision No.:
Page No.
0
33 of 57
Preparation Delays in the M Issuance of Audit H H Full implementation Imposition of Finance Service
and preparation and Findings by COA of technology like sanctions to
submission of submission of the eNgas and Offices who failed
Consolidated Financial Reports eBudget version 2 to comply with the
Annual to COA and DBM for easy preparation set deadline
Financial are due to the of the reports
Report non-compliance
Non-entitlement of Regional Office
of Regions and
the Department to
District Offices
PBB
on the set
deadline/
guidelines
34 of 57
Office: Human Resource and Administrative Service

Process: Physical Resource Management
Consequence
Likelihood Severit Risk
Activity Risk Event (if risk is Mitigation Contingency Responsible
(l) y Factor
encountered)
Regular 1. Breakdown of H Negative feedback H H Draft a policy Conduct Root Facilities

maintenance facilities and of the Department institutionalizing and Cause Analysis Maintenance
of facilities, equipment (air from its internal standardizing Facility Division-Human
buildings, con Offices, and external and Work Resource and
pumping elevators, stakeholders Environment Administrative
station, work generator) due Management for all Service
environment, delay in the Department-owned
and sanitation implementation Facilities, including
of facility Pumping Stations,
maintenance and Buildings which
schedule covers:
Untimely facility a) Audit Perform UPMO-FCMC
aging/deterioration immediately
of facility spaces corrective
maintenance
Increased utilities b) Space Emergency Implementing
expenses Management Purchase of Offices
required supplies
and materials
35 of 57
Increased facilities c) Operations and

and work Maintenance
environment d) Health, Safety
maintenance and Environment
expenses
Increase frequency e) Resource

in facility repair Management
(including Utility
Consumption)
Facility management
automation
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
Issue Date:
FEB 2 B 2017
Doc. Code: Annex B
•
Revision No.: 0
Page No. 36 of 57
H H H
n
Issue Date:
FEB 2 B 2017
37 of 57
-
Risk Register -
Page No.
- - -
13. Breakdown of H H H
facilities and
equipment (air
con, offices,
elevators,
generator) due
to unavailability
of supplies and
materials
Issue Date
FEB
Doc. Code
•
Revision No o
Page No. 38 of 57
Human Resource and Administrative Service

Human Resource Management
Likelihood
Risk Event Contingency Responsible
(l)
H HRAS
2 H H H HRAS
Shortage of H H Participate n Job

manpower Fairs
Failure to address H H Coordinate with
competency gap Head Hunters
2 Issuance of Termination of H Enforce 0.0 42 s HRAS
Appointment CSC Accreditation 2016
Issue Date:
FEB 1 8 1017
Page No. 39 of 57
Risk Register
applicants due to Invalidation of Establish policy and

Imposition of
erroneous appointment guidelines on
H M administrative
credentials background
sanction
investiqation
Retention Strategy
Retention Fast turnover of H Increased cost of H H Conduct programs Improve HRAS
Strategy personnel due to training on motivating employer-
better job millennial to stay in employee
opportunities government relationships
outside DPWH based on current
workforce trends
Delayed project Increase awareness Explore
completion of supervisors on outsourcing (body
how to handle shopping
millennial alternative)
Widen competency Engage in job fairs
gap
40 of 57
Performance Management
Performance Subjective H Demoralization H H Ensure the Compliance to CSC HRAS
evaluation evaluation due to among employees preparation and use Rules and
the absence of of SPMS Database Regulations re-
SPMS and Workflow to all implementation of
Database offices by updating Strategic
the standard job Performance
description for each Management
position periodically System (SPMS)
"Unqualified" Develop an
employees application intended
receiving higher for SPMS
Performance Standardization of
Based Bonus (PBB) Database &
Workflow for Region
and District Offices
Rewards and Recognition
Granting of Subjective L Demoralization H M Ensure the Conduct HRAS
meritorious performance among employees preparation and use investigation
salary step rating due to of SPMS Database
increment absence of SPMS and Workflow to all
Database and offices by updating
Workflow the standard job
description for each
position periodically
Employees who Develop an

received application intended
meritorious salary for SPMS
Issue Date:
FEB 2 8 2017
41 of 57
step increment are Standardization of

not qualified Database &
Workflow for the
Region and District
Offices by the
Central Office
Activate the PRAISE
Committee
Learning and Development
Learning Failure to H Competency gap H H Issuance of Memo Improve the CDD, HRAS
needs address training not addressed directing the implementation
assessment needs of submission of process of needs
employees due projected actual & assessment
to the absence prioritized training
the Individual needs per Office
Development with specific
Plans (IDP) guidelines
Database Develop the IDP
Database
Enhance Training
Management System
(TMS)
Issue policy for
submission of
certificates of
external training
attended for
inclusion in the TMS
Issue Date:
FEB 2 8 2017
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Office: Bureau of Equipment

Process: Equipment Fleet Management
Consequence
Likelihood Risk
(l) Factor
encountered)
1. Demand Failed to M Acquired wrong H H Compliance and Immediately Bureau of
Management establish end- equipment enforcement of DO review and revise Equipment
user actual requirement and 64 s.2016 results of Needs
equipment quantity Analysis
demand due to
Continuous fleet Continuous learning Inform concerned Implementing
non-compliance
requirement and training of end-user Offices
of Needs deficiency concerned in
Analysis
Equipment Fleet
procedure
Demand
Manaqement
Lower equipment Establish a policy in
fleet utilization the use of Life Cycle
Costing and Analysis
Adopt ISO
55001:2014 - "Asset
Management:
Management
Systems
Requirements"
Increased Physical Asset
wastage in Management
Automation
Issue Date:
FEB 2 B 7017
Page No. 43 of 57
Risk Register
resources
optimization
2. Systems Wrong M Acquired wrong H H Compliance and Immediately Bureau of

Engineering equipment equipment enforcement of DO review and revise Equipment
specification due requirement 64-2016 Equipment
to lack to Specification
research and Lower equipment Continuous learning Inform concerned Implementing
publication fleet utilization and training of end-user Offices
materials concerned in
Equipment Fleet
Demand
Manaqement
Increased Establish a policy in
wastage in the use of Life Cycle
resources Costing and Analysis
optimization Establish guidelines
and procedure in
determining
Equipment
Specification relative
to Actual End-User
Requirement Adopt
ISO 55001:2014-
"Asset Management:
Management
Systems
Requirements"
44 of 57
Physical Asset
Management
Automation
3. Acquisition Delayed M Delayed H H Conduct continuous Immediate BAC for Goods
acquisition of Refleeting market and supplier conduct of Root
fleet Program availability research Cause Analysis of
requirements the Public Bidding
due to lack or Failure
non-participation Insufficient Fleet Conduct continuous Reschedule Public Bureau of
of suppliers in Size to respond to updating of Bidding Equipment
the Public road maintenance equipment pricing (Rebidding)
Bidding program and
quick response
Fund reversion to Ensure equipment Implementing
national treasury specification covers Offices
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
Issue Date:
FEB 2 B 7017

45 of 57
4. Disposal of Failed disposal, H Failure/Delayed H H Review and Immediate Central Disposal

obsolete/ thru public the Re to fleeting updating of the conduct of Root Committee
uneconomical! auction Program DPWH Basic Cause Analysis of
unserviceable proceeding, due Highway the Public Auction
equipment to non- Maintenance Failure
participation Equipment
auctioneers Refleetinq Proqram
Low Equipment Annual Nationwide Re-schedule public Bureau of
Utilization Disposal Plan and auction Equipment
Schedule for /Implementing
Implementation in Offices
the followinq year /Regional
Increased in the Review of the extent Disposal
Liability Portfolio of coverage of the Committee
of the publication company
Department and notification
procedure
"Bloated" Fleet Regular survey of
Inventory scrap to metal
buying companies
Missed revenue Designation of
dedicated staff to
perform regular
assessment and
updating of scrap
metals price Adopt
ISO 55001:2014-
"Asset Management:
Manaqement
46 of 57
Systems
Requirements"
Physical Asset
Management
Automation
5. Operations Failed to conduct M Increased road H H Creation of Policy Immediate Bureau of
and prescribed maintenance Institutionalizing and conduct of Root Equipment
Maintenance Preventive activities backlog Requiring all BOEj Cause Analysis of
(O&M) Maintenance by Regional risk occurrence
End- users OfficesjDEOs'
jROs'jDEOs'jCen Performing Annual
tral Office Preventive
Motorpool due to Maintenance
absence of Planning and
Annual Schedulinq
Preventive No programmed Closed coordination Implementing
Maintenance road maintenance with the Bureau of Offices
Plan & Schedule activity performed Maintenance in
developing an
equipment
maintenance plan
and schedule that
will support the
Annual Maintenance
Work Program
(AMWP)
47 of 57
Delayed to none Implement

dispatching to Reiiabi Iity-Centered
disaster to Maintenance
stricken areas
Increased Conduct training on
frequency of maintenance
equipment/ planning and
service vehicles' scheduling Adopt
failure ISO 55001:2014 -
"Asset Management:
Management
Systems
Requirements"
Increased Physical Asset
occurrence of Management
corrective Automation,
maintenance including PM
Proqram automation
Low Equipment
Utilization
Low Equipment
Availability
Increased
maintenance
expenses
Improper
utilization of
resources
Issue Date:
FES 2 8 2017
48 of 57
6. Configuration Wrong M Wastage of funds H H Compliance and Immediate Bureau of

Management equipment and other enforcement of DO conduct of Root Equipment
rehabilitation resources utilized 64-2016 Cause Analysis of
procedure Increased in Implement risk occurrence Implementing
performed due "Infant Mortality" Reliability-Centered Offices
to lack of type of Maintenance
operations and equipment failure
maintenance
history
Shorter Establish Equipment
equipment life Failure History
Recording Procedure
and Database
Failed to increase Establish policy and
to the right fleet procedure on
size Equipment
Rehabilitation and
Component & Parts
Transfer
Continuous learning
and training of
concerned in
Equipment Fleet
Demand
Management
49 of 57
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
Page No. 50 of 57
Risk Register
Office: Bureau of Research and Standards, Bureau of Design, and Bureau of Quality and Safety
Process: Engineering Survey, Laboratory and Field Testing Equipment Management
Consequence
Likelihood Risk
(l) Factor
encountered)
Verification/ Inconsistent test H Poor Project H H Formulate Policy and Perform corrective Bureau of
Calibration of result due to Quality Guideline for the maintenance (if Design / Bureau
Engineering verification Semi to Annual can be done in of Research and
Survey, /calibration of Verification/ house) Standards
Laboratory equipment Calibration of Refer to other /Bureau of
and Field accuracy Engineering Survey, accredited/ Quality and
Testing Laboratory and Field designated Safety
Equipment Testing Equipment calibrating
laboratory
Issue Date: ~l:tl 2 8 2017
Page No. 51 of 57
Risk Register

Process: Physical Resource Management
Consequence
Likelihood Risk
(L) Factor
encountered)
Verification Inaccurate test M Potential inclusion H H Monitor, thru Conduct Bureau of
and results due to of substandard appropriate investigation and Research and
calibration of lack of training materials in the Preventive root cause analysis Standards j
laboratory of technical project. Maintenance, DPWH
testing personnel in regularly the Implementing
equipment equipment accuracyj reliability Offices
calibration and of equipment in the
irregular laboratory
calibration of
laboratory Poor quality of Provide training for Refer to other
testing projects technical personnel accreditedjdesigna
equipment and implement ted calibrating
existing calibration laboratory.
program and
maintenance of
equipment
Issue Date:
FEB 2 8 2017
52 of 57
Office: Information Management

Process: Application Development
Consequence
Likelihood Risk
(L) Factor
encountered)
1. Identification Needs are M List of priorities L M Exposure to the Conduct skills Business
of needs overlooked by does not match different business inventory and Innovation
business analysts the actual needs processes of DPWH reassign personnel Division, IMS
due to lack of Business Training to to the appropriate
familiarity with processes will not strengthen business area
DPWH business be enabled by analysis skills of BID
processes technoloqy personnel
2. Development 1. Unmet timelines M Delayed M M Establish guidelines Hire additional Application
of application in the completion of on the observance skilled personnel Support
system completion of application of the order of Division, IMS
prioritized prioritization
applications due
to
unprogrammed
requests from
offices
2. Unmet timelines M Technology- M M Augment manpower
in the enabled business complement
completion of process
prioritized improvements are
applications due hindered

53 of 57
to insufficient
manpower
3. Deployment Deployment of L Efficiency and M L Reiterate compliance Application

application is productivity of with application Support Div.
delayed due to the concerned deployment (ASD) and
incomplete office will be procedure Technology
documentation compromised Support Division
requirements (TSD), IMS
4. Maintenance 1. Unmet Service M Efficiency in M M Establish guidelines Hire additional User Support
Level Agreement service delivery is on solution skilled manpower Division, IMS
(SLA) to resolve impeded and prioritization
incident reported productivity of Augment manpower Authorize overtime
in the IT Service the concerned complement on high priority
Desk due to office will be incidents
insufficient compromised
manpower
2. Lost or damaged L Loss or H M Establish Business Send IT security Technology
data due to unusability of Continuity Planning officers to training Support
natural disaster, data (BCM) as part of our Division, IMS
virus infection, or risk management
hacking (IT program
Security Disruption of Ensure regular
breaches) business back-up of
continuity databases
Ensure back-up is
stored offsite
Page No. 54 of 57
Risk Register
Ensure anti-virus
software is updated
3. Fast updating of L Technology- H M Conduct periodical Maintain good All Divisions of
IT resources due enabled business audit of IT assets relationship with IMS
to incompatibility process versions vs current IT service
of version improvements are IMS skill set providers
hindered inventory
4. Lack of Disruption of Increase awareness
necessary business in technology
technical continuity updates by
knowhow on the attending IT
new tech/version conferences,
symposiums.
5. Loss of technical Strengthen the skills
support of the BID personnel
6. Fast turnover of H Delayed H H Conduct programs Improve IMS
personnel due to completion of on motivating employer-
better job application millennial to stay in employee
opportunities in government relationships
the private based on current
sector workforce trends
Technology- Increase awareness Explore
enabled business of supervisors on outsourcing (body
process how to handle shopping
improvements are millennia I alternative)
hindered
7. Difficulty in the H Delayed H H Intensify recruitment Explore IMS
recruitment of IT completion of program outsourcing (body
professionals due application
Issue Date:
FEB 7 B 2017
55 of 57
to few number of Technology- Participate in Job shopping

applicants enabled business Fairs conducted by alternative)
process colleges and
improvements are universities
hindered
Issue Date:
FEB 2 B 2017
56 of 57
Office: Human Resource and Administrative Service

Process: Documentation Management
Consequence
Likelihood Risk
(l) Factor
encountered)
1. Records 1. Returned mail L Undelivered L L Diligence in Indicate postal HRAS
Management due to mails; inability to determining contact codes for mailjs
incomplete respond by the data
address or recipient
change of
address
2. Undisposed M Overstocking of M M Strict compliance Annual Inventory HRAS
valueless records documents, with rules and of Non-Active
clouded filing regulations set by Records
room, voluminous National Archive of
records the Philippines
2. Document 1. Failure/Delay to H Non-compliance H H Utilize e-mail blast Send hard copy to RMD-HRAS
Management disseminate to latest facility to all concerned office
copies of issuances during employees
issuances down the period of connected with
to the lowest delay WAN
Offices due to
failure to check
the intra net
posts
Issue Date:
FEB 2 B 2017
57 of 57
2. Failure/Delay to L H M Issue a policy to all IMS

disseminate RITSO/DITSO and
copies of AOs regarding
issuances down dissemination and
to the lowest retrieval of
Offices due to issuances
network Ensure network
disconnection maintenance and
security is in place
Likelihood: (L) Unlikely (M) Likely (H) Very Likely Severity: (L) Low (M) Medium (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
ANNEX C
Department of Public Works and Highways Doc. Code: Annex C
•
Revision No.: 0
Opportunity Register Page No. 1 of 13
Unit: Human Resource and Administrative Service

Process: Documentation Management
Benefit (if Benefit Benefit

Likelihood
Activity Opportunity Event opportunity is Rating Factor Action Plan(s) Responsible
(l)
encountered) (BR) (LxBR)
Sending of Issuances Utilization of email Likely 1. Instantaneous High 6 Engage IMS in helping HRAS
to all units in the blast facility to all dissemination of disseminate new
Department employees connected Issuances Department Orders to the
with WAN 2. Decrease in use of emails of all email users
physical resource.
3. significant savings
in postage cost
4. Benefit for the
environment
LEGEND: Likelihood - (1) Unlikely (2) Likely (3) Very Likely Benefit Rating - (1) Low (2) Medium (3) High
Note: Action Plan is required for Benefit Factor ~ 4, Action Plan is required if regulatory or statutory requirement
Issue Date:
FEB 2 8 2017
•
Revision No.: 0
Unit: Human Resource and Administrative Service

Process: Human Resource Management

Likelihood
(L)
Recruitment, Selection and Placement

Filling up of vacant Wide selection for Likely The Department is High 6 1. Participate in job fairs HRAS
position best candidate due more likely to hire the 2. Engage in social
to Influx of best applicant among media and print
candidates the pool advertisements
Performance Mana ~ement
Performance Strict implementation Likely No room for bias in High 6 HRAS
evaluation of SPMS due to the performance
previously reported rating
concerns
Rewards and Reco~nition
Granting of Boosted morale of Very 1. Improved personnel High 9 Strengthen advocacy on HRAS
meritorious salary employees due to Likely performance the rewards system of
step increment increased salary 2. Increased internal DPWH
satisfaction
Learning and Development
Training needs Only important Likely 1. No funds are Low 2 Form a team to come up HRAS
assessment Training Programs wasted with guidelines
are given priority 2. Bridge of
competency gap
Note: Action Plan is required for Benefit Factor 2: 4, Action Plan is required if regulatory or statutory requirement
•
Revision No.: 0
Unit: Bureau of Equipment

Process: Project Implementation

Likelihood
(L)
Inland Channel Reduced Capital Likely 1. Protect Lives and High 6 1. Institutionalization of 1. Undersecretary for
Dredging Project by Expenditure for Properties Annual Strategic Technical Services
Administration Dredging Project by 2. Protect High 6 Dredging Program 2. Assistant
Contract environment and Management Secretary for
3. Reduced impact High 6 2. Identification of Technical Services
of climate change Proposed Dredging 3. Financial Service
- flooding Sites in Major Rivers 4. Planning Service
4. Sustained and Flood-Prone 5. UPMO-Flood
improvement of High 6 Areas where Control
dredging crew Dredging-by- Management
and fleet Administration is Cluster
utilization feasible 6. Implementing
3. Strategic Dredging Offices
Fleet Refleeting 7. Bureau of
Program Equipment
Issue Date:
FEB 2 B 2017
•
Revision No.: a
Unit: Bureau of Maintenance

Process: Infrastructure Asset Maintenance
Benefit Benefit
Likelihood Benefit
Activity Opportunity Event (if opportunity is Rating Action Plan Responsible
(L) Factor
encountered) (BR)
Undertake 1. Generate Very Contribution to High 9 1. Bureau of

infrastructure asset additional Likely poverty reduction Maintenance
maintenance employment in through job creation 2. Implementing
the local Offices
community
2. Further utilization Very 1. Price High 9 Sustain further 1. Bureau of
of local materials Likely competitiveness utilization of local Maintenance
2. Faster delivery of materials 2. Implementing
materials Offices
Issue Date:
F 2017
•
Revision No.: o
Unit: Bureau of Maintenance

Process: Inspectorate and Monitoring
Benefit Benefit
Likelihood Benefit
(L) Factor
encountered) (BR)
Inspectorate and Engagement of the Likely More timely response High 6 Promote the use of the 1. Bureau Director
Monitoring public in reporting to the maintenance DPWH feedback 2. Assistant Bureau
defects / deficiencies needs of mechanism Director
on infrastructure infrastructure 3. Division Chiefs
4. Concerned BOM
Staff
5. Regional Offices
6. District
Engineering
Offices
Issue Date:
FEB 2 B 2017
•
Revision No.: 0
Unit: Bureau of Equipment

Process: Equipment Fleet Management
Benefit Benefit
Benefit
Activity Opportunity Event Likelihood (if opportunity is Rating Action Plan Responsible
Factor
(l) encountered) (BR)
1. Operations and 1. Increased Fleet Likely Lower or deferred High 6 1. Ensure 'On time' 1. Bureau Director
Maintenance Operating Life capital expenditure submission per 2. Assistant Bureau
(O&M) due to from equipment standard Annual Director
sustainable PM acquisition Preventive 3. Equipment
Program Maintenance (PM) Operation and
Compliance Program Maintenance
2. Monitor all end users Division Chief
and implementing 4. Floating
offices Annual PM Equipment
Program Compliance Division Chief
3. Adopt ISO 5. Regional Office -
55001:2014 - "Asset Equipment
Management Management
Standard" Division
4. Physical Asset 6. DEO - Equipment
Management Services Unit
Automation
5. Procurement of the
latest and most
appropriate
preventive and
Issue Date:
FEB 2 8 2017
•
Revision No.: 0
Benefit Benefit
Benefit
Factor
predictive
maintenance
equipment and tools
2. Decreased Likely 1. Better 11mproved High 6 1. Ensure on time 1. Bureau Director

Equipment Fleet Department submission per 2. Assistant Bureau
Failure Rate due Image High 6 standard Annual Director
to sustainable PM 2. Low or reduced in Preventive 3. Equipment
Program maintenance Maintenance Operation and
Compliance expenditures from Program Maintenance
corrective and 2. Monitor all end users Division Chief
emergency and implementing 4. Floating
maintenance offices Annual PM Equipment
3. Optimized High 6 Program Compliance Division Chief
Resources 3. Adopt ISO 5. Regional Office -
Utilization - 55001:2014 - "Asset Equipment
Manpower, Management Management
Materials and Standard" Division
Tools 4. Physical Asset 6. DEO - Equipment
Management Services Unit
Automation
5. Procurement of the
latest and most
appropriate
Note: Action Plan is required for Benefit Factor::=:
4, Action Plan is required if regulatory or statutory requirement
Issue Date:
FEB 2 B 2017
•
Revision No.: 0
Opportunity Register Page No. g of 13
Benefit Benefit
Benefit
Factor
preventive and
predictive
maintenance
equipment and tools
3. Local and Likely 1. Better 11m proved High 6 1. Ensure on time 1. Bureau Director
International Department submission per 2. Assistant Bureau
recognition due Image standard Annual PM Director
to PM Program 2. International High 6 Program 3. Equipment
Implementation Standard of 2. Monitor all end users Operation and
Excellence and implementing Maintenance
offices Annual PM Division Chief
Program Compliance 4. Floating
3. Adopt ISO Equipment
55001:2014 - "Asset Division Chief
Management 5. Regional Office -
Standard" Equipment
4. Physical Asset Management
Management Division
Automation 6. DEO - Equipment
5. Procurement of the Services Unit
latest and most
appropriate
preventive and
Note: Action Plan is required for Benefit Factor::: 4, Action Plan is required if regulatory or statutory requirement
Issue Date:
FEB 2 B 2011
•
Revision No.: 0
Opportunity Register Page No. g of 13
Benefit Benefit
Benefit
Factor
predictive
maintenance
equipment and tools
2. Disposal of Revenue from sales Likely 1. Better/Improved High 6 1. Adopt ISO 1. Central Disposal
obsolete/ of Disposable Department 55001:2014 - "Asset Committee
uneconomical! Equipment Image Management 2. Bureau Director
unserviceable 2. Acquisition of new High 6 Standard" 3. Assistant Bureau
equipment or replacement 2. Establish Annual Director
equipment Disposal Plan and 4. Equipment
3. Low or reduced in Schedule Planning Division
maintenance High 6 Chief
expenditures from 5. Regional Disposal
corrective and Committee
emergency 6. Bureau staff who
maintenance are members of
4. Reduced the Central
safekeeping and High 6 Disposal
storage cost Committee
5. Optimized
Resources High 6
Utilization -
Manpower,
Issue Date:
FES 2 B 2017
•
Revision No.: 0
Benefit Benefit
Benefit
Factor
Materials and
Tools
6. Encouraged scrap
business High 6
participation
Note: Action Plan is required for Benefit Factor::::4, Action Plan is required if regulatory or statutory requirement
Issue Date: FES 1 B 2011
•
Revision No.: 0
Unit: Procurement Service I Unit Staff

Process: Procurement Management
Benefit Benefit
Likelihood Benefit
(l) Factor
encountered) (BR)
1. Preparation of Bid Documents are Likely Prompt High 6 1. Require IO's for early 1. Procurement
Bid Documents reviewed and advertisement submission of PPMP, Service / Unit
finalized earlier due duly signed by Head Staff
to early submission Expedite procurement of 10 and evaluated
of Implementing process by Head of Budget 2. Implementing
Office to Office, to PrS for Office
Procurement Service consolidation to
12 days before the monitor preparation
PPC 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
Issue Date:
•
Revision No.: o
Benefit Benefit
Likelihood Benefit
(l) Factor
encountered) (BR)
2. Pre- qualification Completion of Bid likely Probability that a High 6 1. Proper assignment BAC/ BAC TWG/
and Bid Evaluation earlier bidder/applicant and training of TWG Procurement Service
Evaluation than the schedule rated "failed" in the on the latest
due to compliance evaluation to submit revisions of RA 9184,
with the existing Motion for GPPB
guidelines Reconsideration will issuances/resol utions
lessen, thus, duration and IFI's Evaluation
of evaluation will be Guidelines.
shorten 2. BAC thoroughly
review the
recommendation of
TWG and recommend
re-evaluation if
necessary
Issue Date:
FEB 2 B 2017
•
Revision No.: 0
Benefit Benefit
Likelihood Benefit
(l) Factor
encountered) (BR)
3. Performance Completion of Post Likely Probability that the High 6 1. Proper assignment SACj SAC TWGj
Evaluation Qualification LCS found "Post- and training of TWG Procurement Service
Evaluation earlier qualified" in the on the latest
than the schedule evaluation to submit revisions of RA 9184,
due to compliance Motion for GPPS
with the existing Reconsideration will issua ncesj resol utions
guidelines lessen, thus, and IFI's Evaluation
recommendation of Guidelines.
Award will be earlier 2. SAC thoroughly
review the
recommendation of
TWG and recommend
re-evaluation if
necessary

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Republic of the Philippines ov~~-.l.D/7

DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

Copies of this Manual (DPWH-QMSM-Revision No.3) will be provided by the Records

Department of Public Works and Highways

Section 1. Organizational Profile

Section 2. Quality Management System

6.1 Procurement Management

Section 7. Petformance Evaluation

Control of Documents, DPWH-QMSP-01

A Relevant Interested Parties

Section 1. Organizational Profile

b. Bureau of Construction (BOC) reviews and evaluates programs, estimates, contract

d. Bureau of Equipment (BOE) monitors compliance to standards, operation and

b. Public-Private Partnership Service (PPPS) undertakes the planning, marketing,

d. Human Resources and Administrative Service (HRAS) implements the integrated

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

b. Flood Control Management Cluster (FCMC) undertakes project implementation and

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

d. Roads Management Cluster II (RMC-II) Multilateral undertakes the overall

e. Buildings Management Cluster (BuMC) undertakes the administration and enforcement

Department of Public Works and Highways

&Jreau !lljldings &. Spedal

• - The oversight functions over the flood Control Management Cluster

Figure 1.1 DPWH Organizational Chart

1.6 Regional Offices (ROs)

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

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

f. Quality Assurance and Hydrology Division monitors the implementation of Quality

INFORMATION AND COMMUNICATION

Figure 1.2 Organizational Chart of Regional Offices

1.7 District Engineering Offices

i. Procurement Staff administers procurement activities and processes of the District

c. Construction Section supervises and implements infrastructure projects in accordance with

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

e. Quality Assurance Section monitors the implementation of Quality Assurance Program of

INFORMATION AND COMMUNICATION

PUBLIC INFORMATION STAFF

Figure 1.3 Organizational Chart of District Engineering Offices

Section 2. Quality Management System

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

All requirements of ISO 9001 Standard are applicable to DPWH QMS.

2.2 Process Approach

Each high level process has:

DPWH PROCESS MODEL

3.1 Management Commitment

3.1.1 Core Values

• Integrity: Conducting one's business in a transparent, honest, and ethical manner,

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

3.2 Quality Policy

We commit to provide quality, safe, and environment-friendly public infrastructure

We commit to comply with all requirements and to continually improve effectiveness

We endeavour to implement the RIGHT PROJECTSat the RIGHT COST determined

3.3 Responsibility, Authority and Communication

3.3.1 Responsibility and Authority

a. taking accountability for the effectiveness of the QMS;

3.3.3 Management Representatives

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

4.1 Strategic Direction

VISION STRATEGY MAP 2022

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

Invoved road lives S properties protected from