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Document No. : GSCWD-QP-ISO-001 RRiisskk MMaannaaggeemmeenntt PPrroocceedduurree Revision Level : Ø Page : Page
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GSCWD-QP-ISO-001
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1.0 OBJECTIVE This document aims to define the processes involved in identifying Risks and Opportunities
1.0
OBJECTIVE
This document aims to define the processes involved in identifying Risks and Opportunities on the Quality
Management System of GENERAL SANTOS CITY WATER DISTRICT as required by ISO 9001:2015.
2.0
SCOPE
This document covers the processes of identifying, analyzing, evaluating and monitoring of risks and
opportunities for QMS of GENERAL SANTOS CITY WATER DISTRICT.
3.0
DEFINITION OF TERMS
3.1 Risk – is often characterized by reference to potential events and consequences, or a
combination of these.
3.2 Significant Risk – Risks with an overall rating of 12 and above.
3.3 Risk Tolerance – Level of Risk that is considered acceptable.
3.4 SWOT – Strength, Weaknesses, Opportunities and Threats.
3.5 SWOT Analysis – a tool used to analyze the organization’s Strength, Weaknesses, Opportunities
and Threats.
3.6 Risk and Opportunities – Potential adverse effects (threats) and potential beneficial effects
(opportunities).
4.0
REFERENCE DOCUMENTS
4.1 Management Review Procedure
4.2 Corrective Action Procedure
4.3 Control of Nonconforming Services Procedure
5.0
RESPONSIBILITY AND AUTHORITY
5.1 Concerned Department / Division shall be responsible for:
5.1.1 Identifying, analyzing and evaluating risks and opportunities of their respective
departments.
5.1.2 Determining the need to take action to address risks and opportunities.
5.1.3 Determine, implement and monitor the implementation of actions to address risks and
opportunities.
5.2 Department / Division Heads shall be responsible for:
5.2.1 Reviewing the departments’ Risks and Opportunities.
5.2.2 Determining resources needed associated with the actions necessary to address the Risks
and Opportunities.
5.3 Top Management shall be responsible for:
5.3.1 Approving actions and resources necessary to address the risks and opportunities.
5.3.2 Ensuring that status of risks and opportunities are reported during the scheduled
Management Review.
5.4 The ISO Facilitator shall be responsible to ensure that action plans to address risks and
opportunities are integrated on the Organization’s QMS.

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Document No. : GSCWD-QP-ISO-001 RRiisskk MMaannaaggeemmeenntt PPrroocceedduurree Revision Level : Ø Page : Page
Document No.
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GSCWD-QP-ISO-001
RRiisskk MMaannaaggeemmeenntt
PPrroocceedduurree
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6.0 PROCEDURE DETAILS

6.1 Communication and Consultation

Process Flow In-charge Process Description Records Start Shall determine internal and external stakeholders which
Process Flow
In-charge
Process Description
Records
Start
Shall determine internal and external
stakeholders which will be consulted all
throughout the risk management process.
Top
Management &
SWOT Analysis
General
Determine
External Issues
Note: The concerned department shall
constantly communicate and consult with the
stakeholders during the course of performing
risk management.
Form
Manager
Internal and
Top
Management
Shall determine the internal and external issues
relevant to the organizations strategic
directions.
SWOT Analysis
and
Form
Department /
Note:
SWOT
analysis
shall
be
used
in
Division Heads
determining the internal and external issues.
Top
Needs and
Identification of
Management
Expectation of
Needs and
and
Interested
Expectations
Shall determine the Needs and Expectation of
the Interested Parties that might affect the
production and service provision.
Department /
Parties Form
Division Heads
A

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Document No. : GSCWD-QP-ISO-001 RRiisskk MMaannaaggeemmeenntt PPrroocceedduurree Revision Level : Ø Page : Page
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A Shall determine the strategic option of the organization based on the following guidelines and
A
Shall determine the strategic option of the
organization based on the following guidelines
and the result of the SWOT analysis:
 Strength – Opportunities: Ask the
question, How can strengths be
employed to take advantage of the
Opportunities?
Top
Determining
Management
Strategic Options
SWOT Analysis
and
 Strength – Threats: Ask the question,
how can strength be used to counteract
threats that tend to hinder the
attainment of objectives and the
exploitation of Opportunities?
Form
Department /
Division Heads
 Weakness – Opportunities: Ask the
question, How can weaknesses be
overcome to take advantage of or
exploit the opportunities?
 Weaknesses – Threats: Ask the
question, How can weaknesses be
overcome to counteract threats that
tend to hinder the attainment of the
objectives and exploitation of
opportunities?
Determine Risk
and Opportunities
Concerned
Department /
Division
Shall determine the risks and opportunities
relevant to the internal and external issues
(context of the organization) and the Needs and
Expectation of the Interested Parties using Risk
Registry Form for the assessment of risk and
Opportunities Action Plan for all identified
opportunities.
Risk Assessment
Registry Form
Opportunities
Action Plan
Shall consider the following in determining risks
and opportunities:
Risk Assessment
Determine Risk
and Opportunities
 Analysis of Internal and External Issues
Registry Form
Concerned
Department /
 Strategic direction of the organization
(Context of the Organization)
Opportunities
Division
 Needs and Expectations of interested
parties
Action Plan
B

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B Shall assess the risks according to the following risk criteria:  Likelihood (Probability of
B
Shall assess the risks according to the following
risk criteria:
 Likelihood (Probability of Occurrence)
 Severity
 Impact to Water Service Quality
 Impact to Operation
 Impact to Reputation
Assessment of
Concerned
Risk
Note: Refer to Table 1 for the Risk Evaluation
Matrix.
Risk Assessment
Department /
Registry Form
Division
Note: The risk estimate (overall score) shall be
computed by multiplying the Likelihood
(Probability of Occurrence) and the highest
Severity score among the three (3) factors –
Impact to Quality, Operation or Reputation
Note: All risks with an overall score of 12 and
above shall be considered significant.
Shall determine Action Plans to address the Risk
and Opportunities.
Note: Actions shall be categorized based on the
following options:
 Avoid the Risk
Establishing
 Take the risk in order to pursue an
opportunity.
Risk Assessment
Concerned
Action Plans
 Eliminate the Risk Source
Registry Form
Department /
 Changing
the
Likelihood
or
the
Division
Consequence
Opportunities
 Sharing the risk
Action Plan
 Retain the risk by informed decision –
This shall apply if rating is below 12.
Note: In addressing the Opportunities, the
organization shall take into consideration if the
action might lead to the following:
C

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C  Adoption of new practices  Launching new products  Opening new markets 
C
Adoption of new practices
 Launching new products
 Opening new markets
 Addressing new customers
 Building partnerships
Concerned
Department /
Division
Establishing
Action Plans
Using new technology and other
desirable and viable possibilities to
address the organization’s or its
customer needs
Note: Action Plans shall also be based on the
identified strategic options the organization
chooses to pursue.
Risk Assessment
Concerned
Shall review the necessary action plans and
determine any resources needed for the actions
to be implemented.
Registry Form
Department /
Opportunities
Division Head
Action Plan
Risk Assessment
Registry Form
Top
Approval
Shall approve the action plans and shall ensure
that resources are provided.
Management
Opportunities
Action Plan
Review
Shall review the effectiveness of actions taken
at least twice a year or during the Management
Review.
Effectiveness
Note: Risk registry shall be reviewed also in case
of any of the following would be encountered
Risk Assessment
aside
from
the scheduled twice a year
Registry Form
Concerned
Management Review:
Department /
a
during audit
If
nonconformance
was
detected
Opportunities
Division
Action Plan
After receiving a complaint from
customer or interested parties
Changes in the organization’s processes
After an occurrence
emergency situation.
of
an
actual
End

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Document No. : GSCWD-QP-ISO-001 RRiisskk MMaannaaggeemmeenntt PPrroocceedduurree Revision Level : Ø Page : Page
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6.2 Reports

Reports Frequency Responsible Risk Registry Twice a year or as need arises Department Opportunities Action
Reports
Frequency
Responsible
Risk Registry
Twice a year or as need
arises
Department
Opportunities Action Plan
Twice a year or as need
arises
Department
SWOT Analysis (Internal
and External Issues)
Once a year
Top Management
Needs and Expectation of
Interested Parties
Once a year
Top Management
7.0
PERFORMANCE INDICATORS
7.1 All Risks are reduced to an acceptable level.
7.2 Risk Registry shall be reviewed twice a year and shall be updated as necessary.
8.0
ATTACHMENTS AND FORMS
8.1 Form 1 SWOT Analysis
8.2 Form 2 Needs and Expectation of Interested Parties
8.3 Form 3 Risk Registry
8.4 Form 4 Opportunities Action Plan
8.5 Table 1 Risk Evaluation Matrix

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