SMC CONSOLIDATED POWER CORPORATION

GAP ANALYSIS SCHEDULE 2017

SCHEDULE AREA / SECTION RESPONSIBLE PERSON REMARKS

January 26, 2017

0800H - 0930H MATERIAL HANDLING Rolando Diverson

0930H - 1030H WATER TREATMENT Lorenzo De Leon

1030H - 1200H OPERATION Carlo Cabanela

1300H - 1430H ENGINEERING Froilan Manuel

1430H - 1700H MAINTENANCE Reynaldo Francisco

January 27, 2017

0800H - 0930H HRA Anna Marie Sarmiento

0930H - 1030H FINANCE Julius Abes

1030H - 1200H PURCHASING Lira Zamora

1300H - 1400H LOGISTICS AND WAREHOUSE Virginio Mangalindan

1500H - 1600H OFFICE OF THE PM Roland Cabasa

1600H - 1700H REPORT WRITING SHE Group

 SMC CONSOLIDATED POWER CORPORATION

SHE Gap Analysis Result

RAW
No CLAUSE ISO REQUIREMENT FINDINGS REQ'T. REMARKS
SCORE

4.0 CONTEXT OF THE ORGANIZATION

CONTEXT OF THE
1 4.1
ORGANIZATION
1. Determination of the Context of the
Organization is not yet in place
IDENTIFICATION OF 2. There is no defined format for the
2 4.2
INTERESTED PARTIES
identified issues and interested parties and
is not yet consolidated for the organization 4 0
3 4.3
SCOPE OF THE 2. The Scope of the IMS has not been
OSHMS AND EMS identified as to what the audit will cover
3. There is no evidence of established
OHSAS and
ENVIRONMENTAL
manual on IMS
4 4.4
MANAGEMENT
SYSTEM

5.0 LEADERSHIP

LEADERSHIP AND
1 5.1
COMMITMENT 1. During the Gap Analysis, no defined
Table of Organization for IMS that will
ensure the management of this system is
2 5.2 SHE POLICY surely followed was presented.
3 0
2. The SHE Policy has been drafted but
still for approval and dissemination to all
ORGANIZATIONAL
ROLES, employees
3 5.3
RESPONSIBILITIES
AND AUTHORITIES

6.0 PLANNING
GENERAL
1 6.1.1 REQUIREMENT FOR
PLANNING
The following were noted:
ENVIRONMENTAL 1. The identified HIRADC and
2 6.1.2
ASPECTS AND HIRADC Environmental Aspects presented is
insufficient to address the requirement of
the standard.
COMPLIANCE
3 6.1.3
OBLIGATIONS 2. Identified Compliance obligations prior to
the operation of the plant has been applied
6 0
but is still not yet complete
4 6.1.4 PLANNING ACTION 3. Planning and Setting of Specific
Objectives not yet defined
4. Objectives not alligned with the
5 6.2.1 OBJECTIVES requirements of the standard
5. Evaluation of compliance to the set
objectives has not been defined
PLANNING TO
6 6.2.2 ACHIEVE THE
OBJECTIVES

7.0 SUPPORT

1 7.1 RESOURCES

2 7.2 COMPETENCE
1. Not all personnel are aware of the safety
and Health procedures
3 7.3 AWARENESS

GENERAL
4 7.4.1 REQUIRMENT FOR
COMMUNICATION
1. There is no documented program
pertaining to the dissemination of
5 7.4.2
INTERNAL information relative to safety, health and
COMMUNICATION environment during the gap analysis
2. Internal and external communication not
yet standardized for the whole company 9 2
EXTERNAL
6 7.4.3
COMMUNICATION

DOCUMENT
7 7.5.1
INFORMATION

1. The procedure presented for the control

of documented information is not yet
CREATING AND
8 7.5.2
UPDATING finalized
2. Each section has no defined person to
control the documented information
9 7.5.3 CONTROL OF DOCS

8.0 OPERATION

1. Procedures identified for all departments

need to be formalized, (some procedures
are adapted from manuals of the
equipment)
2. Procedures shall incorporate the
OPERATIONAL identified risks and impact from the
1 8.1 PLANNING AND HIRADC and Environmental aspects as 1 0
CONTROL well as Compliance obligations and the
identified objectives and scope of the
organization.
3. Business process map needs to be
prepared for all processes to allign with the
Plan, DO, Check, Act Model

The following were observed:

1. Emergency Team established but is not
yet functional and trained
2. Emergency equipment for all areas
EMERGENCY
insufficient to address the identified
2 8.2 PREPAREDNESS AND 1 0
CONTROL emergencies (Spill Kits, Fire Suits, First Aid
Kits)
3. Evacuation Plan not yet posted in all
areas
4. Emergency drills planned this year

9.0 EVALUATION
MONITORING,
MEASUREMENT,
1 9.1.1 The following needs to be established:
ANALYSIS AND
EVALUATION 1. Monitoring and measurement of
processes including analysis and customer
2 9.1.2
EVALUATION OF satisfaction
COMPLIANCE

3 9.2.1 INTERNAL AUDIT 2. Internal audit program for the OHSAS 5 1

and EMS not yet completed but planned
3. Lead Auditor Training not yet conducted
INTERNAL AUDIT on OHSAS and EMS standards
4 9.2.2
PROGRAM

5 9.3 MANAGEMENT REVIEW

4. Execution of formal Management review
alligned with OHSAS and EMS standards

10.0 IMPROVEMENT

OPPORTUNITIES FOR
1 10.1
IMPROVEMENT 1. Opportunities for improvements and non
conformance are noted by the different
departments but a defined procedure
NON CONFORMITY
2 10.2 AND CORRECTIVE should be identified for the whole company. 3 1
ACTION 2. Continual improvement of the
management system shall be defined to
CONTINUAL ensure that the system is up to date
3 10.3
IMPROVEMENT

13% 32 4
 COMPLETION RATIO
TITLE RAW SCORE REQT. % COMPLETE

COTO 0 4 0%
LEADERSHIP 0 3 0%
PLANNING 0 6 0%
SUPPORT 2 9 22%
OPERATION 0 2 0%
EVALUATION 1 5 20%
IMPROVEMENT 1 3 33%

AVERAGE SCORE 4 32 13%

% COMPLETION RATE
COTO 0
50%
40%
30%
IMPROVEMENT 1
20% LEADERSHIP 0

10%
33% 0%
0%
22%
20%
EVALUATION 1 PLANNING 0

OPERATION 0 SUPPORT 2

s
 TARGET OF ACTIVITIES

TARGET ACTUAL
Jan 13 13
IMS COMPLETION PLAN
Feb 20
Mar 35 100 100
Apr 60
90
May 100
June 80
July 70
Aug 60 60
Sept
50
Oct
Nov 40
35
Dec 30

20 20
13
10
13
0
Jan Feb Mar Apr May June Jul y
 TARGET
Exponential
ETION PLAN (TARGET)
ACTUAL
100

60

pr May June Jul y Aug Sept Oct Nov Dec

 SMC CONSOLIDATED POWER CORPORATION
6 of 52 .

ACTIVITY PLAN FOR THE IMS CERTIFICATION

RESPONSIBLE
ACTIVITY PERSON
ACTION PLAN/ STRATEGIES SUPPORT NEEDED Man days needed BUDGET Target Date
1. Follow-up status of the PR for February
1.0 SUPPORT FROM CONSULTANCY TM / PRO 1. Identification of Consultant for the IMS IMS Consultant TBD TBD 2017

w ESTABLISHMENT OF NEEDED TEAMS

2.1 Identification and approval of the Team Members
1. Assignment of Personnel that
will commit to the IMS Teams
1. Identification of Teams for the IMS Certification 2nd Week
TM / QESH 2. Approval of members from each Department 1 February
3. Designation of Responsibilities of each Team

1. Adjustment of team members

1. Schedule Workshop for the Team in making for the one day workshop
a.Business Functional Process map 2. Venue for the Training
3. 3rd Week
2.2 Team WorkShop QESH b. COTO 1 February
c. HIRADC
d. IMS POLICY

1. Development of the Business Functional Process 1. Commitment of the Team

Map Members in the conduct of the
2. Development of the IMS Policy Activities for preparation to the
3. Identification of Scope and Objectives of the IMS IMS
4. Development of COTO 2. Target completion is one
5. Development of HIRADC and Risk Register week continous Team Activity 4th Week
2.3 Team Activities QESH
6. Presentation of the Team Results to Top 3. MT Meeting for the
7 TBD February
Management presentation of the IMS Team
Results

1. Provision of Budget for the

support for the KICK OFF
1. Identification of the KICK Off Activity Activity. (Tshirt, Tarpauilinf Feb - Mar
3.0 IMS KICK OFF ACTIVITY TM / QESH 2. Conduct of the KICK OFF Activity to involve all 1 2017
personnel

4.0 TM / QESH THINGS TO DO

1. Budget for the Printing,
Framing and Posting of the IMS
Policy, Objectives, and Vision
4.1 Printing and framing of the IMS Policy, Objectives as well HR / QESH
1. Identification of location for the Posting of the IMS Mission Statements
as Vision and Mission Statements Policy, Objectives and Vision/ Mission Statements

1 . Planning for Management for IMS by Top

4.2 Preparation of the Management Plan for IMS TM / IMS TEAM Management

1. Identification, Listing, compiling and posting of

Identification, Listing and Posting of the Compliance Compliance Obligations
4.3 Obligations (i.e. PTO's posted in area, ECC posted at the HR / QESH 2. Ensuring that all compliance obligations are
monitored and updated
entrance of the establishment)

1. Conduct of Work Environment Measurements for 1. Contact third party Work

the Whole Plant ( based on scope) Environment Measurement who
4.4 Identification of needed Measurement Activities for the QESH will conduct the testing
Compliance Obligations (i.e WEM)

Provision of Equipments necessary for monitoring of the 1. Identification and provision of Testing equipments
4.5 objectives QESH
1. Identification of Restricted Areas for the whole plant
4.6 Finalization of Traffic Flow, Parking Areas, Restricted QESH
Areas, Common Areas for the Plant
Provision of Waste Management Facilities (MRF, Waste
4.7 Segregation Bins, etc) TM / QESH

Development of the Continous Improvement Plan by all

4.8 departments TM

4.9 Submission of 1st KPI Progress Report TM

5.0 DOCUMENTS AND RECORDS DCC

Finalization of the Document Control Procedure

5.1 including DC TEAM 3rd Week
identification of the Document Flow February
Dissemination and training of the Document Control 4th Week
5.2 Procedure DC TEAM February
Encoding of all Procedures to the identified Document
5.3 Format DC TEAM March

Routing of the Documents, review and approval by all

5.4 process owners DC TEAM March - April

Review of the Final Draft of all document with Document

5.5 Review and Control Notice (DRCN) DC TEAM April

Document Final Approval, Registration Mastercopy and

5.6 Final DC TEAM April
Approval
Document Confirmation (Training) of all users and
5.7 process owners DC TEAM April

6.0 HUMAN RESOURCES / TRAINING HR

7.0 MATERIAL HANDLING MH

8.0 OPERATIONS OPS

9.0 MAINTENANCE MT

10.0 ENGINEERING ENGG

11.0 WATER TREATMENT WT

12.0 FINANCE FIN

13.0 WAREHOUSE WH

14.0 PROCUREMENT PRO

15.0 INFORMATION TECH IT

16.0 QUALITY ASSURANCE QA

17.0 EMERGENCY TEAM SAFETY

18.0 INTERNAL AUDIT QESH

18.1 Conduct of Lead Auditors Training

18.2 Conduct Internal Audit for IMS

18.3 Planning for Corrective Measure

18.4 Implementation of Countermeasures

19.0 THIRD PARTY AUDIT

19.1 1st Stage Third Party Audit

19.2 Corrections for noted findings

19.3 Certification Audit

Prepared by: Endorsed by

Gary M. Francisco Alvin A. Villegas Anna Marie N. Sarmiento

Safety Officer / QESH Safety Engineer Plant HR Head
WATER TREATMENT LOGISTICS
EVANGILINE GOMEZ JONNA REM DE CASTRO
IMS TEA
IMR
 RRC

QMS LEAD OHSAS LEAD

BENZON PLATINO GMF

BOWE TRUMAN JOHANNE PAULO
BENZON PLATINO GMF
BOWE TRUMAN JOHANNE PAULO

MEMBE
MAINTENANCE OPERATIONS
DENNIS B CABINIAN DENNIS AQUINO
TEAM
 ADVISERS

MANCOM MEMBER

EMS LEAD

HEIDEE V MA
C BOBADILLA
 HEIDEE V MA
C BOBADILLA

MBERS
MATERIAL HANDLING ENGINEERING
TED DIESTA DONITA CANLAS
FINANCE HR
MARIA LINDA
ROMUALDO PEREZ
ORTIGUERRA
 HIRADC TEAM
TEAM LEADER

MJ

ALVIN

MEMBERS
WATER TREATMENT LOGISTICS MT OPERATIONS MH ENGINEERING FINANCE HR

FRANCES DAPHNE
JONNA REM DE CASTRO REY BORJA ERIC DELA CRUZ GLENN GALIMA JOHN PAULO PALLORCA JULIUS ABES ROWAN VELONTA
GARELA
 DOCUMENTS CONTROL TEAM
TEAM LEADER
MARVIN MAGTANONG

COMPANY DOCUMENT
CONTROLLER

SECTION DOCUMENT CONTROLLER

OPERATIONS (MH
MAINTENANCE WATER TREATMENT MH ENGINEERING FINANCE HR
AND MP)

AMATERO PETE LORENCE DAVE DE

ROLAND SANTOS JOY ANN MIMAY VIRGINIO MANGALINDAN DERZY FELICITAS KRESHNA GALICIA
RICABLANCA CASTRO
 CORRECTIVE ACTION TEAM
TEAM LEADER
REYNALDO E.
FRANCISCO

SECTION DOCUMENT CONTROLLER

OPERATIONS (MP
MAINTENANCE WATER TREATMENT LOGISTICS ENGINEERING FINANCE HR
AND MH)

MANFRED VALENTOS MITZ DAVID NAVARRO FERNANDO FERNANDES BRYAN GONZALES RENZ GIDEON DE LEON JOSEPH GARCIA ANNA MARIE SARMIENTO
 EMERGENCY PREPAREDNESS AND RESPONSE TEAM
COMMUNICATIONS TEAM EPRT DIRECTOR

ANNA MARIE
SARMIENTO
CHERRY BODABILLA RRC

SHE COMMITTEE

EPRT ASSITANT
DIRECTOR

MEDICAL AND CHEMICAL/OIL SPILL UTILITIES CONTROL

FIRE BRIGADE TEAM EVACUATION TEAM SECURITY TEAM LOGISTICS
HEALTH TEAM TEAM TEAM
 Date Feb. 6, 2017
SMC CONSOLIDATED POWER CORPORATION

Page no.
ACTIVITY PLAN FOR THE IMS CERTIFICATION

ACTIVITIES PIC START DATE END DATE 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

1.0 Identification and assessment of the Consultant HR 2/20/2017 2/28/2017 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 1 1 1 1

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

2.0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

2.1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

2.2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

2.3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

3.0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

3.1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

3.2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

3.3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

4.0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

4.1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

4.2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

4.3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28