DEPARTMENT OF HUMAN

SETTLEMENTS AND
URBAN DEVELOPMENT
OPERATIONS MANUAL
This document contains the management,
core and support processes of the
different organizational units under the
DHSUD
 Republic of the Philippines
DEPARTMENT OF HUMAN SETTLEMENTS AND URBAN DEVELOPMENT

OPERATIONS MANUAL

TABLE OF CONTENTS

CHAPTER PAGE
I INTRODUCTION 1
1.1 Background 1
1.2 Acronyms 2-6

II. DHSUD PROFILE 7

2.1 History 7-8

2.2 Mandates 8-9
2.3 DHSUD Vision 10
2.4 DHSUD Mission 10
2.5 DHSUD Core Values 10
2.6 DHSUD Organizational Structure 10-11
2.7 Functional Description 12
Office of the Secretary 12
Office of the Undersecretary 13
Office of the Assistant Secretary 13
DHSUD Bureaus 13
Environmental Land Use and Urban Planning Development
Bureau 13-16
Housing and Real Estate Development Regulation Bureau 16-17
Homeowners Association and Community Development Bureau 17-18
DHSUD Services 18
Planning Service 18-20
Administrative Service 20
Financial Service 21
Public Housing and Settlements Services 21-23
Knowledge Management and Information Systems 23
Public Assistance Service 24.
Legal Service 24-25
Internal Audit Service 25
Regional Offices 26
Environmental Land Use and Urban Planning Development
Division 26-27
Housing and Real Estate Development Regulation Division 27-29
Homeowners Association and Community Development Division 29-30
 Public Housing and Settlements Division 30-32
Administrative and Finance Division 32
Budget and Accounting Unit 32-33
Cash Unit 33-34
Administrative Unit 34-35
Records Management 35

III. DHSUD’s ORGANIZATIONAL STANDARDS 36

3.1 National Human Settlements Board (NHBS) 36

Technical and Secretariat Support to NHBS Process 36-47

3.2 Office of the Secretary’s Procedures 47-49

3.3 Scope of Operations of the Office of the Secretary 50

3.3.1 Handling of Special Events Process 50-51

3.3.2 Calendaring of Secretary’s Engagement Process 51-53
3.3.3 Request for Messages from the Secretary Process 53-55
3.3.4 Handling of Documents Needing Secretary’s
Decision/Action Process 55-58
3.3.5 Handling of Documents Received Through Email
and Mobile Messaging Process 58-59
3.3.6 Reservation of Board Room Process 60

3.4 DHSUD Process Map 61-62

3.4.1 Management Processes 63

3.4.1.1 Strategic and Program Planning Process 64-71

3.4.1.2 Policies and Plans Formulation/Issuance Process 71-74
3.4.1.3 Performance Monitoring and Evaluation Process 75-77
3.4.1.4aPublic Assistance Process 77-80
3.4.1.4b.Public Relations Process 81-83
3.4.1.5 Management Improvement (Internal Audit) Process 84-99
3.4.1.6 Legal Support/Assistance Process 100-121
3.4.1.7 Legal Appel Process 121-130
Public Housing and Settlements Service
3.4.1.8 Policies, Frameworks, Strategies, Plans and
Guidelines Formulation Process 130-133
3.4.1.9 Technical Assistance/Support to Regional Offices
by PHSS Process 133-135
3.4.1.10 Program and Project Development Process for
Public Housing and Settlement Service 135-140
3.4.1.10a Shelter Recovery and Rehabilitation Process 140-145
 3.4.1.10b Declaration of Subdivision/Condominium Projects
as Abandoned, Incomplete or Unfinished 145-147
3.4.1.10c Establishment of New Town Estate, New
Settlements, Urban Renewal Programs and
Prototypes of Housing and Urban Development
Interventions Process 147-151
3.4.1.10d. Designation/Reservation of Lands as
Government Centers Process 152-155
3.4.1.10e Opening of Subdivision Roads for
Public Use Process 155-156
3.4.1.10f. Conduct of Inventory of Government-Owned
Lands Process 157-162
3.4.1.11 Monitoring and Evaluation of Policies and Programs
of Public Housing and Settlements Service 162-168
3.4.2 Core Processes 169

Environmental Land Use and Urban Planning Development

Bureau (ELUUPDB) 169

3.4.2.1 Policies, Framework, Strategies, Plans, and

Guidelines and Standards Formulation Process 169-171
3.4.2.2 Program and Project Development Process for
Environmental Land Use and Urban Planning
Development 172-174
3.4.2.3aTechnical Planning Assistance Process to
LGUs by ELUPDD 174-177
3.4.2.3b Capability Building Process 178-180
3.4.2.3c Technical Assistance and Support Process
by ELUPDB 180-182
3.4.24a Review, Adoption and Approval Process
for Provincial Physical Framework Plan (PPFP) 182-186
3.4.2.4bReview, Adoption and Approval Process for CLUP
and Zoning Ordinance for Component Cities and
Municipalities (CCM) 186-191
3.4.2.4c Review, Adoption and Approval Process for CLUP
and Zoning Ordinance for Highly Urbanized Cities
(HUCs) and Independent Component Cities (ICCs) 191-196
3.4.2.4d Review, Adoption and Approval Process for CLUP
and Zoning Ordinance for Metro Manila Cities and
Municipality (MMCM) 196-200
3.4.2.5 Monitoring and Evaluation Process 200-206
3.4.2.6 Issuance of Certification Process 206-211
Housing and Real Estate Development Regulation (HREDR) 212
3.4.2.7 Policies, Regulations, Strategies and Standards
Formulation Process 212-214
3.4.2.8 License to Sell Certificate of Registration
and Other Permits Issuance Process 214-229
 3.4.2.9 Certificate of Registration to Dealers, Brokers,
and Salesmen Issuance Process 230-232
3.4.2.10 Capacity Building Process 232-237
3.4.2.11 Monitoring and Evaluation Process 238-247
3.4.2.12 Monitoring of Real Estate Brokers, Dealers
or Salesperson Process 248-249

Homeowners Association and Community Development 250

3.4.2.13 Rules, Regulations and Guidelines Formulation

Process for the Homeowners Association and
Community Development (HOACD) 250-251
3.4.2.14 Certificate of Registration of HOAs
Incorporation Process 252-258
3.4.2.15 Program Development Process 258-260
3.4.2.16 Technical Assistance Process 260-262
3.4.2.17 Community Development Process 263-268
3.4.2.18 Monitoring and Evaluating Process 269-273

3.4.3 Support Processes 274

3.4.3.1 Human Resource Recruitment, Selection and

Promotion Process 274-285
3.4.3.2 Training and Scholarship 286-291
3.4.3.3 Rewards and Recognition Process 291-296
3.4.3.4 Assessment Of Group And Individual Performance
Process 296-300

3.4.3.5 Procurement Planning Process 300-302

3.4.3.6 Procurement Of Supplies, Materials, Equipment
Including Services For The Repairs Of Motor Vehicles
and Equipment Process 302-311
3.4.3.7 Receipt, Inspection, Acceptance And Recording Of
Deliveries Of Inventory Items And Equipment Process 311-313
3.4.3.8 Requisition and Issuance of Inventory Items
Process 313-315
3.4.3.9 Requisition and Issuance of Equipment Process 315-321
3.4.3.10 Reservation and Dispatching of DHSUD Motor
Vehicles Process 321-324
3.4.3.11 Cash Custodianship Process 324-326
3.4.3.12 Records Management Process 326-331
3.4.3.13 Agency Annual Budget Preparation Process 331-335
3.4.3.14 Monitoring and Recording Allotments Process 335-337
3.4.3.15 Disbursements by Check Process 338-342
3.4.3.16 Preparation of Financial Statements/Reports
Process 343-344
3.4.3.17 Knowledge Management Collection, Storage,
Dissemination and Utilization Process 344-346
3.4.3.18 Systems Integration Process 347-348
IV. LIST OF REFERENCES 349

4.1 List of Process, Procedures and Flowcharts 349

National Human Settlements Board 349

1. Procedures for Extending Technical and Secretariat Support to the

National Human Settlements Board

Office of the Secretary 349

2. Procedures for Handling of Special Events

3. Procedures for Calendaring the Secretary’s Engagement
4. Procedures for Handling of Request for Messages/Greetings
from the Secretary
5. Procedures for Handling of Documents Needing the
Secretary’s Decision/Action
6. Procedures for Handling of Documents Received through
Email and Mobile Messaging
7. Procedures for Reserving the Use of Board Room

Management Processes 349

8. Procedures for Strategic and Program Planning

9. Procedures for Formulating/Issuing Policies, Plans and Program
10. Procedures for Performance Monitoring and Evaluation
11. Procedures for Extending Public Assistance
12. Procedures for Designing an Effective Public Relations
Information and Education Campaign
13. Procedures for Conducting Management and Operational Audit
14. Procedures for Providing Legal Support/Assistance
15. Procedure for Legal Appeals

Public Housing and Settlements Service 349-350

16.Procedures for the Formulation of Policies, Frameworks, Strategies,

Plans and Guidelines for PHSS
17.Procedures for Extending Technical Assistance/Support to Regional
Offices by PHSS
18. Procedures for Program and Project Development for PHSS
18.1 Procedures for the Recovery and Rehabilitation of Damaged
Houses of Families Affected by Natural and Man-Made Calamities
18.2 Procedures for the Declaration of Subdivision, Condominium
Projects as Abandoned, Incomplete and Unfinished
18.3 Procedures for the Establishment of New Town, Estate, New
Settlements, Urban Renewal Programs and Prototyping of Housing
and Urban Development Interventions
18.4 Procedures for Reserving/Designating Lands as Government
Center
18.5 Procedures for Opening of Subdivision Roads for Public Use
 18.6 Procedures for the Conduct of Inventory of Government-Owned
Lands
19. Procedures for Monitoring and Evaluation of Policies and Programs of
PHSS
Environmental Land Use and Urban Development
Planning Bureau 350
20. Procedures for Formulating Environmental Land Use and Urban
Planning Development Policies, Frameworks, Strategies, Plans,
Guidelines and Standards
21. Procedures for Program and Project Development for Environmental
Land Use and Urban Planning and Development
22. Procedures for Extending Technical Planning Assistance to LGUs by
Regional ELUPDB
23. Procedures for Conducting Capability Building Program for ELUPDB
and Regional ELUPDD Staff
24. Procedures for Conducting Technical Assistance and Support to
Regional Offices, LGUs, NGAs and Other Institutions by ELUPDB
25. Procedures for the Review, Adoption and Approval of Provincial
Physical Framework Plan
26. Procedures for the Review, Adoption and Approval of Comprehensive
Land Use Plan and Zoning Ordinance for Component Cities and
Municipalities
27. Procedures for the Review, Adoption and Approval of Comprehensive
Land Use Plan and Zoning Ordinance for Highly Urbanized Cities and
Component Cities
28. Procedures for the Review, Adoption and Approval of Comprehensive
Land Use Plans and Zoning Ordinance for Metro Manila Cities and
Municipality
29. Procedures for Monitoring and Evaluation of Environmental Land Use
and Urban Planning and Development Policies
30. Procedures for Issuance of Certification
Housing and Real Estate Development and Regulation Bureau 350-351
31. Procedures for Formulating Policies, Regulations, Strategies and
Standards for Subdivision, Condominium and Other Real Estate
Development Projects
32. Procedures for Registering and Licensing Subdivision, Condominium
and Other Real Estate Development Projects
33. Procedures for Issuing the Certificate of Registration to Dealers,
Brokers and Salesmen
34. Procedures for Extending Capacity Building to Regional Personnel
35. Procedures for Monitoring and Evaluating Subdivision, Condominium
and Other Real Estate Development Projects
36. Procedures for Monitoring Real Estate Brokers, Dealers and Salesmen
Homeowners Association and Community Development Bureau 352
37. Procedures for Formulating HOA Rules and Guidelines
38. Procedures for Issuing the Certificate of Registration of
HOAs Incorporation
 39. Procedures for Program Development for HOAs
40. Procedures for Extending Technical Assistance to HOAs,
Cooperatives and Local Government Units
41. Community Development Process
42. Procedures for Monitoring and Evaluating Homeowners
Associations
Support Services 352
43. Procedures for the Selection, Recruitment and Promotion
44. Procedures for Granting Rewards and Recognition
45. Procedures for Assessing Group and Individual Performance
46. Procedures for Procurement Planning
47. Procedures for Requesting and Procuring Supplies, Materials
and Equipment including Repairs and Maintenance of Motor
Vehicles and Equipment
48. Procedures for Receipt, Inspection, Acceptance and Recording
of Deliveries of Inventory Items and Equipment
49. Procedures for the Requisition and Issuance of Inventory Items
50. Procedures for the Requisition and Issuance of Equipment
51. Procedures for the Reservation and Dispatching of Motor Vehicles
52. Procedures for Recording Collection and Deposit
53. Procedures for Records Management
54. Procedures for Preparing Annual Budget
55. Procedures for Monitoring and Recording Allotments Received
from the Department of Budget and Management
56. Procedures for Disbursements by Checks
57. Procedures for Preparing Financial Reports/Statements
58. Procedures for Knowledge Management
59. Procedures for Systems Integration
 Republic of the Philippines
DEPARTMENT OF HUMAN SETTLEMENTS AND URBAN DEVELOPMENT

OPERATIONS MANUAL

CHAPTER 1

INTRODUCTION

1.1 Background

This Operations Manual (OM) is designed to define and clarify policies, systems, and
procedures to implement the different programs and services of the Department of
Human Settlements and Urban Development (DHSUD).

The development of this manual is also intended to document the approved standard
procedures for performing operations of the different organizational units of the
DHSUD to efficiently provide housing and urban development programs and services.

The manual also provides the framework upon which employees based their approach
to ably carry out their tasks with consistent results, reduce human error in the delivery
of the DHSUD’s programs and services and inform the officers and staff of the
organization on what they need to do, who they are responsible to and who they are
responsible for.

Specifically, the Operations Manual aims to:

a) Enable the personnel to understand the scope, content and organization of the
different functions, set of processes and procedures for operations, work
standards and policies of the DHSUD;

b) Define the responsibilities of specific organizational units and personnel in

relation to the delivery of front line services and other functions of the DHSUD;
and

c) Supply the new and existing personnel of the DHSUD with systematic and
efficient reference/guidebook that can direct them in the performance of their
duties and responsibilities.

The DHSUD’s different organizational units are the intended users of this manual.

1
1.2 Acronyms

ABM Agency Budget Matrix

ACBB Annual Cash Based Budgeting
ADB Asian Development Bank
AFD Administrative and Finance Division
AOP Affidavit of Publication
APB Authority to Post Performance Bond
APP Annual Procurement Plan
ARE Acknowledgment Receipt of Equipment
AS Administrative Service
ASR Action Status Report
ASSEC Assistant Secretary
BAC Bids and Awards Committee
BAR Budget Accountability Report
BAR Baseline Assessment Report
BEP Budget Execution Plan
BIR Bureau of Internal Revenue
BP Batas Pambansa
BPF Budget Preparation Form
BPM Business Process Mapping
CBB Cash Based Budgeting
CCC Climate Change Commission
CDA Cooperative Development Authority
CDD Capacity Development Division
CDO Cease and Desist Order
CkDJ Check Disbursement Journal
CkDR Check Disbursement Records
CLUP Comprehensive Land Use Plan
CMA Co-Management Agreement
CO Capital Outlay
COC Certificate of Completion
COD Certificate of Dissolution
CR Certificate of Registration
CSC-RO Civil Service Commission Regional Office
Cos Community Organizations
CSS Client Satisfaction Survey
Cos Community Organizations
CSO Civil Society Organization
CSW Complete Staff Work
DAR Department of Agrarian Reform
DBM Department of Budget and Management
DCR Document Change Request

2
DENR Department of Environment and Natural Resources
Department of Human Settlements and Urban
DHSUD
Development
DILG Department of Interior and Local Government
DOF Department of Finance
DPCR Department Performance Commitment Review
DPWH Department of Public Works and Highways
DTI Department of Trade and Industry
DS Deposit Slip
DV Disbursement Voucher
EB Executive Brief
ELUPD Environmental and Land Use Policies Division
Environmental Land Use and Urban Planning and
ELUPDB
Development Bureau
Environmental, Land Use and Urban Planning and
ELUPDD
Development Division
ETE Education, Training and Experience
FGD Focus Group Discussion
FIR Field Investigation Report
FNC Final Notice of Completion
FNL Final Notice to Comply
EO Executive Order
FS Financial Service
GAA General Appropriations Act
GAD Gender and Development
GMAR Group Monthly Accomplishment Report
GOCC Government Owned and Controlled Corporation
GPCR Group Performance Commitment Review
GSD General Services Division
Homeowners Association and Community Development
HOACDB
Bureaus
HDMF Home Development Mutual Fund
HLURB Housing and Land Use Regulatory Board
HOA Homeowners Association
Homeowners Association and Community Development
HOACDB
Bureau
Homeowners Association and Community Development
HOACDD
Division
HOPC Housing One Stop Processing Center
Housing and Real Estate Development Regulation
HREDRB
Bureau
Housing and Real Estate Development Regulation
HREDRD
Division
HRDD Human Resource Development Division

3
HUDCC Housing and Urban Development Coordinating Council
HUDSC Housing and Urban Development Sector Plan
IAS Internal Audit System
ICS Internal Control System
ICT Information Communication Technology
ID Identification
I&I Inventory and Inspection
IOM Inter-Office Memorandum
IOP Index of Payment
IP Internet Protocol
IPSC Indigenous Political System
IQA Internal Quality Audit
IRR Implementing Rules and Regulations
ISSP Information System Strategic Plan
IT Infrastructure Technology
ITB Invitation to Bid
Knowledge Management and Information Systems
KMSS
Service
JEV Journal Entry Voucher
KIR Key Informant Review
KM Knowledge Management
KSA Key Shelter Agencies
LCB Lowest Calculated Bid
LCRB Lowest Calculated Responsive Bid
LGU Local Government Unit
LHB Local Housing Board
LRA Land Registration Authority
LS Legal Service
LSP Local Shelter Plan
LTS License to Sell
MED Monitoring and Evaluation Division
MIS Management Information System
MOA Memorandum of Agreement
MOOE Maintenance and Other Operating Expenses
MOV Means of Verification
MVRF Motor Vehicle Reservation Form
NAP National Archives of the Philippines
NDRRMC National Disaster Risk Reduction Management Council
NEDA National Economic Development Authority
NEP National Expenditure Program
NFIR Non-Field Investigation Report
NGA National Government Agency
NGO Non-Government Organization

4
NHA National Housing Authority
NHMFC National Home Mortgage Finance Corporation
NHSB National Human Settlements Board
NLUC National Land Use Committee
NOAV Notice of Alleged Violation
NOSCA Notice of Organization, Staffing and Compensation Action
NOV Notice of Violation
NToP Notice to Publish
NTP Notice to Proceed
ObR Obligation Request
OIAS Order of Imposition of Administrative Sanctions
OM Operations Manual
OMES Online Monitoring and Evaluation System
OoR Order of Payment
OP Office of the President
OPA Operations Planning Assemblies
OR Official Receipt
OS Obligation Slip
OSBP Online Submission of Budget Proposal
PAP Programs, Activities and Projects
PAS Public Assistance Service
PBB Performance Based Bonus
PCLUP Provincial Comprehensive Land Use Plan
PD Presidential Decree
PDC Personnel Development Committee
PDP Philippine Development Plan
PEI Productivity Enhancement Incentive
Physical and Financial Accomplishment Monitoring
PFAMR
Report
PhilGEPS Philippine Government Electronic Procurement Service
PHSS Public Housing and Settlements Service
PHSD Public Housing and Settlements Division
PIDS Philippine Institute for Development Studies
PIP Public Investment Plan
PLUC Provincial Land Use Committee
PO Purchase Order
PMS Performance Management Staff
PMT Performance Management Team
PPFP Provincial Physical Framework Plan
PPMP Project Procurement Management Plan
Program on Awards and Incentives for Service
PRAISE
Excellence
PRC Professional Regulation Commission

5
PQA Personality Qualifications and Attributes
PR Purchase Request
PS Planning Service
PSB Personnel Selection Board
PSD Policies and Standards Division
PSRTI Philippine Statistical Research and Training Institute
QMS Quality Management System
RA Republic Act
RAOs Registry of Allotment and Obligations
RCD Report of Collection and Deposit
RCI Report of Checks Issued
RDC Regional Development Council
RFA Request for Action
RIS Requisition and Issue Slip
RLUC Regional Land Use Committee
RO Regional Office
RPT Real Property Tax
RSMI Report of Supplies and Materials Issues
SAI Stock Availability Inquiry
SARO Statement of Allocation and Release Order
SONA State of the Nation Address
SEC Securities and Exchange Commission
SHFC Social Housing Finance Corporation
SIR Site Inspection Report
SLC Supply Ledger Card
SPMS Strategic Performance Management System
SPS Stock Position Sheet
TAD Technical Assistance Division
TWG Technical Working Group
UDD Urban Development Division
URS Unified Reporting System
USEC Undersecretary
VIP Very Important Person
WB World Bank
WFP Work and Financial Plan
ZO Zoning Ordinance

6
 CHAPTER II

DHSUD Profile

2.1 History

Republic Act (RA) 11201 created the Department of Human Settlements and Urban
Development (DHSUD) or Kagawaran ng Pananahang Pantao at Pagpapaunlad ng
Kalunsuran in Filipino.

The Act, which is a consolidation of Senate Bill No.1578 and House Bill No. 6775,
was passed by Congress and Senate on October 10, 2018 and November 12, 2018,
respectively.

The DHSUD, an executive department of the Philippine government, is responsible

for the management of housing, human settlements and urban development. It is
also the main planning and policy-making, regulatory, program coordination, and
performance monitoring entity for all housing, human settlements and urban
development concerns.

President Rodrigo Roa Duterte signed RA 11201 into law on February 14, 2019. The
Act consolidates the functions of the Housing and Urban Development Coordinating
Council (HUDCC) and the Housing and Land Use Regulatory Board (HLURB) with
the latter being reconstituted into the Human Settlements Adjudication Commission
(HSAC). The HSAC assumes and continues the adjudication functions of HLURB.

The Implementing Rules and Regulations (IRR) of RA 11201, which sets into motion
the creation of the DHSUD, was signed on July 19, 2019 at the Crowne Plaza Hotel
in Ortigas Avenue, Quezon City by the HUDCC Chairperson/Secretary Eduardo D.
Del Rosario, HLURB Chief Executive Officer Lloyd Christopher Lao, Civil Service
Commission (CSC) Chairperson Alicia Dela Rosa-Bala and Department of Budget
and Management (DBM) Officer-in-Charge Undersecretary Janet B. Abuel.

The Act also created the National Human Settlements Board (NHSB), which shall be
the policy-making body and provide policy directions and program development to
the DHSUD and its attached housing agencies.

The housing agencies attached to the DHSUD are the National Housing Authority
(NHA), the Social Housing Finance Corporation (SHFC) the National Home
Mortgage Finance Corporation (NHMFC), and the Home Development Mutual Fund
(HDMF) for purposes of policy and program coordination, monitoring and evaluation.
The HSAC is also attached to the DHSUD for policy, planning and program
coordination only.

The NHSB is headed by the Department’s Secretary, and its members include the
heads of the National Economic and Development Authority (NEDA), the Department

7
of Finance DOF), the Department of Budget and Management (DBM), the
Department of Public Works and Highways (DPWH),and the Department of the
Interior and Local Government (DILG).

The DBM issued the Notice of Organization, Staffing and Compensation Action
Serial (NOSCA) No. 002019-11-0214 of the DHSUD on December 19, 2019,
reflecting the creation of 1,120 regular positions.

2.2 Mandates

The Department shall:

1. Act as the primary national government entity responsible for the

management of housing, human settlement and urban development;

2. Be the sole and main planning and policy-making, regulatory, program

coordination, and performance monitoring entity for all housing, human
settlement and urban development concerns, primarily focusing on the
access to and the affordability of basic human needs. For this purpose, in
accordance with Section 25 of the Act, the following functions of HLURB are
hereby transferred to the Department:

(a) The land use planning and monitoring function, including the imposition
of penalties for non-compliance to ensure that the Local Government
Units (LGUs) will follow the planning guidelines and implement their
Comprehensive Land Use Plans (CLUPs) and Zoning Ordinance
(ZOs);

(b) The regulatory function, including the formulation, promulgation, and

enforcement of rules, standards and guidelines over subdivisions,
condominiums and similar real estate developments, and imposition of
fines and other administrative sanctions for violations, pursuant to
Presidential Decree (PD) 957, as amended, Batas Pambansa (BP)
220 and other related laws;

(c) The registration, regulation and supervision of HOAs, including the

imposition of fines for violations, pursuant to RA 9904, Section 26 of
RA 8763 in relation to Executive Order No. (EO) 535, series of 1979,
and other related laws; and

(d) Develop and adopt a national strategy to immediately address the

provision of adequate and affordable housing to all Filipinos, and
ensure the alignment of the policies, programs, and projects of all its
attached agencies to facilitate the achievement of this objective.

8
The DHSUD shall have the following general powers and functions:

1. Enter into contracts, joint venture agreements or understanding, public-

private partnerships, and memoranda of agreement or understanding, either
domestic or foreign, under such terms and conditions as the Department
may deem proper and reasonable subject to existing laws;

2. Receive, take and hold by bequest, device, gift, purchase or lease, either
absolutely or in trust for any of its purposes from foreign and domestic
sources, any asset, grant or property, real or personal, subject to such
limitations provided under existing laws and regulations;

3. Discharge all responsibilities of government that may arise from treaties,

agreements and other commitments on human settlement and urban
development to be extended through bilateral or multilateral loans and/or
assistance programs including the formulation of policy guidelines on the
implementation of foreign assisted or funded projects and international
partnerships;

4. Determine, fix and collect reasonable amounts to be charged as fees and

charges necessary for the effective implementation of all laws, rules and
regulations enforced by the Department in accordance with such rates and
schedule it may fix, including but not limited to permits, licensing, registration
and inspection fees , as well as impose reasonable fines and penalties for
any violation of or non-compliance with its rules and regulations: Provided,
however, That all income generated from fees, charges, fines, penalties and
other collections shall be deposited with the National Treasury as income of
the general fund;

5. Recommend new legislation and amendments to existing laws as may be

necessary for the attainment of the government’s objectives in housing and
urban development and prepare or submit comments or inputs on proposed
relevant legislations;

6. Serve as a voting member of the NEDA Board, the governing Boards of the
Climate Change Commission (CCC), the National Disaster Risk Reduction
and Management Council (NDRRMC), the National Land Use Committee
(NLUC) and such other inter-agency bodies to which the Secretary may be
designated;

7. Render technical assistance to the Commission in the performance of the

latter’s functions; and

8. Perform such other related functions as may be mandated by law.

9
2.3 DHSUD Vision

An institution of highly dedicated and accountable public servants committed in

improving the quality of life of the Filipino people by building well-planned, climate
resilient, vibrant, inclusive and sustainable communities and human settlements.

2.4 DHSUD Mission

As the primary national government agency responsible for the management of

housing, human settlements and urban development, we are committed to take the
lead in the promulgation and enforcement of enabling policies, plans and regulations
on land use, housing and urban development and homeowners associations towards
sustainable and resilient communities and empowerment of stakeholders in the
formulation and implementation of the DHSUD’s plans and programs.

2.5 DHSUD Core Values

Professionalism. Demonstrating highest standards and principles for personnel and

agency performance.

Integrity. Sustaining public trust by serving the public interest and acting with
honesty and transparency, making reasoned decisions without bias by following fair
and objective processes.

Accountability. Willingness to take responsibility for one’s actions by setting and

implementing performance standards that are clear and comprehensible to the
public.

Competence. Demonstrating the required knowledge, skills and appropriate

behavior/attitude in the successful performance of tasks and functions.

Commitment. Promoting high standards of ethics in the public service and

upholding the public interest over and above personal interest

2.6 Organizational Structure

The approved organizational structure as shown in Figure 1 below is currently being

utilized by the DHSUD in the placement of its existing and newly hired personnel.
The Department is headed by the Secretary and assisted by three (3)
Undersecretaries and three (3) Assistant Secretaries. The DHSUD is comprised of
six (6) services, three (3) Bureaus and sixteen (16) Regional Offices performing both
staff and line functions, which primarily execute policy, program development and
advisory roles and directly implement programs adopted pursuant to the DHSUD’s
policies and plans, respectively.

10
 Figure 1: DHSUD Approved Organizational Structure

OFFICE OF THE SECRETARY

INTERNAL AUDIT SERVICE

-Management Audit Division

-Operations Audit Division

PUBLIC ASSISTANCE SERVICE PUBLIC HOUSING AND LEGAL SERVICE

SETTLEMENTS SERVICE
- Communication - Appeals Division
Development & Media - Asset Reform Division - Legal Assistance Division
Relations Division - Housing Policy &
- Public Assistance Division Settlements Division
- Special Housing Projects
Division

ADMINISTRATIVE SERVICE FINANCE SERVICE KNOWLEDGE PLANNING SERVICE

MANAGEMENT &
- Cash Division - Accounting Division INFORMATION SYSTEMS - Planning Division
- General Services Division - Budgeting Division SERVICE - Monitoring &
- Human Resource - Knowledge Evaluation Division
Development Division Management Division
- Procurement Division - Information Technology
-Records Division & Infrastructure
Division
- Systems & Software
Division

ENVIRONMENTAL LAND USE HOMEOWNERS HOUSING & REAL ESTATE

AND URBAN PLANING & ASSOCIATION & DEVELOPMENT REGULATION
DEVELOPMENT BUREAU COMMUNITY DEVELOPMENT BUREAU
BUREAU
- Environmental & Land Use - Capacity Development
Policies Division Division
- Capacity Development
- Monitoring & Evaluation - Monitoring & Evaluation
Division
Division Division
- Policies & Standards
- Technical Assistance - Policies & Standards
Division
Division- Division
- Monitoring & Evaluation
- Urban Development
Division
Division

REGIONAL OFFICES (16)

-Administrative and Finance Division
-Public Housing & Settlements Division
-Environmental Land Use & Urban
Planning & Development Division
-Housing and Real Estate Devt.
Regulation Division
-HOA & Community Devt. Division

11
2.7 Functional Description

The functional responsibilities of the DHSUD are as follows:

Office of the Secretary

The Secretary shall have the following functions:

1. Advise the President of the Philippines on matters related to housing,

human settlements, and rural and urban development;

2. Establish policies and standards for the efficient and effective operations of
the Department in accordance with programs of the government;

3. Promulgate rules, regulations and other issuances such as orders, circulars,

guidelines, and memoranda which are necessary in carrying out the
Department's mandates, objectives, policies, plans, programs and projects,
or implementing or interpreting the provisions of the Act and of this Rules;

4. Designate and appoint officers and employees of the Department, excluding

the Undersecretaries, Assistant Secretaries, and Regional and Assistant
Regional Directors, in accordance with the civil service laws, rules and
regulations;

5. Exercise control and supervision, including disciplinary powers over officers

and employees of the Department in accordance with law, as well as their
investigation and the designation of a committee or officer to conduct such
investigation;

6. Coordinate with other agencies and instrumentalities of the government to

ensure the effective and efficient implementation of housing and urban
development programs;

7. Ratify the CLUPs of independent component cities, highly urbanized cities,

Metro Manila LGUs, and of provinces;

8. Review, revise, reverse, modify or affirm on appeal the issuances and

orders of the Regional Directors;

9. Approve all socialized housing compliance and compliance projects of main

subdivision and condominium projects required under Section 18 of RA
7279, as amended by RA 10884, and its implementing rules and
regulations; and

10. Perform such other functions as may be assigned by the President.

12
Office of the Undersecretary

The Undersecretary shall:

1. Advise and assist the Secretary in the formulation and implementation of

department objectives and policies;

2. Oversee all the operational activities of the department for which he shall be
responsible to the Secretary;

3. Coordinate the programs and projects of the department and be responsible

for its economical, efficient and effective administration;

4. Serve as deputy to the Secretary in all matters relating to the operations of

the department;

5. Temporarily discharge the duties of the Secretary in the latter’s absence or

inability to discharge his duties for any cause or in case of vacancy of the
said office, unless otherwise provided by law. Where there is more than one
Undersecretary, the Secretary shall allocate the foregoing powers and
duties among them. The President shall likewise make the temporary
designation of Acting Secretary from among them; and

6. Perform such other functions and duties as may be assigned by the

Secretary or as may be required by law.

Office of the Assistant Secretary

The Assistant Secretaries shall perform such duties and functions as may be
provided by law or assigned by the Secretary.

DHSUD Bureaus

Environmental, Land Use and Urban Planning and Development Bureau

(ELUPDB)

The Environmental, Land Use and Urban Planning and Development Bureau
(ELUPDB) shall exercise the following powers and functions:

1. Formulate national urban development policies, strategies and standards,

such as but not limited to urban management, growth, redevelopment and
renewal;

2. Formulate a comprehensive plan for the ownership and administration of

government lands, whether owned by the national government or any of its
subdivisions, instrumentalities, or agencies, including (Government Owned

13
 and Controlled Corporations (GOCCs) and their subsidiaries, which have
not been used for the purpose for which they have been originally reserved
or set aside for at least ten (10) years and identified by the Department as
suitable for urban development, particularly for housing purposes:

Provided, that the lands held in trust by the GOCCs for and on behalf of their
members shall be excluded from the coverage hereof. Such plan shall
include developing and establishing land acquisition and banking strategies
and compensation scheme for the transfer of title and ownership to the
Department, formulating and prescribing standards, and mechanisms for the
optimum development of lands to include but not limited to residential,
industrial, commercial and the like;

3. For the purpose of designating lands for housing and urban and rural
development, the DHSUD, the Department of Environment and Natural
Resources (DENR), the Department of Agrarian Reform (DAR), the
Department of Agriculture (DA), the Department of the Interior and Local
Government (DILG), and the Land Registration Authority (LRA) shall, within
one hundred eighty (180) days from the effectivity of the Act, jointly identify
government lands suitable for housing and rural development: Provided,
That all government lands which have been idle for more than ten (10)
years, except lands owned by the GOCCs and government financial
institutions engaged in shelter financing as part of its fiduciary obligation to
its members and/or are taken possession of in their ordinary conduct of
business, are hereby prioritized for housing and urban development
purposes: Provided, further, That lands exempted from conversion under
existing laws shall be excluded from the coverage of this section: Provided,
finally, That the national lands identified under this section shall be
transferred to or administered by the Department, subject to the approval of
the President.

The DHSUD shall, in coordination with the DENR, DAR, DA, DILG, and
LRA, issue separate rules and regulations for the implementation of Section
24 of the Act;

4. Formulate a framework for resilient housing and human settlements as a

basis for mechanisms for post-disaster housing and resiliency planning,
research and development, extension, monitoring and evaluation of
programs, projects and activities to protect vulnerable persons and
communities in hazard-prone areas from the adverse effects of climate
change and disasters;

5. Formulate and prescribe land use planning and zoning standards and
guidelines for the formulation of CLUPs and ZOs of cities and municipalities
and Provincial Physical Framework Plans (PPFP), which shall employ
effective and integrated land use planning and management approaches

14
 from ridge to reef, mainstream disaster risk management and climate
change adaptation pursuant to RA 9729 and RA 10121, and integrate other
urban development special areas of studies whenever necessary;

6. Pilot projects of newly-developed planning guidelines and standards;

7. Develop guidelines and strategies for the formulation of LSPs including

utilization of socialized housing tax as provided under Section 43 of RA
7279, and other sources of funds for housing and urban development;

8. Formulate planning guidelines, standards and development control on urban

development;

9. Develop framework and strategies for the establishment of estate and new
towns, new settlements, urban renewal programs, prototypes of urban
development interventions, and government centers in the country;

10. Train and capacitate the Regional Offices in providing technical assistance
to provinces, cities and municipalities in undertaking housing and urban
development and management such as but not limited to:

(a) Formulation and updating of CLUPs and ZOs, or Provincial

Comprehensive Land Use Plans (PCLUPs) or PPFP: Provided, that no
PCLUP or PPFP, and CLUP of Independent Component Cities and
Highly Urbanized Cities and Metro Manila LGUs shall be approved by
the Secretary without undergoing the review and approval process set
forth under EO 72, series of 1993, or as provided by other existing laws
and regulations;
(b) CLUP implementation and ZO enforcement for LGUs;
(c) Formulation and updating of LSPs;
(d) Creation of Local Housing Board (LHB) or similar entity; and
(e) Strengthening local government compliance with housing and urban
development laws, standards and guidelines.

11. Ensure compliance by the LGUs not only with the procedure for the
formulation or updating of their land use or physical framework plans but
also with the implementation of the same, through review or ratification,
monitoring, and imposition of penalties, in accordance with existing laws and
regulations; Provided, That notwithstanding this provision, all existing
CLUPs and physical framework plans duly approved and being implemented
by the LGUs shall remain in full force and effect for the duration of the period
as approved: Provided, further, That upon enactment of the Act, LGUs may
improve, amend and enhance their existing CLUPs or physical framework
plans in accordance with the standards set by the Department;

15
12. Formulate guidelines for the imposition of penalties for non-compliance and
incentives to ensure that the LGUs will follow the planning guidelines and
implement their CLUPs and zoning ordinances;

13. Develop and maintain a geographic information system for management

and monitoring of land use, zoning, and urban development standards,
which shall include but not be limited to the following data sets:

(a) Inventory of idle lands;

(b) Inventory of existing CLUPs and ZOs;
(c) Land use changes and reclassification of agricultural lands of cities and
municipalities;
(d) Inventory of existing LSPs and local ordinances adopting the LSPs;
(e) Inventory of housing stock; and
(f) Listing of existing and potential beneficiaries of housing assistance,
including their socio-economic profiles; and

14. Perform such other related duties and responsibilities as may be assigned
or delegated by the Secretary or his Undersecretaries or Assistant
Secretaries.

Housing and Real Estate Development Regulation Bureau (HREDRB)

The Housing and Real Estate Development Regulation Bureau (HREDRB) shall
have the following functions:

1. Formulate policies relating to housing and real estate development and

regulation;

2. Provide technical assistance and capacity building to the Regional Offices

and monitor their implementation of the real estate development regulation
mandates of the Department;

3. Review and recommend to the Secretary the approval of compliance to

Section 18 of RA 7279, as amended by RA 10884;

4. Review and/or formulate the monitoring procedure and the imposable fines
and administrative sanctions on projects violating pertinent laws, rules and
regulations being implemented by the Department, including suspension or
revocation of license and issuance of a Cease and Desist Order (CDO);

5. Set up and coordinate the operations of the Housing One Stop Processing
Centers (HOPCs) in the Regional Offices;

16
6. In coordination with the Regional Offices, implement capability-building
programs for LGUs on subdivision plan approval and monitoring of projects
in accordance with existing rules, regulations and standards;

7. Review and evaluate the recommendation of the Regional Offices for the
declaration of projects as unfinished, incomplete and/or abandoned and
which may be subjected to takeover by the Department;

8. Maintain and update the spatial database and databank of all subdivision
and condominium projects, the status of their development, and other
related concerns; and

9. Perform such other functions that are implied, necessary or incidental in

carrying out the above or as may be assigned by the Secretary or his
Undersecretaries or Assistant Secretaries.

Homeowners Association and Community Development Bureau

(HOACDB)

The Homeowners Associations and Community Development Bureau

(HOACDB) shall exercise the following powers and functions:

1. Formulate and amend rules and regulations for the implementation of RA

9904, including the procedure and requirements for registration of HOAs in
subdivision projects, government housing projects and neighborhood
associations; the Code of Ethics and Ethical Standards for board members;
standard nomenclatures to be used for the associations' books of accounts;
guidelines in the kinds of contributions and fees that may be charged and
collected by associations; the procedure for verification and validation of
petitions for the removal of directors or trustees of the association or
dissolution of the board; and such other related policies for the regulation of
HOAs;

2. Formulate or amend standard governing documents of HOAs and

neighborhood associations;

3. Develop programs that will ensure and maintain the non-partisan nature of
the activities of HOAs;

4. Develop programs that will establish and promote linkage with the province,
city or municipality, as the case may be, to ensure the inclusion of HOAs in
community development and housing concerns in all local government
programs and services;

5. Develop strategies to strengthen the grievance mechanism and procedure in

HOAs and encourage the use of alternative modes of resolving disputes;

17
6. Develop standard orientation and training materials for officers and board
members of associations as well as their members, and conduct trainors’
training for personnel of the Regional Offices;

7. Establish procedure and requirements for the deputization of another

agency or the accreditation of private institutions or training providers to
conduct orientation for officers and board members of HOAs;

8. Formulate guidelines for the imposition of fines and other administrative

sanctions such as but not limited to suspension, revocation or cancellation
of registration, disqualification from appointive or elective office in the
association, for violation of RA 9904;

9. Coordinate with other (National Government Agencies) NGAs and LGUs for
the effective implementation of policies, plans, programs, and services for
HOAs;

10. Establish and maintain a national registry of HOAs, neighborhood

associations and their federations, confederations or umbrella organizations;

11. Develop technical assistance programs geared towards encouraging

housing cooperatives and Civil Society Organizations (CSOs) to serve as
the implementing agencies of their housing and urban development
programs and real estate management;

12. Develop plans and programs promoting community organizations (COs) as

government partners for community development and building their capacity
for homeownership and community management, including adoption of
measures to protect the communities from the operation of professional
squatters and squatting syndicates; and

13.Perform such other related duties and responsibilities as may be assigned

or delegated by the Secretary or his Undersecretaries or Assistant
Secretaries.

DHSUD Services

The DHSUD has the following services:

Planning Service (PS)

Responsible for the formulation of DHSUD’s strategic and annual plans and
programs, development of systems and standards for the establishment of a
planning framework that includes targets, major final outputs and critical
performance indicators consistent with the medium-term Philippine

18
Development Plan (PDP) and Public Investment Plan (PIP) and monitoring and
evaluation of the DHSUD performance commitment and the housing and urban
development sectoral plans and performance.

The DHSUD’s National Housing and Urban Development Planning includes the
following:

1. Formulation and updating of the Housing and Urban Development Sector

Plan (HUDSP);
2. Monitoring and Evaluation of the HUDSP;

3. Conduct of research and studies related to HUDSP;

4. Monitoring of performance commitments of DHSUD to the Office of the

President (OP) as inputs to the State of the Nation Address (SONA);

5. Preparation of HUDS performance reports;

6. Provision of inputs for and integration of the DHSUD’s performance

measures for budgetary allocation;

7. Coordination with the concerned DHSUD’s organizational units, various

government agencies, subdivision and real estate associations, LGUs,
NGOs, CSOs, NEDA Regional Development Council (RDC), etc. on matters
related to the above-enumerated functions;

8. Conduct of public consultations and briefings relative to the above functions;

and

9. Perform such other related duties and responsibilities as may be assigned

or delegated by the Secretary or his Undersecretaries or Assistant
Secretaries.

Specifically, the Planning Service shall:

1. Advice the Secretary on all matters relating to housing and urban

development planning;

2. Formulate strategies and priorities for housing and urban development

consistent with the national development objectives; and initiate or
undertake, coordinate and review area and sector surveys for development
planning;

3. Formulate medium-term and annual development plans and programs for

housing and urban development including phasing of implementation;

19
4. Prioritize program/project implementation and the allocation of funds and
other resources and package project proposals for funding and
implementation;

5. Evaluate and appraise all regional and inter-regional housing and urban
development plans and programs as to their feasibility and consistency with
approved strategies and medium-term plans;

6. Initiate regular Department-wide and KSAs-wide planning exercise and act

as the secretariat thereof;

7. Provide technical assistance related to its functions to the other Services,

Bureaus and the Regional Offices as needed;

8. Advice the Secretary on all matters relating to monitoring and public

information;

9. Gather, analyze and organize needed statistical data and information;

10. Develop and maintain a system for retrieving and processing monitoring
information on all programs, projects and activities of concern to the
Secretary;

11. Provide accurate and timely status reports to the Secretary;

12. Generate monitoring reports for the President, the Cabinet, or for any other
purpose as required by the Secretary; and

13. Perform such other related duties and responsibilities as may be assigned
or delegated by the Secretary or his Undersecretaries or Assistant
Secretaries.

Administrative Service (AS)

The Administrative Service shall provide the Department with efficient, effective
and economical services relating to records, management, supplies, equipment,
collections, disbursements, building administration and maintenance, security
and custodial work.

For such purposes, it shall have the following functions:

1. Assist in the formulation of policies and guidelines on the management of

human and physical resources and general housekeeping activities for
uniformity and standardization;

20
2. Serve as a center for the establishment and periodic evaluation of
management operation systems, internal control and work outputs to
determine Department-wide performance efficiency;

3. Design and develop training policies and guidelines, administer and

evaluate training programs and in coordination with external training
institutions, screen and recommend to the Secretary the participation of
Department personnel in training programs, seminars and conferences in
the country or abroad;

4. Ensure that the Department-wide activities and efforts are focused towards
a central direction as embodied in the national socio-economic development
plans; and

5. Perform such other appropriate functions as may be assigned by the

Secretary or his Undersecretaries or Assistant Secretaries.

Financial Service (FS)

The Financial Service is responsible for the preparation of the DHSUD’s annual
budget requirements in accordance with the DBM budget guidelines and
installation and implementation of an effective budget management, monitoring
and control system as well as the provision of systematic recording/accounting
of financial transactions, maintenance of general ledger and preparation of
related financial reports in accordance with existing accounting and auditing
rules and regulations.

The FS shall have the following functions:

1. Supervise the Department-wide activities relating to budget preparation and

management and department accounting; and

2. Perform such other appropriate functions as may be assigned by the

Secretary or his Undersecretaries or Assistant Secretaries.

Public Housing and Settlements Service (PHSS)

The PHSS is In charge for the development, management overseeing and

implementation/establishment of government asset reform program and other
special housing projects as well as the formulation of national housing and
urban development policies and strategies.

Specifically, the PHSS shall be responsible for the following:

21
1. Develop and manage government lands which have been identified as
suitable for housing and urban development in accordance with Section 9
hereof, and pursuant to Sections 5 (II) (d) and 24 of RA 11201;

2. Manage and oversee emergency post-disaster/post-conflict shelter recovery

or climate change adaptation and mitigation disaster risk reduction provision
and interventions;

3. Manage and oversee the development of proclaimed socialized and

economic housing sites;

4. Implement plans for the establishment of government centers in the country,

in coordination with and assistance of relevant government agencies and
instrumentalities;

5. Manage and oversee the establishment of estate and new towns, new
settlements, urban renewal programs and prototypes of housing and urban
development interventions, in coordination with attached agencies and
concerned agencies;

6. Implement prototype projects in housing and urban development

undertakings in coordination with attached agencies and concerned
agencies, with the right to exercise the power of eminent domain when
necessary;

7. Manage, oversee or implement the take-over of unfinished, incomplete or

abandoned licensed real estate development projects under PD 957 and BP
220, in coordination with the appropriate government agencies and
instrumentalities, and Regional Offices of the Department, under such rules
and guidelines as may hereafter be issued by the Department, and take
charge in the regulation of the use of road and street systems of the projects
taken-over;

8. Implement the opening of roads of subdivision to the public when the

general welfare requires it, in coordination with and assistance of relevant
government agencies and instrumentalities, and upon consultation with
stakeholders; and

9. Formulate national housing and urban development policies, and strategies

such as but not limited to:

a. Housing finance and production policies that will promote the

establishment of self-sustaining housing finance and delivery systems,
taking into consideration the development of a variety of payment
schemes and the income and capacity to pay of the intended
beneficiaries or market;

22
 b. Policy guidelines on the implementation of foreign-assisted or funded
projects and international partnerships;
c. Determine and review or revise, jointly with the NEDA, the respective
price or loan ceilings for socialized, economic, low, and middle-income
housing in accordance with existing laws, rules and regulations;
d. Policies and guidelines in promoting, regulating and accrediting the use
of indigenous materials and technologies in the housing construction;
and
e. Policies and regulations for the continuation and extension of rental
regulation of certain residential units, in accordance with RA 9653 or the
“Rent Control Act of 2009.

10. Perform such other appropriate functions as may be assigned by the

Secretary or his Undersecretaries or Assistant Secretaries.

Knowledge Management and Information Systems Service (KMISS)

The KMISS is the primary provider of information management, communication

services, and technology solutions to support the DHSUD’s housing and urban
development strategies. It is also responsible for the establishment and
maintenance of knowledge management databases and for determining and
recommending necessary and cost-effective infrastructures and systems that
enhance the DHSUD’s competency in information and communication
technology (ICT) governance. It also provides advice, tools, information and
services to help the different services, bureaus and regional offices on the use
of ICT to improve the administration and service delivery.

Specifically, the KMISS shall be responsible for the following:

1. Establish a Management Information System (MIS) and sub-systems for

monitoring and evaluation of department-wide programs and projects,
including those that are executed by operating Bureaus and Offices;

2. Formulate policies, plans and procedures for data control and systems
management;

3. Act as the central repository of existing and future computer files; and

4. Perform such other functions as may be assigned from time to time by the
Secretary of his Undersecretaries or Assistant Secretaries.

23
Public Assistance Service (PAS)

The Public Assistance Service shall be responsible for rapport and

understanding between the Department and the public through the
development of public relations programs and the dissemination of accurate
and updated information on housing and urban development by means of
publications and media coverages of special events and related matters on the
Department’s policies, plans, programs, and projects. Likewise, it shall also be
responsible for extending assistance to the public involving the provision of
answers to queries regarding the Department’s policies, rules, regulations,
programs, activities and services.

The PAS shall also:

1. Provide policy direction and guidance to the operating Bureaus and Offices
of the Department for the proper dissemination of appropriate information or
Department- wide programs, operations and activities;

2. Provide the operating Bureaus and Offices with the general framework for
rendering direct assistance to the general public;

3. Receive complaints and grievances from the general public; prepare

referrals to concerned Bureaus and Offices and monitor responses or
actions taken; and

4. Perform such other appropriate functions as may be assigned by the

Secretary or his Undersecretaries or Assistant Secretaries.

Legal Service (LS)

The Legal Service shall provide legal advice/opinion and services (e.g. legal
and legislative research) involving the mandates of the Department and the
performance of its authorized powers and functions, interpret laws and rules
affecting its operation; prepare or review contracts and instruments to which it is
a party, and interpret provisions of contracts covering work performed for the
Department by private entities; assist in the promulgation of rules governing the
activities of the department; prepare comments on proposed legislation
concerning the department; and answer legal queries from the public.

For such purposes, the LS shall have the following functions:

1. Exercise functional jurisdiction over the legal staffs of Regional Offices

especially on decisions/rulings/issuances requiring the review of the Office
of the Secretary;

2. Provide legal assistance to the Department proper, Services and Bureaus;

24
3. Prepare draft opinions or rulings for the consideration and signature of the
Department Secretary or his Undersecretaries on matters elevated to it by
the Bureaus and Offices of the Department;

4. Prepare informative or clarificatory opinions on housing and urban

development laws, rules and regulations for uniform interpretation thereof;

5. Review and prepare draft decisions/resolutions on appeals from the

decisions, rulings, orders and issuances of the Regional Directors;

6. Assist the Office of the Solicitor General in suits involving the Department or
its officers or employees or act as their principal counsel in all actions taken
in their official capacity or other causes before judicial or administrative
bodies; and

7. Perform such other appropriate functions as may be assigned by the

Secretary or his Undersecretaries or Assistant Secretaries with supervision
over the Legal Service.

Internal Audit Service (IAS)

The Internal Audit Service shall conduct comprehensive management and

operations performance audit of various DHSUD’s programs, projects and
activities.

Specifically, the IAS shall have the following functions:

1. Advice the Secretary on all matters relating to management control and

operations audit;

2. Conduct management and operations performance audit of Department’s

activities and units and determine the degree of compliance with established
objectives, policies, methods and procedures, government regulations, and
contractual obligations of the Department;

3. Review and appraise systems and procedures, organizational structure,

assets management practices, accounting and other records, reports and
performance standards (such as budgets and standard cost) of the
Department Proper, Bureaus, Services and Regional Offices;

4. Analyze and evaluate management deficiencies and assist top management

to solve the problems by recommending realistic courses of action; and

5. Perform such other related duties and responsibilities as may be assigned

or delegated by the Secretary or his Undersecretaries.

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Regional Offices (ROs)

The Regional Offices (ROs) shall perform the following functions within their
field service areas:

1. Implement laws, and the Department’s policies, plans, programs, projects,

rules and regulations;

2. Coordinate and maintain linkage with NGAs, LGUs, private entities, NGOs,
CSOs, academe, and other stakeholders;

3. Act on applications for the issuance of various permits, licenses, clearances

and certifications;

4 Conduct conciliation proceedings on issues and disputes relating to the

implementation of the Department’s mandates, including the regulation of
real estate development and HOAs; and

5. Perform such other functions that are implied, necessary or incidental in

carrying out the above or as may be assigned by the Secretary or his
Undersecretaries or Assistant Secretaries.

The Regional Offices shall perform the following core functions:

Environmental, Land Use and Urban Planning and Development Division

(ELUPDD)

1. Provide technical assistance to provinces, cities and municipalities in the

preparation and updating of CLUPs, ZOs, and PCLUPs/PPFPs;

2. Conduct technology transfer and capability building programs for LGUs in

the implementation of CLUP and ZO enforcement and development control;

3. Conduct training and mentoring in addressing urban development,

management and governance concerns such as housing, establishment of
government centers, new towns, settlements, and planned unit
development, urban renewal, open spaces, traffic concerns, sewerage,
waste management, and energy efficiency, among others;

4. Undertake review of PPFPs, CLUPs and ZOs of provinces, cities and

municipalities as a member of the Provincial Land Use Committee or
Regional Land Use Committee;

5. Extend technical assistance to and conduct technology transfer and

capability building of cities and municipalities in the formulation,
legitimization and implementation of LSPs, which shall include plans and

26
 strategies for the utilization of the socialized housing tax as provided under
Section 43 of RA 7279 and other sources of funds for housing and urban
development;

6. Monitor land use changes, particularly the reclassification of agricultural

lands into other uses and implementation of ZOs of cities and municipalities;

7. Update an inventory of idle lands, existing CLUPs, ZOs, PCLUPs/PPFPs,

and LSPs, inventory of housing stock and listing of government-housing
program beneficiaries;

8. Maintain a geographic information system for monitoring of land use and

zoning particularly on but not limited to:

(a) Compliance of LGUs to guidelines set by the Department in preparing

and updating their respective CLUPs and ZOs; and
(b) Implementation of CLUPs and ZOs through monitoring of land use
changes and reclassification; and

9. Perform such other functions that are implied, necessary or incidental in

carrying out the above or as may be assigned by the Regional Director.

Housing and Real Estate Development Regulation Division (HREDRD)

1. Act on applications for issuance of Certificate of Registration and License to

Sell to subdivisions, condominiums, and other real estate development
projects, and Development Permit to condominium projects;

2. Review and recommend to the Secretary the approval of compliance to

Section 18 of RA 7279, as amended by RA 10884;

3. Act on applications for issuance of other related permits such as but not
limited to:

(a) Advertisement Approval;

(b) Alteration Permit for condominium projects;
(c) Mortgage Clearance;
(d) Change of Ownership;
(e) Extension of Time to Complete Development;
(f) Conversion of existing buildings into condominiums; and
(g) Certificate of Completion.

4. Act on applications for issuance of Certificate of Registration to real estate

dealers, brokers and salesmen engaged in the sale of lots or units in
subdivisions, condominiums, and other real estate development projects
within the regulatory jurisdiction of the Department;

27
5. Set up and manage the Regional HOPCs;

6. Implement capability-building programs for LGUs on subdivision plan

approval and monitoring of projects in accordance with existing rules,
regulations and standards;

7. Monitor the development, sale and maintenance of real estate development

projects to ensure their compliance with existing laws, rules and regulations;

8. Impose fines and other administrative sanctions, including suspension or

revocation of license and issuance of a Cease and Desist Order, for
violation of the laws, rules and regulations being implemented by the
Department in accordance with the established monitoring rules of
procedure;

9. Recommend projects for declaration as unfinished, incomplete and

abandoned and which may be subjected to takeover by the Department;

10. Maintain and update the spatial database and databank of all subdivision
and condominium projects, the status of their development, and other
related concerns; and

11. Perform such other functions that are implied, necessary or incidental in
carrying out the above or as may be assigned by the Regional Director.

Homeowners Association and Community Development Division

(HOACDD)

1. Regulate and supervise the activities and operations of HOAs,

neighborhood associations, federations, confederations or umbrella
organizations of the associations, and other similar associations in
subdivision projects and government housing projects;

2. Act on applications for issuance of Certificate of Incorporation to

neighborhood associations, federations, confederations or umbrella
organizations of HOAs, and other similar associations in subdivision projects
and government housing projects;

3. Act on applications for amendments of articles of incorporation and by-laws;

4. Suspend, revoke and cancel certificates of registration/incorporation,

certificates of filing of amended articles of incorporation and by-laws;

5. Act on applications or petitions for federation, merger, consolidation,

segregation and dissolution;

28
6. Call for, conduct, supervise and observe special elections;

7. Verify and validate petitions for removal of directors/trustees or dissolution of

the Board of Directors/Trustees;

8. Require and monitor compliance by HOAs with reportorial requirements;

9. Provide technical assistance on governance and regularly conduct free

orientation for officers of HOAs, or recommend the deputization of another
competent agency or the accreditation of other institutions to conduct the
orientation;

10. Issue show cause orders, impose fines and penalties and administrative
sanctions for violation of RA 9904 or the Magna Carta for Homeowners
Associations, its implementing rules and regulations, and other pertinent
laws and policies;

11. Maintain and update data in the registry of HOAs in their respective regions;

12. Provide technical assistance to housing cooperatives and CSOs in building

their capabilities to implement their housing and urban development plans,
programs and projects;

13. Assist community organizations in developing their capacity to be

government partners for homeownership and community development
through access to government housing and financing, and estate
management;

14. Assist community organizations in the adoption of measures to protect

communities from the operation of professional squatters and squatting
syndicates; and

15. Perform such other functions that are implied, necessary or incidental in
carrying out the above or as may be assigned by the Regional Director.

Public Housing and Settlements Division (PHSD)

The PHSD shall be responsible for the implementation/development of idle

government lands found suitable for housing and urban development
particularly the proclaimed socialized and economic housing sites where the
DHSUD is the designated administrator and other special housing
programs/projects of the Department and monitoring and evaluation of housing
policies and programs, formulation of regional strategic and annual plans and
programs and provision of public assistance.

29
Specifically, the PHSD shall be responsible for the following:

1. In coordination with the attached Key Shelter Agencies and other

relevant/concerned government agencies and instrumentalities and subject
to the policies and rules and regulations to be formulated by the PHSS,
assist the PHSS in the take-over, development, establishment and
management of the following:

a. Government idle lands found suitable for housing and urban

development;
b. Emergency-post disaster/post conflict shelter recovery or climate change
adaptation and mitigation disaster risk reductions provisions and
intervention;
c. Proclaimed socialized and economic housing sites;
d. Government centers in the region;
e. Estate and new towns, new settlements, urban renewal programs and
prototypes of housing and urban development interventions, with the
right to exercise the power of eminent domain when necessary;
f. Unfinished, incomplete or abandoned licensed real estate development
projects under BP 220 and PD 957 in the regions;
g. Housing finance and production policies;
h. Policy guidelines on the implementation of foreign- assisted or
funded projects and international partnerships;
i. Determine and review or revise, jointly with the NEDA, the respective
price or loan ceilings for socialized, economic, low, and middle-
income housing; and
j. Continuation and extension of rental regulation of certain residential
units, in accordance with RA 9653 or the “Rent Control Act of 2009.

2. In coordination with and assistance of relevant government agencies and

instrumentalities and upon consultation with stakeholders, initiate the
opening of road of subdivision to the public when the general welfare
requires;

3. Assist in the promotion of the use of innovative housing technologies and

materials accredited by the AITECH of NHA in order to enhance
affordability;

4. Monitor and evaluate the implementation and development of proclaimed

socialized and economic housing sites and other special housing
programs;

5. Lead in the development of the regional Housing and Urban Development

Plan;

30
The DHSUD’s Regional Housing and Urban Development Planning includes the
following:

a. Formulation and updating of the Housing and Urban Development

Regional Plan (HUDRP) and Annual Implementation Plan (AIP) as inputs
in the Regional Development Plan of NEDA;
b. Preparation of regional housing and urban development performance
reports;
c. Monitoring and Evaluation of the HUDRP including the regional
performance commitments of its attached housing agencies at the region
for submission to the Planning Service as inputs in the consolidated
performance report of the DHSUD;
d. Provision of inputs for and integration of the Regional Office’s
performance measures for budgetary allocation;
e. Coordination with the concerned DHSUD’s organizational units,
various government agencies, subdivision and real estate associations,
LGUs, NGOs, CSOs, NEDA Regional Development Council (RDC),
etc. at the regions on matters related to the above-enumerated
functions; and
f. Conduct of public consultations and briefings relative to the above
functions.

6. In the absence of Regional Director, represent the DHSUD Regional Office

in the meetings organized by NEDA including but are not limited to the
Regional Development Committee and Regional Land Use Committee and
other oversight agencies;

7. Lead in the maintenance and updating of the Regional Management

Information System and database;

8. Serve as the clearing housing for regional basic housing and urban
development data/information;

9. Prepare regional statistical reports that will support regional policy, research
and plan development;

10. Provide technical assistance to the Key Shelter Agencies in the regions in
the preparation of their respective housing and urban development plans to
ensure consistency with the DHSUD national plans;

11. Initiate regular regional wide planning exercise of the Regional Offices of
the DHSUD and KSAs and act as the secretariat thereof;

12. Receive complaints and grievances from the general public; prepare
referrals to concerned Bureaus and Units and monitor responses or actions

31
 taken utilizing the general framework for rendering direct assistance to the
general public prepared by the Public Assistance Service; and

13. Perform such other functions that are implied, necessary or incidental in
carrying out the above or as may be assigned by the Regional Director.

Administrative and Finance Division (AFD)

The Administrative and Finance Division (AFD) shall provide the Regional
Office with economical, efficient and effective services relating to human and
financial resources, records, delivery and receipt of correspondence, buildings,
office furniture, supplies, equipment, collections, disbursements, security and
custodial work and budgeting and accounting service.

Specific Functions

Budget & Accounting Unit

1. Process and record Vouchers, Payroll and Purchase Request for proper
fund control;

2. Prepare Monthly Status of Funds;

3. Prepare the following Monthly and Quarterly Financial Reports for

submission to the DHSUD Central Office, DBM, COA, Senate and congress:

 Utilization by Component
 Cash Utilization
 Statement of Allotment Obligation & Balances (SAOB)Detailed
Breakdown of Obligations
 Financial Report of Operations
 Fund Utilization for Obligation
 Monthly Cash Program
 Statement of Cumulative, Obligations Incurred and Balances
 Detailed Statement of Cumulative, Obligations and Disbursements
 Report on the Results of Expended Appropriation

4. Prepare Obligation Slip (OS) for Advice of Sub-Allotments Received;

5. Prepare/maintain Registry of Allotment & Obligations for PS, MOOE & CO

Current and Continuing Appropriations;

 Regular Programs
 Locally Funded Projects and Other Funds, if there is any
 Others

32
6. Record, assign Control No., posts to respective RAO, index and release OS
duly obligated;

7. Prepare Budget Proposal for submission to DHSUD Central Office;

8. Prepare Budgetary Requirements needed by the House Committee On

Appropriation and Senate Committee on Finance; and

9. Provide systematic recording/accounting of financial transactions,

maintenance of general ledger and preparation of related financial reports in
accordance with existing accounting and auditing rules and regulations and
submission of regional financial reports to the DHSUD Central Office for
consolidation.

10. Perform such other functions that are implied, necessary or incidental in
carrying out the above or as may be assigned by the Regional Director.

Cash Unit

1. Responsible for the issuance of official receipts for all collections under MDS
general funds and current accounts;

2. Deposit all collections with the National Treasury/Authorized Government

Depository Bank;

3. Secure all collections either cash or check, Official Receipts and other
accountable forms;

4. Prepare Report of Collections and Deposits, Cash Receipts Record and

Report of Accountability for Accountable Forms;

5. Prepare checks drawn against the Regional Office Regular Modified

Disbursement Account

6. Monitor checks issued against the released Notice of Cash Allocation;

7. Prepare daily Advice of Checks issued and Cancelled for submission to

servicing bank as basis for encashment of checks under the DHSUD
Regional Office account;

8. Prepare Report of Check Issued and Report of Accountability for

Accountable Forms (RAAF);

9. Record all checks issued in the Check Registry Book by fund;

33
10. Undertake monthly reconciliation of account balances with the Accounting
Unit;

11. Prepare Transmittal letter to Accounting Unit for stale/cancelled checks and
checks for replacement;

12. Sort/file/photocopy vouchers and payroll stamping “PAID” in all supporting

documents indicating the check number and date in original and duplicate
vouchers/payroll;

13. Remit checks to the different government and private institutions such as
HDMF, GSIS, LBP, Philhealth, PLDT, etc.;

14. Prepare Aging of Unreleased Checks and Statement of Unreleased Checks

every end of the month;

15. Prepare Notice of Unreleased of Checks to OBSUs to ensure timely release

of checks;

16. Monitor and ensure issuance of Official/Collection Receipt by creditor as

proof of receipt of payment; and

17. Perform such other functions that are implied, necessary or incidental in
carrying out the above or as may be assigned by the Regional Director.

Administrative Unit

1. Install and implement in the region the required administrative systems –

recruitment and selection, performance appraisal, personnel action and
records, benefits administration, supplies and equipment procurement,
recording and disposal, ground and building maintenance, and reporting-
for greater work efficiency and effectiveness;

2. Provide administrative services and ensure continuous improvement in the

delivery of services at the region;

3. Provide the Regional Director with the necessary staff advice, assistance,
and services on personnel action;

4. Manage and implement personnel actions to all employees in the regional

office, except for the Regional Director and Assistant Regional Director;

5. Provide administrative support to the Regional Director in the evaluation of

performance of all personnel in the region and make recommendations to
the Central Office in coordination with the Human Resource Division, for
appropriate personnel action;

34
6. Provide administrative support in the implementation of performance
appraisal system for all employees in the region and implement reward and
recognition system in coordination with the Human Resource Division and
the Division Chiefs or heads of units in the Regional Office;

7. Establish a mechanism to implement the national policy on personnel

assistance program of the Central Office;

8. Plan and manage the effective and efficient use of all personnel of the
Regional office in accordance with existing rules and regulations;

9. Implement administrative and disciplinary sanctions imposed on erring

regional office personnel, and act as the coordinating unit for the
implementation of a Dispute Resolution (DR) system in the region; and

10. Perform such other functions that are implied, necessary or incidental in
carrying out the above or as may be assigned by the Regional Director.

Records Management

1. Responsible for the identification, collection, protection, retrieval, issuance

and disposition of regional records as well as the maintenance and control
of incoming and outgoing documents in accordance with the records
management process of the Central Office;

2. Act as the central repository of DHSUD Regional Office records;

3. Serve as the clearinghouse of all DHSUD Regional records;

4. Responsible for the maintenance of accurate and up-to-date regional

records; and

5. Perform such other functions that are implied, necessary or incidental in

carrying out the above or as may be assigned by the Regional Director.

35
 CHAPTER III

DHSUD’s ORGANIZATIONAL STANDARDS

3.1 NATIONAL HUMAN SETTLEMENTS BOARD (NHSB)

The NHSB shall act as the single policy-making body and shall provide overall policy
directions and program development to the attached housing agencies

The Planning Service of the DHSUD shall provide technical and secretariat support
to the NHSB.

The main responsibility of the NHSB Secretariat is planning and preparing for
meetings. At a minimum, this includes the following five areas: a) scheduling, b)
agenda, c) presentation, d) executive liaisons and e) documenting the meeting.

Subject to the DHSUD Secretary’s direction, the duties of the secretariat may include
the following:

TECHNICAL AND SECRETARIAT SUPPORT TO NHSB PROCESS

PROCEDURES FOR EXTENDING TECHNICAL AND SECRETARIAT SUPPORT

TO THE NHSB
Activity
Responsible Person Activities
No.
1 Generation of agenda items and
scheduling of board meeting

Director IV-Planning 1. Obtains the agenda from the following

Service sources:

a. The Secretary and/or other members

of the NHSB;
b. Issues raised by various
stakeholders;
c. Different organizational units of the
DHSUD;
d. Previous minutes of the NHSB; and
e. Matters arising/pending: items of
continuing relevance about which
decisions were not made or about
which discussion was deferred or
where certain officers have been
asked to take action.
Planning Officer V- 2. Prepares the agenda of the meeting
Planning Division using the following format:

36
a. The agenda should be identified and
arranged in accordance with the
following:

I. Call to Order
II. Opening Prayer
III. Determination of Quorum
IV. Approval of Minutes of the
Previous Meeting
V. Approval of Matters Arising from
the Previous Meeting
VI. Items for discussion, approval
and information
6.1 For discussion/approval
6.2 For information
VII.Other Matters
VIII.Schedule of Next Board meeting
IX. Adjournment

b. The agenda should specify the name

of presenter for each agenda item;
c. It should list all the items of business
in the order in which they are to be
discussed and, where applicable,
include previous minute references
of the Committee/s.
d. It should use a "starring" system to
identify matters which may be
discussed and others which will
automatically be approved without
discussion.
e. Items of business can be grouped
under the following headings:

Procedural Matters

Before the business begins, the Board

may note any apologies given to the
Secretary/Chairperson of the Board,
confirm the agenda or
add any additional items and, if
approved, include it in the agenda
under `unstarred’ items.

Confirmation of the following:

37
Minutes of the Meeting

The NHSB members are invited to

confirm the minutes of the previous
meeting as a correct record of the
proceedings.

Matters Arising from the Minutes

The management is invited to provide

updates on matters arising from the
minutes.

New Business/ Items for Approval/

Discussion

The individual listing of all new items for

the NHSB's consideration:

Items for Information

This grouping is optional and includes

any item not requiring discussion.

Other Business/Matters

Any additional items not listed in the

agenda introduced during the meeting
for consideration, with the consent of
the Chairperson.

Next Meeting

Indicate the date and venue for the next

scheduled meeting of the Board.

f. Each agenda item should normally

be accompanied by a supporting
paper. Where this is not possible or
appropriate a few lines of text under
the item heading should be added,
indicating what has to be done or
decided in relation to the item,
except where the item heading
makes it obvious what the business
is about.

38
 g. Serial numbers should be entered in
a column on the agenda, next to the
applicable agenda item.
h. A copy of the minutes of the NHSB’s
previous meeting must be distributed
with the agenda.
i. Tabled Papers

Tabled papers are those documents

which are confidential or received
too late for distribution with the
agenda prior to the meeting and
which, with the Board's assent, are
presented to the members at the
meeting. In such cases the agenda
records `to be tabled or` confidential
- to be tabled in brackets under the
paper reference number.

Confidential papers may not be

taken from the meeting by members
and should be collected by the
Planning Service Secretariat after
the meeting. Confidential papers are
not circulated with minutes but they
are retained for record keeping
purposes.

Director IV-Planning 3. Seeks the DHSUD Secretary/

Service Chairperson's approval before issuing
the agenda.

Planning Officer V 4. If insufficient items have been received

to warrant the convening of the Board,
advises the Secretary and other NHSB
members of the cancellation of the
meeting and of the deferral of existing
item(s) for deliberation in the meeting of
the Board.

2 Reservation of venue

Planning Officer I 1. Books the venue for the NHSB Meeting

and checks/inspects if the venue is
appropriate for the meeting.

39
 3 Issuance of notice of meeting

Planning Officer II 1. Issues notification to the NHSB

members of the meeting together with
agenda papers at least seven (7) days
before the date of the meeting either
thru e-mail or in writing.
4 Packaging and distribution of agenda
materials

Planning Officer II 1. Gathers/collects and consolidates all the

agenda materials tabled for discussion
from the different organizational
units/sources.

Planning Officer IV 2. Checks if the materials are organized in

accordance with the approved agenda

Planning Officer III 3. Distributes copies of the agenda

materials in electronic format to the
members of the NHSB at least seven
(7) days prior to the scheduled meeting.
This is facilitated through the
development of DHSUD sites for each
Board member.
5 Preparation of brief/discussion notes for
the Secretary

Planning Officer IV 1. Prepares a brief/discussion notes for the

Secretary/Chairperson of NHSB on
possible approaches to issues under
consideration at the meeting, and
suggested courses of action, where
appropriate. This will depend on a
number of factors including the
Secretariat's role in relation to the
Board, the complexity of the agenda,
the Chairperson's knowledge of the
issues and the Secretariat’s working
relationship with the Chairperson.

2. Follows the structure of the agenda in

preparing a written brief/discussion
note. It should be concise and direct to
the point

40
 3. Provides the brief/discussion notes to
the Secretary/Chairperson prior to the
meeting.

6 Prior to the Board Meeting activities

Planning Officer III 1. Ensures that the following matters are

undertaken prior to the Board proper:

a. Check the physical condition of the

meeting room;
b. Take all relevant records to the
meeting; and
c. Arrange catering if required during
the meeting.
7 Observance of the following procedural
matters during the board meeting
proper

Recording of attendance to determine the

existence of a quorum

Planning Officer I 1. Requires the NHSB members to sign

the attendance sheet.

2. Records the names of absent members

who provide an apology for subsequent
reporting in the minutes and brings to
the Chairman's attention any repeated
absences by a member from meetings.
Members who are absent from the
meeting without an apology are not
listed

Director IV- 3. Informs the Secretary/Chairperson and

Planning Service other NHSB members on the existence
of quorum, based on the attendance

If there is no quorum, the Secretary/

Chairperson may not open a meeting
unless it is quorate.
If a meeting is not quorate despite
giving considerable allowance for the
arrival of some members, the
Secretary/Chairperson in consultation
with the members present may cancel

41
 the meeting and defer its business for
consideration at the next meeting or the
Secretary/Chairperson may adjourn the
meeting and defer the remaining
business to the next meeting of the
board.

Confirmation of minutes and matters

arising from the previous meeting

Chairperson/ 4. Inquires from the Secretariat if they

Secretary have circulated the minutes to the
NHSB members within the prescribed
period. If yes, inquires from the
members if they have any comments on
the minutes of the previous meeting.
If the minutes have not been circulated
within the prearranged period, gives the
NHSB members (7) days to submit their
comments on the minutes of the
previous meeting, otherwise, the
minutes shall be deemed approved.

5. Where no errors have been identified,

seeks to pass a motion confirming the
minutes.

If corrections are required, the minutes

may be confirmed subject to the
appropriate amendment(s) being made

The confirmation of minutes is a formal

declaration by the Board that the
minutes are a correct and accurate
record of the meeting's proceedings.

The signing of the confirmed minutes by

the Secretary/Chairperson and other
Board Members, attests to the proper
convening of the meeting as well as the
validity of its proceedings. The
signatures of all the Board Members
and the date should appear on the
master copy of the minutes retained for
archived purposes.

42
 6. Advises the Board members that the
discussions relating to the confirmation
of minutes must be limited to the issue
of the accuracy of the minutes as a
record of proceedings rather than the
substance of those proceedings.

7. Invites the NHSB members to confirm

the agenda and matters arising from the
previous meeting. This is the point at
which members may seek to add further
items to the agenda, with the consent of
the Board.

Where the agenda is constructed to

provide for `starred' and `unstarred'
items, this is the point at which the
unstarred items are approved or noted
as appropriate. Further items may be
starred if necessary at this point.

Starred items – pertain to those items

that will require discussion
Unstarred items – refer to those items
that that will be noted or approved in
accordance with the relevant draft
resolution, without discussion e.g.
financial reports.
8 Conduct of board meeting proper

Planning Officer V 1. Undertakes the following:

a. Records the names of members

present;
b. Takes notes in sufficient detail to
enable the subsequent preparation
of the minutes of the meeting- the
Head of the Secretariat has the right
to interrupt the meeting if necessary
to seek clarification so as to ensure
that the final minute is correct; and
c. Assists and advises the
Secretary/Chairperson as required
on any procedural matters which
arise during the course of the
meeting.

43
 9 Conduct of executive session

Chairperson/ 1. If the Board, during part of its

Secretary proceedings, wishes to discuss a
confidential issue, excludes any
observers and other persons in
attendance from the meeting during that
discussion and/or executive session,
including the Secretariat if the Board so
choose.

There are usually no minutes recorded

during confidential or ‘in camera’
discussion.
10 Recording of minutes

Planning Officer III 1. Uses recorder (e.g. smart phone, IPad,

Recording device, etc.) to record a
meeting but be sure to let the members
of the Board know they are being
recorded.

2. Takes note important agreements

reached during the meeting.
11 Adjournment of meeting

Chairperson/ Secretary 1. Adjourns the meeting, which simply

means the meeting is completed or to
have a break in the meeting and to
continue the same meeting at a later
agreed time.

12 Post Meeting: Preparation of minutes of

the meeting

Planning Officer III 1. Takes note and/or records the following

information in the preparation of minutes

a. Date, time and venue of the meeting

b. Names of the meeting participants
and those unable to attend/Presence
of Quorum
c. Corrections /amendments to minutes
of previous meeting
d. Decisions made about each agenda
item, for example

44
  Actions taken or agreed to be
taken
 Next Steps
 Voting Outcomes – e.g. (If
necessary, details regarding
who made the motions; who
seconded and approved or via
show of hands, etc.)
 Motions taken or rejected
 Items to be held over
 New Business
 Next meeting date and time

2. Ensures that the minutes are properly

numbered and paginated.

3. Prepares and structures the minutes for

each item discussed in the following
fashion:

a. Supporting papers relevant to an

item should be recorded,
b. Definition: where appropriate, the
issue should be stated briefly,
giving sufficient information for the
minute to be understood without
reference to supporting papers and
outlining the reasons for discussing
the matter;
c. Discussion: a summary of the
essential points of the discussion
relevant to the final decision may
be added if these are helpful to
understanding the final resolution;
d. Decision and Action: the decisions
taken (the `resolutions') and, where
appropriate, the name(s) of the
person(s) responsible for taking the
action must be recorded, as
follows:

d.1 resolutions should be set out

as complete and discrete
statements which, when
isolated from the minute's
general text, clearly convey

45
 what was decided; and
d.2. the wording of resolutions
must identify precisely what
was decided and the action
required (the action officer's
name should be recorded in
the action column);

4. Drafts the minutes of the meeting within

fifteen (15) days from the date of the
conclusion of the Board meeting.

Director IV-PS 5. Forwards the minutes to the

Secretary/Chairperson to secure his
clearance prior to its distribution to the
NHSB members.

Planning Officer III 6. Once cleared by the

Secretary/Chairperson, circulates the
unconfirmed draft minutes to all the
members of the Board to secure their
comments/corrections.

NHSB members 7. Forward comments/corrections on the

draft minutes within seven (7) days from
the date of circulation thereof to the
secretariat, so that Minutes are finalized
and entered in the minute’s book within
the specified time limit of thirty (30)
days.

NHSB members and 8. Once finalized, sign the Minutes of the

Chairperson/Secretary meeting

13 Undertaking of the following actions

after the meeting and/or matters arising
from the minutes

Planning Officer III 1. Ensures that the decisions of the Board

are promptly acted upon
2. Sends an “action memorandum” to each
of those delegated to act, describing the
action required and the time-frame for
the action and setting out verbatim the
resolution of the committee (including
the relevant minute reference number).

46
3. Forwards any non-confidential tabled
papers to members who were not
present.

4. Retains copies of action memoranda on

the appropriate records management
files.

5. Follows-up the action required by the

committee and informs the Secretary/
Chairperson of developments

6. Keeps the Secretary/Chairperson and

Board Members informed of any such
actions which remain unperformed. This
can be done by providing the Board with
a “matters pending” list at each meeting.

7. Prepares a report to the Office of the

Secretary/Chairperson.

47
3.2 OFFICE OF THE SECRETARY’S PROCEDURES

Executive Assistant Functions

1. Conduct of complete staff work on incoming and outgoing

papers/documents to check adequacy of earlier staff work, completeness of
supporting documents, data and inputs for decision, compliance with
policies and regulations, consistency with previous actions/pronouncements,
level of authority, other steps aimed at facilitating decision and helping the
Secretary maximize his time;

2. Drafting of reports, correspondences, memoranda and other communication

of the Secretary;

3. Provision of secretariat support to some meetings of the Secretary;

4. Coordination with members of the Executive Staff with regard to issues and
activities that require concerted action;

5. Management of the Secretary’s calendar of appointments (receiving

phoned-in requests and walk-ins, conveying acceptance/regrets, preparing
the printed calendar with daily, weekly, monthly updates plus archives, re-
confirming calendared/upcoming appointments, arranging logistics for each
calendar entry (e.g. photographer, reporter, refreshments, tokens, etc., and
coordination with the Secretary’s aide and driver regarding activities for the
day; and

6. Coordinating the Secretary’s domestic/foreign travels (a task shared with the

Administrative Service) up to the point where the trip is confirmed with
host/sponsor, the itinerary and flight schedule developed and the request for
travel drafted.

Administrative Support Functions

1. Preparing and monitoring budgets and other funds of the Office of the
Secretary;

2. Coordinating the Secretary's domestic/foreign trips from the moment the

request-to-travel is written (by the Appointments Group) up to the release of
passport, visa, plane tickets/ tax exemption and travel allowances. Also
includes assistance in procuring tokens (finance aspect), securing airport
passes for the aide and driver, and settlement of finances after the trip.
(Note: The travel kit including the comprehensive itinerary is put together by
the Executive Assistants Group);

48
3. Making arrangements for out-of-town trips of Secretary's representatives
and the like and, occasionally, the transportation and lodging needs of some
of the Secretary's out-of-town guests;

4. Accepting reservations/bookings on the use of the Board Room;

5. Coordinating urgent deliveries with the messengers or with the staff/drivers;

6. Handling of finance/preparation and serving of meals or refreshments during

regular executive staff meetings and other "un-catered" small-group
meetings and courtesy-calls;

7. Coordinating with the General Service for necessary repairs and

maintenance of official vehicles, equipment and premises; and

8. Monitoring usage of utilities (water, electricity, landline phones, prepaid

cards, etc.) and gasoline to avoid wastage.

49
3.3 SCOPE OF OPERATIONS OF THE OFFICE OF THE SECRETARY
3.3.1 HANDLING OF SPECIAL EVENTS PROCESS

PROCEDURES FOR HANDLING OF SPECIAL EVENTS

(Dinner receptions, MOA signing, Turn-over of donations, Courtesy call of
VIPs, Oath Taking
Procedure
Responsible Person Instruction/Activity
No.
1 Coordination with the honorees/guests

Executive Assistant IV 1. Coordinates with the honorees/guests

to get the details of the request (name
of the event, time and venue, guest
list, etc.)

2. Prepares and submits a short brief

and protocol aspects of the event to
the Office of the Secretary.

3. Approves and/or gives further

instruction on the special event.
2 Planning and organizing the event

Executive Assistant IV 1. As the host of the event, undertakes

and Executive the following:
Assistant III,II, I
a. Scouts for appropriate venue for the
said event;
b. Draws up the guests list to
determine the total number of
attendees;
c. Prepares the budgetary
requirements for the said
undertaking;
d. Designs the program and
production of invitations and
program;
e. Selects the caterer and menu;
f. Selects and brief performers/emcee
and usherettes;
g. Selects the token to be given, if
necessary;
h. Determines the appropriate physical
arrangements for the events
including the seat plans; and
i. Coordinates with the venue on the

50
 provision of security and sufficient
number of parking space.
j. Coordinates with the Public
Assistance Service for the
press/photo coverage and
documentation of events
3 Conduct of special events

Executive 1. Conducts final briefing to the emcees

Assistant III and usherettes regarding the flow of
program.

2. Sends an advance party to determine

if everything is being done in
accordance with the approved plans.

Director IV-PAS 3. Prepares necessary arrangement and

assigns personnel for the photo/press
coverage.
4 Assessment after the events

Head Executive 1. Assesses the conduct of events to

Assistant determine areas for improvement, if
there is a need.
2. Provides feedback report to the
Secretary/Chairperson.
Secretary/
Chairperson 3. Makes a note on the feedback report.

3.3.2 CALENDARING OF SECRETARY’S ENGAGEMENTS PROCESS

The Office of the Secretary receives various invitation letters emanating

from the public and private sectors of society via regular mail, email,
short messaging system (SMS),or phone call.

PROCEDURES FOR CALENDARING THE SECRETARY’S ENGAGEMENT

Responsible Procedure
Instruction/Activity
Person No.
1 Receipt of invitation

Executive Assistant IV 1. Determines the role of the Secretary

for the occasion, title, time, event of
venue, and attire.

2. Indicates the invitation in the calendar

of activities to determine availability of

51
 the Secretary.

3. Prepares an executive brief of the

invitation/gathering including the name
and profile of the letter sender and
contact details or names and positions
of officials requested to join the
meetings if the invitation is for
attendance to a meeting

Head Executive 4. Secures approval of the Secretary on

Assistant the invitation.

a. If the Secretary confirms his

attendance, notifies the requesting
party.
b. If the Secretary is unavailable,
informs the letter-sender of the
Secretary’s inability to attend
invitation through phone call or
email.
c. If the letter-sender requests for a
representative, sends back the
invitation letter to the Secretary
and requests if he has any chosen
representative.
d. Forwards the invitation to the
Secretary’s chosen representative.
e. If the chosen representative
confirms his/her availability,
notifies the letter-sender of his/her
attendance.
2 Confirmation of Secretary’s Attendance

Senior Admin 1. Informs the requesting party either in

Assistant writing, via phone or email of the
Secretary’s confirmation and wait for
reply of the letter-sender

2. If the Secretary or his designated

representative has a speaking role,
sends a copy of the invitation and a
brief about the event to the Public
Assistance Service or to the
designated speech writer via
email/hard copy for preparation of the

52
 draft speech.

3. Prepares and forwards the draft

Information Officer V speech to the HEA for further
comments and/or approval.

4. Prepares/edits the draft speech based

Executive Assistant VI on the comments and forwards the
corrections to the PAS.

5. Revises the draft speech and

Information Officer V forwards the edited draft speech to
the HEA for endorsement to the
Secretary for his approval or to his
designated representative.
3 Filing of accepted/completed/regretted
invitation

Admin. Asst. V 1. Files the accepted/

completed/regretted invitations
containing the date and the requesting
party.

2. Scans/reproduces all accepted and

completed invitations and place them
in a box or filing cabinet for easy
retrieval ( as the need arises)

3.3.3 REQUEST FOR MESSAGES FROM THE SECRETARY PROCESS

The following procedures shall be followed in the preparation of requests

for Secretary’s messages and greetings intended for printing in annual
reports, souvenir programs and other events/publications from other
offices/units within DHSUD and other organizations:

PROCEDURES FOR HANDLING OF REQUEST FOR MESSAGES FROM THE

SECRETARY
Responsible Procedure
Instruction/Activity
Person No.
1 Receipt of request

Senior Admin 1. Informs the requesting party to submit

Assistant II the letter-request in writing or email at
least 15 working days prior to the
deadline containing the following:

53
 a. Name of event;
b. Organizers, host-unit, sponsors;
c. Date of event/ activity;
d. Medium (to be printed in souvenir
program, video-taped, uploaded
in website, etc.);
f. Printing deadline, if any, or date
when the requesting party needs
to get the message;
g. Name of contact person
h. Mailing address of requesting
party or contact person;
i. E-mail address, if any;
j. Other contact details: mobile,
landline, fax number;
k. Limitation on the number of
words, if any;
l. Purpose or significance of the
event; and
m. Talking points and other
information (or supporting
documents) which the requesting
party thinks could help facilitate
the writing of the message.

2. Courses thru all requests for

messages, greetings and
endorsement letters to the Office of
the Secretary for approval.

HEA 3. Upon approval of the Secretary, refers

the requests to the PAS or speech
writer for preparation of draft
messages/greetings, etc.
2 Preparation of messages/greetings

Information Officer V 1. Prepares and submits the draft

messages/greetings to the HEA for
final comments.

HEA 2. Provides comments on the draft

messages/greetings and returns it to
the PAS for editing and finalization

Information Officer V 3. Revises and finalizes

messages/greetings based on the

54
 comments and forwards the same to
the HEA for endorsement to the
Secretary for his approval/signature.

HEA 4. Endorses the edited/finalized

messages/greetings to the Secretary
for his approval/signature

Secretary 5. Approves/signs the

messages/greetings.
3 Distribution of signed messages/
greetings
Admin. Asst. V
1. Sends the approved/signed
messages/ greetings to the requesting
party.

2. Advises the letter-sender that the

messages of the Secretary should be
used only for the purpose stated in the
letter-request. The same should not
be used for any solicitation purposes,
fund-raising or other purposes not
stated.

3. Files the scanned copy of the

messages/greetings

3.3.4 HANDLING OF DOCUMENTS NEEDING SECRETARY’S DECISION/

ACTION PROCESS

PROCEDURES FOR HANDLING OF DOCUMENTS NEEDING THE

SECRETARY’S DECISION/ACTION
Responsible Procedure
Instruction/Activity
Person No.
1 Conduct of preliminary review of
submitted documents

Executive 1. Checks if the document has been

Assistant IV properly stamped received and
registered by the receiving clerk.

2. Reviews the document set for

completeness including its
attachments as stated in the covering
communication and/or routing slip and

55
 ensures that there is no missing
documents/ signatures.

3. Determines if the document is routine

and non-routine for purposes of
determining if a document needs to be
scanned and stored in the data
management system.
HEA
4. Refers the document to the concerned
organizational units for the conduct of
CSW.
2 Conduct of Complete Staff Work (CSW)

1. Prepares the CSW including the

Division Chief required action documents and
forwards it to the Director of the Unit
concerned.

Director IV-concerned 2. Upon receipt of CSW, checks if there

Unit is a need to draft an action document
in the form of an issuance
(administrative order, department
order, memorandum, letter, etc.) that
embodies the official’s proposed
action or decision for the Secretary to
take like the approval/disapproval of
the action document, endorsement of
action document to the NHSB and
other government agency and external
body.

3. Secures endorsement of the

supervising Undersecretary/Assistant
Secretary of the unit on the CSW
conducted including its action
documents for submission to the
Secretary

Senior Admin 4. Upon receipt of the CSW,

Assistant II looks//checks for the required
endorsements from the supervising
Undersecretary/Assistant Secretary.

HEA 5. Conducts final oversight review of the

CSW done at the lower level and

56
 alerts the Secretary on the gaps in
information and advises him on
additional inputs that he might want to
ask for more evidence.

Executive Assistant VI 6. Looks at precedence with respect to

the request/appeal/prayer at hand and
alerts the Secretary.

HEA 7. Retrieves background records

pertinent to the communication at
hand, which must be attached to the
CSW and action document.

8. With the help of the PAS and Legal

Service, converts the Secretary’s
decision into a full-length response or
action document or advises the
Secretary as to which official/office
has the mandate/ competence to
prepare the required action document.

9. Prepares the decision into a full length

PAS/Legal Service action documents and transmits the
same to the Office of the Secretary for
approval and signature.
Secretary 10. Approves and signs the action
document.
3 Undertaking of post decision staff work

HEA 1. Sees to it that the required pages and

number of copies of the action
document have been signed
completely including the date.

2. After the Secretary signs the

document, cleans up the bunch of
documents prior to release, scans and
stores the PDF copy and releases the
PDF copy via email to the target
recipients ahead of the hard copy and
sends back the original copy to the
Secretary to serve as his official copy

Senior Admin Assistant II 3. Gives the receiving-releasing clerk

instructions re: mode of release, which

57
 will get copies and special instructions
if necessary.

Releasing Clerk 4. Releases copies of the communication

to target recipients and publishes EOs
or AOs as needed in the Official
Gazette.

4 Establishment of logical and physical

sorting of documents

Senior Administrative 1. Establishes a system for the logical

Assistant V and physical sorting of documents to
facilitate reading and action by the
Secretary as well as aid in the retrieval
of documents by the staff in case of
follow-ups and prioritization. Sorting
could either be color coding or in
alphabetical order for easy retrieval.

3.3.5 HANDLING OF DOCUMENTS RECEIVED THROUGH EMAIL AND

MOBILE MESSAGING PROCESS

PROCEDURES FOR HANDLING OF DOCUMENTS RECEIVED THROUGH EMAIL

AND MOBILE MESSAGING

Instruction/Activity
Responsible Procedure
Person No.
1 Receipt of documents via E-mail/mobile
messaging

Executive Assistant III 1. Reviews the office inbox as the first task
& Senior Administrative in the morning, and several times during
Assistant V the work day, responding to such
emails/messages, and making
appropriate referrals to the concerned
organizational unit/s.

Senior Administrative 2. Releases routine announcements,

Assistant III invitations, requests for data and
information and the like and forwards the
same electronically to the units and
officials concerned for dissemination,
compliance and other appropriate action.

58
 For important matters, some printing and
redundant action may be allowed (e.g. a
matter may be forwarded in advance to
the legal staff via email and followed
through with a hard copy along with the
Secretary’s written referral and
instructions.)

3. Converts into PDF files any precedent

setting cases and those with policy
implications and deployed to the data
management system.

4. Acknowledges via email any

correspondence that comes in via email/
mobile messaging and attaches the
scanned final written response by the
Secretary to the email as an advance
copy.

2 Distribution of final written response

Admin. Assistant V/ 1. Sends the confirmation copy via snail

Executive mail or hand delivery, if a physical
Assistant I address has been provided by the letter-
sender.

2. Furnishes a copy (whether hard or

electronic) of the Secretary’s
correspondence to the official records
keeper of the Office of the Secretary

59
 3.3.6. RESERVATION OF BOARD ROOM PROCESS

PROCEDURES FOR RESERVING THE USE OF BOARD ROOM

Procedure
Responsible Person Instruction/Activity
No.
1 Reservation of board room

Requesting Unit 1. Submits a request for the use of Board

Room either in writing or thru phone or
Internet Protocol (IP).

Admin. Assistant V 2. Receives the request, enters the

date/time of the use, number of persons,
requesting party and contact details on
the calendar and submits the request to
the HEA/designated approving authority
for approval, along with the information on
whether the Board room is available on
the requested date or if it has already
been reserved
2 Approval of request

Head Executive Asst. 1. Approves the request for the use of Board
Room.

Admin. 2. Issues notification on the approval and/or

Assistant V denial of the request to the requesting
party through phone call or IP.
3 Use of board room

1. Takes charge in the set-up, caterer and

technical aspect for the use of Board
room.
Requesting Unit
2. Completes the set-up at least one hour
before the start of the event/meeting.

4 Completion of the use of board room

Requesting Unit 1. Coordinates with the Administrative

Service for the clean-up of the board
room.

60
3.4 DHSUD PROCESS MAP

The identified processes have been classified into three groups, as follows:

a. Management Processes – those that are needed for oversight and

governance of DHSUD’s planning, organizing, leading and controlling.

b. Core Processes – those that are essential to achieve the planned activities
in ensuring the delivery of housing and urban development programs and
services of the DHSUD particularly its policy, program and plan
development and regulations and enforcement.

c. Support Processes - those that are needed to manage the resources

necessary to facilitate or assist the satisfactory execution of the
management and core processes

These three groups of processes complement each other in the satisfactory

delivery of services to the clients and other interested parties/stakeholders.

The list of processes and high level process map of the DHSUD are shown in
Figure 2.

61
 Figure 2: DHSUD Process Map

MANAGEMENT PROCESSES

STRATEGIC & POLICIES, PLANS AND PERFORMANCE PUBLIC LEGAL MANAGEMENT

PROGRAM PROGRAMS MONITORING & ASSISTANCE SUPPORT IMPROVEMENT
PLANNING ISSUANCE EVALUATION (INTERNAL AUDIT)

S
S
PUBLIC HOUSING AND SETTLEMENTS SERVICE
T
T POLICIES, STRATEGIES, TECHNICAL ASSISTANCE/ PROGRAM AND PROJECT MONITORING &
REGIONAL STRATEGIC & FRAMEWORKS,PLANS AND SUPPORT TO REGIONAL OFFICES DEVELOPMENT ** EVALUATION
PROGRAM PLANNING* STRATEGIES
FORMULATION A
A
CORE PROCESSES
K
K
ENVIRONMENTAL, LAND USE & URBAN PLANNING AND DEVELOPMENT
E
E POLICIES, STRATEGIES, PROGRAM AND PROJECT CAPACITY REVIEW AND MONITORING & ISSUANCE
STANDARDS, PLAN AND DEVELOPMENT FOR DEVELOPMENT AND APPROVAL OF EVALUATION OF
FRAMEWORK CAPACITY BUILDING AND TECHNICAL PLANS CERTIFICATI H
H FORMULATION PROTOTYPING ASSISTANCE ON

O
O
HOUSING AND REAL ESTATE DEVELOPMENT REGULATION
L
L POLICIES, REGULATIONS, LICENSE TO SELL CERTIFICATE OF CERTIFICATE OF REGISTRATION MONITORING &
REGISTRATION AND OTHER RELATED LEARNING &
STANDARDS AND TO BROKERS, DEALERS AND EVALUATION
DEVELOPMENT
STRATEGIES PERMITS ISSUANCE SALESMEN ISSUANCE D
D FORMULATION

HOA AND COMMUNITY DEVELOPMENT E

E
RULES AND REGULATIONS, & CERTIFICATE OF REGISTRATION PROGRAM TECHNICAL MONITORING &
COMMUNITY R
GUIDELINES FORMULATION OF INCORPORATION OF HOA DEVELOPMENT ASSISTANCE EVALUATION
DEVELOPMENT
R
S
S SUPPORT PROCESSES

HUMAN GENERAL PROCUREMENT CASHIERING RECORDS FINANCIAL KNOWLEDGE

RESOURCE SERVICE MNGT. MANAGEMENT MANAGEMENT

Note to the DHSUD Process Map

*Adopts the Strategic Planning Process at the Central Office

**The different programs/projects under the administration of PHSS are: Shelter

Recovery and Rehabilitation, Declaration of Subdivision and Condominium Projects
as Abandoned, Incomplete and Unfinished, Establishment of new town, estate, new
settlements, urban renewal programs and prototyping of housing and urban
development interventions, Designation of lands as Government Centers, Opening of
Subdivision Roads for Public Use and Conduct of Inventory of Government-Owned
Lands.

62
 3.4.1 MANAGEMENT PROCESSES
3.4.1.1 STRATEGIC AND PROGRAM PLANNING PROCESS

PROCEDURES FOR STRATEGIC AND PROGRAM PLANNING

Responsible Procedure
Instruction/Activity
Person No.
1 Conduct of brainstorming sessions
with the organizational units

Director IV, Planning 1. Conducts sessions with the different

Service (PS) organizational units to discuss the
DHSUD situation in line with the
DHSUD’s vision and mission.

Planning Officer V 2. Based on the discussions, prepares

the situational analysis and strategic
directions of the department.
2 Conduct of year-end review and
strategic planning workshop

Planning Officer V& 1. Organizes the year-end review and

HHRO VI-M & E strategic planning workshop, which
aims to assess the performance of the
Department for the current year, as
well as to revisit and revise the
DHSUD’s vision and mission to make
them more responsive and forward
looking, if necessary.
Planning
Officer IV 2. Prepares the proceedings of the
workshop and distributes copies to the
management and organizational units.
3 Preparation of strategic plan/roadmap

Planning Officer V 1. Based on the proceedings of the year-

end review, and strategic planning
workshop, updates the strategic plan
of the DHSUD.
4 Annual plans and budget preparation
& stakeholders consultation regarding
issues and priority needs

Director IV-Planning 1. Organizes consultation meetings/

Service workshops with the different DHSUD
organizational units, regional offices
and other key stakeholders to identify
issues and concerns of different

63
 sectors in the DHSUD, as well as to
determine possible solutions and
recommendations to address such
issues and concerns.

Planning Officer V 2. Collects feedback from the

stakeholders on the strategic plan of
the DHSUD.

Planning Officer IV 3. Prepares the documentation report

containing the following:

a. List of issues and priority needs of

different sectors on the DHSUD
Strategic Plan;
b. List of possible solutions and
recommendations; and
c. Comments/recommendations from
the stakeholders on the DHSUD
Strategic Plan.

Planning Officer IV 4. Prepares the agency budget cover

based on the revised strategic plan.
The budget cover shall be composed
of the following:

a. DHSUD’s Thrust, priorities and

implementation strategies for the
succeeding year.
b. Mandate, strategic objectives and
organizational structure.

Planning Officer III and 5. Prepare the budget preparation (BP)

Admin Officer IV forms as contained in the Budget Call
and the Budget Priorities Framework
issued by the DBM every year.

6. Encode the BP forms and other

budget data in the OSBPs of the
Department of Budget and
Management (DBM).

7. After encoding, generate hardcopies

of BP Forms through the OSBPs for
signature by the authorized
signatories.

64
 5 Submission of packaged plans and
budget to the DBM

Director IV–Planning 1. Prepares and submits the DHSUD

Service plans and budget proposal to the
Secretary for review. The said
proposal contains the following:

a. Budget cover
b. Signed OSBPs-generated BP
Forms
c. Details of proposed expenditures
including a) justification of Capital
Outlay, b) budget notes, and c)
schedule of implementation
d. Major accomplishments of the
DHSUD for the preceding year.

Secretary 2. After the review, either approves the

proposal or sends it back to the
Planning Staff for revision.

Planning Officer V 3. Submits both hard and soft copies of

the DHSUD recommended plans and
budget proposal to the DBM.
6 Revision of plans and budget proposal
based on the National Expenditure
Program (NEP) and submission to
DBM, Senate Committee on Finance
and House Committee on
Appropriations
Planning Officer V-
Planning Service & Chief 1. Following the issuance of the NEP by
Admin. Officer the DBM (which is usually in June
before the Annual State of the Nation
Address), prepare the DHSUD
budgetary requirements based on said
NEP and the set of documents
required by the Senate Committee on
Finance and House Committee on
Appropriations.

The budgetary requirement contains

the following documents:
a. Budget briefing folio, containing
the budget cover and other

65
 additional documents;
b. BP Forms as revised based on
approved agency budget in the
NEP;
c. Major accomplishments of the
agency for the preceding year;
d. Senate and HOR Forms; and
e. Other important documents,
information and statistics that
would help the Senate and HOR
Committees in the evaluation of
the DHSUD budget.
7 Extension of assistance to the
management in preparing for technical
budget hearings

Director IV-Planning & 1. Assists the management in preparing

Financial Service for their participation in the technical
budget hearings called by the Senate
and HOR.
Planning Officer II &
Admin Officer IV 2. Prepares and provides a copy of the
budget kit to the management.

The said kit is a concrete version of

the agency plans and budget and
briefing materials that may be of
interest to Senators and Congressmen
such as issues raised against the
DHSUD.

8 Preparation of agency annual Planning

Guidelines for approval by the
Secretary based on current year
budget and planning issuances for
relevant agencies

Planning Officer V 1. Prepares the agency annual Planning

Guidelines based on the NEP, the

Planning Guidelines for the previous

and current year, the DBM Circular
letter showing the prescribed

guidelines for the preparation of

annual Budget Execution Plans

66
 (BEP), among others

Director IV-Planning 2. Submits the agency Planning

Guidelines to the Secretary for review
and approval.
Admin. Assistant III
3. Distributes an intra-office
memorandum (IOM) to the
management and the different
organizational units, attached
therewith the approved agency
Planning Guidelines containing
planning and budgeting calendar and
major deliverables. The Planning
Officer may attach other documents
(as annexes) to the IOM such as, but
not limited to:

a. DHSUD strategic plan/roadmap

b. Templates for the unit work and
financial plan (WFP)
c. Summary of budget for
Maintenance and Other
Operating Expenses (MOOE)
and Capital Outlay (CO)
d. Detailed breakdown of CO
e. Gender and Development (GAD)
Plan and Budget for the
succeeding year
f. Per unit cost of major
deliverables
g. Climate change expenditures
h. Implementation Plan

Chief Admin. Officer 4. In consultation with the Planning

Officer and Regional Director,
transmits the recommended budget
per activity based on the NEP Budget
level to each organizational unit. This
shall serve as reference of each unit
in preparing their respective
organizational Work and Financial
Plan. (WFP).
9 Conduct of internal planning sessions

Organizational Unit 1. Conducts its own internal planning

67
 session in line with the preparation of
the organizational WFP, in
consultation with the Planning Service
and Budget Division under the
Finance Service.

2. Based on the session, prepares their

own indicative organizational WFPs
and submits the same to the Planning
Service for consolidation.
10 Conduct of annual operational
planning assembly

Director IV-Planning 1. Spearheads the conduct of annual

Service Operational Planning Assembly (OPA)
attended by the management, the
Directors and their Division Chiefs and
selected technical staff.
Organizational Unit
2. During the assembly, presents its
major accomplishments for the current
year, the factors that facilitated or
hindered the implementation of
targets/activities during the same year,
and the organizational WFP for the
following year. The management and
other organizational units provide their
comments and recommendations on
the WFP.
Planning Officer III
3. Prepares the documentation report of
the assembly, which contains the
program flow, the agreements
reached, and the comments and
recommendations consolidated.
11 Revision and finalization of
organizational unit physical and
financial plans

Organizational Unit 1. Revises and finalizes the

organization’s indicative and detailed
WFP based on the comments and
recommendations during the OPA.
2. Submits the revised and detailed WFP
to the immediate supervisor and to the
supervising Assistant Secretary and

68
 Undersecretary of the unit for review
and approval.
12 Preparation of Budget Execution
Document (BED) forms and other
documents for the DHSUD WFP

Planning Officer III & 1. Prepares the BED forms and other
Admin Officer V documents for the DHSUD’s WFP,
using the NEP and PS Planning
Guidelines and the most recent DBM
Circular Letters as references.
13 Review and consolidation of the WFP
submissions of all organizational units

Planning Officer IV 1. Consolidates and reviews the

approved WFPs submitted by the
organizational units. Inputs from these
WFPs, especially the monthly
disbursement plan per organizational
unit, are incorporated in the BED
forms.
14 Encoding of the BED forms and other
documents in the DBM Unified
Reporting System (URS)

Admin. Officer II/Planning 1. Encodes and endorses the BED forms

Officer III and other documents in the DBM URS
and generates BED forms through the
said system.
15 Submission of duly signed BED forms
to the DBM

Planning Officer III 1. Prepares and submits the DSHUD

WFP (including the BED forms and
other documents) to the Secretary for
review.

Secretary 2. After the review, either approves the

DHSUD WFP or sends it back to the
Planning Staff for revision.

Planning Officer III & 3. Submits both hard and soft copies of
Supervising Admin. Officer the approved (duly signed) and
packaged agency WFP to DBM.

69
 16 Implementation of WFP

Organizational Units 1. Implement the respective WFP.

Amendment of agency WFP and

organizational WFPs during the
course of the implementation is
subject to the Planning Service
Guidelines and other appropriate rules
and regulations
17 Monitoring and evaluation of WFP
implementation

Planning Officer I 1. Sends a reminder (through email/text

message and/or personal
communication) every 20th of the
current month to all organizational
units to submit their respective Group
Monthly Accomplishment Report
(GMAR) for the same month on or
before the 25th of the month.

Planning Officer II 2. Collects and consolidates the GMARs,

including the Means of Verification
(MOVs) from all groups.

3. Validates the accomplishment of the

group through the submitted MOVs.
18 Preparation and submission of
periodic accountability reports to
oversight agencies

Planning Officer III & 1. Prepare periodic accountability

Admin. Officer IV reports, which include, but are not
limited to the following:

a. Agency monthly report;

b. Monthly Physical and Financial
Accomplishment Monitoring Report
(PFMAR);
c. Budget Accountability Report
(BAR) No.1 or Quarterly Physical
Report of Operation;
d. Department Performance
Commitment and Review (DPCR)
accomplishments and ratings; and
e. Annual Report.

70
 2. After the approval of said reports by
the signing authorities (including the
Secretary), submit the approved
reports to oversight agencies, such as
DBM and COA.

Planning Officer II 3. Encodes and submits online the BAR

No. 1 through the DBM Unified
Reporting System (URS) after the said
form was approved by the signing
authorities including the Secretary.
HHRO IV- M&ED
4. Produces a monthly monitoring report
based on the accomplishments
submitted by the organizational units
and KSAs and on the ground
monitoring and validation activities and
submits the same to the Office of the
Secretary for discussion at the next
Management Committee meeting,
where the M&ED staff will present the
results to the management.
19 Submission of yearly accomplishment
report to the DBM for availment of PBB

Director IV-Planning 1. If the DHSUD is qualified to avail of

Service the Performance Based Bonus
(PBB), submits the annual
performance report together with the
necessary supporting documents to
the DBM.

3.4.1.2 POLICIES AND PLANS FORMULATION/ ISSUANCE

PROCESS

PROCEDURES FOR THE FORMULATION/ISSUANCE OF POLICIES AND

PLANS OF THE DEPARTMENT
Responsible Procedure
Instruction/Activity
Person No.
1 Identification and analysis of problem

Director IV-PHSS 1 Identifies policy problems, which may

be sourced from the inputs of the
different DSHUD Bureaus and
Services, Local Government Units,

71
 Subdivision and Real Estate
Associations, Civil Society
Organizations, Non-Government
Organizations and from existing
housing and urban development
laws.

Project Development 2. Undertakes policy research/study to

Officer V-HPSD address the issue or policy problem
through the conduct of Focus Group
Discussion (FGD), key informant
interview (KII), and collection of
primary and secondary data for the
generation of research information to
establish results.
2 Drafting of policy paper

Project Development 1. Drafts the policy paper based on the

Officer V-HPSD information collected from research.
The Policy paper may contain a
review of related literature, identified
policy alternatives and a set of
evaluation criteria.

2. Presents the draft policy paper to the

Housing Policy Working Committee
(HPWC) or through a policy
workshop, forum or conference for
critiquing to generate policy
agreements and produces a
documentation of workshop
proceedings. In the presentation of
policy paper, the PS may adopt video
or tele conferencing in light of the
current pandemic.

3. Revises and prepares the final policy

paper incorporating the policy
agreements generated from the
consultations.
3 Deliberation and approval of policy
paper

Project Development 1. Translates the policy paper into a

Officer V –HPSD-PHSS & legal format (policy instrument in the
Atty. IV- Legal Service form of Resolution or

72
 Administrative/Department Order or
other suitable instruments) in
collaboration with the HPSD of PHSS
& Legal Service and submits the
same to the Secretary recommending
its inclusion in the agenda of the
NHSB meeting.

Secretary 2. Advises the Planning Service to

calendar the Policy documents
(policy paper and/or formatted policy
instrument) to the NHSB for
deliberation and approval.

Director IV-Planning 3. Once the policy paper is approved by

Service the NHSB, submits the approved
policy to the Philippines Law Center
for cataloging and publication

4. Disseminates copies of the newly

Director IV-PHHS
created and duly approved policy to
the concerned stakeholders.

5. Provides instruction to the Policy staff

for the implementation of approved
policy.
Project Devt. 6. Maintains the authenticity of policy
Officer III thru the institution of the following
control mechanisms:

The document must contain the

official logo of DHSUD

a. It must be printed on official

paper size (A4) using official font
and size (Arial 12)
b. A dry seal must be affixed at the
lower left portion where the
signature of the signing authority
is found.
c. Original copies of the policy
documents are kept at the
Central Registry for safekeeping
.

73
 4 Review of policy implementation

Project Development 1. Undertakes any amendments,

Officer V –HPSD changes, or repeal of existing policy
as necessary by applying the
procedures outlined above.
5 Distribution/issuance of policy paper

Project Devt. Officer II 1. Keeps the original copy at the Central

Registry for safekeeping.

2. Distributes copies of approved policy

to concerned bureaus/offices,
stakeholders for subsequent adoption
and implementation.

Authorized personnel 3. Files a Document Change Request

(DCR) form to the Director concerned
if there is a need to change some
provisions of the documents

Project Devt. Officer III 4. Obtains in writing regulatory approval

If there are some changes to be
introduced in the document prior to
implementation and updates
appropriate documentation when
processes are changed together with
a change history to reflect the reason
or the change.

5. Validates the effectiveness of

changes by re-evaluation, inspection
(where applicable), internal auditing
and client satisfaction survey (CSS).

74
 3.4.1.3 PERFORMANCE MONITORING AND EVALUATION
PROCESS

PROCEDURES FOR PERFORMANCE MONITORING REVIEW AND

EVALUATION
Responsible Procedure
Instruction/Activity
Person No.
1 Creation of M&E plan and
identification of program goals and
objectives
Director IV-Planning
Service 1. Creates an M&E plan identifying the
program goals and objectives.

2. Defines the program goals by

identifying the problem to be solved,
the steps to be taken in solving the
problem and the means of verification
(MOVs) based on the approved DPCR
to determine the success of steps
undertaken to solve the problem.
2 Selection of Performance Indicators
and baseline data per indicator

HHRO VI-M&ED 1. Using the DPCR developed during the

strategic planning and sectoral
performance commitment of the
DHSUD to the NEDA-PDP and DBM,
identifies and defines the baseline
information per indicator for tracking
progress towards achieving those
goals.

Program indicators should be a mix of

those that measure process, or what is
being done in the program, and those
that measure outcomes.
3 Defining the data collection methods
and timeline

HHRO VI-M&ED 1. After identifying/creating the

performance monitoring indicators,
discusses the methods of generating
the data (electronic transmission or
hard copy), recording of data to track
indicators and the frequency of

75
 collecting the data from the different
sources (Organizational Units, KSAs
and other sources)
HHRO III-M&ED
2. After agreeing on the method and
frequency of data gathering, collects
the monthly data/report from the
different sources.

3. Consolidates the monthly report to

come-up with monthly, quarterly, semi-
annual and annual reports.
4 Identification of M & E roles and
responsibilities

Director IV- Planning 1. Identifies the staff in charge for

Service collecting data for each indicator from
the sources and compiling,
consolidating and evaluating the data
generated.
5 Evaluation of submitted performance
reports

HHRO V-M&ED 1. Compiles and analyzes the data

generated per indicator by comparing
the submitted actual accomplishments
vis-à-vis targets and baseline data and
finds out if there are any slippages,
the reasons for the shortfall and the
different factors hindering the
accomplishment of targets.

The results of the analysis can help

the decision makers to make
necessary improvements in projects,
policies and programs and can serve
as inputs for any proposed policies.
HHRO VI-M&ED 2. Discusses the results of evaluation to
the concerned operating units/KSAs
especially those that are unable to
meet their performance commitments
and requires them to submit their
proposed catch-up plan to meet their
targets.

76
 3. Documents the results of discussion
and incorporates the same in the
preparation of M & E Report and
submits the same to the Director IV-
PS and Secretary for calendaring in
the NHSB meeting either for
information and/or approval prior to its
dissemination to the end-users of said
information.
Director IV-PS
4. Calendars the DHSUD’s Annual
Accomplishment Report to the NHSB
Meeting either for approval/notation.
NHSB
5. Notes/approves the DHSUD Annual
Accomplishment Report.
6 Dissemination of outcome of
evaluation
Director IV- Planning
Service 1. Upon notation/approval by the NHSB,
distributes the results of performance
evaluation to the internal and external
users of report which include the
different organizational units, DBM,
Congress, Senate, OP and other
intended users to strengthen
accountability, transparency and
resource allocation procedures and for
formulation of policies for
improvement.

3.4.1.4a. PUBLIC ASSISTANCE PROCESS

PROCEDURES FOR EXTENDING PUBLIC ASSISTANCE

Responsible Procedure
Instruction/Activity
Person No.
1 Submission of request for assistance/
complaint

Requesting Party/ 1. Submits a query or request for

Complainant assistance or complaint regarding the
DHSUD’s policies, plans and
programs as well as its attached
corporations/agencies.

77
 2 Frontline resolution of assistance
requested/complaint

Information Officer IV- 1. Upon receipt of query or request for

PAD assistance/complaint either by phone,
by email, in writing, or walk-in clients,
assesses the complexity of
request/complaint.

2. Advises requesting party/complainant

of the DHSUD assistance/complaint
process.

3. If the query or request for

assistance/complaint involves simple
concerns which are within the power
of PAS to resolve, takes prompt and
reasonable action to facilitate the
resolution of request/complaint for
assistance and to the requesting
party’s satisfaction wherever possible.

Director IV-PAS 4. If the matter cannot be

addressed/resolved by the PAS or the
subject matter thereof properly falls
within the ambit of the
mandates/functions or expertise of the
Regional Office, Bureaus, Services or
of the HSAC, or of the KSAs, or of
other agencies or of the LGU,
refers/endorses the request for
assistance/complaint to the proper
entity/unit.
PUBLIC ASSISTANCE-REGIONAL OFFICE
Regional Action Officer 1. Handles/processes request for
assistance taken from the suggestion
box or mailed/delivered and filed at
the office, if it is within his/her power.

2. Processes the request within the

prescribed processing time- (3
working days for simple transaction, 7
working days for complex transaction
and 20 working days or as
determined by the Department for
highly technical application) in

78
 accordance with RA 11032 or the
Anti-Red Tape Act of 2007 .

3. If the matter cannot be

addressed/resolved by the Regional
Action Officer, refers the matter to the
concerned Division/s.

Note: Requests for data/information

under Executive Order No. 2 Series of
2016 on Freedom of Information (FOI),
and which are not within the exceptions
thereto, shall be acted upon in
accordance with the Department’s FOI
rules/procedures (FOI Manual).

Requests involving personal

information/data shall be acted upon in
accordance with the Department’s FOI
Manual and the Data Privacy
policies/guidelines.
3 Investigation of unresolved request
for assistance/complaint at the
frontline

Director IV-PAS or other 1. If the request for

Units assistance/complaint could not be
resolved through the informal
process, investigates where the
requesting party/complainant is still
dissatisfied after communication of
decision at Stage 1.

Investigates where it is clear that the

request for assistance/complaint is
particularly complex or will require
detailed investigation. and
acknowledgement to the requesting
party/complainant within three (3)
working days for simple cases and
maximum of seven (7) working days
for complex cases.

2. Refers the request for

assistance/complaint to the proper
bureau, service or office for the

79
 conduct of necessary complete staff
work (CSW)/investigation, if and
when necessary and requests them
to study the request and
drafts/prepares the necessary reply.

Concerned unit 3. Conducts the CSW and advises the

requesting party/complainant of the
outcome of the request for
assistance/complaint and the reasons
for decision in writing as soon as
possible or within three (3) working
days after the conclusion of
CSW/investigation, unless there is a
clear reason for extending the
timescale and options to review if
they are not satisfied with the
decision copy furnish the PAS.

Admin. Assistant III-PAS 4. Records the conclusion and outcome

of the request for
assistance/complaint.
4 Monitoring status of request/complaint
referred to other organizational units,
HSAC, KSAs, LGUs & others.

Information Officer V- 1. Monitors the status of

PAD request/complaint referred to other
organizational units, HSAC, KSAs,
LGUS, etc. and makes follow-up on its
status.

80
 3.4.1.4b PUBLIC RELATIONS PROCESS

PROCEDURES FOR DESIGNING AN EFFECTIVE PUBLIC RELATIONS

INFORMATION AND EDUCATION CAMPAIGN
Responsible Procedure
Instruction/Activity
Person No.
1 Defining public relations problem
through research

Information Officer V- 1. Anticipates, analyzes and interprets

CDMRD the public opinion and attitudes of the
public towards the programs, projects
and services of the DHSUD.

a. Analyzes the situation by involving

relevant stakeholders and taking
into consideration the list of
complaints/grievance received by
the Department to ensure that they
are in solid agreement about the
nature of the opportunity or
obstacle to be addressed by the
programs and services of DHSUD;
b. Analyzes the organization by
taking a careful look at three
aspects namely: 1) its internal
environment (mission, performance
and resources; 2) its public
perception (reputation); and 3) its
external environment (different
stakeholders); and
c. Analyzes each public in terms of
their wants, needs and
expectations about the issue, their
relationship to the organization,
their involvement in communication
and with various media, and a
variety of social, economic,
political, cultural and technological
trends that may affect them.
2 Conduct of strategic planning

Information Officer V- 1. Establishes goals and specific,

CDMRD measurable, accurate, and reliable
and time bound objectives in relation
to the target audience that identifies

81
 the organization's anticipated impact
on the awareness, acceptance and
action of each key public.

Focuses on objectives dealing with

acceptance of the message, because
this is the most crucial area for public
relations and marketing
communication strategists.
3 Identification of target audience

Information Officer V- 1. Defines the audience targeted to

CDMRD reach and the kind of key messages to
deliver to them. When defining the
target audience, it is best to be as
specific as possible, such as working
out their gender, age, location and
likes/dislikes.

2. Formulates the different strategies to

be undertaken in various situations
including the different typologies of
initiatives and responses. These
strategies include the determination of
methods of communication, the
messages to be conveyed and other
activities related to attaining the goals.

Information Officer IV 3. Drafts the message in accordance

with the results of analysis of the
situation, organization and the public
4 Designing effective public relations
communication

Information Officer IV 1. Designs effective communication by

taking into consideration the sources,
who will present the message to the
key publics, the content of the
message, its tone and style, verbal
and non-verbal cues, and related
issues.
5 Selection of communication tactics

Information Officer III 1. Develops and determines the various

communication vehicles to be used to
send the key messages of the

82
 campaign to the target client.

These options include but not limited

to: (1) face-to-face communication and
opportunities for personal
involvement, (2) organizational media
(sometimes called controlled media),
(3) news media (uncontrolled media)
and (4) advertising and promotional
media (another form of controlled
media).
6 Implementation of strategic plan

Information Officer II 1. Prepares budgets and schedules to

implement the communication
program. This step turns the raw
ingredients identified in the previous
steps into a recipe for successful
public relations and marketing
communication and submits it to the
Director PAS for evaluation.
7 Measuring evaluation results

Director IV-PAS 1. Evaluates the strategic plan by

indicating specific methods for
measuring the effectiveness of each
recommended tactic in meeting the
stated objectives.

2. Writes the results of the evaluation

and presents findings to the
management

3. Evaluates the results to provide an

indication for further campaign ideas
and to allow the PAS to consider
whether the original plan needs to be
modified in any way.

83
 3.4.1.5 MANAGEMENT IMPROVEMENT (INTERNAL AUDIT)
PROCESS

PROCEDURES FOR CONDUCTING MANAGEMENT AND OPERATIONAL

AUDIT
Responsible Procedure
Instruction/Activity
Person No.
1 Undertaking of preliminary planning
activities

Internal Auditor V- 1. Prepares a proposal for the conduct of

MAD/OAD IAS strategic planning to identify the
key audit strategic direction for a three
year period and preparation of the IAS
annual work plan and submits it to the
Director IV-IAS to secure approval of
the Secretary.

Director IV-IAS 2. Secures approval of the Secretary for

the conduct the IAS Strategic
Planning.

Secretary 3. Approves the proposal for the conduct

of IAS Strategic Planning.

Director IV and Internal 4. Upon approval, undertake the IAS

Auditors of MAD and strategic planning to set out the IAS
OAD medium term direction (three year
plan) and outlines the priorities in
moving forward including the
undertaking of the following
activities/actions to address the same
for a period of three years:

4.1 Performing the Baseline

Assessment (BA) of the Internal
Control System (ICS) to
familiarize with the organization’s
operations, identify and
document the five components of
Internal Control System (ICS),
review key control processes and
performance of operating and
support systems and gather
sufficient information on potential
audit areas to be included in the

84
strategic plan.
Steps in gaining an
understanding of the
organization’s operations
a. Gathers and analyzes the
following information from the
primary and secondary
source documents:

 Mandate
 Objectives
 Strategies
 Operating and support
systems
 Relevant laws, rules and
regulations
 Organizational and
sectoral performance
(audit reports)

b. Identifies and documents the

five components of the ICS,
as follows:

 Control environment-
identifies the control
environment in the context
of the sector (e.g.public
service organizations,
stakeholders (internal &
external and constituents
of the public (internal &
external) and documents
control environment.
 Risk assessment-
establishes a Risk
Management Framework
and Process covering the
risk identification, risk
analysis, risk evaluation
and risk treatment
 Control activities-
documents the control
activities of the agency
 Information and
communication checklist-

85
 prepares the information
and communication
checklist
 Monitoring and evaluation
The procedure in
documenting the ICS includes
a combination of: a)
workshop, b) observations, c)
documents review, d) internal
control questionnaires, and e)
focus group discussions.

c. Reviews key control

processes and systems
performance

Operating Systems Review

Key operational processes:

 Determines compliance to
milestone reporting ;
 Determines adequacy and
appropriateness of
performance measures;
and
 In case it was found that
regular reports are not
periodically rendered,
determines the possibility
that slippages or gaps are
not immediately
addressed to catch up on
the target or the possibility
that end of the year
reports are bloated.

Operational performance:

 Determines the relevant

operational performance
measures for evaluation
based on discussions with
the Secretary;
 Determines the frequency
of reporting operational

86
 performance, the
intermediary goals, and
whether or not
improvements have been
introduced as a result of
the performance review as
part of monitoring their
own performance;
 Determines whether or not
measures are in place to
ensure compliance with
laws, rules, regulations
and managerial policies
within the operational level
of the sector;
 Assesses the relative
position of the
organization and/or the
sector against similar
organizations and
compares the current
performance to target; and
 Prepares a preliminary
summary and assessment
of the programs/projects
which should be included
in the baseline
assessment report or
control universe noting
weaknesses, gaps,
deviations and processes
that are potential areas for
the audit.

For Support Systems

Review

Processes

 Determines the
compliance with
prescribed methods and
procedures; and
 Determine the presence of
a manual of operations
and review the level or

87
 extent of compliance
thereto.

Key processes and

performance in support
system

 Reviews the procurement,

personnel, accounting,
budgeting, quality
management and risk
management;
 Profiles the performance
of support services and
evaluate the efficiency and
effectiveness in terms of
quantity and quality;
 Compares performance
results against norms and
targets; and
 Conducts interviews of key
persons responsible in the
operating units to
determine the opinions
and attitudes that key
people outside the support
unit have about the
services delivered and
whether or not needs are
served.

d. Utilizes the following

methodologies to document
critical operational/support
processes that can help in
identifying potential audit risk
areas:

 Flowcharting or Business
Process Map - a graphic
representation of all the
major steps of a process
to help e. visualize the
process and therefore
facilitates an analysis of
the operation and assists

88
 in identifying;
 Narrative notes - provides
step-by-step description of
the auditee’s major
systems or operations
which cannot be
adequately described by
the flow chart to help the
auditor to identify key
control activities.
 Walk through -Involves
following one or two
transactions or activities
step-by-step through the
process from beginning to
end.
 Test of controls to
determine if controls are
actually present or to
determine conformance
and non-conformance

e. Identifies potential areas to be

included in the Annual Work
Plan.

 Prepares interim report

containing gaps/control
deficiencies/breakdowns
such as: inability of
employees to perform
assigned functions under
the normal course,
missing control objective
or improper design of
existing control and non-
operability of properly
designed control.
 Subjects the gaps or
control
deficiencies/breakdowns
to a root cause analysis
and incorporates the
preliminary
recommendations in the
interim report.

89
  Defines the control
measures through
corroboration of initial
results with the concerned
unit to obtain buy-in that
the audit will be focused
on.
 Prepares the Baseline
Assessment Report to
summarize the gaps and
control deficiencies /
breakdowns resulting from
the baseline assessment
of the internal control
system.

4.2 Considering the control

significance and materiality and
control risk of key processes of
the operating and support
systems to achieve the control
objectives and to identify which
controls should be assessed for
internal audit risk and those
which should not be prioritized in
the strategic and annual work
plan

 Assesses the significance

level by taking into account
the qualitative factors,
including cumulative effects of
errors, legal and regulatory
requirements;
 Assesses the materiality level
by taking into account the
quantitative factors and non-
financial items independent of
the amount, that may impact
on the achievement of the
control objectives (e.g. legal &
regulatory requirements); and
 Identifies control in the
organization and those
embedded in the systems.

90
4.3 Assessing Internal Audit Risks to
identify those risks or factors
which may affect the conduct of
the audit and may have an
impact on the planned results
without neglect and in spite of the
exercise of due diligence.

Risk identification

 Selects the risk identification

method/s or technique/s to be
used;
 Identifies risk sources and
events; and
 Identifies the causes of the
risk.
Risk Analysis

 Chooses the risk analysis

method/s or technique/s to be
used;
 Determines the
consequences for the
identified risks;
 Determines the probabilities
for the identified risks;
 Identifies the factors that
could affect the
consequences & probability;
and
 Determines the level of the
risks.

Risk Evaluation

 Compares the estimated

levels of the risks with the risk
criteria; and
 Determines whether or not
the risk or its magnitude is
acceptable or tolerable.

4.4 Formulating the strategic plan

consisting of the three-year
direction by considering the

91
 results of the baseline
assessment of the ICS of the
organization/sector, the control
significance and materiality and
control risk of key processes, and
the assessment of internal audit
risks for approval by the
Department Secretary. The
formulation of strategic plan
consists of the following steps:

a. Analysis of the results of the

BAR;
b. Evaluation of the result of
the assessment of the
significance and materiality
and the risk involved in the
identified controls that may
impact on the achievement
of control objectives, if
omitted, improperly
implemented and/ or
bypassed; and
c. Evaluation of the result of
the assessment of internal
audit risks.

Director IV-IAS 4.5 Preparing the Annual Work Plan.

(AWP) containing the prioritized
audit areas from the Strategic
Plan and approved by the
Department Secretary which will
be focused on during a one-year
period, the type and approach of
the audit, and the timelines of the
same.

Internal Auditor V-MAD a. Prioritizes potential audit

/OAD areas. Of the three-year
strategic plan, schedules the
prioritized audit areas into
three annual work plans,
subject to the approval of the
Secretary.
b. Validates previous audit
Director IV-IAS follow-up report to confirm the

92
 implementation /non-
implementation/inadequate
implementation by the units
concerned of the approved
actions and
recommendations.
Secretary c. Presents and discusses the
strategic plan and annual
work plan to the Secretary to
obtain a good understanding
of his insights on the
organization and sectoral
objectives and approval of the
plans.

Internal Auditor III- 5. Conducts an audit team meeting to

MAD/OAD develop preliminary expectations and
defines the roles and responsibilities
of each member of the team.

6. Identifies audit requirements such as

preliminary decision on objectives,
scope and methodology to be used in
the conduct of Strategic Audit Plan
and Annual Work Plan engagement
and submits it to the Director IV-IAS to
secure approval of the Secretary.

7. Secures approval of the Secretary on

the proposal to conduct an annual
audit engagement planning.

8. Approves the proposal to conduct the

annual audit engagement planning.

9. Upon approval, disseminates copies

of the Strategic Audit Plan and the
AWP to all concerned units through a
memorandum recommended by the
Internal Audit Chairperson/Head. The
communication shall include the
following:

a. Objective/Purpose of Audit
b. Scope of the Audit

93
 c. Units to be audited
d. Assigned Audit Team Leader
e. Date and time of audit.
Management and Operational Audit Process
Internal Auditor V- 2 Conduct of audit engagement
MAD/OAD planning

1. Undertakes the following preparatory

activities for the conduct of the annual
audit:

a. Lists down audit activities per audit

engagement based on the AWP.
b. Determines the audit objective,
scope and criteria and audit
evidence.
c. Documents understanding of the
programs, projects and activities of
the agency and the units to be
audited.
d. Selects the size and members of
management Audit Team, which is
comprised of people with divergent
background and specialization.
e. Determines the resources required
for the audit and the target
milestone/date; and
f. Develops the audit plan and
program in accordance with the
AWP.

2. Upon completing the above cited

preparatory activities, secures
approval of the IAS Director for the
execution of the annual audit plan and
audit work program and KPIs taken
from the IAS three-year direction.

Director IV-IAS 3. Approves the undertaking of either the

management or operational Audit
based on the submitted annual audit
plan and audit work program.
3 Execution of audit engagement plan

1. Notifies the auditee in writing on the

planned audit particularly on the

94
 following:

a. Proposed date of audit;

b. Duration of the audit;
c. Basis for the audit e.g.
organizational structure, budget,
planning, Human Resource
Development, etc.
d. List of documents of prime interest
in the audit e.g. Quality
Management System Manual,
Operations Manual, Systems,
Procedures and instruction
e. Names of the Audit Team Leader
and members; and
f. Blank questionnaire for providing
details of the auditee’s operations.

2. Requests the auditee to confirm in

writing the suitability of the proposed
audit date and/or let them proposed
suitable alternative date together with
the reason why the proposed original
dates would not be convenient.

3. Upon confirmation of audit date,

initiates entry conference to explain
the audit program in brief and
discusses the focus, requirements and
timelines of the audit and the need to
supply the records and other
information required for the preliminary
scrutiny.

4. Adopts the techniques and procedures

enumerated in the audit work program
to gather data and pieces of evidence
and to achieve the stated audit
objective/s.

5. Requests the auditee to provide

accurate, reasonable and reliable
information especially about the
adequacy of organizational structure,
competence with policies, procedures
and accuracy and reliability of

95
 controls, agency operations and
administration of the accounting and
other financial operations, data
processing system and development
projects.

6. Requires the persons supplying the

documents/information to authenticate
the same by affixing his/her signature
on the said document/information.

7. Takes necessary steps to assemble

information that will enable the audit
team to make decisions concerning
the nature, timing and extent of
detailed audit work.

a. Focuses on the objectives, audit

scope, data sources, audit
methodology, risk analysis, internal
control assessment and survey
plans.
b. Conducts survey to generate the
required information through
interviews, schedules and
observation.

b.1 Starts the Internal Quality

Audit with an opening meeting
to reconfirm audit schedule,
audit objectives and audit
participants.
b.2 Gathers information by
interviewing personnel,
reviewing documents,
observing processes and
verifying records.
b.3 Records facts as evidences of
the audit and evaluates the
same to determine the
objective evidence of
conformity.
b.4 Classifies the audit findings as
Conformity, Non-Conformity or
Opportunity for Improvement.
b.5 Notes the commendations and

96
 strengths of the process or
system.

8. Analyzes the evidence to determine

cause and quantifies the effect of the
condition identified in the survey and
development of recommendations to
address the identified causes.

a. Collects and analyzes information

pertaining to objectives and sub-
objectives identifying the cause
and effect.
b. Based on the information
generated, comes-up with
recommendations addressing the
cause and effect

9. Based on the information gathered

and analysis conducted, conducts
team meeting to discuss preliminary
review and analysis and comes-up
with preliminary conclusions

10. Conducts closing meeting with the

auditee to present audit findings and
conclusions and discusses any
disagreements/points of clarification
during the said session.

11. Raises the unresolved issue/s to the

IAS Team Leader

Note: During the audit execution, if the

auditor finds a need to revise the audit
work program, submits the revision to the
Head of Internal Audit (HoIA) for approval.
The HoIA uses the audit work program to
supervise and monitor the progress of the
audit and to check whether the team is
generating sufficient and appropriate
pieces of (substantial) evidence, and the
need so supply the records and other
information required for the preliminary
scrutiny.

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 4 Writing and reporting audit results

IAS Team Leader 1. Conducts team meeting to prepare the

outline of the draft audit report and to
set out the findings in appropriate
format and provide the pieces of
evidence gathered to arrive at the
audit findings, and the
recommendations

Internal Auditor V 2. Writes the draft report as the

culmination of the audit execution for
review by the Head of the Audit Team.

IAS Team Leader 3. Processes draft report after the review

and submits a copy of the draft report
to the auditee to secure their written
comments.

Internal Auditor V 4. Upon receipt of auditee’s comments,

processes and approves the
correction and corrective action based
on agreed target completion date,
prepares issues and submits the final
report to the Director IV-IAS for
presentation to the NHSB.

5. Notes/provides suggestions/comments
NHSB on the IAS final audit report for
consideration in the succeeding IAS
audit engagement.
5 Conduct of post audit evaluation

Internal Auditor V 1. Conducts team meeting after the

submission of final report to discuss
the strengths and weaknesses of the
audit and to suggest ways to improve
the quality of future audit efforts, to
review the audit from the preliminary
planning stage through the issuance
of the final report and verify the
implementation and effectiveness of
the actions taken according to the
audit undertaken.

2. Develops suggestions for improvement

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 especially if there is a need to make
some changes on the audit policies
and procedures.

3. Monitors the results of verification

according to Control of Nonconformity
procedure and documented Request
for Action Form (RAF) and Action
Status Report (ASR).

6 Make the necessary follow-up on the

mitigating measures instituted by
auditee

Internal Auditor V 1. Makes the necessary follow up to

ensure whether the key findings in
the audit report are mitigated by
related management or department
and to ensure the extent and
adequacy of preventive/corrective
actions taken by the Management to
address the inadequacies identified
during the audit. It aims to increase
the probability that recommendations
will be implemented.
Notes: The processes involved in the conduct of management and operational
audit are basically the same except that the:

Management Audit focuses on the assessment of methods and policies of an

organization's management in the administration and the utilization of resources,
tactical and strategic planning, and employee and organizational improvement.

The goal of the management audit is to ensure the optimum utilization of human
resources and available physical facilities, to point out deficiencies in objectives,
policies, procedures and planning and to suggest improved methods of operations

Operational Audit, on the other hand, focuses on the key processes, procedures,
systems, as well as internal control which the main objective is to improve
productivity, as well as efficiency and effectiveness of the operation.

The goal of the operational audit process is to determine whether the internal
controls of the business, such as policies and procedures, are sufficient to produce
an optimum level of efficiency and effectiveness.

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 3.4.1.6 LEGAL SUPPORT/ASSISTANCE PROCESS

PROCEDURES FOR PROVIDING LEGAL SUPPORT/ASSISTANCE

Responsible Procedure
Instruction/Activity
Person No.
A. Review of Contracts and other Legal Instruments and Issuance of Legal
Certification
1 Initial determination before entering into a
business transaction/contract

Originator of document I. Conducts initial determination regarding

the transaction/contract, particularly on:

1. The authority/mandate of the

Department to enter into the
transaction and execute the Contract,
as well as, whether it aligns with the
current plans, programs, priorities and
policies of the Department.

2. The necessity/advantage and propriety

of entering into the proposed
transaction/Contract.

3. The feasibility, reasonableness, as well

as, the accuracy and completeness of:

a. the scope and purpose/objective

of the intended
transaction/Contract;
b. the initially-agreed upon
obligations/responsibilities/
undertakings of the parties
c. the other initially-agreed upon
provisions/terms and conditions of
the Contract (including those
involving the financial,
operational/logistical and practical
aspects of the transaction; and
d. the data/information stated therein
or annexed thereto.

4. The personality, capability (including

legal, technical and financial when
relevant/applicable), qualifications

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 (including education, training,
experience, expertise, certification and
accreditations, as may be
relevant/applicable), and authority to
execute/enter into the Contract, of the
other party/ies.

5. The authority of the parties’ respective

signatories (including that of the
Department if the signatory is other
than the Secretary) to sign the same

6. Where applicable:

a. the requisite procurement and

budgetary processes, procedures,
requirements have been duly
complied with (e.g. part of
modality has been duly approved
and the requirements/processes
under such mode have been
followed); and
b. the continuous availability of funds
for the transaction/Contract

II. Ensures official approval/concurrence of

Head of the Originating Unit and of its
supervising Assistant
Secretary/Undersecretary (and of the
Secretary as applicable) to the
transaction/contract and its provisions..

2 Transmittal of request for legal review

and/or certification

Originator of document 1. Upon favorable determination

of/compliance with the above, transmits
and requests for legal review and/or
certification of the Contract through a
memorandum-request (signed by the
Head of the Originating Unit), which shall:

a. provide the factual

background/antecedents of the
transaction/Contract as well as,
internal policy and legal bases (if

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 other than a routine Contract;
b. state the timeframe for the Legal
Review/Certification Process (but
ensuring sufficient time for the Legal
Service to undertake the same,
considering the nature, number,
volume/length and complexity of
Contract/s submitted; and
c. include clear copies of the
supporting/related documents.

2. Ensures transparency by promptly and

properly bringing to the attention of and
discussing with the Legal Service, if it
(Originating Unit) has any:

a. information about the

transaction/Contract that may affect
its (or any of its provision’s)
validity/feasibility/acceptability;
b. knowledge of any Commission on
Audit (COA) Observation or Notice of
Disallowance regarding the
transaction/Contract submitted for
Legal Review/Certification (or any
previous similar/related
transaction/Contract);
c. reservation/uncertainty about the
transaction/Contract and/or any
provision that may be
vague/ambiguous or which may
admit of several interpretations; or
d. relevant matter/provision it wants to
include, discuss or change at any
time (before, during and after the
Contract Drafting process)

Note: The following need not be submitted for

Legal Review and Certification

1. Fait accompli contracts (i.e., already

signed/ executed);

2. Contract of Service Agreements/renewals

using templates previously
drafted/reviewed by the Legal Service, if

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 used without any changes in its legal
terms and conditions (other than on the
applicable personal details, compensation
and duties/responsibilities of the staff
concerned, financial consideration and
other provisions that the Originating Unit
has the discretion/prerogative to decide
upon based on its best judgment);

3 Contracts previously drafted/reviewed by

the Legal Service but with proposed
clerical/ grammatical and other
insignificant/non-substantial corrections
/revisions regarding provisions that are
best left to the sound management
discretion/best business judgment of the
Originating Unit (e.g., dates, names,
addresses, periods/durations, and the
like); and;

5 Simple routine transactions (e.g., purchase

of goods/services under shopping/small
value procurement) evidenced by an
ordinary pro-forma document commonly
used in the industry for such transactions
(e.g., bare contracts for catering
services, hotel accommodations, venue,
transportation/ deliveries, purchase
orders/invoices, and the like) which only
states the time/date/location, the
usual/ordinary commercial, financial,
logistical and practical details of the
transaction which are best left to the
sound exercise of the management’s best
judgment, subject to the applicable
provisions of RA No. 9184

3 Review and issuance of legal certification

Admin. Assistant III 1. Receives and records the request for

Contract Legal Review and Certification,
and forwards it to the Director, Legal
Service for assignment/instructions to
Attorney V, Legal Assistance Division.

Attorney V- DC-LAD 2. Receives the assigned request for

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 Contract Legal Review and Certification
and refers it to Attorney IV and Attorney III,
Legal Assistance Division for complete
staff work.

Attorney IV & Attorney 3. Conducts a Legal Review of the Contract

III-LAD to examine if the provisions thereof are
consistent with existing laws, rules and
regulations, and the requirements under
relevant policies of the Department.

4. Proposes additional provisions or

alternative Contract language to improve
or remove any vague, ambiguous,
unreasonable or onerous provisions, for
the best interest of the Department;

5. Asks for further clarifications or additional

data/information/documents from the
Originating Unit, if needed.

6. Returns the Contract together with its

comments (including reservations and
concerns) and proposed revisions/
recommendations to the Originating Unit
for consideration/discussion and decision
within the unit/group, and/or with the other
party/ies.

If the Originating Unit and/or all relevant

parties are amenable to such comments
and proposed revisions/ recommendations
and have resolved the
reservations/concerns of

the Legal Service, the Originating Unit

revises the Contract and transmits the
revised Contract to the Legal Service for
final review.

7. Upon the completion of the Legal Review

and the Contract is found to be in order,
the Chief, Legal Assistance Division shall
draft a Legal Certification (to be signed by
the Director, Legal Service) stating that the
Contract is found to be sufficient in form

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 and substance and is within the power and
authority of the Department to enter into,
and returns the Contract together with the
signed Legal Certification to the
Originating Unit, for further
action/processing.

Admin. Assistant III 8. Records the release of the Contract/s and

Legal Certification/s, transmits the same to
the Originating Unit and keeps a copy
thereof for the files/reference of the Legal
Service.

Originating Unit 9. Receives the signed certification and

forwards it together with the final version
of the contract to the Secretary for
signature.

Execution of Contract
4
Secretary or authorized 1. Upon receipt of the final Contract and
signatory or Originating Legal Certification from the Originating
Unit Unit, the Secretary/authorized officer
signs the Contract in behalf of the
Department and returns the signed
copies of the Contract to the Originating
Unit for further processing/
implementation.

2. The Originating Unit furnishes the Legal

Service (among other units that should
be furnished a copy) an electronic copy
of the final/signed Contract for its
files/reference.

105
B. Drafting of Contract
1 Initial determination before entering into a
Originator of document business transaction/contract

1. Conducts initial determinations regarding

the transaction/Contract, particularly on:

a. The authority/mandate of the

Department to enter into the
transaction and execute the Contract,
as well as, whether it aligns with the
current plans, programs, priorities and
policies of the Department;
b. The necessity/advantage and propriety
of entering into the
transaction/Contract;
c. The feasibility, reasonableness and
acceptability, as well as, the accuracy
and completeness, of:

c.1 the scope and purpose/objective

of the intended transaction/
Contract;
c.2 the initially agreed obligations/
responsibilities/undertakings of
the parties;
c.3 the other initially agreed
provisions/ terms and conditions
of the Contract (including those
involving the financial,
operational/ logistical and
practical aspects); and
c.4 the data/information stated therein
or annexed thereto.
d. The approval/concurrence of the head
of the Originating Unit and of its
supervising Assistant
Secretary/Undersecretary, to the
proposed transaction/Contract and to
its initial/proposed provisions/terms
and conditions;
e. The personality, capability (including
legal, technical and financial, when
relevant/applicable), qualifications
(including education, training,
experience, expertise, certifications

106
 and accreditations, as may be
relevant/applicable), and authority to
execute/enter into the Contract, of the
other party/ies;
f. The authority of the parties’ respective
signatories (including that of the
Department, if the signatory is other
than the Secretary) to sign the same.
g. Where applicable:

g.1whether the requisite

procurement and budgetary
processes, procedures,
requirements have been duly
complied with (e.g., part of the
PPMP/APP, the ABC is correct,
the Mode of Procurement is in
accordance with the APP or the
change of modality has been duly
approved, and the
requirements/processes under
such mode have been followed);
and
g.2 the continuous availability of funds
or the transaction/Contract.
2 Request for drafting of contract

Originator of 1. Upon determination of and compliance

Document with, the above, transmits a
memorandum-request (signed by the
head of the Originating Unit) for the
drafting of the Contract, stating the:

a. names and office/addresses of the

other parties, and the names of their
respective representative-signatories
and their positions (as may be
applicable);
b. intended month/year and venue
(city/municipality/country) of the
execution of the Contract;
factual antecedents and the
policy/legal bases of the
transaction/Contract (if other than a
routine Contract);
c. purposes/objectives/intentions of the

107
 Originating Unit/Department, and of
all the parties (if any has been agreed
upon), in entering into the
transaction/Contract;
proposed/initial understandings or
final agreements of the parties on
contract effectivity, scope,
period/duration, rights/obligations and
responsibilities/ undertakings of the
parties,
implementation /operational details,
grounds for/process and effectivity of
contract termination, mechanism/
process for resolution of
issues/disputes/ controversies, and
any other terms and conditions of the
Contract;
d. timeframe for the drafting of the
Contract (but ensuring sufficient time
for the Legal Service to draft the
Contract, considering the nature,
length and complexity of the
Contract); and,
e. list of supporting and other related
documents (including the summary/
minutes of agreements of the parties,
if any) and attaching clear copies
thereof.

2. Ensures transparency by promptly

(even during the Contract Drafting
process) and properly bringing to the
attention of and discussing with the Chief,
Legal Assistance Division, if it
(Originating Unit) has any:

a. information about the transaction/

Contract that may affect its (or any of
Contract provision’s)
validity/feasibility/ acceptability;
b. any knowledge of any COA
Observation or Notice of
Disallowance regarding the proposed
transaction/Contract or any previous
similar/related transaction/ Contract;
c. reservation/uncertainty about the

108
 transaction/Contract and/or any
proposed/ agreed provision that may
be vague/ ambiguous or which may
admit of several interpretations; or,
d. any relevant matter/provision that it
wants to include, discuss or change
at any time (before, during or after
the Contract Drafting process).

3. Promptly submits such other data/

information/inputs or documents as may
subsequently become available, or as
may be requested by the Legal Service

3 Drafting of the Contract

Admin. Assistant III 1. Receives and records the Request for

Drafting of Contract and forwards it to the
Director IV, Legal Service for assignment
and instructions to the Chief, Legal
Assistance Division.

Director IV-LS 2. Assigns the Contract to Atty. V-LAD

Attorney V-DC-LAD 3. Refers the matter to Attorney IV and

Attorney III with specific instructions on
the drafting of the contract.

Attorney IV & Attorney 4. Drafts the Contract in accordance with the

III-Legal Service inputs/documents submitted by the
Originating Unit.

5. Asks for clarifications or additional

inputs/data/information/documents from
the Originating Unit, if needed.

6. Submits the drafted Contract to the

Originating Unit for
consideration/discussion within the
group/unit and/or with the other party/ies;
4 Review and validation of the draft Contract

Originating Unit 1. If the Originating Unit is amenable to all

the provisions of the draft Contract (or
only has minor/non-substantial

109
 corrections/inputs which do not change
the substance or meaning of the affected
provision/s) it may proceed to accordingly
revise and finalize the Contract and
submit the same to the Legal Service for
final Legal Review and Certification.

2. If the Originating unit has substantial

comments/inputs to/proposed revisions
(including that of the other party/ies, if
any) on the draft Contract, discusses the
same with the Legal Service until they are
able to formulate a mutually-acceptable
version and resolve any legal
concern/objection.

3. Upon successfully completing the above

process, the Originating Unit, submits the
final revised version of the Contract to the
Legal Service for final Legal Review and
Certification.
5 Conduct of final review of the revised
Contract

Admin. Assistant III 1. Receives and records the revised draft

Contract and forwards it to the Chief,
Legal Assistance Division for further
action.

Attorney V-DC-LAD- 2. Assigns the revised draft to Attorney IV &

Legal Service Attorney III for review of minor corrections,
if any/

Attorney IV & Attorney 3. Reviews the final version of the Contract

III-Legal Service submitted by the Originating Unit to the
Legal Service for Legal Review and
Certification.

4. Upon the completion of the Legal Review

(in collaboration with the Director, Legal
Services) and the Contract is found to be
in order, drafts a Legal Certification (to be
signed by the Director, Legal Service) and
transmits the Contract and signed Legal
Certification to the Originating Unit for
further processing/action.

110
Admin. Assistant III 5. Records the release of the Contract/s and
Legal Certification/s, transmits the same
to the Originating Unit and keeps a copy
thereof for the files/reference of the Legal
Service.

Originating Unit 6. Receives the signed Legal Certification

and forwards it together with the final
version of the contract to the Secretary for
signature.

Execution of the Contract

6
Secretary/ 1. Upon receipt of the final Contract and
Authorized Signatory/ Legal Certification from the Originating
Originating Unit Unit, the Secretary/authorized officer signs
the Contract in behalf of the Department
and returns the signed copies of the
Contract to the Originating Unit for further
processing/ implementation; and,

Originating Unit 2. Furnishes the Legal Service (among other

units that should be furnished a copy) an
electronic copy of the final/signed Contract
for its files/reference.

Admin. Asst. III 3. Records the receipt of e-copy of

final/signed Contract
C. Handling of Legal Queries/Concerns (Public)

1 Initial review/determination/action on the

query/concern

Records Division/ 1. Reads the document/email (or for callers

Public Assistance and walk in clients: interviews them) to
Division (PAD) understand the nature and know the
subject matter of the concern/query and
the action requested/needed.

2. If the matter involves a legal

concern/query, determines if it may
already be acted upon/resolved by the
PAD (without need of referring it to the
Legal Service or any other Unit), by simply
giving/sending them materials already

111
 available in the PAD files, or referring
them to Frequently-asked Questions
(FAQs) and/or other materials (e.g., laws,
rules/regulations, issuances or data/
information) that are readily available in
the websites of the Department, HSAC or
Key Shelter Agencies (KSAs).

Note: Requests for data/information under

Executive Order No. 2, Series of 2016 on
Freedom of Information (FOI), and which are
not within the Exceptions thereto, shall be
acted upon in accordance with the
Department’s FOI rules/procedures (FOI
Manual).

Requests involving personal information/data

shall be acted upon in accordance with the
Department’s FOI Manual and Data Privacy
policies/guidelines.
2 Endorsement of unresolved matters

Records Division/ 1. If the matter cannot be

Public Assistance addressed/resolved by the PAD, it may
Division (PAD) refer it to the assigned Duty Officer (DO)
from the Legal Service.

DO-Legal Service 2. Determines to which Service, Bureau

Regional Office or other agencies the
concern /query may properly be referred
to, as follows:

a. the Legal Service if it is:

a.1 specifically addressed to the

Legal Service;
a.2 addressed to the PAD/
Department but involves a purely
legal matter (i.e., which neither
concerns a policy
issuance/circular/order crafted
by or within the expertise of the
Bureaus, nor comes within the
ambit of the functions/mandates
of the Regional Offices [RO] as
stated below);

112
b. the RO concerned (based on
territorial jurisdiction), if the matter
involves complaints, disputes,
problems, questions and/or issues
within the functions/ mandates of the
ROs to verify, determine, investigate,
resolve, conciliate or otherwise
address/act upon, and/or if the
matter (or resolution thereof) involves
or requires the examination of
records in the possession of the RO;

c. the Bureau concerned, if the subject

matter pertains to concerns, or
issues/questions for clarification,
involving policies/guidelines crafted by
it or falling within its expertise;

d. the other Services concerned, if the

matter pertains to their
actions/functions/ mandates/
expertise;

e. the Office of the Secretary, if

addressed to the
Secretary/Undersecretary/Assistant
Secretary, if addressed to them or
their offices or involves a matter that
should first come to its knowledge
(before assignment and instructions to
the unit/s concerned) or that it should
best consider and decide upon;

f. any of the attached corporations (i.e.,

the Key Shelter Agencies [KSAs]) or
agency (i.e., the Human Settlements
Adjudicatory Commission [HSAC]), if
the request/query/ issue/problem
(even if purely legal) pertains to their
respective mandates/ functions/
expertise, or should best be resolved
by them;

g. another government agency/office or

LGU, it the request/query/issue/
problem falls exclusively within their

113
 mandates/ functions.

3. For callers (subject to no. 1 above):

Records Division-PAD a. Transfers the call to the assigned

Duty Officer (DO) from the Legal
Service.

b. Answers the concern/query based on

DO-Legal Service limited facts relayed by the caller.

c. In case of the complexity of the

Records Division-PAD concern/query, gives the caller the
email address of the Legal Service
and advises them that it would be
best to first email the legal
concern/query thereto (with the
complete facts and related
documents), so that the Legal Service
would have a clear/better
understanding of the factual
circumstances and of the client’s
concerns/query; or,

4. For walk-in clients (subject to no. 1

DO-LS above), asks them to legibly fill up the
interview form regarding their legal
concern/query and refers the matter to the
Duty Officer-LS who shall:

a. interview the client based on what is

written in the interview form.
b. provide answers to query/concern in
accordance with existing laws, rules
and regulations.
c. If the concern/query needs further
study, encourages the client to write
the said concern, ensuring that the
client indicates his/her
current/complete email and other
contact details and seeks their
consent to receiving the reply solely
through the given email address/other
contact information.

114
 3 Initial evaluation and endorsement (if
needed)

Admin. Assistant III 1. Receives and records the Legal

Query/Concern and forwards it to the
Director, Legal Service for assignment
and instructions to the Chief, Legal
Assistance Division.

Director IV-LS 2. Assigns the query to Atty. V-LAD

Attorney V-DC-LAD, 3. If the letter/email is addressed to the

Legal Service Legal Service, but the subject matter
thereof properly falls within the ambit of
the mandates, functions or expertise of
the Regional Office, Bureaus or other
Services, or of the HSAC, or of any of the
KSAs, or of other agencies/ offices/LGUs
(as set forth in Part C.3 above), endorses
the same to the proper unit/entity;

Note: If the matter would be endorsed to the

HSAC, KSAs or other agencies/offices/LGUs,
the draft letter-endorsement shall be prepared
by the Legal Service and transmitted to the
Office of the Secretary (or office of the duly-
authorized officer) for signature.
4 Drafting of the Reply

Attorney V-DC-LAD 1. Unless reverted/referred/endorsed (as

stated above), assigns the query to
Attorney IV of Attorney III for drafting of
reply.
Attorney IV/
Attorney III 2. Studies the query/concern (in
collaboration with the Legal Assistants),
drafts a reply thereto and endorses to the
Attorney V-DC-LAD for review

Attorney V-DC-LAD 3. If found in order, approves the finalization

of the draft reply (after discussion with and
final concurrence of the Director, Legal
Service) referring it back to the drafters.

4. Sends the final copy of the reply to

Attorney V-DC-LAD for his initials and

115
 thereafter to the Director, Legal Service
for his signature and gives a copy of the
signed reply to Admin. Assistant II for
recording and release of the reply to the
client

Admin. Assistant III 5. Furnishes the PAD with an electronic copy

of the reply for its easy future
reference/guidance on similar queries/
concerns.

6. Transmits the original copy of the reply to

the Records Division for mailing to the
client, if requested or in the event the
client has no email address/

Records Officer 7. Records the release of the reply to the

query/concern and transmits the same for
mailing (registered mail) to the client as
mentioned above.

D. Handling of Queries/Requests for Legal Opinion (Internal)

1 Initial evaluation/determination of issues/
concerns

Originating Unit 1. Determines if there is a need for a legal

query/opinion on a matter that cannot be
answered internally within the unit/group
by a reading of applicable laws, rules and
regulations, and relevant internal/external
issuances and policies (e.g., GAA, DBM,
COA, GPPB, etc.).

Note: The Legal Service will not issue a Legal

Opinion on issues already submitted/pending
in any court/tribunal for adjudication.
2 Transmittal of Query/Request for Legal
Opinion

Originating Unit 1. If there is a need for a legal query/opinion,

sends the memorandum-request to the
Legal Service, signed by the Head of the
Originating Unit, stating and attaching the
following:

a. complete relevant factual/legal/policy

116
 background/antecedent/details;
b. questions/issues subject matter of the
request;
c. related laws, rules and regulations, as
well as, internal/external issuances and
policies bearing on the issue/question;
and
d. copies of the relevant documents, and
laws, rules/regulations and
internal/external issuances /policies
(unless readily available online).
3 Ensuring transparency

Originating Unit 1. Ensures transparency by promptly (even

during the Legal Opinion process) and
properly bringing to the attention of the
Legal Service, if it (Originating Unit) has
any:

a.
information about the subject matter
that would help the Legal Service to
have a complete appreciation of the
facts/issues or that may affect the
complete appreciation/ determination
of the facts/ issues involved and the
opinion of the Legal Service;
b. knowledge of any COA Observation
or Notice of Disallowance relating to
the subject matter or similar matter
before;
c. reservation/uncertainty about the
subject matter; and
d. relevant information/matter that it
needs or wants to disclose to or
discuss with the Legal Service, at
any time (even during the Opinion
process).
4 Submission of additional information/
documents

Originating Unit 1. Promptly submits such other data/

information/clarifications/inputs or
documents as may subsequently become
available, or as may be requested by the
Legal Service.

117
Admin. Assistant III 2. Receives and records such other
data/information/clarification/inputs or
documents, and forwards it to Attorney V-
DC-LAD.

Attorney V-DC-LAD 3. Studies and refers the additional

information/documents to whom it was
assigned (Attorney IV or Attorney III).

Attorney IV & Attorney 4. Conducts research on the query.

III
5. Asks for clarifications/additional data/
information and/or requests for additional
documents, if needed, from the
Originating Unit.

6. Drafts the Reply to the Query or the

Legal Opinion and sends the same to
Attorney V-DC-LAD for review and
transmittal to the Director-Legal Service.

7. Approves the draft reply and instructs

Director- Legal Service Admin. Assistant III to finalize the draft
and transmit the same to the Originating
Unit.

Admin. Assistant III 8. Records the release of the reply/opinion

and transmits the same to the Originating
Unit. He/she shall keep physical and
electronic copies thereof for the
files/reference of the Legal Service.
E. Handling of Litigation
1 Initial study/evaluation and other
preliminary actions

Admin. Assistant III 1. Receives and records the receipt of the

case documents, creates a properly-
labelled folder for the case, attaches the
documents therein, then forwards it to the
Director, Legal Service for assignment
and instructions to the Chief, Legal
Assistance Division.

Attorney V-DC-LAD 2. Gathers and studies the factual

background/details and related documents
of the case the Department intends to file,

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 or which has been filed against/involving
the Department.
3. Determines the propriety of filing/initiating
a case and advises the Secretary/duly-
authorized officer accordingly.

4. Determines whether the case to be

filed/initiated or defended in behalf of the
Department should be handled in-house
or by an external counsel (i.e., the Office
of the Solicitor General [OSG] or a private
lawyer) and advises the Secretary/duly-
authorized officer accordingly.
2 Endorsement to External Counsel

Director IV, Legal 1. If it is decided that the case would best be

Service /Attorney V- handled externally due to the magnitude,
DC-LAD difficulty or complexity of the matter
involved or for lack of in-house legal
manpower or other reasons, endorses the
case to the OSG through a letter signed
by the Secretary or duly-authorized officer,
attaching therewith the following:

a. Detailed historical/factual background

of the case.
b. Photocopies of relevant documents.
c. The names and contact details of the:
c.1 official/s of the office/s or unit/s
primarily involved;
c.2 official/s authorized to decide on
matters regarding the case and/or
to act as the signatory and/or
representative of the Department
for purposes of the Verification
and Certification of Non-Forum
Shopping for initiatory pleadings
and/or for any
negotiation/mediation/ other
alternative mode of dispute
resolution (ADR) and/or pre-trial
conference proceedings; and
c.3 proposed witnesses, and all other
persons familiar with the case
and the factual/historical
background thereof.

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 3 Engagement of Private Lawyer

Director IV, Legal 1. If the case would be handled externally

Service /Attorney V- by a private lawyer (upon
DC-LAD authority/approval of the Secretary/duly-
authorized officer):

a. undertakes the procurement process

for the purpose;
b. seeks the approval of the OSG and
the concurrence of the COA on the
engagement of a private counsel,
through a letter signed by the
Secretary; and
c. Upon OSG/COA approval/
concurrence, secures the necessary
OSG letter deputizing the private
lawyer/s to appear in/handle the case
for the Department.

4 Extension of support to the External

Counsel

Director IV, Legal 1. If the case would be handled by an

Service /Attorney V- external counsel, supports and
DC-LAD cooperates/coordinates with the latter for
the duration of the case, including in:

a. the drafting of affidavits/pleadings;

b. ensuring the attendance of the
Department’s representatives/
witnesses in the proceedings;
c. preparing the representatives/
witnesses for any mediation/other
ADR proceedings, and the pre-trial
conference and trial.

2. If the case would be handled in-house,

assigns the same to the Legal Assistance
Division (or other lawyer in the Appeals
Division) for handling, under his
supervision.
F. Drafting of Position Papers on Pending Bills
1 Coordination with other relevant units

Admin. Assistant III 1. Receives and records the request

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 for/instruction to draft the Position Paper,
and forwards it to the Director, Legal
Service for assignment/instructions.
Assigned Lawyer or
Legislative Liaison 2. Upon instruction/request for submission of
Staff Position Papers on bills pending in
Congress, coordinates with the other
relevant units (and KSAs, as applicable/
needed) for submission of their positions,
comments, inputs, proposals and
recommendations relative to the Bills
and/or specific provisions of the Bills.
2 Drafting and finalization of Position Paper

Director IV, Legal 1. Upon receipt of the inputs of the relevant

Service / Assigned units/KSAs, drafts the Department’s
Lawyer or Legislative Position Paper incorporating the inputs of
Liaison Staff relevant units/KSAs, and finalizes the
same in collaboration with the other
relevant units/KSAs and the Office of the
Secretary (and/or other official as may be
assigned).

2. Submits the Position Paper to the

Secretary for his approval.

Secretary 3. Approves and signs the position paper.

3 Submission of signed Position Paper

Director IV, Legal 1. Upon signing of the Position Paper by the

Service / Assigned Secretary (or authorized official as may
Lawyer or Legislative be assigned), submits the same to the
Liaison Staff requesting office/committee of the Senate
of the Philippines or House of
Representatives, as applicable.

2. Records the release of the Position

Admin. Assistant III Paper and transmits the same (by email
and/or by mail/personal delivery [i.e.,
through the Records Division]) to the
Senate or House of Representatives.
He/she shall keep physical and electronic
copies thereof for the files/reference of
the Legal Service.

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 3.3.1.7 LEGAL APPEAL PROCESS

PROCEDURES FOR HANDLING LEGAL APPEALS TO THE OFFICE OF THE

SECRETARY
Responsible Procedure
Activity/Instruction
Person No.
1 Filing of the Appeal

Appellant/ 1. Within 15 days from receipt of the

Counsel/ assailed final order or issuance of the
Representative Director, Regional Office in the
exercise of regulatory functions, 1)
files an Appeal Memorandum based
on legal ground/s pursuant to the
DHSUD Rules on Appeals, 2) pays the
Appeal Fee, and, 3) in case the appeal
is from an order imposing an
administrative fine posts an appeal
bond in cash, or manager’s check
payable to the DHSUD equivalent to
fifty percent (50%) of the fine imposed,
with the Regional Office concerned.

The appeal must:

1.1 be signed, verified and certified in

accordance with Rule 7, Sec. 4 of
the 1997 Rules of Civil
Procedure, as amended by A.M.
No. 19-10-20-SC;
1.2 be filed within the prescribed
appeal period of 15 days from
receipt of the assailed
order/issuance;
1.3 be filed in three (3) sets/copies;
1.4 be accompanied with
clear/complete copies of the
assailed order/issuance (as
received by appellant) and all
supporting documents marked as
annexes (in the order they are
mentioned in the appeal
memorandum);
1.5 be accompanied by proof of
service (if by personal service,
registered mail or courier service)

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 of a copy of the appeal to the
adverse party/appellee (if
any/applicable).

1.6 state the: a) addresses of the

parties; b) specific material dates
showing that it is filed within the
prescribed period for appeals, c)
material facts, d) issues being
raised, e) grounds/arguments
relied upon for the appeal, and f)
reliefs sought.

The appeal shall be deemed

perfected upon filing of the appeal
memorandum, payment of the appeal
fee, and posting of the bond (in
appeals from orders imposing an
administrative fine).

The failure of the appellant to comply

with any of the requirements
regarding the payment of the appeal
fee, posting of appeal bond (if
applicable), proof of service of the
appeal, failure to attach the
documents mentioned in the appeal
as annexes thereto shall be sufficient
ground for the dismissal of the
appeal.

2. The appeal shall be filed through any

of the following modes:

2.1 By personal service;

2.2 By registered mail with attached
Postal Money Order as payment for
the Appeal fee;
2.3 By courier service with attached
Postal Money Order as payment
for
the Appeal fee.

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 2 Receipt and Endorsement of the
Appeal

1. Immediately checks the appeal and its

Records Section,
attached documents to verify
Regional Office completeness and full compliance
thereof vis-a-vis the Checklist of the
procedural requirements set forth in
the DHSUD Rules on Appeals from
Regional Offices and related
guidelines.

2. If the appeal is complete/in order,

forwards the appeal to the Division
concerned.

The Concerned Division 3. Receives the appeal and logs the

(HREDRD, etc.), same.
Regional Office
4. Prepares and sends a letter signed by
the Regional Director (copy furnished
the appellant) notifying the appellee (if
any/applicable) that the appellant has
filed an Appeal and requiring appellee
to submit a verified Comment on the
Appeal within fifteen (15) days from
receipt of the letter/notice.
The letter shall advise the appellee
that the verified Comment should: a)
point out insufficiencies or inaccuracies
in the appellant’s statement of facts
and issues, b) state the reasons why
the appeal should be denied or
dismissed, and c) attach any material
document to support his/its comment
marked as annexes in the order they
are mentioned in the Comment; and,
that a copy thereof should be furnished
the appellant.

5. Locates and compiles the docket/

records (including the Comment, if
any) relevant to the subject matter of
the appeal and attaches them to a
Record on Appeal folder/file, numbers
the pages, and prepares the complete

124
 summary of prior actions/proceedings
taken on the matter.

6. Within two (2) days from receipt of the

appeal from the Records Section or
from receipt of the Comment from the
appellee, if applicable (or on the 24th
day from sending of the notification to
the appellee and no Comment is
received), and through a memorandum
signed by the Regional Director,
elevates the appeal together with the
Record on Appeal and the summary of
proceedings to the Office of the
Secretary.

The concerned division shall retain a

certified true copy of the Record on
Appeal elevated to the Office of the
Secretary.

3 Receipt of the Appeal from the

Regional Office and Endorsement to
the Office of the Secretary

1. Assigns a document tracking number

Receiving Staff, and immediately endorses the entire
DTS/Records Section, Record on Appeal to the Office of the
Central Office Secretary.

4 Receipt of the Appeal by the Office of

the Secretary and Referral to the Legal
Service
Receiving Staff, Office of
1. Records the Appeal for documentation
the Secretary and monitoring purposes. Then, refers
the entire Record on Appeal to the
Legal Service for evaluation and
recommendation to be submitted to
the OSEC together with the
appropriate draft order/resolution for
the Secretary’s
consideration/approval/signature.

125
 2. Assigns a case number to the Appeal
Receiving Staff, Legal received, records the same and
Service forwards it to the Director, Legal
Service.

Director IV, Legal Service 3. Reviews the Appeal and assigns it to

the Appeals Division for appropriate
action.

4. Issues a letter signed by the Director,

Receiving Staff, Appeals Legal Service, notifying the parties
Division that the Office of the Secretary has
received the Appeal and that the
pertinent records have been elevated;

Legal Staff, Appeals 5. Upon receipt of the Record on Appeal,

investigates and validates the records
Division of the appeal by conducting the
following:
1.1. Legal Research;
1.2. Ocular Inspection; and,
1.3. Clarificatory Conference (if
necessary).

6. If necessary, requires the submission

of position papers (if there are
appellees) with additional
documentary evidence within ten (10)
days from receipt of the notice.
5 Submission of Recommendation and
Draft Order/Resolution to the Director,
Legal Service

Division Chief, Appeals 1. Prepares a recommendation and Draft

Division Order/Resolution for review of the
Director, Legal Service, within thirty
(30) days from receipt or assignment
of the Appeal.

1.1. Requests the Director, Legal

Service for additional time of not
more than thirty (30) days from the
due date of submission of
recommendation, in the event that
the investigation and/or review of

126
 the documents has not yet been
completed, by submitting an
official request stating therein
justified and valid reasons for the
grant of extension.

2. Submits the evaluation/

recommendation on the Appeal,
together with the draft order/resolution
and all relevant documents, to the
Director, Legal Service.
The Appeals Division may recommend
the dismissal of the appeal if it finds
that a) the appeal is patently without
merit, b) the appeal is prosecuted
manifestly for delay, or c) the
questions/issues raised therein are too
unsubstantial to warrant consideration.

Director, Legal Service 3. Reviews and affirms or

revises/modifies the recommendation
of the Appeals Division.

4. Submits the final recommendation and

corresponding draft order/resolution
on the appeal to the Secretary for his
consideration, approval and signature.
6 Issuance of Order or Resolution on
Appeal
1. Upon receipt of the recommendation
and draft order/resolution from the
Secretary Legal Service, reviews the same and
acts thereon, as follows:

1.1. If the Secretary disagrees with

the recommendation and/or draft
order/resolution, returns the same
to the Legal Service with
instructions for revision,
modification or further
investigation.

1.2. If the Secretary decides to affirm

or adopt the said
recommendation and draft
resolution/order, signs the final

127
 version of the order/resolution.
7 Submission of the Order or Resolution
on Appeal to the DTS/ Records Section

1. Immediately after signing by the

Receiving Clerk, Office of
Secretary, endorses the
the Secretary order/resolution on the appeal to the
DTS/Records Section for release or
mailing to the parties, through
registered mail, copy furnished the
Regional Office where the Appeal
emanated and the Legal Service for
record/documentation purposes.
8 Appeal from the Order/Resolution of
the Secretary

1. If so minded, files an appeal on the

Appellant or Appellee
Order/Resolution of the Secretary to
the Office of the President by notice of
appeal pursuant to the provisions of
Administrative Order No. 22, series of
2011.

1.1. No Motion for Reconsideration

before the DHSUD shall be
entertained except on meritorious
grounds.
1.2. Grounds for a Motion for
Reconsideration shall be provided
in the DHSUD Rules on Appeal.

Receiving Staff, 2. Logs the Notice of Appeal and

DTS/Records Section, transmits it to the Appeals Division,
Central Office Legal Service.

Receiving Staff Legal 3. Logs the Notice of Appeal, and

Service immediately transmits it to the Appeals
Division.

4. Informs the Chief, Appeals Division of

Legal Staff, Legal Service the Notice of Appeal and prepares the
complete records of the case (only
certified true copies) for transmittal to
the Office of the President within 10
days from receipt of the Notice of
Appeal.

128
 The complete records of the case with
each page consecutively numbered
and initialed by the custodian of the
records, together with a summary of
proceedings thereon from the filing of
the complaint or petition before the
Regional Office of origin up to
transmittal to the Office of the
President, in chronological order,
indicating the action taken, incidents
resolved, and listing of all pleadings,
motions, manifestations, annexes,
exhibits and other papers or
documents filed by the contending
parties, the corresponding orders,
resolutions and decisions, as required
in Memorandum Circular (MC) No. 123
(s. 1991).

Upon receipt of the Original Record,

the Appeals Division shall attach the
new original documents
filed/received/added on Appeal to the
original records and transmit the same
to the Office of the President within ten
(10) days from receipt of the Notice of
Appeal from the appellant (in the OP
Appeal).
9 Stay of Execution of the Secretary’s
Order or Resolution

Appeals Division, 1. If an appeal to the Office of the

Legal Service President is filed by way of a Notice of
Appeal, such appeal will stay the
execution for a period of sixty (60)
days from the date of the filing of a
Notice of Appeal, after which the
order/resolution of the DHSUD
Secretary shall be executory unless
otherwise ordered by the Office of the
President.

129
 10 Implementation of the Secretary’s
Order or Resolution
Division Concerned,
1. Upon receipt of the order of finality and
Regional Office the Record from the Central Office,
implements the order/resolution on
Appeal motu proprio or upon the filing
of a Motion for Execution thereof.

PUBLIC HOUSING AND SETTLEMENTS SERVICE

3.3.1.8 POLICIES, FRAMEWORKS, STRATEGIES, PLANS AND
GUIDELINES FORMULATION PROCESS
PROCEDURES FOR THE FORMULATION OF POLICIES, FRAMEWORKS,
STRATEGIES, PLANS AND GUIDELINES FOR PHSS
Responsible Procedure
Instruction/Activity
Person No.
1 Determination of basis in the
development of policies, frameworks,
strategies, plans, standards and
guidelines

PDO V-HPSD 1. Utilizes the existing laws and

issuances, directives of the Secretary
and proposals emanating from the
Central Office and Regional Office of
the DHSUD, cooperating agencies,
NGOs/CSOs, results of periodic
assessments, sectoral dialogues and
public hearings and completed studies
and researches as basis in resolving
problems encountered and/or
perceived in relation to the following:

a. Government idle lands found

suitable for housing and urban
development;
b. Emergency-post disaster/post
conflict shelter recovery or climate
change adaptation and mitigation
disaster risk reductions provisions
and intervention;
c. Proclaimed socialized and
economic housing sites;
d. Government centers in the region;
e. Estate and new towns, new

130
 settlements, urban renewal
programs and prototypes of
housing and urban development
interventions, with the right to
exercise the power of eminent
domain when necessary;
f. Unfinished, incomplete or
abandoned licensed real estate
development projects under BP
220 and PD 957 in the regions;
g. Housing finance and production
policies;
h. Policy guidelines on the
implementation of foreign-assisted
or funded projects and
international partnerships;
i. Determine and review or revise,
jointly with the NEDA, the
respective price or loan ceilings for
socialized, economic, low, and
middle-income housing; and
j. Continuation and extension of
rental regulation of certain
residential units, in accordance
with RA 9653 or the “Rent Control
Act of 2009”.
2 Drafting of proposed policy papers

PDO V & 1. Based on the directives of the

PDO IV-HPSD Secretary and/or proposals received
from the different stakeholders,
gathers necessary information from
the primary and secondary sources
and/or conducts researches and drafts
the pertinent
policies/frameworks/strategies/plans/
guidelines.
3 Presentation of policy paper for
critiquing and approval

1. Presents initial draft of the proposed

policies/strategies/standards/plans/
Framework/guidelines to the following:
a. Technical staff
PDO V-HPSD b. Inter-bureau/office or management
Director IV-PHSS committee (copy furnished Usec.

131
 for Policy) concerned with the
policy being formulated for
PDO V-HPSD deliberation.
c. Housing Policy Working
Director IV-PHSS Committee, fora and experts group
meetings
d. Supervising Usec./ASec. of PHSS

2. Revises/modifies policy on the basis of

the above deliberations.

3. Presents the final draft of the policy to

the Management Committee or NHSB,
if necessary.

4. If the Management Committee or

NHSB Board members have any
proposed changes/suggestions on the
proposed policy paper, revises,
finalizes and converts the policy paper
into an appropriate instrument for
signature of the Secretary and other
NHSB members if necessary.
4 Signing and adoption of policy

Secretary & 1. Signs/approves the Department

NHSB members Order/Department Circular effecting
If necessary the policy copy furnished the Director-
PHSS.
Director IV-PHSS
2. Furnishes a copy of the order/circular/
resolution/policy paper to the Regional
Directors and heads of other
organizational units.
Regional Director IV
3. Adopts and implements the policy
5 Monitoring and evaluation of policy
implementation

PDO III- PHSD 1. Monitors and evaluates the

implementation of policy by the
Regional Offices and other
organizational units.

2. Prepares a report on the

implementation of the results of

132
 implementation of
policies/frameworks/strategies/plans/
guidelines for submission to PHSD as
inputs for future actions.

3.3.1.9 TECHNICAL ASSISTANCE/SUPPORT TO REGIONAL

OFFICES BY PHSS PROCESS

PROCEDURES FOR PROVIDING TECHNICAL ASSISTANCE/ SUPPORT TO

REGIONAL OFFICES BY PHSS
Responsible Procedure
Instruction/Activity
Person No.
1 Receiving of request for Technical
Assistance and Support

Director IV-PHSS 1. Receives requests for technical

assistance/support from Regional
Offices for the implementation of the
following:

a. Government idle lands found

suitable for housing and urban
development;
b. Emergency-post disaster/post
conflict shelter recovery or climate
change adaptation and mitigation
disaster risk reductions provisions
and intervention;
c. Proclaimed socialized and
economic housing sites;
d. Government centers in the region;
e. Estate and new towns, new
settlements, urban renewal
programs and prototypes of
housing and urban development
interventions, with the right to
exercise the power of eminent
domain when necessary;
f. Unfinished, incomplete or
abandoned licensed real estate
development projects under BP
220 and PD 957 in the regions;
g. Housing finance and production
policies;
h. Policy guidelines on the
implementation of foreign-assisted

133
 or funded projects and international
partnerships;
PDO II-ARD & SHPD i. Determine and review or revise,
jointly with the NEDA, the
respective price or loan ceilings for
socialized, economic, low, and
middle-income housing; and
PDO I-ARD & SHPD j. Continuation and extension of
rental regulation of certain
residential units, in accordance with
RA 9653 or the “Rent Control Act of
2009”.

2. Coordinates with requesting party for

activity details on the conduct of
technical assistance/support and
prepares documentary requirements,
including travel documents, if
necessary.

3. Secures travel orders for assigned

staff, if necessary.

2 Conduct of Technical Assistance and

Support

PDO V-ARD & SHPD 1. Coordinates with requesting party and

conducts Technical
Assistance/Support through any of the
following means:

a. DHSUD/PHSS-led training
program;
b. On-field mentoring and coaching;
c. Act as resource persons in
seminars, training and meetings;
d. Assistance to walk-in consultations;
and
e. Assistance through online, phone
and letter queries

2. Provides technical inputs based on the

requested topics or subjects and
suggests future plan of actions for the

134
 requesting party.

3. Conducts Client Satisfaction Survey

after assistance.
3 Conduct of post assistance activities

PDO III-ARD & SHPD 1. Prepares and submits

liquidation/reimbursement and other
documentary requirements, if
necessary.

2. Prepares a report immediately after the

activity and submits the same to the
PHSS Director.

3. Reviews training evaluation submitted

by participants for improvement in the
conduct of any succeeding trainings.

4. Includes activity as part of the

accomplishment report for submission
to the PS.

5. Sends training materials and

documentation notes to the
participants.

3.3.1.10 PROGRAM AND PROJECT DEVELOPMENT PROCESS

FOR PUBLIC HOUSING AND SETTLEMENTS SERVICE

PROCEDURES FOR PROGRAM AND PROJECT DEVELOPMENT FOR PUBLIC

HOUSING AND SETTLEMENTS SERVICE
Procedure
Responsible Person Instruction/Activity
No.
1 Initiating the identification of basis
for program and project
development
PDO V-ARD & SHPD
1. Identifies the legal basis for the
development of program/project,
which include but are not limited to
the following:

a. Government idle lands found

suitable for housing and urban
development;
b. Emergency-post disaster/post
135
 conflict shelter recovery or
climate change adaptation and
mitigation disaster risk
reductions provisions and
intervention;
c. Proclaimed socialized and
economic housing sites;
d. Government centers in the
region;
e. Estate and new towns, new
settlements, urban renewal
programs and prototypes of
housing and urban development
interventions, with the right to
exercise the power of eminent
domain when necessary; and
f. Unfinished, incomplete or
abandoned licensed real estate
development projects under BP
220 and PD 957 in the regions.

PDO V-ARD & SHPD 2. Prepares proposal for the

development of the following
programs/project:

a. Government idle lands found

suitable for housing and urban
development;
b. Emergency-post disaster/post
conflict shelter recovery or
climate change adaptation and
mitigation disaster risk
reductions provisions and
intervention;
c. Proclaimed socialized and
economic housing sites;
d. Government centers in the
region;
e. Estate and new towns, new
settlements, urban renewal
programs and prototypes of
housing and urban development
interventions, with the right to
exercise the power of eminent
domain when necessary; and
Director IV-PHSS f. Unfinished, incomplete or

136
 abandoned licensed real estate
development projects under BP
220 and PD 957 in the regions.

PDO V-ARD, SPHD 3. Determines if the proposal is to be

undertaken by the DHSUD
technical/ Regional personnel or to
be outsourced to the external
provider/consultant.

If to be outsourced, prepares the

Terms of Reference for the hiring of
external provider/consultant and
coordinates with the Procurement
Division of the Administrative
Service for the procurement of
external provider/consultant.

If it is to be undertaken by the
DHSUD Technical/Regional
personnel, works on the issues,
develops the conceptual framework,
formulates the strategies and
prepares the detailed operational
plan of work for the preparation of
full-blown program/project proposal.

2 Preparation of work plan for the

execution of program/project

PDO V-ARD, SPHD 1. Prepares a work and financial plan

(timetable and resources) for the
execution of the program/project,
including its desired objectives and
outcome, measurement of progress
and anticipated milestones and risks
involved if there are any based on
the WFP of the technical personnel
or Inception Report of the external
provider/consultant

Director IV-PHSS 2. Presents and discusses the

proposal to the following to secure
their endorsement and approval:

a. Supervising Assistant Secretary

and Undersecretary

137
 b. Pre-Management Committee
c. Management Committee
d. Secretary
e. NHSB, if necessary

PDO V-ARD, SHPD 3. Upon approval, submits/endorses

approved program/project proposal
to the Finance Service or other
potential funding institutions for fund
allocation or certification of
availability of funds.
3 Implementation of program/project

PDO V-ARD & SHPD 1. Disseminates program/project

communication, report and work plan
to concerned offices.

2. Implements the program/project in

accordance with the approved work
and financial plan.

Director IV PHSS & 3. Develops a communication hub

Regional where stakeholders can collaborate
Offices Staff on the progress of the
program/project.
4 Monitoring and evaluation of
program/project implementation

PDO IV-ARD & SHPD 1. Monitors and evaluates the

implementation of
programs/project/s to ensure that it
is on track and reaching the desired
goals in accordance with the
approved plan.
Program/project is usually monitored
against whether it is running in
schedule and within the planned
costs and receiving adequate
resources.
2. Prepares the following reports for
submission to the Department and
other stakeholders:
a. Project status report
b. Project schedule chart
c. Project financial status report

138
3. Conducts an assessment on the
implementation of the project and
prepares evaluation report
containing the following:

Impact
a. Analysis of the overall effects of
the program/project;
b. Analysis of the contribution of the
program/project purpose to the
overall objectives
c. Collection and analysis of
information at the levels of
communities and society at large
focusing on the final
beneficiaries of the
program,/project; and

d. Analysis of unintended impact

(negative and positive)

Effectiveness
a. Analysis on how well the
program/project results
contribute to the achievement of
the purpose of the project ( i.e.
are there clear indications of
changes and improvements that
benefit the beneficiaries of the
project; and
b. Uses base-line information on
the pre-program/project situation
as a starting point.

Efficiency
a. Analysis on how successful the
program/project has been in
transforming the means (i.e. the
resources and inputs allocated
to the project) through project
activities into concrete project
results; and
b. Provides the stakeholders with
information on inputs/costs per
unit produced.

139
 5 Closing of program/project

Director IV-PHSS 1. Upon completion of program/project

implementation, prepares and
submits an accomplishment report.

PDO V-HPSD 2. Develops a

policy/strategy/framework for
sustainability and integration to
regular planning processes.

3.3.1.10a SHELTER RECOVERY AND REHABILITATION

PROCESS

PROCEDURES FOR THE RECOVERY AND REHABILITATION OF DAMAGED

HOUSES OF FAMILIES AFFECTED BY NATURAL AND MAN-MADE
CALAMITIES
Responsible Person Procedure
Activity/Instruction
No.
1 Conducting Post-Disaster Damage
and Needs Assessment

PDO V-SHPD 1. Drafts the guidelines for the conduct

of Post Disaster Needs Assessment
(PDNA) to determine the total number
of partially and totally damaged
dwelling units including the required
basic services and the number of
families affected by natural or man-
made calamities including their
detailed profiles.

Director IV-PHSS 2. Secures approval of the Secretary on

the draft guidelines for the conduct of
Post Disaster Needs Assessment
(PDNA).

3. In coordination with the other

concerned government agencies and
the designated lead agency for the
recovery and rehabilitation,
participates in the PDNA focusing on
shelter sector needs assessment
after one or two weeks from the
occurrence of disaster.

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 Note: the schedule can vary
depending on the scale and nature of
the disaster and the government has
already ensured that the relief phase
of disaster is almost over and that
conducting the PDNA would not
impede the continuance of any relief
activity.

Director IV-PHSS 4. Identifies the composition of a Core

team who will participate in the
formation and training programs
intended for the sector teams to be
involved in the PDNA.

PHSS Core Team 5. After the training, conducts field visits

to undertake PDNA and
collects/generates baseline and
primary data in relation to shelter
recovery and rehabilitation

6. Completes the conduct of shelter

needs assessment within three to six
weeks after the completion of field
visits.

7. Drafts the shelter sector-specific

reports and submits them to a core
writing team of the Lead
Implementing Agency, who will
prepare and finalize the needs
assessment report.

8. Submits the shelter needs

assessment report to the designated
lead government agency for the
recovery and rehabilitation of affected
areas for review and approval.

PDNA Lead Recovery 9. After the initial review, circulates the

Agency report to the concerned
departments/agencies for their final
review and submits their comments in
accordance with the deadline set.

10.Based on the comments submitted

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 per sector, revises and finalizes the
report.

11.Upon receipt of the final draft of the

report, approves the PDNA, which
shall become official and will form the
basis for recovery, planning and
implementation.

2 Policy and Strategy-Setting for

Recovery

Director IV-PHSS 1. Based on the approved PDNA,

determines the shelter sector’s
contribution to the development of the
overall recovery vision and policy and
guiding principles.

2. Sets up/formulates the shelter sector

level recovery strategy.

3. Identifies shelter recovery priorities

and promotes shelter sector needs in
line with the broader recovery vision
and policy framework and based on
the detailed needs and damage
assessment carried out in conjunction
at the PDNA stage.
3 Institutional Framework for Recovery

Director IV-PHSS 1. Directs the shelter sector core-team to

work with the National Planning
Agency, Lead Recovery Agency,
affected communities and other
stakeholders.
PDO V-PHSD
2. Coordinates the shelter recovery
efforts with the affected communities
using the procedures for Community
Development of the Department to
ensure “buy in or community
ownership” by the affected families on
site selection, settlement planning,
house design, building materials and
technology to use and a range of
shelter options to suit the diverse

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 needs that arise due to the scale and
pattern of damage, rural and urban
settings and size of family.

3. Encourages maximum participation of

various stakeholders in the shelter
recovery process including but are not
limited to civil society, private sector,
communities and NGOs.

4. Through the assistance of other

government agencies, provides
technical assistance to guide
communities in the selection of
appropriate building materials, sites
for housing, to design culturally
sensitive disaster resilient and
appropriate settlement plans and
shelters that minimize construction
environmental impact and to train local
manpower on construction related
works.
4 Financing for Recovery

Director IV-PHSS 1. Determines the total funding

requirements for the recovery and
rehabilitation of partially and
completely damaged dwelling units
and the required basic services;

PDO V-SHPD 2. Identifies domestic and external

sources of funding for the shelter
recovery efforts.

3. Defines mechanism to manage inflow

of funds specifically financial systems
that disburse funds between levels of
government, or directly to communities
or systems that manage external
resources.

4. For transparency, sets up system to

track aids for the shelter recovery
efforts of the Department.

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 5 Implementation Arrangements and
Recovery Management

Director IV-PHSS 1. Determines whether the

implementation of shelter recovery
program shall be delegated to the
attached housing agencies of the
Department or to be outsourced to any
bonafide subdivision and real estate
developers.

Regional Director 2. In cases of relocation, secures a

viable site based on its hazard risk
assessment, soil quality, hydrology,
topography, geology, land security
rights, access to basic services and
environmental impact of construction
on the site

3. Sets up and runs different

coordination mechanisms across the
national government, local
government, civil society, community
levels and donors, if there are any

4. Establishes standard procedures for

project approval, procurement,
reporting, and contracts.

5. Defines shelter reconstruction

standards (s in coordination with the
affected families/communities

6. Raises awareness of recovery

progress through effective public
communication by setting clear and
realistic goals to minimize unrealistic
expectations, and provide a grievance
redress to communities.

7. Ensures transparency in all activities

linked to the recovery program.

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 6 Monitoring and evaluation of shelter
recovery projects.

Regional Director 1. Undertakes monitoring and evaluation

of recovery projects in accordance
with the procedures for monitoring and
evaluation of programs and projects of
the Department.

2. Proposes mid-course corrections for

improving shelter recovery activities

3.3.1.10b DECLARATION OF SUBDIVISION/CONDOMINIUM

PROJECTS AS ABANDONED, INCOMPLETE OR
UNIFINISHED

PROCEDURES FOR THE DECLARATION OF SUBDIVISION/CONDOMINIUM

PROJECTS AS ABANDONED, INCOMPLETE OR UNFINISHED
Procedure
Responsible Person Activity/Instruction
No.
1 Conducting an inventory of abandoned,
incomplete and unfinished subdivision/
condominium projects.

PDO V-ARD &SHPD 1. Establishes the parameters for the

declaration of condominium/subdivision
projects as abandoned, incomplete or
unfinished. These parameters include
but are not limited to the following:

a. Project whose development has not

been completed in accordance with
the approved development plan
despite the lapse of at least ten (10)
years from the target completion;
and
b. The project owner/developer
appears to have no intention to
complete the project development,
or despite diligent effort of the
department to locate the project
owner/developer for at least the last
five (5 years).

2. Based on the said parameters and

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 licenses to sell issued of the DHSUD,
conducts an inventory of licensed
subdivision and condominium projects.
2 Recommending projects for declaration
as unfinished, incomplete and
abandoned

PDO V-ARD & SHPD 1. Based on the list of licensed subdivision

and condominium projects, determines
those that have not been completed
despite the lapse of at least ten (10)
years and those where the
owner/developer could not be located
for at least the last five (5) years.

PDO V-PHSD 2. Conducts ground validation of

subdivision/condominium projects to
assess its existing conditions and
compute the amount needed to
redevelop/improve the abandoned,
unfinished and incomplete
subdivision/condominium projects
including its work and financial plan.

3. Checks with the Regional Adjudicator of

HSAC if there is a pending suit to
declare subdivision, condominium and
other real estate developments within
the regulatory jurisdiction of the
Department as abandoned.

Regional Director 4. Based on the assessment and costs

involved for
redevelopment/improvement and if
there is no suit filed with the Regional
Adjudicator, prepares a
recommendation for the declaration of
subdivision/condominium projects as
unfinished, incomplete and abandoned
to the Office of the Secretary.

Office of the Secretary 5. Prior to the approval of recommendation

of Regional Office, transmits
recommendation and its supporting
documents to the Legal Service to
determine if the Department has all the

146
 legal cover to declare the
subdivision/condominium projects as
abandoned, unfinished and incomplete
to ensure that in case of suit, the
position/action of the Department is
defensible.

Director IV-Legal 6. If everything is in order, issues the

Service necessary certification and transmits it
together with the recommendation of the
Regional Office to the Secretary for his
signature

. 3 Final declaration of subdivision/

condominium projects as abandoned,
unfinished and incomplete.

Secretary 1. Based on the certification of the Legal

Service, signs the recommendation of
the Regional Office to declare the
subdivision/condominium project/s as
abandoned, incomplete and unfinished.

Director IV-PHSS 2. Follows the procedures for program and

project development and monitoring and
evaluation of programs/projects of
PHSS for the next step.

3.3.1.10c ESTABLISHMENT OF NEW TOWN, ESTATE, NEW

SETTLEMENTS, URBAN RENEWAL PROGRAMS AND
PROTOTYPES OF HOUSING AND URBAN
DEVELOPMENT INTERVENTIONS PROCESS

PROCEDURES FOR THE ESTABLSHMENT OF NEW TOWN. ESTATE, NEW

SETTLEMENTS, URBAN RENEWAL PROGRAMS AND PROTOTYPES OF
HOUSING AND URBAN DEVELOPMENT INTERVENTIONS
Procedure
Responsible Person Activity/Instruction
No.
1 Problem identification

PDO V-SHPD 1. Identifies social, economic and

environmental issues to be addressed.

Some of the issues to be addressed

include but are not limited to the
following:

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 Social: poverty, qualify of life, peace and
order, mobility/transportation integration,
services, traffic congestion, population
growth, , overcrowding, homelessness
Economic: employment opportunities,
poverty, availability of resources
Environmental: Climate Change, danger
areas, environmental pollution, disaster
2 Formulation of goals the objectives

PDO V-SHPD 1. Defines the intended goals and

objectives for the proposed new town
development based on importance
which include but are not limited to the
following economic, social,
environmental benefits and poverty
reduction::

a. To regulate growth;
b. To improve transportation facilities/
connection;
c. To optimize the resources utilization;
d. To balance economic and population
activities;
e. To promote social integration among
different categories; and
f. To promote convenient, comfortable,
healthy and beautiful environment.
3 Data collection and analysis

PDO V, IV & III-SHPD 1. Generates data through the conduct of

survey/study on the trend and direction
of growth, traffic survey, demography,
climate, resources and other potentials.

2. Based on the study, conducts an

analysis of the data generated and
translates them into identifiable maps,
graphs, maps, etc. as well as formulates
the long-term and short-term objectives.
4 Forecasting

PDO V-SHPD 1. Utilizes modeling and forecasting to

determine demographic projection
based on migration, employment,
industrialization, urbanization and space
utilization

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 2. Based on the forecasts, examines all
possible or feasible alternatives and
solutions to address the identified
problems.
5 Site Selection for the proposed
development project/s

PDO V-SHPD 1. Establishes the criteria on the selection

of site for new town, estate, new
settlements, etc.

Some of the proposed criteria are as

follows:

a. Suitability of the selected site in terms

of size compared to the needs of the
metropolis;
b. Convenient access to the new town
via existing routes;
c. Appropriate distance from the
metropolis;
d. Absence of land ownership problems;
e. Access to activity and employment
centers;
f. Feasibility of creating various
infrastructure systems in technical
and economic terms;
g. Suitability of the selected site in terms
of natural properties;
h. Lack of overlap between the selected
site and high quality agricultural land;
and
i. Positive impact of the selected site on
the surrounding subdivisions/villages.

2. Based on the criteria, selects the best

alternative –that is, the most suitable
site for the development of the proposed
project.
6 Preparation of plan

Engineer/ Architect/ 1. Prepares the following plans, formulates

Urban Planner/ the proposed zoning classification
Consultant-MDP and/or alteration to the existing zoning
regulations, widening of roads, etc, and
evaluates benefits and costs involved:

149
 a. Preliminary Development Plan
(PDP), which maps the general
location of land uses, major roads
and major public facilities.

b. Comprehensive Sketch Plan, which

covers a portion of the designated
new town area and establishes such
items as the specific location and
land use areas, the number and type
of dwelling units, and the specific
location of roads, open space,
schools and other public or
community uses.

It also includes "criteria" for

establishing requirements for the
area covered by the plan such as
permitted uses, minimum lot sizes,
parking requirements, setbacks,
building heights, and other
development regulations.

c. Final Development Plan, which

provides the exact boundary
descriptions and acreage for the
land use areas shown on the
Comprehensive Sketch Plan and
must include the detailed
development requirements (criteria)
approved with the Comprehensive
Sketch Plan; and

d. Site Development Plan, which must

be prepared by a licensed
professional (engineer or architect)
and shows exactly how a site will be
developed grading, utilities, building,
driveways, parking areas,
landscaping and other details.

7 Publishing notice for objections and

suggestions

PDO V-SHPD 1. Publishes the proposed plans and

designs to generate comments and

150
 suggestions from any
interested/affected parties to encourage
their maximum participation in planning
and decision making for the proposed
development.
8 Plan revision and fixing of priorities

PDO V-SHPD 1. Based on the objections and

suggestions made during the
consultations, revises the plans and
identifies priorities based on the need,
importance and urgency.
9 Financing and Implementation

Director IV-PHSS 1. Determines alternative modes of

financing the development of new town,
estate, new settlements, etc. Some of
these modes are as follows:

a. Loans/borrowings (domestic and

foreign);
b. Public Private Partnership
c. Sale and or Lease
d. Bonds issuance/capital markets
e. General Appropriations Act (GAA)

2. Secures approval of appropriate

authorities (NEDA, NHSB, etc.) prior to
actual implementation of the proposed
development project

3. Upon approval and determination of

appropriate means of implementing the
project, executes the new
town/estate/new settlements, etc. by the
suitable authorities/entities in
accordance with the approved work and
financial plan.
10 Monitoring and evaluation

PDO V-SHPD 1. Carries out regular monitoring and

periodic reviews in order to determine
the strengths, weaknesses and
deficiencies in planning, decision-
making and implementation of
development project.

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 3.3.1.10d DESIGNATION/ RESERVATION OF LANDS AS
GOVERNMENT CENTERS PROCESS

PROCEDURES FOR RESERVING/DESIGNATING LANDS AS GOVERNMENT

CENTERS
Procedure
Responsible Person Activity/Instruction
No.
a. National Government Agencies (NGAs) and Government-Owned and
Controlled Corporations (GOCCs)
1 Conducting consultations with the
different national government agencies
(NGAs) /departments/Government-
Owned and Controlled Corporations
(GOCCs) to determine their preferred
location for government centers.

Director IV-PHSS 1. Conducts consultations with NGAs,

Departments and GOCCs (especially
those renting their offices) to determine
their preferred locations for government
centers and by taking into consideration
their existing facilities and total land
requirements.

PDO V-SHPD 2. Conducts cost-benefit analysis on the

advantages and disadvantages of
having its own government center vis-à-
vis renting.

3. Utilizes the following parameters in the

selection of location as a seat for
government center:

a. Geographical centrality;
b. Accessibility;
c. Availability of transportation and
communication facilities;
d. Availability of drainage and
sanitation;
e. Development and economic
progress; and
f. other relevant considerations

PDO IV-SHPD 4. Summarizes/consolidates the list of

preferred locations and land
requirements and transmits it to LRA for

152
 possible identification of available
government-owned land for the purpose
2 Determination of available sites for
government centers based on the
preference of
NGAs/Departments/GOCCs.
LRA
1. Based on the total land requirements,
conducts an inventory of government-
owned lands which can be used as a
seat of government center for the
different NGAs, Departments and
GOCCs and submits the inventory to
the Department.

Director IV-PHSS 2. Upon receipt of list of prospective sites

for government center, initiates
consultations with the DENR, DOTR,
DA, DAR, etc. to determine the existing
classification of land as well as if there
are any conflicting claims\/proposed use
for the pre-identified sites.

3. Comes-up with a short list of locations

most suitable for the proposed
government center.

Director IV-PHSS & LS 4. If the existing land classification is not in

accordance with the intended use,
proposes a bill and/or presidential
proclamation reserving the identified
parcel of land as national government
center for NGAs/Departments/GOCCs.
3 Development of National Government
Center

NGAs/ 1. Shoulders the expenses for the

Departments/ construction of their own buildings and
GOCCs facilities in the government center and
costs for site development.
Local Government Units
1 Conducting consultations with
LGUs/Provinces

Director IV-PHSS and/or 1. Conducts consultations with the Local

Regional Director Chief Executives of Cities and

153
 Municipalities and Governors of
provinces which have not yet
established government centers in their
respective localities to check if they
have plans of pursuing the
establishment of a government center
where offices, agencies, or branches of
the National Government, local
government units, or government-
owned and controlled corporations may,
as far as practicable, be located in
compliance with Section 12 of the Local
Government Code.

2. If yes, coordinates with the

cities/municipalities/provinces to ensure
that the following shall be considered in
the selection of a seat of government
center in their localities:

a. The LGU’s existing facilities and

those of NGAs in designating such
government center;
b. Conformity of constructing the
buildings in the government center
with the overall physical and
architectural plans and motif of the
government center as approved by
the Sanggunian concerned.

LGU/Province 3. Secures approval of Sanggunian for

the reservation/designation of identified
parcel of land within their localities as a
seat of government center.

4. Issues notification to NGAs and

GOCCs interested to locate their
offices on the proposed site upon the
approval of a Sanggunian resolution
designating a parcel of land as a seat
of government center.

2 Construction/development of buildings

NGAs/ 1. Ensures that the funding requirements

GOCCs/ for the construction of building shall be

154
Departments included in the budget proposal of
NGAs to DBM and/or in the corporate
budget of GOCCs.

2. Shoulders the expenses for the

construction of their own buildings and
facilities in the government center.
3 Monitoring and Evaluation

PDO V-SPHD 1. Monitors and evaluates the

establishment of government centers in
the different regions.

2. Submits a status report on the

establishment of government centers to
oversight agencies like NEDA, DBM,
Congress and Senate, etc.

3.3.1.10e OPENING OF SUBDIVISION ROADS FOR PUBLIC USE

PROCESS

PROCEDURES FOR OPENING OF SUBDIVISION ROADS FOR PUBLIC USE

Responsible Person Procedure Activity/Instruction
No.
1 Identification of major thoroughfares
with traffic congestion and gated
subdivisions with entry and exit points
for alternate routes

Director IV-PHSS 3. Conducts coordination meeting with the

PDO V-SHPD following:

a. MMDA or other similar entities

outside NCR to identify the major
thoroughfares experiencing traffic
congestion.
b. DHSUD or LGUS to identify gated
subdivisions located along the
major thoroughfares that have entry
and exit points for other alternate
routes.
2 Discussion with the LGU and
Homeowners Association

Director IV-PHSS 1. Based on the identified major roads

PDO V-SHPD and gated subdivisions, discusses the

155
 proposal to open private roads within
subdivision and villages as deemed
necessary by the Traffic Chief with the
LGU/s where the said subdivision is
located and determines whether the
road lots have already been donated to
the LGU/s.

Director IV-PHSS 2. Upon securing concurrence of the

PDO V-SHPD concerned LGU/s, sets a meeting with
LGU the HOA officials of the
subdivision/villages to present and
discuss the proposed utilization of
subdivision roads as alternate routes to
decongest traffic in the areas.
3 Issuance of Ordinance

LGU 1. Through the Sanggunian, enacts an

ordinance mandating the removal of
gates of subdivisions/villages to give
motorists alternate routes to ease
traffic woes in the area.
4 Monitoring & Evaluation of impact of
Opening/Removal of gates of
subdivisions/villages to traffic.

PDO V-SHPD 1. In coordination with the Traffic

Chief/LGUs, conducts regular
monitoring and evaluation of traffic
situation in the areas to determine its
impact in easing traffic in the area.

2. Prepares and submits a report

including any proposed
recommendations on whether to
continue or discontinue the
opening/removal of gates for the traffic
to the Office of the Secretary.

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 3.3.1.10f CONDUCT OF INVENTORY OF GOVERNMENT-OWNED
LANDS PROCESS

PROCEDURES FOR THE CONDUCT OF INVENTORY OF GOVERNMENT-

OWNED LANDS
Responsible Person Procedure Activity/Instruction
No.
1 Entering into a MOA/MOU with the
DENR, DAR, DA, DILG and LRA for the
inventory and designation of lands for
housing and urban development

Director IV-PHSS 1. Prepares the draft MOU/MOA and sets

a meeting with the DENR, DAR, DA,
DILG and LRA for the joint
identification of government lands
suitable for housing and rural
development.

2. If the said government agencies are

amenable to the draft MOU/MOA,
schedules the signing of the
MOU/MOA by the Heads of respective
government agencies.
Preparation of work and financial plan
for the joint identification of lands

Director IV-PHSS 1. After the signing of MOU/MOA, initiates

the creation of Technical Working
Group to prepare the work and
financial plan for the joint identification
of lands for housing and rural
development.

2. Based on the WFP, determines the

funding requirements and possible
sources of funds of the agencies
involved in the said undertaking.

3. Includes the computed budgetary

requirements in the budget proposal of
the DHSUD and/or identifies other
possible sources of funds that can be
used for the purpose.

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 2 Joint identification of lands suitable
for housing and urban development

Director IV-PHSS 1. Upon approval of budget/availability of

funds, requests the LRA to identify
vacant lands owned by the
government, except lands owned by
the GOCCs and GFIs engaged in
shelter financing as part of its fiduciary
obligations to its members and/or are
taken possession of in their ordinary
conduct of business, which have been
idle for more than ten (10) years.

Idle government lands refers to: non-

agricultural lands in urban and
urbanizable
areas on which no improvement as
herein defined has been made by the
government including: 1) patrimonial
properties of the state; 2) public
properties; and 3) properties foreclosed
by the government financing
institutions (GFIs), government owned
and controlled corporations (GOCCs),
as certified by the city. municipal and
provincial assessor

Government lands refers to parcels of

lands
which titles are held by national
government
entities or any of its subdivisions,
instrumentalities, or agencies, including
government-owned or controlled
corporation
and their subsidiaries and lands placed
under the jurisdiction of the above
entities by
Virtue of proclamations signed by the
President. Government lands also
include rights-of-way or road titles.

The aforementioned inventory shall be

embodied in a report of LRA which
shall include among others:

158
 a. Maps
a.1 A base map drawn to a
convenient
scale wherein the lands covered
by the MOU/MOA shall be
plotted.
a.2 Map showing the lands suitable
for
housing and rural developments
as identified by the LRA based
on the Suitability Criteria of
these Guidelines.
a.3 Other maps showing the
assessed/
market value, actual land use,
zoning
classification and basic services.
b. Tabular forms
An inventory/tabular form which shall
include but not be limited to the
following
information:
b.1 inventory of individual property
indicating relevant information
PDO V-SHPD & KMISS b.2 listing of all properties
inventoried
indicating relevant information (
b.3 summary of lands as identified
and corresponding area in
hectares
c. Other pertinent documents

2. Upon receipt of inventory of

government-owned lands from LRA,
develops land inventory using GIS
database and updates assessor’s data
and establishes parameters to
determine suitability of lands for
housing and rural development.

The following parameters shall be used

to evaluate suitability of sites for
housing and rural development:

a. To the extent feasible, socialized

housing

159
 and resettlement projects shall be
located in new areas where
employment opportunities are
available:
b. Priority shall be given to areas where
basic services and facilities are
already existing or where these can
be introduced within a very short
time;
c. Transportation cost to work places
and other services should be
affordable considering that the target
beneficiaries are the homeless and
underprivileged;
DHSUD, DENR,DAR, d. The site shall not require excessive
DA,DILG, LRA levelling, cutting and filling. Sites
requiring excessive engineering
works shall be avoided. Likewise,
sites on steep slopes and/or on
weak soil foundation shall not be
considered;
e. Environmentally critical areas as in
food
prone or earthquake zones or areas
near rivers and canals shall be
avoided;
f. Compatibility with existing zones;
g. Financial feasibility and viability
where land valuation offered is low;
and
h. Tenurial status.

3. After setting the parameters, the

Department together with the DENR,
DAR, DILG, DA and LRA, jointly
conducts ocular inspection to
determine the suitability of identified
sites for housing and rural
development.
4 Turn-over of government-owned lands

Director IV-PHSS 1. Sets coordination meeting with the

identified owners of government lands
to discuss the transfer of said land to
the Department.

160
 2. Prepares the necessary instrument to
effect the turn-over/transfer of lands
from the donor to the done.

Identified owners of 3. Upon signing of instrument, effects the

government lands transfer of government-owned lands
which have not been used for the
purpose for which they have been
reserved for the past ten (10) years
prior to the effectivity of R.A. 11201
and which have been identified as
suitable for housing and rural
development to the Department,
subject to Presidential approval.

4. Prepares a memorandum to the Office

of the President requesting for approval
the transfer of government-owned
lands found suitable for housing and
rural development to the Department.
5 Zonification of the identified sites for
housing and rural development

Director IV-PHSS or 1. Requests the LGU to locate the

Regional Director identified sites for housing and rural
development in the City’s or
Municipality's CLUP and Zoning
Ordinance.
6 Preparation of Master Development
Plan (MDP)

Director IV-PHSS 1. Upon transfer of lands and approval by

the President, prepares the Terms of
Reference (TOR) for the hiring of
consultant for the preparation of Master
Development Plan including the most
feasible modes of disposition (e.g.
public-private partnership, thru the
NHA Resettlement Programs or SHFC
CMP program, etc.).
7 Implementation of recommendations
under the MDP

Director IV-PHSS 1. Upon approval of the TOR,

Regional Offices executes/facilitates the implementation
of recommendations under the MDP.

161
 2. Follows the Program/Project
development process.
8 Monitoring and Evaluation

PDO V-SPHD 1. Follows the process for the monitoring

Regional Offices and evaluation of programs/projects.

2. Updates the inventory every three (3)

years from the conduct of previous
inventory.

3.3.1.11 MONITORING AND EVALUATION OF POLICIES AND

PROGRAMS OF PUBLIC HOUSING AND SETTLEMENTS
SERVICE

PROCEDURES FOR THE MONITORING AND EVALUATION OF POLICIES AND

PROGRAMS OF PUBLIC HOUSING AND SETTLEMENTS SERVICE
Responsible Procedure
Instruction/Activity
Person No.
1 Conduct of preparatory activities for
the monitoring and evaluation of
related policies

Director IV-PHSS 1. Instructs the PDO V OF ARD/SHPD

to commence the preparation of the
PHSS monthly/ quarterly/ semi-
annual and annual accomplishment
report and other monitoring reports
related to the functions of the PHSS.

PDO V-ARD & SHPD 2. Conducts discussion with the

Planning Service, KMISS and
Regional Offices to come
up/update/revise/improve the
monitoring forms and IT-based tools
used to capture and assess the
accomplishments of the DHSUD
based on its programs, projects and
activities (PPA) and based on the
targets specified in the NEP or GAA,
as well as to capture the following
data:

a. Government idle lands found

suitable for housing and urban
development;

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 b. Emergency-post disaster/post
conflict shelter recovery or climate
change adaptation and mitigation
disaster risk reductions provisions
and intervention;
c. Proclaimed socialized and
economic housing sites;
d. Government centers in the region;
e. Estate and new towns, new
settlements, urban renewal
programs and prototypes of
housing and urban development
interventions, with the right to
exercise the power of eminent
domain when necessary;
f. Unfinished, incomplete or
abandoned licensed real estate
development projects under BP
220 and PD 957 in the regions;
g. Housing finance and production
policies;
h. Policy guidelines on the
implementation of foreign-assisted
or funded projects and
international partnerships;
i. Determine and review or revise,
jointly with the NEDA, the
respective price or loan ceilings
for socialized, economic, low, and
middle-income housing; and
PDO V-ARD & SHPD j. Continuation and extension of
rental regulation of certain
residential units, in accordance
with RA 9653 or the “Rent Control
Act of 2009”.

3. Jointly conducts field workshop to

further establish and validate a
uniform and systematic reporting
procedure using the official
monitoring forms or other IT-based
monitoring tools.

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 2 Issuance of notices to Regional
Offices on the submission of
monitoring reports

PDO IV-ARD & SHPD 1. Forwards to all regional offices, one

week before the end of the month,
the monitoring forms and
memorandum requesting submission
of their respective
accomplishment/monitoring report by
the 3rd week of the succeeding
month.

2. Prepares and submits the

PDO V-PHSD accomplished monitoring report of
the region on or before the 3 rd week
of the succeeding month to the
HHRO VI-MED-PS, copy furnished
PDO V-ARD & SHDP.

HHRO VI-MED-PS 3. Upon receipt of the accomplished

regional monitoring report,
consolidates/ evaluates/validates the
submitted performance report for
preparation of the DHSUD overall
performance report.

PDO V-ARD & SHPD & 4. In case there is a need to undertake

HHRO VI, MED-PS ground validation, schedules the
conduct of field/ground monitoring.

5. Prepares internal office documents

and logistical requirements for the
said field/ground monitoring such as:
travel order, vehicle request and
other logistical requirements.

PDO III-ARD & SHPD 6. Establishes liaison/coordination with

the Regional Office and identified
sources of data to facilitate the
conduct of ground validation.

PDO V-ARD & SHPD & 7. Prepares the report of the ground
HHRO VI, MED-PS validation conducted and
incorporates the same in the Agency
Performance Report.

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 3 Submission of monitoring reports

HHRO VI-MED-PS, PDO 1. Upon completion of ground validation

V-ARD & SHPD and consolidation of regional reports,
submits a progress report of
accomplishment to the Director IV-
PHSS, copy furnish the supervising
Assistant Secretary and
Undersecretary of the unit for final
review and endorsement to the
Secretary. Also submits other
monitoring reports as basis for policy
and program development and
Director IV-PS enhancement.

2. Submits the DHSUD Performance

Report duly endorsed by the
supervising ASec/USec. to the
Secretary Secretary for the period under review
either for information or approval.

3. Approves the DHSUD Performance

Report
4 Distribution of approved agency
performance report

HHROVI- MED, PS 1. Reproduces official report and

PDO V-ARD & SHPD furnishes copy to the bureaus,
services, regional offices and other
national government agencies like
DBM, NEDA, Congress and Senate.
Information System Development and Management
1 Systems Investigation (Product
Feasibility Study)

PDO V-ARD & SHPD 1. In coordination with the KMISS,

determines ways to address the
group’s problem and opportunities in
relation to its information system
requirements.

2. Based on the preliminary analysis,

conducts a feasibility study, to
determine whether a new or improved
business system is a feasible solution.

165
 3. Develops a project management plan
and secures management approval
2 Systems Analysis (Product Functional
Requirements).

PDO V-ARD & SHPD 1. Undertakes consultation with the

and KMISS different stakeholder groups to
determine the specific information
needs/requirements for the new
system.

2. Develops the functional data

requirements of a system that can
meet business priorities and the needs
of the stakeholders.

3. Develops a logical model of a system

to get an overall picture of exactly what
a system is supposed to do.
3 Systems Design (Product System
Specifications).

KMISS 1. Based on the system requirements

document created in the system
analysis, develops the specific
technical details required for the
system (hardware, software, people,
network and data resources and
information products that will satisfy the
functional requirements of the
proposed business information system)
including the financial requirements to
develop the system.

2. Develops logical model of new system

4 Systems Development

KMISS 1. Determines if it makes more sense to

build the system by the KMISS or to
purchase it from an outside company
based on the “build vs. buy” decision.

If the decision is to outsource the

development of the new system,
develops the Terms of Reference for
the development of the new system.

166
 If the system is to be developed in-
house, a programmer (or team of
programmers) of the KMISS develops
the program that meets the
requirements laid out in the system-
analysis phase and the design
developed in the system-design
phase.
5 System Implementation and Testing
(Product Operational System).

KMISS or System 1. Puts the software program developed

Developer in the systems development through a
series of the following structured tests:

a. The first is a unit test, which tests

individual parts of the code for
errors or bugs.
b. The second is a system test, where
the different components of the
system are tested to ensure that
they work together properly.
c. The third and final test is the user-
acceptance test, which allows
those that will be using the
software to test the system to
ensure that it meets their
standards. Any bugs, errors, or
problems found during testing are
addressed and then tested again.

2. Through the assistance of the TAD,

trains the users (ELUPDB, ROs and
other organizational units) and provides
system documentation and conversion
from any previous system to the new
system.
6 Maintenance (Product Improved
System).

PDO V-ARD & SHPD 1. Uses a post implementation review

& KMISS process to monitor, evaluate and
modify the business system as
needed.

167
2. Ensures that the system has a
structured support process in place:
reported bugs are fixed and requests
for new features are evaluated and
implemented and system updates and
backups are performed on a regular
basis.

3. Manages data entry and validation

into the system.

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 3.4.2. CORE PROCESSES

ENVIRONMENTAL, LAND USE AND URBAN PLANNING AND

DEVELOPMENT (ELUPDB)

3.4.2.1 POLICIES, FRAMEWORK, STRATEGIES, PLANS, AND

GUIDELINES AND STANDARDS FORMULATION PROCESS

PROCEDURES FOR FORMULATING ENVIRONMENTAL LAND USE AND

URBAN PLANNING DEVELOPMENT POLICIES, FRAMEWORKS,
STRATEGIES, PLANS, GUIDELINES AND STANDARDS
Responsible Procedure
Instruction/Activity
Person No.
1 Determination of basis in the
development of policies, frameworks,
strategies, plans, standards and
guidelines
HHRO VI-ELUPD,
HHRO VI-UDD 1. Utilizes the existing laws and
issuances, directives of the
Secretary and proposals emanating
from the Central Office and
Regional Office of the DHSUD,
cooperating agencies, NGOs/CSOs,
results of periodic assessments,
sectoral dialogues and public
hearings and completed studies and
researches as basis in resolving
problems encountered and/or
perceived in relation to the following:

a. Ownership and administration of

government-owned land;
b. Resilient housing and human
settlements;
c. Comprehensive Land Use Plan
(CLUP) and Zoning Ordinance
(ZO), Provincial Physical
Framework Plan (PPFP) and
Local Shelter Plan (LSP)
d. Estate and new towns, new
settlements, government centers,
and urban development,
redevelopment and renewal
programs; and
e. Provision of incentives and

169
 imposition of penalties to ensure
compliance of LGUs in planning
guidelines.
2 Drafting of proposed policy papers

HHRO VI-ELUPD, 1. Based on the directives of the

HHRO VI-UDD Secretary and/or proposals received
from the different stakeholders,
gathers necessary information from
the primary and secondary sources
and/or conducts researches and
drafts the pertinent
policies/frameworks/strategies/plans/
guidelines/standards.
3 Presentation of policy paper for
critiquing and approval

HHRO VI-ELUPD. 1. Presents initial draft of the proposed

HHRO VI-UDD policies/strategies/standards/plans/
framework to the following:

a. Technical staff
b. Inter-bureau/office or
management committee (copy
furnished Usec for Policy)
concerned with the policy being
Director IV-ELUPDB formulated for deliberation.
c. Housing Policy Working
Committee, fora and experts
group meetings
HHRO VI-ELUPD, d. Supervising Usec./ASec. of
HHRO VI-UDD ELUPDB

Director IV-ELUPDB 2. Revises/modifies policy on the basis

of the above deliberations.

HHRO VI-ELUPD, 3. Presents the final draft of the policy to

HHRO VI-UDD the Management Committee or
NHSB, if necessary.

4. If the Management Committee or

NHSB Board members have any
proposed changes/suggestions on
the proposed policy paper, revises,
finalizes and converts the policy
paper into an appropriate instrument

170
 for signature of the Secretary and
other NHSB members if necessary.
4 Signing and adoption of policy

Secretary & 1. Signs/approves the Department

NHSB members Order/Department Circular effecting
If necessary the policy copy furnished the Director-
ELUPDB.

Director IV-ELUPDB 2. Furnishes a copy of the order/circular/

policy paper to the Regional Directors
and heads of other organizational
units.

Regional Director IV 3. Adopts and implements the policy

5 Translation into Training Modules

HHRO VI-TAD 1. Prepares training modules on the

approved
policy/framework/strategy/plan
guidelines/standards.

2. Conducts orientation/training to
Regional Offices, Inter–
bureaus/offices, NGAs and other
entities.
6 Monitoring and evaluation of policy
implementation

HHRO VI-M&ED-ELUPDB 1. Monitors and evaluates the

implementation of policy by the
Regional Offices and other
organizational units.

2. Prepares a report on the

implementation of the results of
implementation of
policies/frameworks/strategies/plans/
guidelines/standards and training for
submission to ELUPD/UDD as inputs
for future actions.

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 3.4.2.2 PROGRAM AND PROJECT DEVELOPMENT PROCESS
FOR ENVIRONMENTAL LAND USE AND URBAN
PLANNING AND DEVELOPMENT

PROCEDURES FOR PROGRAM AND PROJECT DEVELOPMENT FOR

ENVIRONMENTAL LAND USE AND URBAN PLANNING AND DEVELOPMENT
Procedure
Responsible Person Instruction/Activity
No.
1 Initiating the identification of basis for
program and project development

HHRO VI-All Divisions 1. Identifies the basis for the

development of program/project,
which include but not limited to the
following:

a. Special order or specific

instruction from the Secretary
pertaining to a program/project
which is of special interest or
priority to the DHSUD; and
b. Existing laws and executive
issuances

2. Prepares proposal for the

development of the following
programs/project:

a. Pilot projects of proposed or

newly-developed guidelines and
standards
b. Prototypes of urban development
interventions
c. Capability building and training
programs
d. Development and maintenance of
monitoring information system

Director IV-ELUPDB 3. Identifies the appropriate division and

staff to make the proposal or studies
the feasibility of outsourcing the
program/project development.

HHRO VI-assigned division 4. Works on the issues, develops the

conceptual framework, formulates the
strategies and prepares the detailed

172
 operational plan of work for the
preparation of full-blown
program/project proposal.

2 Preparation of work plan for the

execution of program/project

HHRO VI-assigned division 1. Prepares a work and financial plan

(timetable and resources) for the
execution of the program/project,
including its desired objectives and
outcome, measurement of progress
and anticipated milestones and risks
involved if there are any.

Director IV-ELUPDB 2. Presents and discusses the proposal

to the following to secure their
endorsement and approval:

a. Supervising Assistant Secretary

and Undersecretary
b. Pre-Management Committee
c. Management Committee
d. Secretary
e. NHSB, if necessary

HHRO VI-assigned division 3. Upon approval, submits/endorses

approved program/project proposal to
Finance Service or other potential
funding institutions for fund allocation.

4. Advises the TAD to prepare the

Director IV-ELUPDB training modules for the conduct of
orientation to the Division handling
the program/project.
3 Implementation of program/project

HHRO VI-UDD 1. Disseminates program/project

communication, report and work plan
to concerned offices.

HHRO VI-UDD 2. Implements the program/project in

accordance with the approved work
and financial plan.

Director IV & Regional 3. Develops a communication hub

173
Offices Staff where stakeholders can collaborate
on the progress of the
program/project.
4 Monitoring of program/ project
implementation

HHRO VI- Assigned 1. Conducts regular monitoring to

Division ensure that the program/project
implementation is in accordance with
its objectives, milestones and work
plan.

2. Recommends changes to
program/project implementation, if
necessary.
5 Closing of program/project

Director IV-ELUPDB 1. Upon completion of program/project

implementation, prepares and
submits an accomplishment report.
HHRO VI-Assigned Division
2. Develops a policy/strategy/ framework
for sustainability and integration to
regular planning processes.

3.4.2.3a TECHNICAL PLANNING ASSISTANCE PROCESS TO

LGU’s BY ELUPDD

PROCEDURES FOR EXTENDING TECHNICAL PLANNING ASSISTANCE TO

LGUS BY REGIONAL ELUPDD
Responsible Procedure
Instruction/Activity
Person No.
1 Identification of LGUs to be provided
with Technical Assistance and
determination of modes of conduct

HHRO VI-ELUPDD 1. Identifies LGUs to be provided

(Regional Offices) technical assistance based on the
following:

a. New policies, frameworks,

strategies and guidelines by the
Department
b. Existing status of CLUP and ZO,
and PPFP formulation and
implementation

174
 c. Ongoing and upcoming projects by
the Department and other
institutional partners
d. Requests from LGUs, NGAs and
other institutions
e. Other intervening and strategic
targets set by the Secretary

2. Determines topics and technical inputs

to provide to target LGUs.

b. CLUP and ZO and PPFP

formulation/revision/updating,
implementation and enforcement
c. LSP formulation and updating
d. Creation of Local Housing Board
(LHB)
e. Urban development laws, policies,
standards and guidelines

3. Coordinates with target LGUs and

determines modes of conduct of
technical assistance:

a. DHSUD-led training program

b. On-field mentoring and coaching
c. Act as resource persons in
seminars, training and meetings
led by the requesting party or
other institutional partners
d. Assistance to walk-in
consultations
e. Assistance through online, phone
and letter queries

4. Approves target LGUs and modes of

Regional Director IV conduct of technical assistance and
instructs Regional ELUPDD to
proceed with the activity.

2 Preparation of administrative and

logistical requirements

HHRO VI-ELUPDD 1. Prepares activity proposal including

(Regional Offices) the objectives, contents,
methodologies, list of participants and

175
 activity program of the training/s and
mentoring and coaching session/s.

2. Prepares administrative and logistical

requirements for the training:

a. Manpower
b. Transportation
c. Supplies and materials
d. Food and venue
e. Training providers and/or resource
persons

3. Secures approval of the Regional

Director IV.

Regional Director IV 4. Approves the proposal to conduct the

training/technical assistance.

HHRO VI-ELUPDD 5. Upon approval, notifies the concerned

(Regional Offices) LGUs on the approval of the technical
assistance activity and provides
logistical support to the participants.
3 Conduct of technical assistance
activity

HHRO VI-ELUPDD 1. Ensures arrival and presence of

(Regional Offices) training team and participants before
starting the activity.

HHRO I-ELUPDD 2. Handles the registration of participants

Regional Director IV 3. Facilitates conduct of opening

program

HHRO VI, V & IV- ELUPDD 4. Presents and discusses the applicable
training modules.

5. Assists the participants in the

practicum phase throughout the
duration of the activity
4 Conduct of closing program activities

1. Conducts Post-activity Evaluation and

HHRO III- Client Satisfaction Survey.
ELUPDD

176
 2. Collects the activity output and
HHRO II-ELUPDD documentary requirements.

3. Facilitates closing activities

HHRO VI-ELUPDD
a. Agreements on the next steps
b. Distribution of certificates
c. Closing remarks
d. Group pictures

4. Checks and settles financial

HHRO II- obligations.
ELUPDD
5 Conduct of post assistance activities

HHRO VI-ELUPDD 1. Prepares and submits liquidation/

(Regional Offices) reimbursement and other
documentary requirements.

2. Reviews post-activity evaluation

submitted by participants for
improvement in the conduct of any
succeeding trainings.

3. Prepares a report immediately after

the activity and submits the same to
the Regional Director copy furnished
TAD

4. Includes activity as part of the

accomplishment report that is to be
submitted to the ELUPDB-M &ED.

5. Sends training materials and

documentation notes to participants.

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 3.4.2.3b CAPABILITY BUILDING PROCESS

PROCEDURES FOR CONDUCTING CAPABILITY BUILDING PROGRAM FOR

ELUPDB AND REGIONAL ELUPDD STAFF
Responsible Procedure
Instruction/Activity
Person No.
1 Conducting capability and training
needs assessment

HHRO VI-TAD 1. Identifies personnel knowledge and

skills to be enhanced based on the
following:

a. Existing and proposed policies,

frameworks, strategies, plans,
guidelines and standards
b. Performance of Regional Offices in
the provision of technical
assistance
c. Feedback from Regional Offices
and stakeholders
d. Emerging trends and topics in
environmental, land use and urban
planning and development
e. Ongoing projects of the Bureau and
other partner institutions.

2. Conducts pre-training needs

assessment/ survey to validate and
further determine the necessary
knowledge and skills to be developed.

3. Determines if training will be in-house

or external, and drafts a training
concept note, including the initial list of
participants.

Director IV-ELUPDB 4. Approves the concept note and

instructs the Technical Assistance
Division to prepare for the
administrative and logistical
requirements of the training.
2 Preparation of administrative and
logistical requirements

HHRO VI-TAD 1. Prepares activity proposal including

178
 the objectives, contents,
methodologies, list of participants and
activity program of the training/s.

HHRO VI-TAD 2. Prepares administrative and logistical

requirements for the training:

a. Manpower
b. Transportation
c. Supplies and materials
d. Food and venue
e. Training providers and/or resource
persons

Director IV-ELUPDB 3. Secures approval of the Secretary.

Secretary 4. Approves the proposal to conduct the

training.

HHRO VI-TAD 5. Upon approval, notifies the concerned

Bureau and Regional Office staff on
the approval of the capability building
activity and provides logistical support
to the participants.
3 Conduct of capability building activity

HHRO VI-TAD 1. Ensures arrival and presence of

training team and participants before
starting the activity.

HHRO I-TAD 2. Handles the registration of participants

Director IV-ELUPDB 3. Facilitates conduct of opening program

HHRO VI, V & IV-TAD 4. Presents and discusses the applicable

training modules.

5. Assists the participants in the

practicum phase throughout the
duration of the training course

4 Conduct of closing program activities

HHRO III-TAD 1. Conducts Post-training Evaluation and

Client Satisfaction Survey.

179
HHRO II-TAD 2. Collects the training output and
documentary requirements.

HHRO VI-TAD 3. Facilitates closing activities

a. Agreements on the next steps

b. Distribution of certificates
c. Closing remarks
d. Group pictures

HHRO II-TAD 4 Checks and settles financial obligations.

5 Conduct of post training activities

HHRO VI-TAD 1. .Prepares and submits liquidation/

reimbursement and other documentary
requirements.

2. Reviews training evaluation submitted

by participants for improvement in the
conduct of any succeeding trainings.

3. Prepares a report immediately after the

activity and submits the same to the
ELUPDB Director and MED for
information purposes, copy furnished
the Supervising Undersecretary and
Assistant Secretary of the Bureaus and
Regional Offices.

4. Sends training materials and

documentation notes to participants.

3.4.2.3c TECHNICAL ASSISTANCE AND SUPPORT PROCESS BY

ELUPDB

PROCEDURES FOR CONDUCTING TECHNICAL ASSISTANCE AND SUPPORT

TO REGIONAL OFFICES, LGUs, NGAs AND OTHER INSTITUTIONS BY ELUPDB
Responsible Procedure
Instruction/Activity
Person No.
1 Receiving of request for Technical
Assistance and Support

Director IV-ELUPDB 1. Receives requests from Regional

Offices, LGUs, NGAs and other
institutions for technical assistance and
support on the following topics:

180
 a. CLUP and ZO and PPFP
formulation/revision/updating,
implementation and enforcement;
b. LSP formulation and updating
c. Creation of Local Housing Board
(LHB)
d. Urban development laws, policies,
standards and guidelines

HHRO VI-TAD 2. Determines if technical assistance is

necessary or if it can be delegated to
Regional Offices. If necessary,
assigns staff/s to provide assistance.

TAD- Assigned staff/s 3. Coordinates with requesting party for

Director IV-ELUPDB activity details on the conduct of
technical assistance and prepares
documentary requirements, including
travel documents, if necessary.

4. Secures travel orders for assigned

staff, if necessary.
2 Conduct of Technical Assistance and
Support

TAD- Assigned staff/s 1. Coordinates with requesting party and

conducts Technical Assistance and
Support through any of the following
means:

a. DHSUD-led training program

b. On-field mentoring and coaching
c. Act as resource persons in
seminars, training and meetings
d. Assistance to walk-in consultations
e. Assistance through online, phone
and letter queries

2. Provides technical inputs based on the

requested topics or subjects and
suggests future plan of actions for the
requesting party.

3. Conducts Client Satisfaction Survey

after assistance.

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 3 Conduct of post assistance activities

HHRO VI-ELUPDD 1. Prepares and submits

(Regional Offices) liquidation/reimbursement and other
documentary requirements, if
necessary.

2. Prepares a report immediately after

the activity and submits the same to
the ELUPDB Director and M&ED.

3. Reviews training evaluation submitted

by participants for improvement in the
conduct of any succeeding trainings.

4. Includes activity as part of the

accomplishment report for submission
to the ELUPD M&ED.

5. Sends training materials and

documentation notes to the
participants.

3.4.2.4a REVIEW, ADOPTION AND APPROVAL PROCESS FOR

PROVINCIAL PHYSICAL FRAMEWORK PLAN (PPFP)

PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF PPFP

Responsible Procedure
Instruction/Activity
Person No.
1 Submission of final draft of PPFP

Governor of the Province 1. Transmits to the Department of

Human Settlements and Urban
Development–Regional Office
(DHSUD–RO) one (1) set of
presentation maps and at least three
(3) copies of final draft Provincial
Physical Framework Plan (PPFP)
together with the following documents:

a. Digital Copy of final draft PPFP

documents and presentation
maps (e.g. pdf, jpeg or png
formats);
b. Vector file data of the
presentation maps (e.g. shp for

182
 ESRI shapefiles, kml/kmz for
Google Earth files, dxf/dwg for
CAD files, tab for MapInfo, or
other vector formats);
c. Executive Summary of the PPFP;
d. Sangguniang Panlalawigan (SP)
Secretary’s Certificate of Public
Hearing/Consultation Conducted;
e. Minutes of Public
Hearing/Consultation;
f. List of Invitees and Sector
Represented;
g. Copy of Issued Invitation Letter/
Notice of Public
Hearing/Consultation and
h. Copy of Attendance Sheet

DHSUD-RO 2. Receives and checks completeness

of plan documents.

If incomplete, returns the documents

to the Local Government Unit (LGU)
and requests for its completion.

If complete, proceeds with activity 3.

DHSUD-RO b. Endorses and transmits documents to

Regional Land use Committee
(RLUC) copy furnished DHSUD –
Environmental, Land Use, and Urban
Planning and Development Bureau
(DHSUD–ELUPDB) for review.
2 Conduct of review of final draft of
PPFP by RLUC and SP

DHSUD-ELUPDD, RO 1. Reviews the draft PPFP and

prepares reports/ recommendations
and transmits their review report to
RO for consolidation. This step is
conducted simultaneously with the
review by RLUC members.

DHSUD-RO 2. Transmits the consolidated DHSUD

review report to RLUC. The review
report will be further discussed in the
review meeting to be scheduled by
RLUC.

183
RLUC 3. Upon receipt of the plan documents
from DHSUD–RO, RLUC, through its
Secretariat, transmits copies (digital
or printed) of the documents to the
members of the committee (Refer to
Textbox 2.) before the scheduled
review meeting.

RLUC Member 4. Reviews the PPFP and generates

their respective reports with the
Parameters for the Review of the
PPFP (Refer to Annex 2.) as their
guide.

RLUC 5. Convenes a meeting with the LGU to

Chairman & members present their plan and for the
members to discuss their respective
comments and recommendations.

Note: The RLUC members may

expand the review parameters
provided herein, for the impacts,
approach, and strategies among
others across sectors and
ecosystems.

6. Completes their final review report

and transmits the same to the LGU
for the integration of comments and
recommendations into their PPFP, or
endorses for adoption and
enactment if no revisions were
recommended

Province 7. Revises the draft PPFP integrating

the recommendations of RLUC.

Note: Close coordination between

the LGU and the reviewing body is
recommended to facilitate the
refinement. At this step, the period
for review is temporarily halted.
When the LGU could not comply
within 3 weeks, they may request an
extension for the integration of
review comments.

184
 8. Transmits the revised PPFP to
RLUC to ensure that
recommendations were integrated.
Once transmitted and received by
RLUC, review period counting
continues.

RLUC 9. Checks if comments/

recommendations were incorporated
in the PPFP.

10. Endorses the PPFP to LGU through

the Sangguniang Panlalawigan (SP)
for adoption and enactment and
furnishes a copy of the endorsement
to the DHSUD-RO for information.

Sangguniang 11. Adopts the PPFP through a

Panlalawigan resolution. The review period shall
be temporarily halted.

Province 12. Submits six (6) copies of the

adopted PPFP and plan documents
to DHSUD–ELUPDB, through
DHSUD–RO, for cursory review and
approval.
3 Review, adoption and approval of
PPFP by DHSUD

DHSUD-ELUPDB 1. Conducts a cursory review on the

PPFP and plan documents and
coordinates with the LGU regarding
further comments, if any.

2. Upon fulfillment of required

documents, endorses the PPFP for
the approval of the Department
Secretary and requests the presence
of the Governor during the PPFP
presentation.

Province 3. Presents the plan before the DHSUD

Secretary and representatives from
concerned offices.

DHSUD Secretary 4. Approves/ratifies the PPFP and

185
 awards certificate of approval.

DHSUD 5. Authenticates the PPFP and other

ELUPDB plan documents.

6. Retains one (1) set of plan

documents, one (1) set of presentation
maps, map atlas, digital file copy and
certificate of approval, and stores the
documents in their
records/database/library.

7. Furnishes the remaining copies of

plan documents and a copy of the
certificate of approval
approving/ratifying the plan to the
following:

a. DHSUD–RO with one (1) set of

plan documents, one (1) set of
presentation maps, one (1) map
atlas, digital file copy and
certificate of approval, and stores
the documents in their
records/database/library; and
LGU b. LGU with four (4) copies of plan
documents, one (1) set of
presentation map and certificate
of approval.

8. Publishes the ratified PPFP as a

requirement per Sec 59 of the Local
Government Code (RA 7160.

3.4.2.4b REVIEW, ADOPTION AND APPROVAL PROCESS FOR

CLUP AND ZONING ORDINANCE FOR COMPONENT
CITIES AND MUNICIPALITIES (CCM)

PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF CLUP

AND ZO FOR COMPONENT CITIES AND MUNICIPALITIES
Responsible Procedure Instruction/Activity
Person No.
1 Submission of final draft of CLUP and
ZO

LGU 1. Through the Mayor, transmits to the

186
 DHSUD-Regional Office (RO) one (1)
set of presentation maps and at least
three (3) copies of final draft of CLUP
and Zoning Ordinance together with
the following documents:

a. Digital copy of the draft CLUP and

ZO documents and presentation
maps (e.g. pdf, png, jpeg);
b. Vector file data of the presentation
maps (e.g. shp, kml/kmz, dxf/dwg,
tab);
c. Executive Summary of the CLUP;
d. Sangguniang Panlungsod
(SP)/Sangguniang Bayan(SB)
Secretary’s Certificate of Public
Hearing conducted;
e. Minutes of Public
Hearing/Consultation;
f List of invitees and sector
represented;
g Copy of issued invitation
letter/Notice of Public Hearing;
and
h. Copy of Attendance Sheet.

DHSUD-RO 2. Receives plan documents and

checks/determines the completeness
of required documents submitted and
checks compliance of the plan to the
agricultural land reclassification limits
set under Section 20 of LGC and MC
54.

• If incomplete, returns the

documents to the LGU and
requests for its completion.
• If complete, transmits and endorses
the plan documents to Sangguniang
Panlalawigan (SP).

Sangguniang 3. Receives plan documents and

Panlalawigan Secretary endorses to Provincial Land Use
Committee (PLUC) for review.

187
 2 Conduct of review of final draft of
CLUP and ZO by PLUC

PLUC/ PLUC Chairman 1. Reviews CLUP and ZO.

a. Schedules review meeting, three

(3) weeks after receipt of plan
documents and invites the LGU
to present the plan. Other
stakeholders may also be invited
as needed.
b. Routes and transmits copies
(digital or printed) of the plan
documents to members of the
committee three (3) weeks before
the actual review meeting.
Members are requested to
complete their review reports
(based on the review parameters)
after two (2) weeks and to submit
the reports to the PLUC
Secretariat for consolidation.
c. Convenes the PLUC as
scheduled.
• If there is quorum, proceeds
with the review.
• If there is no quorum, defers
review until quorum is met. A
quorum is met when majority
(50%+1) of the members are
present.
d. Presents the CLUP and ZO for
deliberation consistent with the
review parameters. Members
present their respective
comments and recommendations.
e. Completes the final review report
and recommendations after two
(2) weeks.
• If with comments/
recommendations, transmits
documents to LGU for
refinement.
• If none, endorses the CLUP
and ZO to LGU for adoption
and enactment.

188
LGU 2. Refines the plan consistent with the
recommendations of PLUC. Close
coordination between the LGU and
the reviewing body is recommended
to facilitate the refinement.

PLUC 3. Transmits refined CLUP and ZO to

PLUC.

LGU 4. Checks if comments/

recommendations were incorporated
in the CLUP and ZO.

5. Endorses CLUP and ZO to LGU for

adoption and enactment by the
concerned Sanggunian and furnishes
a copy of the endorsement to the
Sangguniang Panlalawigan.

PLUC 6. Through the Sangguniang

Panlungsod (SP)/ Sangguniang
Bayan (SB), adopts the CLUP and
enacts the ZO.

LGU 7. Submits the adopted CLUP and

enacted ZO to the Sangguniang
Panlalawigan, through the PLUC, for
cursory review and approval.

List of documents to be submitted for

final approval and ratification are the
following:

• At least five (5) copies of the

adopted CLUP and enacted ZO
• At least four (4) sets of
presentation maps in A0 size
paper
• Two (2) Map Atlas of thematic
maps in A3 size paper
• Digital copy of the draft CLUP and
ZO documents and presentation
maps (e.g. pdf, png, jpeg);
• Vector file data of the presentation

189
 maps (e.g. shp, kml/kmz, dxf/dwg,
tab);
• Executive Summary of the CLUP;
• SP/SB resolution adopting CLUP;
• Sangguniang
Panlungsod(SP)/Sangguniang
Bayan(SB) Secretary’s Certificate
of Public Hearing conducted;
• Minutes of Public
Hearing/Consultation;
• List of invitees and sector
represented;
• Copy of issued invitation
letter/Notice of Public Hearing;
and
• Copy of Attendance Sheet.

8. Conducts cursory review of the

submitted documents and
coordinates with the LGU directly, if
necessary.

9. Endorses the CLUP and ZO to

Sangguniang Panlalawigan for
approval upon fulfilment of required
documents.

3 Conduct of CLUP and ZO approval

and documentation

Sangguniang 1. Approves the CLUP and ZO

Panlalawigan
2. Authenticates the approved CLUP,
ZO and other plan documents
4.
3. Through the Provincial Planning
and Development Office (PPDO),
retains one (1) set of the plan
documents.

LGU 4. Furnishes the remaining copies and

a copy of the Sangguniang
Panlalawigan Resolution approving
the CLUP and ZO to the following:
• DHSUD-RO and ELUPDB – 1 set
each including presentation maps

190
 and digital file copy; Map Atlas shall
be sent to DHSUD-ELUPDB and
DHSUD-RO
• LGU – 2 remaining copies and 1 set
of presentation maps

DHSUD-RO 5. Publishes the ratified CLUP and ZO

consistent with Section 59 of the
Local Government Code (R.A.
7160)

6. Receives the copy of the plan

documents and stores in their
records/database/library.

3.4.2.4c REVIEW, ADOPTION AND APPROVAL PROCESS FOR

CLUP AND ZO FOR HIGHLY URBANIZED CITIES (HUCs)
AND INDEPENDENT COMPONENT CITIES (ICCs)

PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF CLUP

AND ZO FOR HIGHLY URBANIZED CITIES AND COMPONENT CITIES
Responsible Procedure
Instruction/Activity
Person No.
1 Submission of final draft of CLUP and
ZO
LGU
1. Through the Mayor, transmits to
DHSUD-Regional Office (RO) one (1)
set of presentation maps and at least
three (3) copies of final draft of CLUP
and Zoning Ordinance together with
the following documents:

a. Digital copy of the draft CLUP and

ZO documents and presentation
maps (e.g. pdf, png, jpeg);
b. Vector file data of the presentation
maps (e.g. shp, kml/kmz, dxf/dwg,
tab);
c. Executive Summary of the CLUP;
d. Sangguniang
Panlungsod(SP)/Sangguniang
Bayan(SB) Secretary’s Certificate
of Public Hearing conducted;
e. Minutes of Public
Hearing/Consultation;

191
 f List of invitees and sector
represented;
g Copy of issued invitation
letter/Notice of Public Hearing;
and
h. Copy of Attendance Sheet.
DHSUD-RO
2...Receives plan documents and
checks/determines the completeness
of required documents submitted and
checks compliance of the plan to the
agricultural land reclassification limits
set under Section 20 of LGC and MC
54.

• If incomplete, returns the

documents to the LGU and
requests for its completion.
• If complete, transmits and endorses
the plan documents to Regional
Land Use Committee (RLUC) and
DHSUD-Environmental, Land Use
and Urban Planning and
Development Bureau (ELUPDB).

3. Transmits the documents to the

RLUC and furnishes a copy to the
ELUPDB for review.
2 Conduct of review of final draft of
CLUP and ZO by PLUC

DHSUD-RO, ELUPDB 1. Prepares the review reports of the

draft CLUP and ZO and transmits
comments to the Regional Office for
consolidation. This is conducted
simultaneously with the generation of
the review reports of the RLUC
members.

DHSUD-RO 2. Consolidates DHSUD report and

transmits it to RLUC.

RLUC/ RLUC Chairman 3. Reviews CLUP and ZO.

a. Schedules review meeting, three

(3) weeks after receipt of plan

192
 documents and invites the LGU to
present the plan. Other
stakeholders may also be invited
as needed.
b. Routes and transmits copies
(digital or printed) of the plan
documents to members of the
committee three (3) weeks before
the actual review meeting.
Members are requested to
complete their review reports
(based on the review parameters)
after two (2) weeks and to submit
the reports to the RLUC
Secretariat for consolidation.
c. Convenes the RLUC as
scheduled.
• If there is quorum, proceeds
with the review.
• If there is no quorum, defers
review until quorum is met. A
quorum is met when majority
(50%+1) of the members are
present.
d. Presents the CLUP and ZO for
deliberation consistent with the
review parameters. Members
present their respective
comments and recommendations.
e. Completes the final review report
and recommendations after two
(2) weeks.
• If with comments/
recommendations, transmits
documents to LGU for
refinement.
• If none, endorses the CLUP
and ZO to LGU for adoption
and enactment.

LGU 4. Refines the plan consistent with the

recommendations of RLUC. Close
coordination between the LGU and
the reviewing body is recommended
to facilitate the refinement.

193
 5. Transmits refined CLUP and ZO to
RLUC.

RLUC 6. Checks if comments/

recommendations were incorporated
in the CLUP and ZO.

LGU 7. Endorses CLUP and ZO to LGU for

adoption and enactment by the
concerned Sanggunian and furnishes
a copy of the endorsement to the
DHSUD-RO.
8. Through the Sangguniang
Panlungsod (SP) adopts the CLUP
and enacts the ZO.

9. Submits the adopted CLUP and

enacted ZO to DHSUD-ELUPDB,
through the RO, for cursory review
and approval.

List of documents to be submitted for

final approval and ratification are the
following:

• At least five (5) copies of the

adopted CLUP and enacted ZO
• At least four (4) sets of
presentation maps in A0 size
paper
• Two (2) Map Atlas of thematic
maps in A3 size paper
• Digital copy of the draft CLUP and
ZO documents and presentation
maps (e.g. pdf, png, jpeg);
• Vector file data of the presentation
maps (e.g. shp, kml/kmz, dxf/dwg,
tab);
• Executive Summary of the CLUP;
• SP/SB resolution adopting CLUP;
• Sangguniang
Panlungsod(SP)/Sangguniang
Bayan(SB) Secretary’s Certificate
of Public Hearing conducted;
• Minutes of Public
Hearing/Consultation;

194
 • List of invitees and sector
represented;
• Copy of issued invitation
letter/Notice of Public Hearing;
and
• Copy of Attendance Sheet.

DHSUD-ELUPDB 10. Conducts cursory review on the

submitted documents and
coordinates with the LGU directly, if
necessary.

11. Upon fulfilment of required

documents, endorses the CLUP and
ZO to the DHSUD Secretary for
approval and invites LGU to present
the plan.
3 Conduct of CLUP and ZO approval
and documentation

Secretary 1 .Approves/ratifies the CLUP and ZO

after the presentation of the plan by
the City Mayor of concerned LGU or
his/her duly authorized
representative.

DHSUD-ELUPDB 2 .Authenticates the approved CLUP, ZO

and other plan documents

3 .Retains one (1) set of the plan

documents including presentation
maps, map atlas, digital file copy and
certificate of approval, and stores the
documents in their
records/database/library.

4 .Furnishes the remaining copies and a

copy of the certificate of approval
approving/ratifying the CLUP and ZO
to the following:

• DHSUD-RO – 1 set of plan

documents including presentation
maps, map atlas, digital file copy
and certificate of approval; RO
stores documents in their

195
 records/database/library.
• LGU – 3 remaining copies of plan
documents, 2 sets of presentation
maps and 1 certificate of approval.

LGU 5 .Publishes the ratified CLUP and ZO

consistent with Section 59 of the
Local Government Code (R.A. 7160)

3.4.2.4d REVIEW, ADOPTION AND APPROVAL PROCESS FOR

CLUP AND ZO FOR METRO MANILA CITIES AND
MUNICIPALITY (MMCM)

PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF CLUP AND

ZO FOR METRO MANILA CITIES AND MUNICIPALITY
Responsible Procedure
Instruction/Activity
Person No.
1 Submission of final draft of CLUP and
ZO
LGU
1. Through the Mayor, transmits to
DHSUD-National Capital Region
(NCR) and copy furnishes to MMDA-
Office of the Assistance General
Manager for Planning (OAGMP) one
(1) set of presentation maps and at
least three (3) copies of final draft of
CLUP and Zoning Ordinance together
with the following documents:

a. Digital copy of the draft CLUP and

ZO documents and presentation
maps (e.g. pdf, png, jpeg);
b. Vector file data of the presentation
maps (e.g. shp, kml/kmz, dxf/dwg,
tab);
c. Executive Summary of the CLUP;
d. Sangguniang
Panlungsod(SP)/Sangguniang
Bayan(SB) Secretary’s Certificate
of Public Hearing conducted;
e. Minutes of Public
Hearing/Consultation;
f List of invitees and sector
represented;
g Copy of issued invitation

196
 letter/Notice of Public Hearing; and
h. Copy of Attendance Sheet.

DHSUD-NCR 2. Receives plan documents and

checks/determines the
completeness of required documents
submitted.

• If incomplete, returns the documents

to the LGU and requests for its
completion.
• If complete, transmits and endorses
the plan documents to DHSUD-
Environmental, Land Use and Urban
Planning and Development Bureau
(ELUPDB).

3. Transmits the documents to the RLUC

and furnishes a copy to the ELUPDB
for the review.
2 Conduct of review of final draft of
CLUP and ZO by PLUC

DHSUD-NCR, ELUPDB, 1. Conducts joint technical review on the

MMDA CLUP and ZO.

a. Schedules review meeting, three (3)

weeks after receipt of plan
documents and invites the LGU to
present the plan. Other
stakeholders/agencies may also be
invited as members of the technical
review such as OCD-NDRRMC,
CCC, RRC and technical agencies
including DPWH, DENR (EMB,
MGB, BMB), LLDA, DOH, DOTr,
DOST (PAGASA, PHIVOLCS)
among others.
b. The joint technical review body
generates their review reports
(based on the review parameters)
for three (3) weeks prior the review
meeting.
c. Presents the CLUP and ZO during
the review meeting for deliberation
consistent with the review

197
 parameters. Technical reviewing
body presents their respective
comments and recommendations.
d. Completes the final review report
and recommendations after two (2)
weeks.
• If with comments/
recommendations, transmits
documents to LGU for
refinement.
• If none, MMDA endorses the
CLUP and ZO to LGU for
adoption and enactment.

LGU 2. Refines the plan consistent with the

recommendations of reviewing body.
Close coordination between the LGU
and the reviewing body is
recommended to facilitate the
refinement.

3. Transmits refined CLUP and ZO to

DHSUD and MMDA-OAGMP.

DHSUD-NCR, ELUPDB, 4. Checks if comments/

MMDA recommendations were incorporated
in the CLUP and ZO.

5. Endorses CLUP and ZO to LGU for

adoption and enactment by the
concerned Sanggunian and furnishes
a copy of the endorsement to the
DHSUD-ELUPDB.

LGU 6. Through the Sangguniang Panlungsod

(SP) adopts the CLUP and enacts the
ZO.

7. Submits the adopted CLUP and

enacted ZO to the MMDA-OAGMP, for
Metro Manila Council (MMC)
endorsement for approval/ratification.

DHSUD, MMDA 8. MMDA receives the plan documents

and checks for completeness.

198
MMDA 9. Transmits the plan documents to the
Metro Manila Council’s (MMC)
endorsement for approval/ratification.

Metro Manila Council/ 10. Passes resolution endorsing the

MMDA CLUP and ZO to DHSUD for approval
and ratification. Transmits the plan
documents with the MMC resolution to
DHSUD-ELUPDB.

DHSUD-ELUPDB 11. Conducts cursory review of the CLUP,

ZO and other plan documents and
coordinates with the LGU directly, if
necessary. Upon fulfilment of required
documents, endorses the CLUP and
ZO to DHSUD Secretary for approval
and invites LGU to present the plan.

List of documents to be submitted for

final approval and ratification are the
following:

• At least five (5) copies of the

adopted CLUP and enacted ZO
• At least four (4) sets of
presentation maps in A0 size paper
• Two (2) Map Atlas of thematic
maps in A3 size paper
• Digital copy of the draft CLUP and
ZO documents and presentation
maps (e.g. pdf, png, jpeg);
• Vector file data of the presentation
maps (e.g. shp, kml/kmz, dxf/dwg,
tab);
• Executive Summary of the CLUP;
• SP/SB resolution adopting CLUP;
• Sangguniang
Panlungsod(SP)/Sangguniang
Bayan(SB) Secretary’s Certificate
of Public Hearing conducted;
• Minutes of Public
Hearing/Consultation;
• List of invitees and sector
represented;
• Copy of issued invitation
letter/Notice of Public Hearing;

199
 •
Copy of Attendance Sheet; and
•
MMC resolution endorsing the
CLUP and ZO for approval.
3 Conduct of CLUP and ZO approval and
documentation

Secretary 1. Approves/ratifies the CLUP and ZO

after the presentation of the plan by
the City/Municipal Mayor of concerned
LGU or his/her duly authorized
representative.

DHSUD-ELUPDB 2. Authenticates the approved CLUP, ZO

and other plan documents

3. Retains one (1) set of the plan

documents including presentation
maps, map atlas, digital file copy and
certificate of approval, and stores the
documents in their
records/database/library.

4. Furnishes the remaining copies and a

copy of the certificate of approval
approving/ratifying the CLUP and ZO
to the following:

• DHSUD-NCR – 1 set of plan

documents including presentation
maps, map atlas, digital file copy
and certificate of approval; RO
stores documents in their
records/database/library.
• MMDA – 1 set of plan documents
including presentation maps, digital
file copy and certificate of approval.
• LGU – 2 remaining copies of plan
LGU documents, 1 set of presentation
maps and certificate of approval.

5. Publishes the ratified CLUP and ZO

consistent with Section 59 of the
Local Government Code (R.A. 7160)

200
 3.4.2.5 MONITORING AND EVALUATION PROCESS

PROCEDURES FOR MONITORING AND EVALUATION OF ENVIRONMENTAL

LAND USE AND URBAN PLANNING AND DEVELOPMENT POLICIES
Responsible Procedure
Instruction/Activity
Person No.
1 Conduct of preparatory activities for
the monitoring and evaluation of
related policies

Director IV-ELUPDB 1. Instructs the Division Chief of the

Monitoring & Evaluation Division
(MED) to commence the preparation
of the DHSUD monthly/ quarterly/
semi-annual and annual
accomplishment report and other
monitoring reports related to the
functions of the Bureau (e.g. Policy
Development, CLUP Status, Land Use
Changes, etc.).

HHRO VI- MED 2. Conducts discussion with the Planning

Service, KMISS and Regional Offices
to come up/update/revise/improve the
monitoring forms and IT-based tools
used to capture and assess the
accomplishments of the DHSUD
based on its programs, projects and
activities (PPA) and based on the
targets specified in the NEP or GAA,
as well as to capture the following
data:

a. Inventory of idle lands suitable for

housing and urban development
b. Inventory of existing CLUPs and
ZOs, including but not limited to
the following information:

b.1 No. of cities/municipalities/

provinces provided with
technical assistance
b.2 No. of trainings conducted
b.3 No. of CLUPs/ZOs reviewed
as PLUC/RLUC member
b.4 No. of CLUPs/ZOs facilitated/

201
 assisted for approval
b.5 Status of CLUP preparation
of LGUs
b.6 Land use changes and
reclassification of
agricultural lands
c. Inventory of existing LSPs and
local ordinances adopting the
LSPs
d. Inventory of housing stock
e. List of existing and potential
beneficiaries of housing
assistance and their socio-
economic profiles

HHRO VI–MED & IT 3. Jointly conducts field workshop to

Officer III further establish and validate a
uniform and systematic reporting
procedure using the official monitoring
forms or other IT-based monitoring
tools.
HHRO VI-TAD
4. In the conduct of CLUP/LSP, ensures
that the LGUs shall
provide/incorporate the following data
requirements:

a. Inventory of idle lands suitable for

housing and urban development;
b. Land use changes and
reclassification of agricultural
lands
d. Inventory of existing LSPs and
local ordinances adopting the
LSPs
e. Inventory of housing stock
f. List of existing and potential
beneficiaries of housing
assistance and their socio-
economic profiles.
2 Issuance of notices to Regional
Offices on the submission of
monitoring reports
HHRO VI-
MED 1. Forwards to all regional offices, one
week before the end of the month, the

202
 monitoring forms and memorandum
requesting submission of their
respective accomplishment/monitoring
report by the 3rd week of the
HHRO VI- MED succeeding month.

2. Prepares and submits the

accomplished monitoring report of the
region on or before the 3rd week of the
HHRO V – MED, PS succeeding month to the HHRO VI-
MED, PS.

3. Upon receipt of the accomplished

regional monitoring report,
consolidates/ evaluates/validates the
submitted performance report for
preparation of the DHSUD overall
performance report.

HHRO IV- MED, PS 4. In case there is a need to undertake

ground validation, schedules the
conduct of field/ground monitoring.

5. Prepares internal office documents

and logistical requirements for the said
field/ground monitoring such as: travel
order, vehicle request and other
logistical requirements.

HHRO V- 6. Establishes liaison/coordination with

MED, PS the Regional Office and identified
sources of data to facilitate the
conduct of ground validation.

7. Prepares the report of the ground

validation conducted and incorporates
the same in the Agency Performance
Report.

3 Submission of monitoring reports

HHRO V- 1. Upon completion of ground validation

MED, PS and consolidation of regional reports,
submits a progress report of
accomplishment to the Director IV-
ELUPDB, copy furnish the supervising
Assistant Secretary and
203
 Undersecretary of the unit for final
review and endorsement to the
Secretary. Also submits other
monitoring reports as basis for policy
and program development and
enhancement.

Director IV-ELUPDB 2. Submits the DHSUD Performance

Report duly endorsed by the
supervising ASec/USec to the
Secretary for the period under review
either for information or approval.

Secretary 3. Approves the DHSUD Performance

Report
4 Distribution of approved agency
performance report

HHROVI- MED, PS 1. Reproduces official report and

HHRO VI of assigned furnishes copy to the bureaus,
Division services, regional offices and other
national government agencies like
DBM, NEDA, Congress and Senate.
Information System Development and Management
1 Systems Investigation (Product
Feasibility Study)

HHRO VI- MED 1. In coordination with the KMISS,

determines ways to address the
group’s problem and opportunities in
relation to its information system
requirements.

2. Based on the preliminary analysis,

conducts a feasibility study, to
determine whether a new or improved
business system is a feasible solution.

3. Develops a project management plan

and secures management approval
2 Systems Analysis (Product Functional
Requirements).

HHRO VI- MED 1. Undertakes consultation with the

and KMISS different stakeholder groups to
determine the specific information
needs/requirements for the new system.

204
 2. Develops the functional data
requirements of a system that can meet
business priorities and the needs of the
stakeholders.
3. Develops a logical model of a system to
get an overall picture of exactly what a
system is supposed to do.
3 Systems Design (Product System
Specifications).

KMISS 1..Based on the system requirements

document created in the system
analysis, develops the specific technical
details required for the system
(hardware, software, people, network
and data resources and information
products that will satisfy the functional
requirements of the proposed business
information system) including the
financial requirements to develop the
system.

2.. Develops logical model of new system

4 Systems Development

1. Determines if it makes more sense to

build the system by the KMISS or to
purchase it from an outside company
based on the “build vs. buy” decision.

If the decision is to outsource the

development of the new system,
develops the Terms of Reference for
the development of the new system.

If the system is to be developed in-

house, a programmer (or team of
programmers) of the KMISS develops
the program that meets the
requirements laid out in the system-
analysis phase and the design
developed in the system-design phase.
5 System Implementation and Testing
(Product Operational System).

KMISS or System 1. Puts the software program developed

in the systems development through a

205
Developer series of the following structured tests:

a. The first is a unit test, which tests

individual parts of the code for
errors or bugs.
b. The second is a system test, where
the different components of the
system are tested to ensure that
they work together properly.
c. The third and final test is the user-
acceptance test, which allows those
that will be using the software to test
the system to ensure that it meets
their standards. Any bugs, errors, or
problems found during testing are
addressed and then tested again.

2. Through the assistance of the TAD,

trains the users (ELUPDB, ROs and
other organizational units) and provides
system documentation and conversion
from any previous system to the new
system.
6 Maintenance (Product Improved
System).

HHRO VI- MED 1. Uses a post implementation review

& KMISS process to monitor, evaluate and
modify the business system as needed.
2. Ensures that the system has a
structured support process in place:
reported bugs are fixed and requests
for new features are evaluated and
implemented and system updates and
backups are performed on a regular
basis.
3. Manages data entry and validation into
the system.

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 3.4.2.6 ISSUANCE OF CERTIFICATION PROCESS

PROCEDURES FOR THE ISSUANCE OF CERTIFICATION

Responsible Procedure
Instruction/Activity
Person No.
1. Certificate of Concurrence
1 Submission of application

Applicant 1. Files an application for a Certificate of

Concurrence.

Receiving/ 2. Receives application and

Releasing reviews/checks completeness of
Officer documents or requirements.

3. Logs the application and supporting

documents.

4. Prepares memorandum transmitting the

application to concerned Regional
Office.

ELUPDB Director IV 5. Forwards memorandum to the ELUPDB

Director IV for signature.

Records Officer 6. Signs memorandum transmitting

memorandum to the concerned
Regional Office.

7. Logs out and forwards the documents

to the Records Management for mailing

8. Forwards/mails the documents to the

concerned Regional Office.
2 Review of documents

Regional Office 1. Upon receipt of documents, reviews

application, determines site zoning
classification, conducts site inspection
and prepares report and
recommendation.

2. Prepares initials and endorses

Certificate of Concurrence.

3. Forwards the Certificate to the ELUPDB

Director
207
 3 Review the recommendation of
Regional Office

HHRO VI-ELUPDB 1. Upon receipt of documents from the

Regional Office, prepares a
memorandum to be signed by the
ELUPDB Director recommending the
approval of Certificate of Concurrence
to the DHSUD Secretary

2. Forwards the memorandum and its

supporting documents to the ELUPDB
Director for signature.

Director IV-ELUPDB 3. Reviews recommendation of the

Regional Office prior to transmitting it to
the Office of the Secretary.

4. If everything is in order, signs and

transmits the memorandum
recommending approval of the
Certificate of Concurrence through the
supervising ASec. and USec for
endorsement to the Office of the
Secretary.

Releasing Officer 5. Logs out and forwards the

memorandum and supporting
documents to the Office of the
Secretary.
Secretary
6. Signs the Certificate of Concurrence
and forwards it to the ELUPDB Director.
HHRO IV-ELUPDB
7. Prepares and issues Order of Payment
to the applicant
Applicant
8. Pays the required fees to the Cashier
and submits Official Receipt to the
Releasing Officer

Releasing Officer 9. Releases Certificate of Concurrence to

applicant.

208
2. Zoning Ordinance Certification
1 Submission of application form for
Zoning Certification

Applicant 1. Submits request for the issuance of

Zoning Certification.

2. Accomplishes the application form for

Zoning Certification and have it
notarized and submits it to the
ELUPDD together with the following
documentary requirements:

a.Vicinity Map drawn to an appropriate

scale showing the property in
question
and indicating appropriate
landmarks; and
b. TCT (or any proof of ownership or
right over the property) / Tax
Declaration

Receiving Officer- 3. Receives application and

ELUPDD reviews/checks completeness of
documents or requirements.

4. Computes and issues the Order of

Payment and advises the applicant to
pay it to the Cashier.

5. Receives payment and issues Official

Cashier Receipt (OR).

Applicant 6. Submits the Official Receipt to the

ELUPDD
2 Review and issuance of application for
CLUP and ZO Certification

HHRO III-ELUPDD 1. Checks the OR, records the

application in the logbook and
reviews/checks completeness of
documents or requirements.
HHRO VI-ELUPDD
2. Upon receipt of documents, reviews
application, determines site zoning
classification, conducts site inspection
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 (if necessary) and prepares report and
recommendation.

3. Prepares, initials and endorses Zoning

Certification to Regional Director IV.

Regional Director 4. Signs Zoning Certification

HHRO III-ELUPDD 5. Transmits the signed Zoning

Certification to the Releasing Officer.

Releasing Officer 6. Releases the Zoning Certification to

the applicant.
3. CLUP and ZO Approval Certification
1 Submission of letter of request for
CLUP and ZO Approval Certification

Applicant 1. Submits letter of request for the CLUP

and ZO Approval Certification.

Receiving 2. Receives requests and forwards them

Officer – ELUPDB/ to ELUPDB-MED or Regional
ELUPDD ELUPDD Officer tasked in maintaining
information system and database.
2 Review of request documents and
issuance of CLUP and ZO Approval
Certification
ELUPDB/
ELUPDD Information 1. Upon receipt of requests, determines
System Officer information required by the applicant
and accesses information system and
database to gather the necessary
information (e.g. CLUP and ZO Status,
Planning Period,
Resolution/Ordinances approving
CLUP and ZO, date of approval, etc.)

2. Validates information to the concerned

LGUs or Regional Office, if necessary.

HHRO VI-ELUPDB-MED- 3. Prepares a CLUP and ZO Approval

ELUPDD Certification including information
requested by the applicant.

4. Initials and endorses Certification to

ELUPDB Director IV/Regional Director

210
 IV.

Regional Director IV 5. Signs CLUP and ZO Approval

Certification
HHRO III-
ELUPDB/ELUPDD 6. Transmits the signed certificate to the
Releasing Officer

Releasing Officer 7. Releases the Certificate to applicant

211
 HOUSING AND REAL ESTATE DEVELOPMENT REGULATION (HREDR)

3.4.2.7 POLICIES, REGULATIONS, STRATEGIES AND

STANDARDS FORMULATION PROCESS

PROCEDURES FOR FORMULATING POLICIES, REGULATIONS, STRATEGIES

AND STANDARDS FOR HOUSING AND REAL ESTATE DEVELOPMENT
REGULATION
Responsible Procedure
Instruction/Activity
Person No.
1 Determination of basis in the
development of policies, strategies,
plans, standards and framework

HHRO VI-PSD 1. Utilizes the existing laws and

issuances, directives of the Secretary
and proposals emanating from the
Central Office Regional Office of the
DHSUD, cooperating agencies,
NGOs/CSOs, results of periodic
assessments, sectoral dialogues and
public hearings and completed studies
and researches as basis in resolving
problems encountered and/or
perceived in relation to the following:

a. Resettlement housing and

program for land acquisition and
on-site development;
b. Proclaimed socialized and
economic housing sites
c. Recommend the take-over of
unfinished, incomplete or
abandoned licensed real estate
development projects under PD
957
d. Estate and new towns, new
settlements, urban renewal
programs and prototypes of
housing and urban development
interventions including the
people’s plan approach;

Regulations
e. Rules, regulations, technical
designs, standards and guidelines

212
 for real estate projects
development
f. Rules and regulations on balanced
housing compliance
g. Guidelines and procedure for the
conduct of monitoring of the
development, sale, maintenance
of real estate projects
h. Rules and guidelines for the take-
over of incomplete, unfinished or
abandoned licensed subdivision
projects
i. System and procedure for
Housing One Stop Processing
Center (HOPC) development
2 Drafting of proposed policy papers

HHRO VI-PSD 1. Based on the directives of the

Secretary and/or proposals received
from the different stakeholders, gathers
data/information from primary and
secondary sources and/or conducts
researches and drafts the pertinent
policy/guidelines/regulations
standards/framework/plans/strategies
3 Presentation of policy paper for
critiquing and approval

HHRO VI-PSD 1. Presents initial draft of the proposed

policies/regulations/strategies/standard
s to the following:

a. Technical staff.
b. Inter-bureau/office
c. Management Committee
d. Supervising USec/ASec. of
HREDRB

Director III-HREDRB 2. Revises/modifies policies/regulations

on the basis of the above
deliberations.

HHRO VI-PSD 3. Presents the final draft of the

Director IV-HREDRB policies/regulations to the National
Human Settlements Board (NHSB), if
necessary

213
HHRO VI-PSD 4. If the NHSB members have any
proposed changes/suggestions on the
proposed policy paper/regulations,
revises finalizes, and converts the
policy paper into appropriate
instrument after the NHSB deliberation
for signature of the Secretary and
other NHSB members.
4 Signing and adoption of
policy/regulations
Secretary &
NHSB members 1. Signs/approves the Department
Order/Department
Circular/Regulations/Policy paper
effecting the policy.

Regional Director IV 2. Adopts and implements the policy

5 Monitoring and evaluation of
implementation of policy/regulations

HHRO VI-M&ED- 1. Monitors and evaluates the

HREDRB implementation of policies/regulations
by the Regional Offices and other
organizational units.

3.4.2.8 LICENSE TO SELL CERTIFICATE OF REGISTRATION AND

OTHER PERMITS ISSUANCE PROCESS

PROCEDURES FOR REGISTERING AND LICENSING SUBDIVISION,

CONDOMINIUM AND OTHER REAL ESTATE DEVELOPMENT PROJECTS FOR
HRERDD-REGIONAL OFFICES
Procedure
Responsible Person Instruction/Activity
No.
1. Application for CR/LTS
1 Filing of application

Applicant 1. Files application for Certificate of

Registration (CR)/ License to Sell (LTS)
with supporting documents.
2 Receipt of CR/LS application

HHRO 1-PSD/ 1. Receives CR/LTS application and

Records Officer checks completeness of the supporting
documents

214
 i. If incomplete, returns the
documents to the applicant
ii. If complete, compute the
processing fee and prepares the
Order of Payment (OP)

2. Uses the data/information in the

Submitted Tabulation of Areas as basis,
computes the processing fee and gives
the OP to the applicant.

Applicant 3. Receives the OP and pays the required

Processing Fee.

Special Collecting Officer 4. Accepts the full payment of processing

fee, prepares the official receipt (OR)
and gives the OR to the applicant.

Applicant 5. Submits the OR and other documents to

the Records Officer

HHRO I-PSD 6. Receives the OR and scans and

forwards the documents to the Office of
the Regional Director.

3 Evaluation and processing of

application

HHRO I-PSD 1. Receives and logs the documents

Regional Director IV 2. Assigns and endorses the documents to

the Division Chief of the concerned
division for processing.

Admin. Asst. III 3. Forwards the documents to the HHRO

VI-PSD

HHRO VI-PSD 4. Receives the documents and assigns to

the evaluator/processor.

HHRO V-PSD/ 5. Evaluates the documents submitted and

Evaluator/ prepares the documentation and
Processor verification sheet.

1.1 If documents are incomplete,

prepares and initials on the Notice of

215
 Deficiency and forwards it to the
HHRO VI-PSD
1.2 If documents are complete, fills-up
the pro-forma Notice to Publish
(NTP) and forwards it to the
Regional Director.

HHRO VI-PSD 6. Signs Notice of Deficiency.

7. Reviews, evaluates and initials on the

NTP

8. Logs out the Notice of Deficiency to the

Record Section for releasing/mailing to
applicant.

HHRO I-PSD 9. Logs-out the NTP to the Office of the

Regional Director

Regional Director IV 10. Reviews and evaluates documents and

signs the NTP

Admin. Assistant III 11. Logs out the NTP to the Records Officer
for release.

HHRO I-PSD 12. Receives, records and releases the

NTP to the applicant

Applicant 13. Receives the NTP

14. Publishes the NTP

HHRO V-PSD/ 15. Submits the Affidavit of Publication

Evaluator (AOP)

HHRO II-ME 16. Coordinates with HREDRD for the

conduct of site inspection.

a. Secures clearances from the

Monitoring & Evaluation Division
(MED)

If the applicant has No Pending

Orders, endorses to the MED.

HHRO V-MED b. If the applicant has pending Orders,

216
 advises to comply with the Orders.

Inspector HREDRD 17. Receives AOP

18. Conducts the Site Inspection

HHRO II-MED 19. Determines the extent of development,

computes the required Performance
Bond (PB) and prepares letter/advise on
PB
HHRO VI-MED
20. Re-checks and computes the required
fees collected after the review of plans
and other documents by the evaluator.

21. Prepares evaluation report and the

HHRO II-MED Authority to Post Performance Bond
(APB)

HHRO I-MED 22. Reviews/evaluates and initials on the

APB

HHRO I-MED 23. Validates payment of required

Processing Fee
Regional Director IV
24. Logs out the APB to the Office of the
Admin. Asst. III Regional Director

HHRO I-MED 25. Receives the APB

26. Reviews and signs the APB

Records Officer
27. Logs out the APB to the Records Section

Applicant 28. Receives, records and releases the APB

to the applicant

29. Receives the APB documents and posts

the required Performance Bond.

30. Receives Proof of Posting of

Performance Bond (PB) documents and
forwards to the HRERD.

217
 4 Review and approval of CR/LTS

HHRO V-PSD 1. Evaluates acceptability of the PB

Evaluator/
Processor 2. Prepares the Executive Brief (EB) and
the Certificate of Registration
(CR)/License to Sell (LTS)

3. Includes the summary of the

computation of required fees collected in
the EB

HHRO VI- 4. Reviews documents and signs the EB

PSD and initials on the CR/LS

HHRO I-PSD 5. Logs out the CR/LS to the Office of the

Regional Director.

Admin. 6. Receives the CR/LTS

Asst. III
Regional Director IV 7. Reviews and affixes signature on the
CR/LTS and EB

Admin. Asst. III 8. Logs out the documents to the Records

Section

HHRO I-PSD/ 9. Receives the CR/LTS

Records Officer 10. Scans and records the documents

11. Releases the CR/LTS and gives

feedback form to the applicant

12. Receives the CR/LTS and feedback

form.

Applicant 13. Accomplishes the feedback form and

drops the accomplished form in the
Suggestion Box
Appeal for Denial of CR/LTS
1 Submission of appeal for denial of
CR/LTS
Owner/ Developer
1. In case of issuance of final order for the
denial of CR/LTS by the Regional
Director and upon payment of the
appeal fee, files a verified appeal

218
 memorandum in three (3) copies within
fifteen (15) days from receipt of the
assailed final order or issuance with
proof of service to the adverse party, if
any

2. Files its comment to the Appeal

Regional Director Memorandum within ten (10) days from
receipt of a copy thereof.

3. Within five (5) days from receipt of the

appeal memorandum, elevates the
appeal together with the pertinent
registration, licensing or monitoring
records, as the case may be, to the
Office of the Secretary together with a
summary of the proceedings taken on
the case.
Handling of Legal Appeals to the
Secretary
Attorney V-Appeals
Division 1. Please refer to the Legal Appeal
Process for the detailed procedures.
2. Application for Mortgage Clearance
1 Obtaining DHSUD’s approval prior to
mortgaging the property

Owner/ 1. Secures prior written approval of the

Developer Department prior to mortgaging the
residential property.

2. Utilizes the proceeds of the mortgage

loan for the development of the
condominium or subdivision project and
provides effective measures to ensure
such utilization for its intended purpose.
2 Issuance of notification to the buyer

Owner/ 1. Prior to the release of the loan, notifies

developer the buyer of the loan value of each lot or
unit covered by the mortgage.

2. Provides the buyer an option to pay

his/her installment for the lot or unit
directly to the mortgagee who shall
apply the payments to the corresponding

219
 mortgage indebtedness secured by a
particular lot or unit being paid for, with a
view to enabling said buyer to obtain
title over the lot or unit after full payment
thereto.
3 Execution of an affidavit

Mortgage bank 1. Executes a duly notarized affidavit

stating the following:

a. Willingness to accept direct

payments made by the lot/unit
buyers to be applied to the
mortgage, of the corresponding
lot/unit and full payment thereof, to
release the individual titles thereat;
b. Issuance of notification to the
DHSUD in case of mortgagor’s
default of three (3) months
amortization and once for quarterly
and semi-annually amortization; and
c. Partial release/cancellation of
mortgage of fully paid lot (s) and /or
unit (s) in said subdivision/
condominium/ townhouse
notwithstanding the non-payment yet
of the total mortgage loan incurred
by the mortgagor.
3. Application for a Change of Ownership or Change of Name of Project
1 Submission of request for change of
ownership
Applicant
1. Submits a request for a change of name
and/or transfer of ownership to the
DHSUD, which shall only be granted if
there is a deed of absolute sale over the
subdivision and condominium project
sought to be transferred and/or the
name thereof changed with an
undertaking that the transferee is willing
to assume full responsibility for the
completion of the development thereof
in accordance with Sections 7 (LTS)
and 13 (CR) of the Revised
Implementing Rules and Regulations for
PD 957.

220
 2 Execution of an affidavit

Owner/ 1. Executes an affidavit stating the

developer following:
a. There is a pending application for
Certificate of Registration and
License to Sell for the subdivision/
condominium project;
b. There is no other project under such
name under PD 957 and EO No.
648; and
c. Signifying its willingness to
recognize prior right over of the
previous registered project and
above its application in the event
that a project with a similar name to
the owner/developer’s proposed
project name exists and located in
the same province of the proposed
project.
3 Publication of a request for a change or
name and/or transfer of ownership

Owner/ developer 1. Publishes the request for a change of

name and/or transfer of ownership in a
newspaper of general circulation within
the city or municipality where the project
is located at least once a week for two
(2) consecutive weeks chargeable to
the account of the applicant.
4. Advertisement Approval
1 Submission of application for
advertisement approval

Owner/ 1. Submits/files an application for

developer advertisement approval for residential
and non-residential projects, including
the following requirements:

a. Two (2) copies of notarized

application for advertisement
b. At least two (2) copies of the
proposed advertisement material
c. One (1) copy of CR/LS of the
project

221
 d. Marketing agreement between
owner/developer and
broker/salesman, if applicable.

2 Review application for advertisement

approval

Director IV- HREDRB 1. Checks completeness of documentary

requirements and determines if there
are any violations or non-compliance
with the conditions of the guidelines.

If complete and no violations, initials

and endorses the application for
advertisement to the Secretary for
approval.

If incomplete and there are violations

committed, returns to the
owner/developer and imposes the
appropriate administrative and/or
criminal penalties.

Any deviation from the approved

contents of the advertisement material
shall be a violation of the conditions of
the approval and a ground for
revocation of the approval.

Secretary 2. Approves/signs the application for

advertisement and transmits the signed
application to Director IV-HREDRB

Director IV-HREDRB 3. Advises the concerned DHSUD

Regional Director, where the project is
located, to prepare a letter stating
approval of the advertisement material
and authority to publish, display,
distribute or announce the same, and
further stating therein all other
conditions as maybe imposed.

Regional Director 4. Prepares and signs the letter of

approval attaching therewith an
approved copy of advertisement
material bearing the DHSUD seal with

222
 stamped “approved” indicating date of
signing.

HHRO VI-HREDRD 5. Advises the owner/developer to pay the

fees

Owner/ 6. Pays the fee to the Cashier & presents

Developer the OR to the Releasing Officer

Releasing Officer 7. Upon receipt of the OR, releases the

letter and an approved copy of
advertisement material to the
owner/developer.
Owner/
Developer 8. Executes warranties stating that the
owner or developer shall be answerable
and liable for the facilities,
improvements, infrastructures or other
forms of development represented or
promised in brochures, advertisements
and other sales propaganda
disseminated by the owner or developer
or his agents and the same shall form
part of the sales warranties enforceable
against said owner or developer, jointly
and severally. Failure to comply with
these warranties shall also be
punishable in accordance with the
penalties provided for in PD 957.
5. Alteration for Condominium Plan
Submission of application for alteration
for condominium plan

Owner/ 1. Files a notarized application for

developer alteration for condominium plan and
submits the following documents to
HREDRD-RO:

a. Two ( 2 ) copies of the plan showing

the proposed alteration duly signed
and sealed by a Licensed
Architect/Engineer;
b. Letter stating the reason for the
proposed alteration/conversion
c. If project is already issued License to
Sell, compliance with R.A. 7899 of

223
 1995 that is:
c.1 Written consent from the simple
majority of registered owners
c.2 Proof of prior written notification
to all registered owners
d. Tabulated Summary of the alterations
introduced in the project including the
affected area in square meters
Review of application for alteration for
condominium plan

HHRO VI-HREDRD 1. Checks completeness of documents

and determines whether the proposed
alteration is in accordance with Section
4 of the Condominium Act as amended
by Sections 1 and 2 of RA 7899.

If complete and satisfies conditions for

alteration, initials and forwards the
application for alteration for
condominium plan to Regional Director
for approval.

If incomplete and non-compliance with

Section 4 of the Condominium Act as
amended by Sections 1 and 2 of RA
7899, returns to owner/developer for
compliance.

Regional Director 2. Reviews the application, grants and

signs the application for alteration of
condominium plan and returns the
signed application to HHRO VI-
HREDRD.

HHRO VI-HREDRB 3. Advises the owner/developer to pay the

required fees.

Owner/ 4. Pays the fees to the Cashier and

Developer presents the OR to Releasing Officer

Releasing Officer 5. Releases the application for alteration of

Condominium plan to owner/developer

224
6. Extension of Time to Complete Development
Submission of application for extension
of time to complete development

Owner/ 1. Files an application for extension of time

Developer to complete development with the
HREDRD-RO where the project is
registered and submits the following
requirements:

a. Sworn application by the owner or

developer stating the grounds or
reasons;
b. Proof of notice to all lot or unit
buyers or owners;
c. Supporting pictures or documents, if
any;
d. In cases falling under Sub-Soil
Conditions, a sworn statement by a
licensed Engineer attesting to the
existence of the sub-soil condition;
e. Revised work program with
computation of the remaining cost
of completion duly signed or sealed
by a licensed Engineer or Architect;

Under Sub-Soil Conditions, submits a

sworn statement within sixty (60) days
from discovery thereof, for “Fortuitous
Events”, within sixty (60) days prior to
the expiration of the approved original
time of completion and for “Lawful
Order”, within sixty (60) days from
receipt or knowledge of the order or
issuance lifting the enjoinment or
stoppage of development.
2 Issuance of notice to lot or unit buyers

Owner/ 1. Notifies all lot or units buyers or owners

Developer of its intent to apply for additional time to
complete the development of the project

225
 Evaluation and grant of application for
additional time to complete

HHRO VI-HREDRD 1. Upon receipt of the application, verifies

the nature and extent of damage or
validate the justification for application,
ascertains the additional period of time
needed to complete the project and the
estimated remaining cost of completion
and conducts an ocular inspection of the
project, if necessary.

2. After the review and if in order, initials

and transmits the application for
additional time to complete to the
Regional Director

Regional Director 3. Grants the application if there reasons

cited for the additional time to complete
development are justifiable. Otherwise,
denies the same. Returns the
application to HHRO-VI-HREDRD

HHRO VI-HREDRD 4. Advises the owner/developer to pay the

required fees to the Cashier prior to the
release of an approved copy of
application for additional time to
complete.

Owner/ 5. Pays the required fees and presents the

Developer OR to the Releasing Officer.

Releasing Officer 6. Releases the approved copy of

application for extension of time to
complete to the owner/developer.
7. Certificate of Completion
Submission of application for issuance
of Certificate of Completion

Owner/ 1. Applies for issuance of Certificate of

Developer Completion for Land Development
(COCLD) and Certificate of Completion
for Housing Component (COCHC) with
the HREDRD.

226
 Inspection of project

HHRO VI-HREDRD 1. Conducts site inspection of the project

Inspector and if found to be completed in
accordance with the approved time of
completion, initials and endorses the
issuance of a COCLD in accordance
with the rules and regulations of the
DHSUD to the Regional Director.

2. Upon completion of the housing

component, initials and endorses the
issuance of a separate Certificate of
Completion for Housing Component to
the Regional Director.

Regional Director 3. Grants the issuance of COCLD and

COCHC and returns the same to the
HHRO VI-HREDRD

HHRO VI- HREDRD 4. Advises the owner/developer to pay the

required fees for the COCLD/COCHC.

Owner/ 5. Pays the required fees to the Cashier

Developer and presents the OR to the Releasing
Officer.
Releasing Officer
6. Releases the COCLD/COCHC to the
owner/developer
8. Conversion of Existing Buildings into Condominium

Submission of application for

conversion of existing buildings to
condominium
Owner/
Developer 1. Files a notarized application for
conversion of existing building to
condominium and submits the following
documents to the HREDRD-RO:

a.. Two (2) sets of as built plan of

condominium plan, drawn to scale,
signed and sealed by the licensed
architect, containing the following:

a.1 Site development plan and

227
 vicinity map;
a.2 Floor plan(s); and
a.3 Sections and elevations
b.. Certified true copy of title(s) and
current tax receipt.
c.. Right to use or deed of sale of right-
of-way for access road and other
utilities
when applicable.
d.. Certificate of Registration from
Securities and Exchange
Commission (SEC)
d.1 Articles of incorporation and
partnership; and
d.2 Corporation by-laws.

e. List of duly license professional who

signed the plans and other similar
documents in connection with
application filed indicating the
following information:

e.1 Surname;
e.2 First name;
e.3 Middle name;
e.4 Maiden name, in case of
married women
professional;
e.5 Professional license number,
date of issue and
expiration of its validity;
e.6 Professional tax receipt and
date of issue; and
e.7 Taxpayer’s Identification Number
(TIN)

f. If the project was constructed/

developed construction after
December 1989, submits copy of
Environmental Compliance
Certificate or Certificate of Non-
Coverage from the DENR.
g. Copy of the Building Permit
h. Copy of Occupancy Permit
i. Copy of Latest Fire and Safety Permit.
j. If the building has been existing for

228
 five years, certification from duly
licensed
structural engineer as to the
soundness of the building
2 Review of application for conversion of
existing building to condominium

HHRO VI-HREDRD 1. Checks completeness of documents

and determines whether the proposed
conversion is in accordance with
Section 4 of the Condominium Act as
amended by Sections 1 and 2 of RA
7899.

If complete and satisfies conditions for

conversion, initials and forwards the
application for alteration for
condominium plan to Regional Director
for approval.

If incomplete and non-compliance with

Section 4 of the Condominium Act as
amended by Sections 1 and 2 of RA
7899, returns to owner/developer for
compliance.

Regional Director 2. Reviews the application, grants and

signs the application for conversion of
existing building to condominium and
returns the signed application to HHRO
VI-HREDRD.

HHRO VI-HREDRB 3. Advises the owner/developer to pay the

required fees.

Owner/ 4. Pays the fees to the Cashier and

Developer presents the OR to Releasing Officer

Releasing Officer 5. Releases the application for alteration of

Condominium p

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 3.4.2.9 CERTIFICATE OF REGISTRATION TO DEALERS,
BROKERS AND SALESMEN ISSUANCE PROCESS

PROCEDURES FOR ISSUING CERTIFICATE OF REGISTRATION TO DEALERS,

BROKERS AND SALESMEN FOR HRERDD REGIONAL OFFICES
Responsible Procedure
Instruction/Activity
Person No.
1 Filing of application

Applicant 1. Files application with the following

required supporting documents:

a. Corporation/individual applicant
a.1 Accomplished application form
a.2 2 ID pictures (2 x2) white
background
a.3 Latest HLURB/DHSUD
Certificate of Registration
(photocopy)
a.4 Latest PRC License
(Certificate & ID card-
photocopy)
a.5 Copy of Surety Bond
a.6 Processing fee (P720)
b. Sales agent
b.1 Accomplished application form
b.2 2 ID pictures (2 x 2) any color
b.3 Latest HLURB/ DHSUD
Certificate of Registration
(photocopy)
b.4 Latest PRC License
(Certificate & ID card-
photocopy)
b.5 Copy of Surety Bond and O.R.
b.6 Processing fee
b.7 Letter of Endorsement from a
Licensed broker (employer)
b.8 Latest HLURB and PRC
certificates or ID of employer

Note: Surcharge: P200 if renewal is

made within thirty (30) days after the
expiry date (within the year.

P200.00 for each year of non-renewal

plus the basic fee for the current year

230
 only if renewal is made after one or more
years.

P50.00 for change of address, lost

I.D./Certificate, Certified true copy
P210.00 for certification
2 Receipt and processing of
application
HHRO I-PSD
1. Receives and evaluates completeness
of the above mentioned documents
submitted by the applicant, prepares
assessment form and releases
assessment form to applicant.
3 Settlement of Order of Payment

Applicant 1. Receives assessment form and

proceeds to Accounting Division for
Order of payment.

Accountant III/Admin. 2. Prepares Order of Payment

Officer II
Applicant 3. Receives Order of Payment and
proceed to cashier for payment

Cashier 4. Accepts full payment of processing fee

and issues Official Receipt (OR)

Applicant 5. Receives O.R. and submits photocopy

of OR to Records Section
4 Review and evaluation of application

HHRO I-PSD/ 1. Receives photocopy of OR and

Records Section forwards documents to evaluator.

HHRO III-PSD/Evaluator 2. Evaluates documents and notes

down additional requirements, if any.

HHRO II-PSD 3. Prepares Certificate/ID

HHRO VI 4. Reviews/initials Certificate/ID

Regional Director IV 5. Reviews and affixes signature on

Certificate/ID

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 5 Release of Certificate/ID

HHRO I-PSD 1. Releases Certificate/ID to the

applicant
Applicant
2. Receives approved certificate/ID

3.4.2.9 CAPACITY BUILDING PROCESS

PROCEDURES FOR EXTENDING CAPACITY BUILDING FOR REGIONAL

PERSONNEL BY HREDRB
Procedure
Responsible Person Instruction/Activity
No.
1 Receipt of request for technical
assistance
Regional & other
organizational units 1. Sends a request for technical
personnel assistance on real estate regulation to
enhance their capacities and improve
competencies to efficiently deliver their
respective tasks and functions.

The DHSUD personnel can avail of

internal training programs or trainings
offered by external sources.

In-House Training
Central & a. Identifies their respective staff
Regional Offices interested to attend in-house
training program of HREDRB.

HHRO VI-CDD b. In coordination with the HREDRB,

prepares intra-office memo of the
staff attendance to the training for
approval by the Secretary.

Central & Regional Staff c. Attends/completes the in-house

training program.

External Training

CAO-HRD a. Facilitates/ coordinates the

attendance of staff to trainings
and seminars by disseminating to
concerned organizational units
training invitations received by the

232
 Office of the Secretary and posts
the same in the DSHUD Bulletin
Board for staff information.

Personnel b. Signifies in writing their intention

to attend such training and submit

SAO c. Submits the names of applicants

to the Personnel Development
Committee (PDC) to review
existing training record/profile of
the applicant.
Personnel
Development d. Recommends the participants to
Committee the training and submit its
recommendation to the Office of
the Secretary for approval.

CAO-HRD e. Upon approval of the Secretary,

prepares a memorandum for staff
advising him/her of the approval
to attend the training.

Personnel f. If an employee receives a

personal invitation to attend the
training, whether local, national,
regional or international, forwards
the invitation letter to the AS-HRD
for the scheduling of a meeting
with the PDC to deliberate/decide
on the matter.

PDC g. Deliberates on the invitation and

prepares a recommendation to
the Secretary

h. Forwards its recommendation to

the Office of the Secretary for
approval.

CAO-HRD i. Upon approval, issues a

notification to the selected
applicant informing him of the
approval of his/her participation to
the training.

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AO II-HRD j. Coordinates with the Finance
Service (FS) for the processing
and disbursement of cash
advance to cover registration fee
and travelling expenses of
attendee/s
2 Preparation of administrative and
logistical requirements for training

HHRO II- CDD 1. Prepares necessary requirements for

the conduct of in-house training:

a. Prepares budget proposal and

secure approval of management.
b. Prepares the program, list of
participants and itinerary if the
training will be conducted outside
the office premises.
c. Scouts for the venue for the
training in accordance with the
Procurement Act
d. Defines the assignments of
HREDRB personnel and other key
personnel/officer of DHSUD who
will be involved in the training.
3 Conduct of training

Director IV-HREDRB 1. Identifies the composition of the

training staff that will provide the
training.

Secretariat 2. Handles the registration of participants

Director III-HREDRB 3. Facilitates conduct of opening program

HHRO VI-CDD 4. Presents and discusses the

applicable training module on Housing
and Real Estate Development
Regulation

HHRO V-CDD 5. Assists the participants in the

practicum phase throughout the
duration of the training course
4 Conduct of closing program

HHRO II-CDD 1. Conducts Training Evaluation and

Client Satisfaction Survey

234
HHRO I-CDD 2. Collects the training output and
documentary requirements

Director III-HREDRB 3. Facilitates Closing Activities

a. Agreements on the Next Step

b. Distribution of Certificates
c. Closing Remarks
d. Group Pictures

HHRO I 4. Checks and settles financial

obligations.
5 Processing of application for
scholarship
Employee/ 1. Signifies in writing his/her intent to
Applicant avail of scholarship addressed to the
Secretary and submits the same to
the HRD that shall review existing
training record/profile of the applicant.

For degree courses, application

should be made before end of
February of each year.

2. Submits the following requirements to

the Scholarship-HRD:

a. Updated Personal Data Sheet;

b. Letter of Recommendation;
c. Medical Certificate; and
d. Certification from Learning
Institution that applicant is
qualified in the pre-screening (for
degree course).

CAO-HRD 3. Advises the Chairman of the PDC for

the schedule of a PDC meeting to
review and select the qualified/priority
applicants.

4. Evaluates and recommends the

PDC priority applicants for the scholarship
and submits its recommendation to
the Office of the Secretary for
approval.

235
Applicant 5. While waiting for the decision and
final approval of the application,
completes the other requirements
needed by the training institution.

Selected applicant 6. Secures clearance from the DHSUD

prior to the start of the
scholarship/education. Inability to
secure clearance will be a ground for
the delay in the payment of salaries
and other benefits of the scholarship
grantee/scholar.
Admin Officer IV-HRD
7. Prepares Scholarship Training
Contract between the employee-
trainee and DHSUD stipulating the
required service obligation based on
the duration of training, which will
commence upon re-entry of the
Scholar and individual to the DHSUD.
Secretary
8. Sign the Scholarship Training
Contract.
6 Defining the responsibilities of training
participants and DHSUD

Participants 1. Attends/completes the training

2. Provides a photocopy of the training

certification

3. Conducts echo-seminar

4. Abides by the provisions of the

Guidelines for Training, Scholarship
and Study Leave

Secretary 5. Relieves the training participants of

his/her duties and responsibilities
while on training

6. Pays for the trainee’s training fee and

travelling expenses (when applicable
subject to COA Auditing rules and
regulations.

236
 7. Monitors the trainee’s progress,
completion and adherence to the
Guidelines on Training, Scholarship
and Study Leave.

8. Receives documents submitted by the

trainee.

9. Implements the provisions of the

guidelines.
7 Imposition of sanctions for failure to
complete the course

Scholar 1. Completes the course within the

specified duration indicated in the
Training Contract.

Failure to complete the course/take

the Bar/Board examination or pursue
the purpose for which he/she was
granted the study leave, except for
valid reasons would mean refund of
the gross salary, allowances and other
benefits received while on
scholarship/study leave based on the
scholarship formula.

PDC 2. Determines the legitimacy of reasons

for failure to complete the scholarship
by the grantee and proposes
appropriate actions on the matter for
final approval by the Secretary.

Valid reasons for not completing the

course include (but not limited to:

a. Serious/debilitating accident/
injury/illness incurred by the
scholar;
b. Death of the scholar;
c. Recall order; and
d. Force majeure.

237
 3.4.2.10 MONITORING AND EVALUATION PROCESS

PROCEDURES FOR MONITORING AND EVALUATION OF CONDOMINIUM,

SUBDIVISION AND REAL ESTATE DEVELOPMENT PROJECTS
Responsible Procedure
Instruction/Activity
Person No.
1 Conduct of preparatory activities for
the monitoring of accomplishment
reports.
Director IV-HREDRB
1. Instructs the Division Chief of the
Monitoring & Evaluation Division
(MED) to commence preparation of
the DHSUD monthly/quarterly/annual
accomplishment report.
HHRO VI-
MED 2. Conducts discussion with the KMISS
and Regional Offices to come-
up/update/revise/improve the
monitoring forms used to capture and
assess the accomplishments of the
DHSUD based on its programs,
projects and activities (PPA).

For budget purposes, submits

accomplishment reports based on the
targets specified in the NEP or GAA.

HHRO VI–M & ED & IT 3. Jointly conducts field workshop to

Officer III- KMISS establish a uniform and systematic
reporting procedure using the official
monitoring forms that will capture the
following data:

a. Registration of real-estate brokers,

salesmen
b. Zoning certification issued by
regional office
c. License to sell issuance and
compliance project
d. Certificate of Registration
e. Balanced housing compliance
projects

238
Monitoring and Evaluation of housing projects-MED-Regional Offices

2 Conduct of field and non-field

monitoring

1. Secures authority from the Regional

HRO VI-MED Director to conduct field monitoring of
field investigation activities, which
shall be presented to the project
owner, or developer, or proponent or
their representative, or other persons
involved in the project.

The authority specifies the subject

and scope of the inspection or
investigation as well as the timeframe
or duration within which monitoring
activities are to be conducted, which in
no case shall exceed thirty (30) days
from the date the authority is issued.

HHRO V-MED 2. Exercises the power to do the

following:

a. Conducts interviews or
conferences with the project
owner, or developer or proponent,
residents of the project and
neighboring areas to ascertain the
ownership, status and extent of
operation of the project or
transaction, and its perceived
effects or implications including
issues and problems related
thereto;
b. Opens or removes or causes the
opening or removal of any gate,
door, barrier or railing that
prevents, impedes or impairs the
conduct of monitoring activities
upon prior express authority of the
Regional Director;
c. Requires the production of permits,
clearances, licenses, approvals,
receipts, contracts, corporate
records, books of accounts and

239
 financial statements relevant to
DHSUD’s exercise of its regulatory
functions;
d. Calls on any person, office or entity
for assistance in the discharge of
his/her functions; and
e. Performs such other functions as
may be necessary, incidental,
related or inherent in carrying out
the regulatory functions of DHSUD.

3. After the lapse of six (6) months from

the issuance of CR/LTS,
commences/conducts field inspection
to verify if the development of the
project is in accordance with the
approved plans, program of
development or period of completion,
and to ensure that the same complies
with the conditions imposed on the
LTS.

4. Follows the following procedures for

the conduct of Field Investigation

Pre-inspection/Pre-investigation.

Reviews the records of new projects

assigned to him/her for monitoring and
secures the prior written authority of
the Regional Director to conduct
inspection/investigation of said
projects.

Notice

Notifies the project owner or developer

of the schedule of the site inspection
or investigation and may require the
preparation and/or submission of
additional relevant documents within
five (5) working days from receipt of
the notice.

240
 Site inspection/investigation

Conducts the inspection/investigation

on the date stated in the notice sent to
the owner or developer and completes
the same within thirty (30) days from
the date of issuance of the Authority
by the Regional Director.

HHRO VI-M&ED Post inspection/investigation

Prepares the Site Inspection report

(SIR) or Field Investigation Report
(FIR) within five (5) working days from
the date of completion of the
investigation or inspection and at the
same time prepares a Notice of
Violation (NOV) stating the findings of
fact, violations of the law, rules and
regulations committed, and acts
required to be done or undone,

Regional Review of site inspection

Director IV
Reviews and acts on the Site
Inspection Report (SIR) or Field
Inspection Report (FIR) and the
documents attached thereto and
submits his/her recommendations
either to issue a Notice of Violation
(NOV) or terminate the proceedings,
stating clearly the reasons thereto to
the Regional Director within five (5)
days from receipt of SIR/FIR.

HHRO V-M&ED Resolution

Acts on the recommendation of the

Head of Monitoring Unit within five (5)
working
days from receipt thereof.

The Field monitoring report usually

contains the date of monitoring,
project name, project location, name
of developer, project classification,

241
 permit issued (type, number, date),
date of completion of project, nature of
investigation, percentage of
development, findings/violations found
and actions taken.

5. Adheres to the following procedures in

the conduct of non-field monitoring

HHRO VI –MED Evaluation

Reviews and evaluates the project

records and other available
documentary evidence and when
necessary recommends the conduct
of field investigation for further fact-
finding, verification of the reports or
authentication of the documents
submitted within ten (10) working days
from receipt of the report of violation.

Non-field investigation report

Regional
Director IV Prepares the Non-Field Investigation
Report (NFIR) stating the following: 1)
facts appearing on records; 2) laws,
rules and regulations violated; 3)
supporting documents, copy of which
shall be attached thereto and 4)
his/her findings and
recommendations.

HHRO VI-MED Review of NFIR

Reviews and acts on the NFIR and

submits to the Regional Director
his/her recommendation either to
issue the NOV or Notice of Alleged
Violation (NOAV), or terminate the
proceedings, stating clearly the
reasons therefor within five (5) working
days from receipt of the NFIR.

242
Regional Director IV Termination of investigation or
issuance of Notice of Violations

Acts on the recommendation of the

Head of the Monitoring Unit, within five
(5) working days from receipt, either
by terminating the proceedings and
considering the matter closed, or
issuing a NOV or NOAV.

Regional Director IV Field and Non-Field Investigation

Results combined

Considers and cites the relevant

findings in both the SIR/FIR and NFIR
in the issuance of NOV or NOAV and
Order to Comment/Explain.
The Non-field monitoring report
contains the date of monitoring,
project name, project location, name
of developer, project classification,
findings and violations found and
action taken/violations assessed,
submission of land titles for open
spaces (roads, parks and playgrounds
and facilities and amenities, sales
status report and renewal of
performance bond (for those projects
not donated)

6. Based on the evaluation of the field

and non-field monitoring there
appears a violation of existing laws,
rules and regulations, conditions of the
license or permit issued or decisions
of the board, issues an NOV with a
copy of the monitoring report and
supporting evidence-attached thereto
and serves to the project owner and/or
developer ordering the submission of
sworn explanation why no sanction
shall be imposed upon him/her/it.,
together with the relevant supporting
documents, within fifteen (15) days
from receipt of the NOV.

243
7. Issues Cease and Desist Order (CDO)
from selling, collecting amortization
payments or advertising of the
projects, which shall be included in the
NOV when the violation constitutes
selling without LTS or advertising
without approval.

8. Issues and serves NOAV upon the

project owner and/or developer or
proponent ordering the submission of
a sworn explanation with supporting
documents in reply thereto within
fifteen (15) days from receipt of the
NOAV , copy furnished the informant,
in case the investigation arises from a
complaint by a third party informant.

9. Imposes sanctions in case of violation

found in the monitoring, as well as the
aggravating and mitigating
circumstances, and other factors, in
accordance with the approved
schedule of fines and penalties and
guidelines issued by the DHSUD.
The imposition of fines for violation of
Sections 5 and 18 of PD 957 is based
on the total number of lots or units
offered for sale without LTS, and
number of lots or units mortgaged
without mortgage clearance,
respectively.

10. Issues a Final Notice to Comply

(FNC) directing the compliance
within ten (1) days from receipt of
the FNC if the project owner
developer or proponent fails to
comply with the Order of Imposition
of Administrative Sanctions (OIAS)

11. Issues a writ of execution in

accordance with Rule XIV thereof
in case of non-compliance with the
FNC.

244
 3 Monitoring of project Issued
Certificate of Completion (COC).

HHRO V-MED 1. Requires the owner and/or developer

to submit a copy of the Deed of
Donation of open spaces to the LGUs
pursuant to the local government units
(LGUs) pursuant to PD 1216, Deed of
Donation of the parks and
playgrounds to the homeowners
association with the consent of the
LGU, as the case may be, and proof
of turnover of water 92 supply and
lighting facilities to local public utilities,
i.e., Local Water District or Local
Electric Company/Cooperative. after
six (6) months from issuance of
Certificate of Completion (COC.

2. Requires the project owner/and or

developer to post a maintenance bond
equivalent to 10% of the total cost of
the items of work to be maintained, in
the event the project owner and/or
developer fails to donate the open
spaces within six (6)- month period.

3. Requires the project owner/developer

to submit a Memorandum of
Agreement with the association with
respect to the maintenance of roads
and facilities and payment of Real
Property Tax (RPT), operation of the
water system and similar concerns, if
the COC is issued for the purpose of
turnover of maintenance of subdivision
facilities and open spaces to the
HOA.

4 Issuance of notices to Regional

Offices to submit monitoring reports

HHRO VI-MED 1. Forwards to all regional offices, one

week before the end of the month, the
monitoring forms and memorandum

245
 requesting submission of their
respective accomplishment report by
the 3rd week of the succeeding month.

HHRO VI –MED Region 2. Prepares and submits the

accomplished monitoring report of the
region on or before the 3rd week of the
succeeding month to the Chief
Monitoring & Evaluation Division of the
Planning Service.

HHRO VI–MED, PS 3. Upon receipt of the accomplished

regional monitoring report,
consolidates/evaluates/validates the
submitted performance report for
preparation of the DHSUD overall
performance report.

HHRO V- MED 4. In case there is a need to undertake

ground validation, schedules the
conduct of field/ground monitoring.

HHRO II-MED 5. Prepares internal office documents

and logistical requirements for the said
field/ground monitoring such as: travel
order, vehicle request and other
logistical requirements.

6. Establishes liaison/coordination with

the Regional Office and identified
sources of data to facilitate the
conduct of ground validation.

HHRO V-MED 7. Prepares the report of the ground

validation conducted and submits the
same to the Regional Director and
Director IV of HREDRB.
5 Submission of monitoring report

HHRO VI- 1. Upon completion of ground validation

MED, HREDRB and consolidation of regional reports,
submits a progress report of
accomplishment to the Director-
HREDRB copy furnish the Assistant
Secretary and Undersecretary
handling the Bureau for final review
and approval.
246
Director IV-HREDRB 2. Upon approval, furnish a copy of the
report to the MED of the Planning
Service for incorporation in the
preparation of the DHSUD
Performance Report.

3. Based on the submitted monitoring

reports, initiates the development a
spatial database of all subdivision and
condominium projects including the
status of their development.

Director IV-PS 4. Transmits the DHSUD Performance

Report to the Secretary for his
information/approval/elevation to the
NHSB.

5. Submits the DHSUD Performance

Report to the period under review to
the NHSB either for information or
approval, if necessary.

Secretary/ 6. Approves the DHSUD Performance

NHSB Report
6 Distribution of approved DHSUD
performance report

HHRO VI- M & ED, PS 1. Reproduces official report and

furnishes copy to the bureaus,
services, regional offices and other
national government agencies like
DBM, NEDA, Congress and Senate.

247
 3.4.2.11 MONITORING OF REAL ESTATE BROKERS, DEALERS
OR SALESPERSON PROCESS

PROCEDURES FOR MONITORING REAL ESTATE BROKERS, DEALERS OR

SALESPERSON BY HREDRD-REGIONAL OFFICES
Responsible Procedure
Instruction/Activity
Person No.
1 Securing authority from Regional
Director

1. Secures an Authority to conduct

HHRO VI-MED monitoring of selling activities of
brokers, dealers or salespersons
which specifies the area, date, and
time when the field monitoring of
selling activities shall be conducted.

Regional Director 2. Grants an authority for the conduct of

monitoring of selling activities of
brokers/dealers/salesmen.
2 Determination of existence of
violation

Regional 1. If violation is found, issues an NOV to

Director the broker, dealer or salesperson who
is not registered with DHSUD, with
expired registration, selling unlicensed
projects or those with suspended
license or CDO from selling, copy
furnished the project owner and/or
developer.

HHRO V-MED 2. If at the lapse of ten (10) days from

receipt of the NOV, the broker, dealer
or salesperson subject thereof fails to
submit a sworn explanation why non
administrative fine, sanction or
penalty shall be imposed, prepares an
OIAS to be endorsed by the Head
Monitoring Unit to the Regional
Director

Regional Director 3. Signs the OIAS

4. Issues a Final Notice of Compliance

(FNC) against the broker, dealer or

248
 salesperson directing compliance
within ten (10) days from receipt of the
FNC, in case of non-compliance with
the OIAS.

5. Issues a Writ of Execution if the

broker, dealer or salesperson fails to
comply with the FNC within ten (10)
days from receipt thereof.

249
 HOMEOWNERS ASSOCIATION AND COMMUNITY DEVELOPMENT

3.4.2.13 RULES, REGULATIONS AND GUIDELINES

FORMULATION PROCESS FOR THE HOMEOWNERS
ASSOCIATION AND COMMUNITY DEVELOPMENT
(HOACD)

PROCEDURES FOR FORMULATING HOA RULES, REGULATIONS AND

GUIDELINES FOR THE HOMEOWNERS ASSOCIATION AND COMMUNITY
DEVELOPMENT (HOACD)
Responsible Procedure
Instruction/Activity
Person No.
1 Determination of basis in the
development of rules and guidelines

HHRO VI-PSD 1. Utilizes the existing laws and

issuances, directives of the Secretary
and proposals emanating from the
Central Office Regional Office of the
DHSUD, cooperating agencies,
NGOs/CSOs, results of periodic
assessments, sectoral dialogues and
public hearings and completed studies
and researches as basis in resolving
problems encountered and/or
perceived in relation to the following:

a. Implementation of RA 9904
b. Documents of HOA and
Neighborhood Association.
c. Deputization of another agency
and accreditation of private
institutions as training providers
d. Fines and other administrative
sanctions
2 Drafting of proposed rules and
guidelines

HHRO VI-PSD 1. Based on the directives of the

Secretary and/or proposals received
from the different stakeholders,
gathers data/information from primary
and secondary sources and/or
conducts researches and drafts the
pertinent rules and guidelines.

250
 3 Presentation of rules and guidelines
for critiquing and approval

HHRO VI-PSD 1. Presents initial draft of the proposed

rules and guidelines to the following:

a. Technical staff.

Director III-HOACDB b. Inter-bureau/office or management

committee (copy furnished the
supervising USec./ASec

Director IV-HOACDB c. Supervising USec/ASec. of

HOACDB

HHRO VI-PSD 2. Revises/modifies rules and guidelines

on the basis of the above
deliberations.

Director IV-HOACDB 3. Presents the final draft of the rules

and guidelines to the National Human
Settlements Board (NHSB), if
necessary.

HHRO VI-PSD 4. If the NHSB members have any

proposed changes/suggestions,
revises and finalizes the rules and
guidelines for signature of the
Secretary and NHSB members.
4 Signing and adoption of rules and
regulations

Secretary 1. Signs/approves the Department

Order/Department Circular/Policy
paper effecting the rules and
guidelines

Regional Director IV 2. Adopts and implements the rules and

guidelines
5 Monitoring and evaluation of
implementation of rules and
regulations

HHRO VI- MED 1. Monitors and evaluates the

implementation of rules and
guidelines by the Regional Offices
and other organizational units.

251
 3.4.2.14 CERTIFICATE OF REGISTRATION OF HOAS
INCORPORATION PROCESS

PROCEDURES FOR THE ISSUANCE OF CERTIFICATE OF REGISTRATION OF

HOAs INCORPORATION BY HOACDD-REGIONAL OFFICES
Procedure
Responsible Person Instruction/Activity
No.
4. Issuance of Certificate of Registration
1 Filing of HOA application for
Applicant registration
1. Presents requisite documents for the
registration of HOA.
2 Review and evaluation of application

HHRO III HOACDD 1. Checks the completeness of the

documents submitted by the
applicants and conducts preliminary
evaluation.

If complete, acknowledges receipt of

application and records in the logbook
and prepares the order of payment
and advises applicant to pay the
registration fee

If incomplete, returns the documents

to the applicants

HHRO IV-HOACDD 2. Upon receipt of documents, reviews

and evaluates the application.

If complete and in accordance with law

and the DHSUD HOA Rules, approves
the registration and returns the
documents to the Registration Officer.

If incomplete, defective or not in

accordance with law and the DHSUD
HOA rules, the documents are
returned to the Registration Officer.
If there is an opposition to the
application, sets a clarificatory
conference for the applicant and the
oppositor.

252
 3 Receipt and approval of complete and
incomplete application

HHRO III-HOACDD 1. If approved, records the HOAs in the

registry book and prepares the
corporate folder and the Certificate of
Registration
HHRO VI-HOACDD
2. Registration Officer affixes his/her
initials and forwards the documents to
the HOA Unit Head.
HHRO II-HOACDD
3. If defective or incomplete, notifies the
applicant on the deficiencies either by
mail or phone call.
HHRO VI-HOACDD
4. Affixes initial at the Certificate of
Registration.
Regional Director
5. Affixes signature at the Certificate of
Registration.
4 Release of Certificate of Registration

HHRO I-HOACDD 1. Releases the client’s copy of the

registration documents.

Applicant 2. Receives the client’s copy of the

registration documents and applies for
registration and a tax identification
number for the association at the BIR

HHRO I-HOACDD 3. Receives copies of the BIR Certificate

of Registration with the tax
identification number of the
association and releases the DHSUD
HOA Certificate of Registration
Applicant
4. Receives the original copy of the
HOA’s Certificate of Registration.
2. Issuance of Certificate of Filing of Amended Articles of Incorporation
and/or By-Laws
1 Filing of Amended Articles of
Incorporation and By-laws

Applicant 1. Presents the requisite documents for

filing of amended Articles of
Incorporation and By-Laws.

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 2 Review and evaluation of application

HHRO III-HOACDD 1. Checks the completeness of the

submitted documents and conducts
preliminary evaluation.

a. If complete, acknowledges receipt

of the application, records it in the
logbook and prepares Order of
Payment and advises the
applicant to pay the necessary
filing fee.
b. If incomplete, returns the
documents to the applicant

HHRO VI-HOACDD 2. Reviews and evaluates the submitted

documents

a. If complete and in accordance with

law and the DHSUD HOA Rules,
approves the registration and
returns the documents to the
Registration Officer.
b. If incomplete, defective or not in
accordance with the DHSUD HOA
Rules, the documents are referred
to the Registration Officer.
c. If there is an opposition to the
application, sets a clarificatory
conference for the applicant and
oppositor.
3 Receipt and approval of complete and
incomplete application

HHRO I-HOACDD 1. Receives the approved/incomplete

documents

a. If approved, records in the logbook

and prepares the Certificate of
filing of Amended Articles of
Incorporation and/or By-Laws.

b. If incomplete or defective, notifies

the applicant on the deficiencies of
the documents either by mail of
phone calls.

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HHRO VI-HOACDD 2. Affixes initials at the Certificate of
Filing of Amended Articles of
Incorporation and/or By-Laws
Regional
Director IV 3. Affixes signature at the Certificate of
Filing of Amended Articles of
Incorporation and/or By-Laws
4 Release of Amended Articles of
Incorporation and By-Laws

HHRO I-HOACDD 1. Releases the client’s copy of the

Amended Articles of Incorporation
and/or By-Laws and the supporting
documents to the applicants

Applicant 2. Receives the client’s copy of the

Amended Article of Incorporation
and/or By-Laws and the Certificate of
Filing of Amended Articles of
Incorporation and/or By-Laws.
3. Issuance of Certificate of Dissolution
1 Filing of application

Applicant 1. Presents requisite documents for

application for voluntary dissolution of
the association
2 Receipt and approval of complete and
incomplete application

HHRO III-HOACDD 1. Checks the completeness of the

documents presented and conducts
preliminary evaluation.

a. If complete, acknowledges receipt

of the application, records it in the
logbook and prepares the order of
payment.

b. If incomplete, returns the

documents to the applicant.
Applicant
2. Pays the necessary filing fee
HHRO III-HOACDD
3. Reviews and evaluates the submitted
documents

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 a. If complete and in accordance with
the DHSUD HOA Rules, approves
the registration and returns the
documents to the Registration
Officer.
b. If incomplete, defective, or not in
accordance with law and the
DHSUD HOA Rules, returns the
documents to the Registration
Officer.
c. If there is an opposition to the
application, sets a clarificatory
conference for the applicant and
the oppositor.
3 Approval of Certificate of Dissolution

HHRO I-HOACDD 1. Receives the approved application

a. If approved, records the logbook

and prepares the Certificate of
Dissolution
b. If defective or incomplete, notifies
the applicant on the deficiencies of
the documents, either by mail or
HHRO VI-HOACDD phone call.

2. Affixes initial at the Certificate of

Regional Director IV Dissolution (COD)

3. Affixes signature at the COD)

4 Release of Certificate of Dissolution

HHRO I-HOACDD 1. Releases the client’s copy of the COD

and its supporting documents

Applicant 2. Receives the original copy of the

COD and its supporting documents.
4. Issuance of Various Certification
1 Filing of application

Applicant 1. Presents request letter for certification

and other requisite documents for the
issuance.

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 2 Review and evaluation of application

HHRO III-HOACDD 1. Checks the completeness of the

documents presented and conducts
preliminary evaluation

a. If complete, acknowledges the

receipt of application, records it in
the logbook and prepares and
Order of Payment.
b. If incomplete, returns the
documents to the applicant.
Applicant
2. Pays the necessary certification fee
3 Approval of application

HHRO III-HOACDD 1. Checks and verifies the corporate

records of the concerned HOA for the
information needed, then prepares
requested certification and affixes
initial on the certification

HHRO VI-HOACDD 2. Reviews and evaluates the prepared

certification as per request of the
applicant and compares it with the
data at the corporate record of the
association, affixes initials at the
certification

3. Affixes initial at the certification

Regional Director IV 4. Affixes signature at the certification.

4 Release of application

HHRO I-HOACDD 1. Releases the client’s copy of the

certification

Applicant 2. Receives the original copy of the

certification
5. Issuance of Certified True Copies
1 Filing of application

Applicant 1. Fills out the request form in verifying

the corporate records of the
association

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 2 Retrieval of records

HHRO I-HOACDD 1. Retrieves the requested corporate

records, asks for an identification card
from the client and lends it to him/her
for review and examination

Client 2. Photocopies the documents needed to

be certified, submits it to the Records
Officer and returns the corporate
records of the association

HHRO I-HOACDD 3. Computes the amount to be paid by

the client and prepares the order of
payment

Client 4. Pays the necessary fees

3 Approval and release of documents

HHRO I-HOACDD 1. Stamps certified true copy and signs

all the photocopied documents
submitted and releases the certified
documents to the client.
Client
2. Receives the certified documents

3.4.2.15 PROGRAM DEVELOPMENT PROCESS

PROCEDURES FOR PROGRAM DEVELOPMENT FOR HOA

Procedure
Responsible Person Instruction/Activity
No.
1 Initiating the identification of basis
for program development

HHRO VI-PSD 1. Identifies the basis for the development

of program, which include but not
limited to the following:

b. Special order or specific

instruction from the Secretary
pertaining to a program which is
of special interest or priority to
the DHSUD; and
c. Existing laws and executive
issuances

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 2. Prepares proposal for the development
of the following programs:

a. Non-partisan nature of the

activities of HOA; and
b. Linkages with the LGUs.

Director IV-HOACDB 3. Identifies the appropriate staff to make

the proposal or studies the feasibility
of outsourcing the program
development.
HHRO VI-PSD
4. Works on the issues, develops the
conceptual framework, formulates the
strategies and prepares the detailed
operational plan of work for the
preparation of full blown program
proposal.
2 Preparation of work plan for the
execution of program

HHRO IV-PSD 1. Prepares a work and financial plan

(timetable and resources) for the
execution of the project, including its
desired objectives and outcome,
measurement of progress and
anticipated milestones and risks
involved if there are any.

2. Presents and discusses the proposal

to the following to secure their
endorsement and approval:

a. Technical Staff
Director III b. Supervising Assistant Secretary
and Undersecretary
c. Pre-Management Committee
d. Management Committee
Director IV-HOACD c. Secretary
d. NHSB, if necessary

HHRO IV-PSD 3. Upon approval, disseminates program

communication and reports and
sourcing of funds to ensure availability
and release of the program fund.

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 3 Implementation of program

Director IV & Regional 2. Implements the program in

Offices Staff accordance with the approved work
and financial plan.

2. Develops a communication hub where

stakeholders can collaborate on the
progress of the program

4. Conducts regular review of its

progress and makes any changes or
adaptations if needed.
4 Monitoring and controlling of program
execution

HHRO VI- MED- 1. Institutes control during the

HOACDB implementation stage to ensure that
the program execution plan is kept to
as closely as possible and conducts
regular monitoring to ensure that the
program does not spin out of control.
5 Closing of program

Director IV-HOACDB 1. Upon completion of program

implementation, writes a report, giving
a summary of the project/program,
how well the project/program is
managed to keep to the plan, any
changes that need to make and the
justification and any reforms to make.

3.4.2.16 TECHNICAL ASSISTANCE PROCESS

PROCEDURES FOR EXTENDING TECHNICAL ASSISTANCE TO HOAS,

COOPERATIVES & NGOS BY THE HOACDD-REGIONAL OFFICE
Procedure
Responsible Person Instruction/Activity
No.
1 Submission of request for training

HOA, Coops, 1. Submits requests for

NGOs trainings/technical assistance to the
Regional Director.

Regional Director 2. Approves the request for the conduct

of training/technical assistance &
advises the HHRO VI- HOACDD to
make the necessary preparations.
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 2 Preparation for the conduct of the
training

HHRO VI-CDD 1. Develops standard orientation on the

laws, rules and regulations pertaining
to HOAs and participation of
Cooperatives and NGOs in housing
and urban development.

HHRO IV-CDD 2. Conducts trainors’ training to the

HOAs. Coops & NGOs for the
following:
a. HOA Regulation
b. Implementation of Housing and
Urban Development Plans,
Projects and Programs
c. Government partners (coops,
NGOs) for homeownership and
community development
HHRO II-CDD
3. Prepares the following administrative
and logistical requirements for the
training:

a. Manpower
b. Transportation
c. Supplies and materials
d. Food and venue
e. Training materials
f. Training evaluation form
3 Conduct of the training proper

HHRO I-CDD 1. Handles the registration of participants

HHRO VI-CDD 2. Facilitates the opening session of the

training

3. Presents the following topics:

For HOAs & Coops/CSOs/ROs

a. Establishment of HOAs
b. Responsibilities and obligations of
HOA under the Magna Carta for
the HOA
c. Leadership and Community
Organizing
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 d. Mediation
e. Disaster Resiliency
f. HOA Empowerment
g. Housing Programs for the Poor
h. Estate Management

4. Facilitates the open session to give

HHRO V-CDD participants an opportunity to seek
clarification on the topics presented.

5. Documents all the issues raised

Note: Conduct in-house Training/

Orientation for HOA/Federation at least
once- week
4 Closing the Program

HHRO I-CDD 1. Requests the participants to

accomplish the evaluation form.

Director III-HOADCB 2. Facilitates the closing session

HHRO I-CDD 3. Settles all financial obligations with the

venue
5 Conduct of post training activities

Director iii-HOACDB 1. Conducts pre and post training

evaluation using the accomplished
evaluation sheet and Client
Satisfaction Survey (CSS) submitted
by the participants.
HHRO VI-CDD
2. Prepares and submits the training
report stating whether or not the
training is cost effective, viable and
replicable to the Asst. Secretary,
HHRO I-CDD Undersecretary and Secretary.

3. Submits liquidation of all cash

advances for the conduct of said
training.

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 3.4.2.17 COMMUNITY DEVELOPMENT PROCESS

PROCEDURES FOR COMMUNITY DEVELOPMENT

Responsible Person Procedure Instruction/Activity
No.
1 Community organizing

HHRO VI-CDD,HOACD 1. Conducts an inventory of

communities needing assistance.
Some of the possible sources of list
of communities are as follows:

a. DOTR Resettlement areas

b. Proclaimed Socialized and
Economic Housing sites under
the administration of DHSUD
c. Incomplete, unfinished and
abandoned subdivision taken-
over by the DHSUD
d. Inventory of government-owned
lands for turn-over to the
Department
e. Other sources (Local NGOs,
Community leaders, etc.)

HHRO V-CDD,HOACD 2. Develops criteria for the selection of

target communities. Some of the
proposed selection criteria for
consideration are as follows:

a. Population of community
b. Availability of land for
resettlement/housing
c. Supportive/cooperative authority
(local government/mayor)
d. Savings mobilization
e. Existing development plan/future
infrastructure
f. Strong community network

Director IV-HOACD 3. Coordinates/pays courtesy call with

Regional Director the local authorities and other key
people in the community prior to
officially entering the neighborhood.

HHRO VI-CDD,HOACD 4. Upon entry into the community,

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 clarifies the purpose of working with
the community.

5. Identifies prospective host family to

enable the group to stay and live
together with the people in the
community to experience their way
of life by participating in community
celebrations, activities and meetings
and documenting observations and
experiences.

6. Identifies/organizes a core team of

leaders (5-7 individuals) from a
diverse cross-section of the
community who acknowledge a
need to improve the quality of life in
their neighborhood to facilitate the
formation of Community-Based
Organization (CBO) that will work
together to solve common problems
affecting their lives and community.

The following criteria may be used

in the selection of “Core Group”:

a. Leadership
b. Integrity
c. Availability
d. Commitment
e. Knowledge and Skills

7. After the selection of “Core Group”

members, conducts orientation
meeting to discuss the proposed
interventions of the Department as
well as to explain and clarify the
responsibilities of “Core Group”
members.

The roles and responsibilities of the

“Core Group” members is to help
the Community Development
Division of the Department to
undertake the following:

264
 a. Identification and analysis of
current community environment
and problems in the community.

Environmental scanning involves

the completion of community
profile especially the
demographic profile of residents
in the community (income, age,
population, education,
employment, etc.)

b. Brainstorming and prioritizing

solutions to the problems;
c. Discussion and determination of
the importance of CBO
formation;
d. Identification of steps for CBO
formation;
e. Development of criteria for CBO
leaders; and
f. Facilitating the conduct of
community meeting to discuss
the process for nomination and
election of 5-7 CBO leaders and
present the problems affecting
the community and the need to
solve problems by working
together.
2 Developing a Comprehensive
Strategic Community Plan

HHRO VI-PSD,HOACD 1. Develops the strategic vision by

Regional Office creating a picture of the ideal future
the community is hoping for. Selects
a visioning process in which all can
participate, as the vision will build
support and ongoing interest.

2. Assesses the current condition and

capacity of the community. This
involves identifying the strengths,
weaknesses, opportunities and
challenges of the community

3. Sets some tentative community

265
 goals or broad directions for closing
the gap between the current and
desired condition of the community.

4. Establishes specific, measurable,

achievable, realistic and timely
objectives that are necessary to
reach a goal.

5. Based on community choices and

proposed alternative scenarios of
the community, develops action
plans to provide the concrete steps
required to fulfill each objective.
This includes the identification of
individuals who are responsible for
the action, the timeframe for
implementation and the resources
that are required.

6. Creates a written comprehensive

strategic plan and publicizes the
same to seek feedback and
commitment from the community
prior to its implementation.
3 Plan Implemention

HOACD-Regional Office 1. Creates a project implementation/

management team to oversee the
award of contract, monitor progress
and quality of works regularly, and
submit regular progress reports on
subproject implementation to the
Department.

The community shall nominate

either among its own members or
local specialist as project-in-charge
who will oversee the day-to-day
supervision of the project.

In case the community may lack

adequate capacity to design and
implement such projects, the
community may invite local NGOs
with established records on

266
 implementing community-based
development projects to implement
project activities.

2. Subject to availability of resources,

determines whether the plans shall
be divided into phases/sub-projects.

3. If the proposed project/s based on

the plan shall be outsourced, assists
the community in the formulation of
Terms of Reference and the
selection of winning proponent
based on the criteria to be agreed
upon with the community.

4. Awards the project to the bidder

with the most calculated responsive
bid or highest rated responsive bid.

5. Implements the project by involving

the community to achieve shared
results and accountability.
4 Monitoring and Evaluation

HHRO VI-MED,HOACD 1. Monitors and evaluates the

Regional Office implementation of project/s to
ensure that it is on track and
reaching the desired goals in
accordance with the approved plan.

2. Project is usually monitored against

whether it is running in schedule,
running within the planned costs
and receiving adequate resources.

3. Prepares the following reports for

submission to the Department and
other stakeholders:

a. Project status report

b. Project schedule chart
c. Project financial status report

4. Conducts an assessment on the

implementation of the project and

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prepares evaluation report
containing the following:

Impact
a. Analysis of the overall effects of
the project
b. Analysis of the contribution of
the project purpose to the overall
objectives
c. Collection and analysis of
information at the levels of
communities and society at large
focusing on the final
beneficiaries of the project
d. Analysis of unintended impact
(negative and positive)

Effectiveness
a. Analysis on how well the project
results contribute to the
achievement of the purpose of
the project ( i.e. are there clear
indications of changes and
improvements that benefit the
beneficiaries of the project.
b. Uses base-line information on
the pre-project situation as a
starting point.

Efficiency
a. Analysis on how successful the
project has been in transforming
the means (i.e. the resources
and inputs allocated to the
project) through project activities
into concrete project results.
b. Provides the stakeholders with
information on inputs/costs per
unit produced.

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 3.4.2.18 MONITORING AND EVALUATION PROCESS

PROCEDURES FOR MONITORING AND EVALUATING HOA REGISTRATION

AND CERTIFICATION
Responsible Procedure
Instruction/Activity
Person No.
1 Conduct of preparatory activities for
the monitoring of accomplishment
reports.

Director IV-HOACDB 1. Instructs the Division Chief of the

Monitoring & Evaluation (M&E)
Division to commence preparation of
the DHSUD monthly/quarterly/annual
accomplishment report.

HHRO VI- 2. Conducts discussion with the

MED Information and Knowledge
Management Service and Regional
Offices to come-
up/update/revise/improve the
monitoring forms used to capture and
assess the accomplishments of the
DHSUD based on its programs,
projects and activities (PPA).

HHRO VI– 3. For the DBM purposes, submits

MED & IT Officer III- accomplishment reports based on the
KMISS targets specified in the NEP or GAA.

4. Jointly conducts field workshop to

establish a uniform and systematic
reporting procedure using the official
monitoring forms that will capture the
following data:

a. HOA Registration
b. HOA Certifications and others

Monitoring and Evaluation of HOAs –Regional Offices

2 Conduct of field and non-field

monitoring
HHRO-V-MED
1. Upon receipt of report or request of an
interested party, conducts field and/or

269
 no-field monitoring to inspect and
examine documents, books and
records and investigates transactions
and activities of the association for the
purpose of ascertaining and enforcing
its compliance with laws, rules and
regulations being implemented by the
DHSUD.

a. HOA Supervision/ Non-field

monitoring report contains the date
of monitoring, HOA name, HOA
address, Registration Number,
Date registered, type of subdivision
project and findings.

b. HOA Supervision/Field monitoring

contains the date of monitoring,
HOA name, HOA address,
Registration Number, date of
registration, type of subdivision
project, nature of complaints,
verification of data submitted,
status of the HOAs, federations,
confederations and similar
umbrella organizations registered
or which are to be registered with
the DHSUD, and notice of
deficiencies, show cause orders,
penalty orders upon discovery of
violations of laws, rules and
regulations to ensure compliance
therewith and supervision of
election.
3 Examination of financial transaction

HHRO VI-HOACDD 1. After the submission of the annual

reports, conducts an examination and
evaluation of financial reports
submitted within fifteen (15) days from
receipt and completes the review and
evaluation within an equal period of
fifteen (15) days.

2. In case the submitted documents are

incomplete or inconsistent with

270
 generally accepted accounting
principles, requires the association to
submit pertinent books and records
including but not limited to its audited
balance sheet or income statement,
cash book, ledger and journal or cash
flow statement and at the same time
conducts examination and evaluation
of the requested reports of the
association in its designated
administrative office upon prior notice
to the concerned association when
circumstances warrant.

3. If it appears that a violation of existing

laws, rules and regulations has been
committed by the HOA, requires the
association, its directors/trustees and
officers to submit a sworn statement
explaining why no sanctions should be
imposed for the reported violation
within ten (10) working days from
receipt thereof.

a. If the HOA has no violation,

considers the matter as
terminated.
b. If HOA fails to submit a sworn
statement, applies the necessary
sanctions and penalties.
4 Issuance of notices to Regional
Offices to submit monitoring reports

HHRO VI & MED 1. Forwards to all regional offices, one

week before the end of the month, the
monitoring forms and memorandum
requesting submission of their
respective accomplishment report by
the 3rd week of the succeeding month.

HHRO VI-MED-Region 2. Prepares and submits the

accomplished monitoring report of the
Region on or before the 3rd week of
the succeeding month to the Chief
Monitoring & Evaluation Division of the
Planning Service.

271
HHRO VI– 3. Upon receipt of the accomplished
MED,PS regional monitoring report,
consolidates/evaluates/validates the
submitted performance report for
preparation of the DHSUD overall
performance report.
HHRO V-MED,PS
4. In case there is a need to undertake
ground validation, schedules the
conduct of field/ground monitoring.

5. Prepares internal office documents

and logistical requirements for the said
field/ground monitoring such as: travel
order, vehicle request and other
logistical requirements.

HHRO II-MED,PS 6. Establishes liaison/coordination with

the Regional Office and identified
sources of data to facilitate the
conduct of ground validation.

HHRO V-MED,PS 7. Prepares the report of the ground

validation conducted and incorporates
the same in the Agency Performance
Report.

HHRO III-MED, 8. Establishes and maintains a registry of

HOACDB HOAs, neighborhood associations and
their federations, confederations or
umbrella organizations.

5 Submission of ground validation and

monitoring reports

HHRO V- 1. Upon completion of ground validation

MED and consolidation of regional reports,
submits a progress report of
accomplishment to the Director IV-
HOACDB copy furnish the Assistant
Secretary and Undersecretary
handling the Bureau for final review
and approval.

HHRO VI-MED 2. Upon approval, furnish a copy of the

272
 report to the MED, PS for
incorporation in the preparation of the
DHSUD Performance Report.

3. Transmits the DHSUD Performance

Report to the Secretary.

Secretary/ 4. Submits the DHSUD Performance

Director IV- Report to the period under review to
Planning the NHSB either for information or
Service approval, if necessary.

Secretary/ 5. Approves the DHSUD Performance

NHSB Report.

6 Distribution of approved agency

performance report

HHRO VI- 1. Reproduces official report and

MED,PS furnishes copies to the bureaus,
services, regional offices and other
national government agencies like
DBM, NEDA, Congress and Senate.

273
 3.4.3 SUPPORT PROCESSES

3.4.3.1 HUMAN RESOURCE RECRUITMENT, SELECTION AND

PROMOTION PROCESS

PROCEDURES FOR THE SELECTION, RECRUITMENT AND PROMOTION

Responsible Procedure
Instruction/Activity
Person No.
1 Publication and posting of vacant
positions

Admin. Officer I-HRD 1. Publishes the vacant positions in the

Civil Service Commission (CSC)
Bulletin of Vacant Positions or
through the DHSUD website and
posts the same in three (3)
conspicuous places in the agency for
a period of ten (10) calendar days
except the following positions:

a. Primarily confidential position;

b. Highly technical positions
(consultants);
c. Other non-career positions (non-
plantilla) positions; and
d. Positions to be filled by existing
regular employees in the agency in
case of reorganization.

2. Republishes/reposts vacant positions

which are not filled within six (6)
months from publication.

The validity of the publication/posting

may be extended to another three (3)
months, provided that said vacancies
have been deliberated within the first
six (6) months.
2 Listing of applicants

Admin Officer II-HRD 1. Prepares the long list of all applicants

for the vacant position in the process
by considering the following:
a. Any applicant may be included in
the line-up except those who are
six (6) months short of their
compulsory retirement; and

274
 b. An employee who is on local or
foreign scholarship or training
grant or on maternity leave may be
included in the line-up.

2. Conducts preliminary evaluation of

Admin. Officer IV-HRD qualification of all applicants. Those
initially found qualified shall undergo
further assessment such as: written
examination and/or skills test
whenever applicable.

3. Prepares the long list of qualified

Admin. Officer II-HRD applicants based on their
qualifications and written examination
results.
3 Establishment of criteria for
selection/promotion

CAO-HRD 1. Utilizes the following criteria in the

selection/promotion of applicants (total
100%):

a. Performance
b. Education, Training & Experience
(ETE)
c. Written Exam/Test
d. Personality Qualifications and
Attributes (PGA)
e. Outstanding Accomplishments

4 Deliberation of applicants by the

Personnel Selection Board (PSB)

PSB 1. Evaluates the applicants on the basis

of the following:

a. Appropriate CSC Eligibility

b. Education
c. Performance
d. Training
e. Experience
f. Test Results
g. Outstanding accomplishments

275
 2. Prepares short list of applicants

3. Conducts interview to
determine/evaluate the following:

a. Pyscho-social attributes and

personality traits; and
b. Potential

4. Ranks top three (3) contenders

5. Submits comparative assessment

report of the screened applicants to
the appointing authority.

DHSUD Secretary 6. Selects the qualified appointee

Admin. Officer V-HRD 7. Issues appointment papers and other

required documents

8. Submits appointment to the CSC for

actions.

9. Posts the name of selected applicant

in the DSHUD Bulletin Board.
5 Applicants from within –for promotion

Admin. Officer V-HRD 1. Issue notices on the vacant position to

employees holding next-in rank
position.

- Next-in-rank position refers to a

position which by reason of the
hierarchical arrangement of positions in
the agency is determined to be in the
nearest degree of relationship to a
higher position as contained in the
DHSUD’s System of Ranking Positions
(SRP).

- Note: An employee with pending

administrative cases is disqualified for
promotion during the pendency thereof.
A pending administrative case shall be
construed as follows: a) when the
disciplining authority has already filed a

276
 formal charge; or b) in case of a
complaint filed by a private person, a
prima facie case is already found to
exist by disciplining authority.

If he is found guilty, the employee is

disqualified for promotion for a period
based on the penalty.

Admin. Officer V-HRD DOCUMENTARY REQUIREMENTS

For original appointments

a. Three (3) duly accomplished

Personal Data Sheet with Work
Experience Sheet (CS Form 212)
with a 2” x 2” picture.
b. Police clearance from the place of
permanent residence.
c. Position Description Form (CS Form
1, Revised 2017)
d. Medical Certificate (CS Form 211)
issued by a government physician
including results of urinalysis, stool
examination and x-ray, drug test.
e. Transcript of records or diploma
f. Clearances
g.1 NBI Clearance- for original
appointment
g.2 Clearance for financial obligation
and property accountability from
previous/former office/agency–
for transfer and reinstatement/
reemployment
g.3 None-required- for renewal of
temporary, contractual or
casual
g. Original/Xerox report of rating of civil
service eligibility and/or certificate of
eligibility granted under PD 907; RA
1080 and others
h. NSO Authenticated birth certificates
of dependents
i. Marriage Contract, if applicable
j. Results of neuro-psychiatric
examination

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 k. Tax Identification Number, HDMF
Membership and GSIS Policy,
Philhealth Identification Number
Admin. Officer V-HRD l. Statement of Assets, Liabilities and
Networth

For promotional appointments

a. Three (3) duly accomplished

Personal Data Sheet (CS Form 212)
with a 2” x 2” picture and Work
ExperienceSheet
Admin. Officer V-HRD b. Performance rating (Very
Satisfactory) for the last two rating
periods- for purposes of promotion or
transfer
c. Position Description Form
d. Duly signed report of the PSC.

For transfer appointments

a. Three (3) duly accomplished Personal

Data Sheet (CS Form 212) with a 2” x
2” picture.
b. Permission/approval to transfer from
present employer.
c. Clearance from former office.
d. Service Record
e. Certification that there is no pending
Administrative case.
Admin. Officer V-HRD f. Certification of last salary received
and copy of disbursement voucher for
payment of last salary
g. Copy of GSIS Identification Number
and Business Partner Number
h. Certification of leave credits
i. Performance Rating from previous
employer
j. BIR Form No. 2316
k. Statement of Assets, Liabilities and
Networth

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For reinstatement appointments of
retired/separated employees from
government service

a. Clearance from the last office served

b. Statement of gratuity/retirement
received
c. Three (3) duly accomplished Personal
Data Sheet (CS Form 212) with a 2” x
2” picture.
d. Authority to appoint/re-
employ/reinstate from the Civil Service
Commission
e. Certification as to the inclusive period
of terminal leave.

1. Review thoroughly and check the

veracity and authenticity of all the
requirements and supporting papers
in connection with all cases of
appointments before submission to
the CSC office concerned.
2. Conduct post qualification of all the
requirements submitted by the
appointee to determine authenticity.
3. Sign the following certifications at the
back of the appointment:
a. Certification as to completeness
and authenticity of requirements.
b. Certification as to publication of the
position to be filled.

5. Ensure that the Chairman of the

HRMPSB has signed the certification
at the back of the appointment when
applicable.
6. Ensure that all questions in the
Personal Data Sheet (CS Form 212)
of the appointee are answered
properly and completely with his/her
recent photograph attached, his right
thumb mark affixed and his current
community tax certificate indicated
therein
7. Furnish appointee with a photocopy of
his appointment for submission to the

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 Commission.
8. Ensure that the appointee
acknowledges receipt of a photocopy
of said appointment by signing on the
duplicate and other copies thereof.
- The effectivity of an appointment
shall be the date of actual
assumption by the appointee but
not earlier than the date of
issuance of appointment, which is
the date of signing by the
appointing authority

9. Submit appointment with the

prescribed transmittal form indicating
the names of appointees, their
positions and the corresponding date
of issuance and separation to the CSC
office concerned within 30 days from
the date of issuance, which shall be
the date indicated by the appointing
authority below his signature,
otherwise they shall become
ineffective and shall be disapproved.
The appointment should be
accompanied by the following:

a. Personal Data Sheet (CS Form

212)
b. Job Description (CSC Form 122-D)
duly certified by Head of Office or
any officer who has been delegated
the authority to sign
c. Certification by the appointing
authority or his duly authorized
representative in the agency
concerned to the effect that all
requirements have been complied
with, reviewed by him and found to
be in order.
d. Certified true copy of the decision
on the administrative or criminal
case or any official record thereof of
the appointee, if any.
e. Certified true copy of CSC Eligibility

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 10. Post a notice announcing the
appointment/ promotion in the
bulletin board of DHSUD.
11. For original appointment (initial
entry), ensure that the appointee
shall undergo a probationary period
of six (6) calendar months before
his/her appointments become
absolute. Before the expiration of the
probationary period, require the
group head to submit the
performance evaluation of the
appointee together with the
recommendation on whether he/she
will be retained or terminated.
12. Issue a written notice to the
appointee on the decision with
regard to his/her employment

6 CONTRACT OF SERVICE PERSONNEL

Admin. Officer V-HRD 1. Conduct evaluation based on the

following preliminary requirements:

a. Level of education, training and

experience commensurate with the
requirements of the job or whether
the applicant satisfies the required
minimum qualifications of the job
being applied for
b. Applicant’s age
c. Valid references, certifying to the
applicant’s morality, honesty and
integrity

2. Upon receipt of approval by the

Appointing Authority, prepare the
contract of service with a validity
period of six months and submit
the same to the Legal Services
Group for review and issuance of
certification.

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The Contract of Services and Job Orders
refer to employment described as follows:

a. The contract covers lump sum work or

services such as janitorial, security or
consultancy services where no
employer-employee relationship exist;
b. The job order covers piece of work or
intermittent job of short duration not
exceeding six months on a daily
basis;
c. The contracts of services and job
orders are not covered by Civil
Service Law, Rules and Regulations,
but covered by COA rules;
d. The employees involved in the
contracts or job orders do not enjoy
the benefits enjoyed by government
employees, such as PERA and
RATA.
e. The contract does not create an
employer-employee relationship and
that the services rendered are not
considered and will not be accredited
as government service and that the
COS employee is not entitled to the
benefits enjoyed by the regular
personnel of HUDCC.

3. The services rendered under

contracts of services and job orders
are not considered as government
services, they do not have to be
submitted to the Civil Service
Commission for approval.

4. The contract of service also states

that the COS personnel is not related
within the third degree of
consanguinity or affinity to the
appointing authority; has not been
previously dismissed from
government service by reason of an
administrative offense and has not
already reached the compulsory
retirement age of sixty-five (65).

282
Legal Services 5. Review the Contract of Service and
issue a certification stating that the
contract is valid and return the same
to the Personnel Unit

Admin. Officer V-HRD 6. Require the COS personnel to submit

the following documents:
a. Three (3) duly accomplished
Personal Data Sheet (CS Form
212) with a 2” x 2” picture.
b. Police clearance from the place of
permanent residence.
c. Medical Certificate (CS Form 211)
issued by a government physician
including results of urinalysis, stool
examination and x-ray.
d. Transcript of records and diploma
e. NBI Clearance
f. Tax Identification Number
g. Certificate of employment, if
previously employed
h. Professional driver’s license for
driver

Note: The contract of services/job

orders as distinguished from the
appointment of regular employee, need
not be submitted to the CSC. The
contract indicates that there is no
employer-employee relationship exist, a
duration of contract does not exceed six
months, it is not covered by the CSC
rules and regulations but covered by COA
and the COS employees do not enjoy the
benefits enjoyed by government
employees such as PERA and RATA.
7 Orienting a New Employee

Admin. Officer V-HRD 1. Require the new employee to

accomplish in triplicate his/her Oath
of Office, Statement of Assets,
Liabilities and Networth as of the
date of his/her assumption and Form
No. 2305 (Employee’s Withholding
Exemption Certification)

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 2. Orient the new employee on the
DHSUD Office policies and
procedures, mandates, and how to
use the Finger Scan Biometric Time
Recorder (FSBTR) and brief him/her
on his/her obligations as well as
his/her rights and privileges as
government employee.
3. Introduce the newly hired employee
to the group where he/she is to be
assigned as well as to the other
operating groups.
4. Give the employee a copy of his/her
original appointment/contract of
service, Oath of Office, and SALN
but retain duplicate of same for new
employee’s 201 File.

8 Initial Salary of New Employee

Admin. Officer V-HRD Pursuant to COA Circular No. 2012-001

which prescribed the Revised Guidelines
on the Documentary Requirements for
Common Transactions, states that the
documentary requirements for Initial
Salary for Individual Claims are as
follows:

a. Certified true copy of Appointment

b. Certified true copy of Oath of Office
c. Certificate of Assumption
d. Statements of Assets, Liabilities and
Networth
e. Approved DTR
f. BIR Form 2305 and 1902
g. BIR Form 2316 (if with previous
employer within the year)

1. On the other hand with regards to the

Contract of Service and Consultants,
the following are required:

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 Contract of Service
a. Original copy of Notarized
Contract of Service
b. Certificate of Assumption
c. Approved DTR
d. Approved Accomplishment
Report (whenever applicable)
every cut off date

Consultants
a. Original copy of Notarized
Contract of Service
b. Certificate of Assumption
c. Approved Accomplishment
Report

2. Except for item no. 3.f and 3.g for the

Permanent Co-term, all documentary
requirements are all internal
documents that are to be issued either
by the office or the concerned
personnel.

Applicant/ Qualified next- 9 Filing of grievance/protest

in-rank 1. Files a protest/contest with the
appointing authority if he/she is not
satisfied with the selection of applicant
under any of the following conditions:

a. Non-compliant with the selection

process;
b. Discrimination on account of
gender, civil status, disability,
pregnancy, religion, ethnicity or
political affiliation;
c. Disqualification of applicants to a
career position for reason of lack of
confidence of the appointing
authority; and
d. Other violations.

2. Elevates all complaints/grievance

pertaining to the selection and
evaluation of applicants to the CSC
Regional Office (CSCRO) and then to
the CSC proper.

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 3.4.3.2 TRAININGS AND SCHOLARSHIPS

PROCEDURES FOR SELECTING CANDIDATES FOR TRAININGS AND

SCHOLARSHIPS
Responsible Procedure Instruction/Activity
Person No.
1 1 Upon receipt, disseminate/transmit all
invitations to convention, seminar,
conference, symposia, training,
scholarship and other similar training
activities to the different Operating
Groups.

2. Route the invitation to respective staff

to provide them with equitable
continuing education path and
program to harness their potentials
and creativity and at the same time
promote their general welfare.

3. Ensure that the

nomination/recommendation of
training participant/s shall not impair
the Group’s day-to-day undertakings;
and

4. Endorse the applications of personnel

who signified their intentions to
participate in the training to the
Personnel Unit.

5. Upon receipt of applications from the

different Operating groups, conduct
screening of applicants based on
merit, capability of the employee to
pursue further education for his/her
career development and the
qualification standards set by the
DHSUD and/or the local/foreign
inviting agency.

6. Upon completion of the screening,

provide the Chairman and members
of PDC, the list of applicants and
corresponding documentary

286
 requirements and schedule the
convening of the Personnel
Development Committee.

7. Select the official nominee/s using the

Selection Criteria below:

Local/Foreign Scholarship Grants

Requirements

a. Relevant course/degree from a

college/university
b. Permanent appointment at the time
of filing of application for scholarship.
For this purpose, co-terminous
appointments may not be considered
as permanent appointments
c. At least two (2) years of continuous
service in the DHSUD
d. Relevant work experience
e. Very satisfactory performance
ratings for the last two (2)
consecutive rating periods
f. In good health
g. No pending criminal and/or
administrative case
h. No current local/foreign scholarship
grant
i. No foreign/local scholarship grant in
the past two (2) years
j. No pending service obligation from
previous local or foreign scholarship
and training contract
k. Age requirement will be based on
the requirement ser by inviting
agency; and
l. Candidates must be performing the
functions relevant to the field of
study for at least six (6) consecutive
months prior to his applications

8. Prepare and transmit the following

287
 after the PDC meeting to the
approving authority:

a. Minutes of the PDC meeting

b. Resolution recommending the
selection of nominee to the training
c. Memorandum to the approving
authority
d. Endorsement letter to the inviting
agency

9. Approve the recommendation of the

PDC and return the same to the
Personnel Unit

10. Notify the personnel concerned on the

approval of his application and require
him to submit the following:

a. Nomination letter signed by the Head

of the Agency or the duly authorized
official. A. Nomination letter signed by
the Secretary or head of the agency /
university or entity or the duly
authorized official, addressed to:

Director General
Technical Education and Skills
Development Authority
East Service Road, South
Superhighway,
Taguig City, Philippines
Attention: FOREIGN SCHOLARSHIP
and TRAINING PROGRAM UNIT

b. The nomination letter should state

why the candidate is being nominated
and that the nominee, when
accepted, will continue to be paid
his/her salary and other entitlements
due him/her while in the course of
training.
c. Two (2) copies of updated Personal
Data Sheets to include list of training
programs and seminars attended.
d. Two (2) copies of Statement of

288
 present actual duties and
responsibilities (including past
involvement) relevant to the
course/program signed by the
immediate superior.

The nomination letter should state

why the candidate is being nominated
and that the nominee, when
accepted, will continue to be paid his/
her salary and other entitlements due
him/her while in the course of
training. Updated Personal Data
Sheet including list of training and
seminars attended.

e. Certification from the Head of the

Human Resources Division or
Personnel Manager on the following:

1.That the nominee has no pending

administrative and /or criminal case;
2.That the nominee has no pending
scholarship nomination and has
already rendered the required
service obligation for a scholarship
previously enjoyed if applicable;
3.That the nominee has obtained at
least a Very Satisfactory
performance rating for two
consecutive periods preceding the
nomination;

4.Certificate of non-withdrawal signed

by the nominee and attested by the
HRD Head; and

5.Certification from a medical doctor

that the nominee is fit to travel and
undergo foreign training with the
Laboratory Examination result
attach.

There are also specific documents

required by donor countries/agencies and
the Department of Foreign Affairs (DFA).

289
For local training

11. Transmit the endorsement letter to the

inviting agency, copy furnish the
personnel concerned.

For foreign training

12. Transmit the endorsement letter duly

signed by the Secretary to the Director
General of TESDA together with the
required supporting documents.

13. Inform the DHSUD on the schedule of

oral and written interview of the
applicant by the panel of interviewees.

14. If the applicant passes the panel

interview, provide the following list of
requirements for compliance by the
applicant:

a. Two (2) copies of medical certificates

stating that the nominee is fit to travel
and undergo foreign training
b. Two (2) sets of application forms with
pictures and background prescribed
by inviting agency.

Endorse the list of applicants for the

training/scholarship program to the
inviting/donor countries.

15. Conduct final selection and issue a

note verbal informing TESDA on the
acceptance or non-acceptance of
nominee.

16. Inform the Personnel Unit of DHSUD

on the acceptance of its nominee and
advise the selected nominee to
comply with the following
requirements of the donor country:

a. Apply for official passport

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 b. Prepare country/job/supplemental
report/ questionnaires, etc.
c. Attend pre-departure orientation
d. Secure travel tax and plane ticket

17. Inform the applicant of his acceptance

and prepare Travel Authority of
nominee and endorsement letter to the
Department of Foreign Affairs to be
signed by the DHSUD Secretary.

3.4.3.3 REWARDS AND RECOGNITION PROCESS

PROCEDURES FOR THE GRANTING OF REWARDS AND RECOGNITION

Responsible Procedure
Instruction/Activity
Person No.
1 Creation of PRAISE Committee and
defining its functions:

CAO-HRDD 1. Prepares an office order creating the

PRAISE Committee and defining its
functions as shown below and submits
the same to the Director IV-AS to
secure the approval of the Secretary:

PRAISE a. Establishes a system of incentives

Committee and awards to recognize and
motivate employees for their
performance and conduct;
b. Formulates, adopts and amends
internal rules, policies and
procedures to govern the conduct
of the activities which shall include
the guidelines in evaluating the
nominees and the mechanism for
recognizing the awardees;
c. Determines the forms of awards
and incentives to be granted;
d. Monitors implementation of
approved suggestions and ideas
through feedback and reports;
e. Prepares plans, identify resources
and proposes budget for the
system on an annual basis;
f. Develops, produces and
distributes a system policy manual

291
 and orients the employees on the
same;
g. Documents best practices,
innovative ideas and success
stories which will serve as
promotional materials to sustain
staff enthusiasm;
h. Submits an annual report on the
awards and incentives system to
the CSC on or before the thirtieth
day of January; and
i. Monitors and evaluates the
System’s implementation every
year and makes essential
improvements to ensure its
suitability to the DHSUD.

Director IV-AS 2. Forwards the office order creating the

PRAISE Committee to the Secretary
for his approval & signature.

Secretary 3. Signs the Office Order.

2 Determination of types of awards

SAO-HRDD & Search 1. Based on the approved DHSUD

Committee PRAISE, the HRDD thru the DHSUD
Search Committee, determines the
officers and employees who may
qualify to the different awards
identified under the PRAISE.

2. Participates in the search for

deserving employees who may be
included in the screening of
candidates for the following national
awards given by other government
agencies, private entities, NGOs and
other award giving bodies:

a. Presidential of Lingkod Bayan

Award-conferred on an individual
for consistent, dedicated
performance exemplifying the best
in any profession or occupation
resulting in the successful

292
 implementation of an idea or
performance, which is of significant
effects to national interest, security
and patrimony.

b. Outstanding Public Official/

Employee or Dangal ng Bayan
Award-granted to any public official
or employee in government who
has demonstrated exemplary
service and conduct on the basis
of his/her observance of one or
more of the eight (8) norms of
behavior under Republic Act No.
6713 or the Code of Conduct and
Ethical Standards for Government
Officials and Employees.

c. Civil Service Commission or the

PAGASA Award- conferred on a
group of individuals or team who
has demonstrated outstanding
teamwork and cooperation, which
resulted in the successful
achievement of the goal or has
greatly improved public service
delivery economy, in operation,
improved working conditions or
otherwise benefitted the
government in many other ways.

SAO-HRDD d. Other Awards given by other

& PRAISE government agencies, private
Committee institutions or NGOs to an
individual or team for contributions
of an idea or performance that
directly benefited the government.

3. Continuously searches, screens and

rewards deserving employees to
motivate them to improve the quality of
their performance and instills
excellence in public services through
the grant of the following agency level
awards and other forms of awards:

293
a. Loyalty incentive- refers to CSC
Memorandum Circular No. 6 S.
2002 (Revised Policies on Grant of
Loyalty Award) as basis in the
grant of loyalty incentive.
Authorized leave without pay
incurred by the employees and
who served in one or more
government agencies without gap
in the service should also be
considered the grant of incentive.
b. Length of Service Incentive- given
to an employee who has
rendered at least three (3) years of
continuous satisfactory service in
the same position. The cash award
shall be incorporated in the salary
adjustment following the CSC-DBM
Joint Circular No.1 Series of 2012.
c. Productivity Enhancement
Incentive (PEI) - monetary
incentive should be based on the
existing CSC-DBM Joint Circulars
and Commission on Audit
Issuances and its grant should be
in accordance with the approved
SPMS.
d. Career and Self-Development
Incentive- granted in recognition of
an individual who has satisfactorily
completed a course or degree
within or outside the country at

one’s own expense. A plaque of

recognition may be given to
qualified individuals during
DHSUD’s anniversary celebration.
e. Other Incentives which the
DHSUD’s PRAISE Committee may
recommend on the basis of
special achievements, innovative
approaches to assignments,
exemplary service to the public and
recognition by an outside group of
a particular achievement.
f. Compensatory Time-off- granted to

294
 an employee who has worked
beyond his regular office hours or
a project without overtime pay.
g. Quarterly Salo-salo Together-
meals hosted by the agency to
celebrate the natal day of its
employees per quarter.
h. Personal Growth Opportunities-
incentives which may be in the
form of attendance in conferences
on official business, membership to
professional organizations, books,
journals, tapes, travel packages
and other learning opportunities.
i. Monetary Award
j. Other incentives- incentives in kind
which may be in the form of
merchandise, computers,
cellphones, etc.
3 Submission of GPCR and IPCR as
basis for the grant of PRAISE awards
and incentives
Director IV-AS
1. In every October-December of the
year, submits the GPCR and IPCR to
the Planning Service and HRDD.

CAO-HRDD and 2. Evaluate and rank the performance of

Planning Officer V the different groups/individuals based
on the standards set in the SPMS and
PRAISE.

Admin. Officer I-HRDD 3. Forwards the GPCR together with the

rankings of the different organizational
units to the PMT

4 Evaluation of GPCR and IPCR

PMT 1. Evaluates and confirms the evaluation

of the Planning and HRDD staff.

2. Prepares a recommendation on the

grant of awards and incentives to the
different organizational
units/personnel and submits the same
to the PRAISE Committee.

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 5 Preparation of resolution
recommending the grant of awards
and incentives
PRAISE
Committee 1. Based on the evaluation of the PMT,
prepares a resolution recommending
the grant of awards and incentives to
the DHSUD personnel and submits
the same to the Director of Legal
Services for issuance of legal
certification and to the DHSUD
Secretary for approval, respectively.
6 Approval and processing of grant of
awards and incentives

Secretary 1. Approves the resolution,

recommending the grant of awards
and incentives.
Admin. Assistant
2. Forwards the approved resolution to
the Director-Financial Service and
Procurement Division for
processing./appropriate action.

3.4.3.4 ASSESSMENT OF GROUP AND INDIVIDUAL

PERFORMANCE PROCESS

PROCEDURES FOR ASSESSING GROUP AND INDIVIDUAL PERFORMANCE

Responsible Procedure
Instruction/Activity
Person No.
1 Conduct strategic planning to ensure
cascading of agency plans/targets to
the different organizational units .

Director IV-Planning 1. Facilitates the conduct of strategic

Service planning session with the Directors and
staff and agrees on the outputs that
should be accomplished based on the
goals/objectives of the department.

2. Requires the different Organizational

Units to submit the Group Performance
Commitment and Review (GPCR)
Planning Officer V- Form to the Planning Service.
Planning Service 3. Reviews/Assesses the GPCR to
ensure its alignment to the overall

296
 agency goals and targets and/or
approved DPCR.

4. Forwards the reviewed DPCR to the

Heads of the organizational units for
the distribution of group performance
commitment to the individual staff.
2 Rationalizing the distribution of Group
Performance Commitment to Individual
Staff
Group Heads
1. Assumes joint responsibility with the
Head of Agency in ensuring the
attainment of performance objectives
and targets.

2. Rationalizes distribution of
targets/tasks to individual employees.

3. Monitors closely the status of

performance of their subordinates and
provides support and assistance
through the conduct of coaching for the
attainment of targets set by the
Division/Unit and individual employee.

4. Assesses individual employees’

performance.

5. Recommends developmental
intervention and informs employee of
his/her development needs
6. Submits the GPCR and IPCR to the
Planning Service and HRDD
respectively to assess the group and
individual performance using the
approved OPCR.
3 Monitoring and evaluation of submitted
individual performance commitment

Admin. Officer II & 1. Monitors submission of Individual

Planning Officer II Performance Commitment and
Review (IPCR) and GPCR Form by
organizational unit.

2. Reviews the summary list of

297
 Performance Rating to ensure that the
average performance rating of
employees is equivalent to or not
higher than the Group Performance
Rating and Office Performance Rating
as recommended by the PMT and
approved by the Head of Agency.

Planning Officer V 3. Provides analytical data on retention,

skills competency gaps and talent
development plans that align with
strategic plans.

4. Coordinates developmental
interventions of employees with the
HRDD for incorporation in the Human
Resource Plan.

SAO-HRD 5. Informs employees based on the

assessment of developmental needs

6. Consolidates, reviews, validates and

evaluates the initial performance
assessment of the organizational unit
based on the reported group
accomplishments against the success
indicators and the allotted budget
against the actual expenses.

Planning Officer V and 7. Determines the final assessment of

CAO-HRD performance level of the group and
individual employees in his/her unit
based on proof of performance.

8. Provides each organizational unit with

the results of the final group
assessment to serve as basis in the
evaluation of performance of individual
staff member and for discussion with
the PMT.

9. Submits the GPCR and IPCR to the

PMT to determine those qualified to
receive the PRAISE awards and
incentives.

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 4 Conduct of consultation meeting to
compare the group performance
against targets.

Planning Officer I 1. Schedules the review/evaluation of the

Group commitments by the PMT before
the start of a performance period.

The result of the assessment shall be

the basis of PMT’s recommendations
to the Secretary who shall approve the
HHRO VI- final group rating.
M&ED 2. Sets consultation meeting with all the
Heads of the Organizational Units to
discuss the accomplishments vs
targets set in the GPCR and results of
group assessment.

3. Ensures that the group performance

targets and measures, as well as the
budget are aligned with those of the
Agency and their work distribution of
units is rationalized.

4. Conducts initial identification of

potential top performers based on the
submitted GPCR and IPCR and
submits the same to the PMT for
validation of the final ranking of the
different organizational units and
individual employees.

PMT 5. Validates and evaluates the submitted

ranking and prepares a memorandum
to the PRAISE Committee confirming
the ranking and recommending the
grant of awards and incentives to the
DHSUD employees.

PRAISE Committee 6. Reviews the recommendation of the

PMT and prepares a resolution
recommending the grant of awards and
incentives to DHSUD employees and
forwards it to the Secretary for
approval.

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 The PRAISE Committee serves as an
appeals body and final arbiter for
performance management issues in
the agency.
5 Approval of the grant of awards and
incentives to deserving DHSUD
employees
Secretary
1. Approves the recommendation of the
PMT and PRAISE Committee.

2. Transmits the signed resolution to the

PRAISE Committee and Financial
Service for appropriate action.

3.4.3.5 PROCUREMENT PLANNING PROCESS

PROCEDURES FOR PROCUREMENT PLANNING

Responsible Procedure
Instruction/Activity
Person/Unit No.
1 Preparation of Project Procurement
Management Plan (PPMP) and APP

Organizational Unit 1. Prepares the Project Procurement

Management Plan (PPMP) for regular and
common use supplies containing
information on whether the PAPs will be
contracted out or implemented by
administration, the type and objective of the
contract to be employed, the extent/size of
contract scopes/packages which pertains to

the general description of the lot to be

included in a particular contract (i.e. goods,
infra project or services), the procurement
methods to be adopted, the time schedule
for each procurement activity and estimated
budget for the general components of the
contract.

2. Submits the PPMP to the Budget Division

Budget Division
for evaluation and BAC Secretariat for
consolidation of indicative PPMPs for
regular and common use supplies to an
indicative APP for regular and common use
supplies and determination of appropriate
methods of procurement.

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BAC Secretariat 3. Evaluates the submitted PPMP for
incorporation in the budget proposal.

4. Consolidates all the indicative PPMPs

submitted by the organizational units to
determine the indicative APP of DHSUD for
the year using the GPPB prescribed format
and submit the same to the Head of the
Procuring Entity (HOPE) for approval

HoPE 5. Submits indicative APP for regular and

common use supplies using the GPPB
prescribed format to the HoPE for approval

6. Approves the indicative PPMP and APP for

regular and common use supplies.

2 Approval of the GAA

Organizational Unit 1. Upon approval of the GAA, revises the

PPMP and submits it to the BAC Secretariat
for consolidation and determination of
appropriate methods of procurement.

BAC Secretariat 2. Revises and finalizes the PPMP and APP

and submits the same to the HoPE for
approval.

HoPE 3. Approves the revised and finalized PPMP

and APP.
3 Posting of approved Annual Procurement
Plan (APP)

Admin. Officer III 1. Upon approval of the APP by the HOPE,

posts a copy of the regular APP in the
DHSUD’s website and On-Line Monitoring
Evaluation System (OMES) in the GPPB
site
4 Review of PPMP and APP

Organizational Unit 1. Reviews and updates the supplemental

PPMP at least once every six (6) months or
as may be required by the HoPE.

2. Submits the reviewed and updated

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 supplemental PPMP to the BAC Secretariat
for consolidation. For Regional Offices, the
updated PPMP and APP shall be submitted
to the Central office for information and
monitoring purposes
BAC Secretariat
3. Consolidates the submitted revised PPMP
to updated/supplemental APP and submits
HoPE the same to the HoPE for approval.

4. Approves the updated/supplemental APP.

3.4.3.6 PROCUREMENT OF SUPPLIES, MATERIALS, EQUIPMENT

INCLUDING SERVICES FOR THE REPAIRS OF MOTOR
VEHICLES AND EQUIPMENT PROCESS

PROCEDURES FOR REQUESTING AND PROCURING SUPPLIES, MATERIALS,

EQUIPMENT INCLUDING REPAIRS OF MOTOR VEHICLES AND EQUIPMENT
Responsible Procedure
Instruction/Activity
Person No.
1 Requisition of supplies and PPE

Requisitioning Staff 1. Accomplishes Purchase Request (PR)

Form specifying therein the items
requested and specifications, purpose of
request and other details.

2. Forwards the PR to the Budget Unit for

stamping of availability of funds prior to

submission of the PR to the authorized

recommending (Group Head) and
approving officials (ASec. & Usec.)

2 Certification on the availability of funds

CAO-BD 1. Certifies availability of funds on the PR

and returns the same to the GSD/Supply
Clerk for endorsement to the approving
authority.
CAO-GSD
2. Endorses the PR to the approving
authority.

3 Approval of Purchase Request

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Approving Authority 1. Approves the PR and returns it to the GSD
for assignment of PR control number.

Admin. Officer I 2. Records the PR in the logbook indicating

the PR control number and checks
availability of items thru Stock Position
Sheet (SPS

3. If the items are available, issues the

requisitioned items to the requesting staff
4 Acquisition of requested items
SAO-PD 1. If the items requisitioned are not available
from the stock and not obtainable from the
Procurement Service of DBM, purchases
the items through Purchase Order
especially if the amount of requisitions
does not exceed P50,000.00 (shopping)

2. Upon receipt of PR from the Budget

Division, assigns requested item/s to
canvassers to secure at least three (3)
Requests for Quotation Forms from the
known accredited and bonafide suppliers
of materials, equipment and supplies
needed not later than two (2) days after
the receipt of PR.

Admin. Officer III 3. Upon receipt of quotations from suppliers,

prepares summary of bids and awards,
evaluates quotations for items requested,
through Abstract of Canvass and forwards
the same for signature of authorized
officials.

4. Prepares the PO containing

recommendation for the lowest and most
complying price quotations from
participating suppliers and forwards the
same to the recommending and approving
authority.

Recommending and 5. Recommends and approves the PO and

Approving Authority returns the said document to the Supply
Officer.

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 5 Awarding of PO

SAO 1. Awards the PO to the winning supplier.

6 Delivery of items

Supplier 1. Delivers the items in accordance with the

agreed delivery date.

Admin. Officer II 2. Conducts inspection of delivered items to

check if the specifications and quantity are
in conformity with the PO.

3. Transmits the following purchasing

documents to the Accounting Division for
processing of payments:

a. Purchase Request (PR)

b. Quotations/Bids
c. Summary of Bids and Award
d. Purchase Order/Contract
e. Delivery Receipt
f. Inspection Report
g. Materials Received Report
h. Certificate of Acceptance
i. Report of Waste Material, if any
j. Original Invoice/bill.
7 Processing of Payment

Accounting Unit 1. Processes Disbursement Voucher and

check and releases payment to the
supplier.
8 For all acquisitions above P50,000 but not
more than P1,000,000

BAC Secretariat 1. Determines the alternative method of

procurement applicable for the
requisitioned items/services, posts the
requisitioned items/ services in the
PhilGEPS and DHSUD website and
utilizes any of the applicable alternative
methods of procurement, as follows:
a. Limited Source Bidding
b. Repeat Order
c. Shopping
d. Negotiated
e. Direct Contracting

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 9 For all acquisitions above P1,000,000,
procurement should be done through
public/ competitive bidding except as
provided in R.A. 9184.

HOPE 1. Creates the Bids and Award Committee

(BAC) which shall be composed of at least
five (5) members and not to exceed seven
(7) members.
BAC
2. Initiates the creation of BAC Technical
Working Group (TWG) from a pool of
technical, financial and/or legal experts.
BAC Secretariat
3. Submits the PPMP and APP containing
the items (equipment, consulting services,
and infrastructure) to be acquired to the
concerned BAC TWG.
BAC TWG
4. Prepares the bid documents including the
Invitation to Bid (ITB) and ensures that the
same properly reflects the requirements of
the procuring entity and in conformity to
the standards set forth by RA 9184 and its
IRR-A.

5. Submits the ITB together with the other

bidding documents to the BAC Secretariat.
10 Pre-procurement conference

BAC 1. Upon receipt of the ITB and other bidding

Secretariat documents and prior to the advertisement
of the ITB, sets the BAC pre-procurement
conference especially for contract above
P1.0 million for common goods and
consulting services.

BAC 2. Through its Secretariat, calls for a pre-

procurement conference, which must be
conducted prior to advertisement, at least
7 days prior to publication or issuance of
Invitation to Bid (ITB),

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 The BAC Pre-procurement conference
shall be attended by the BAC, the
Secretariat, the unit or officials, TWG,
including consultants hired by the
procuring entity.
11 Advertisement and posting of Invitation to
Bid

SAO 1. After the pre-conference and the BAC

gives its go signal to proceed with the
bidding procedure, advertises and posts
the ITB for procurements or projects with
ABCs of more than Two Million Pesos (P 2
Million) in accordance with Section 21.2.1
of IRR-A of RA 9184 in the website of the
Procuring Entity concerned and PhilGEPS
for seven (7) calendar days starting on
date of advertisement and at any
conspicuous place reserved for this
purpose in the premises of the Procuring
Entity concerned, as certified by the head
of the BAC Secretariat of the Procuring
Entity concerned, for seven (7) calendar
days, if applicable.

For consulting services, a maximum period

of 60 calendar days from date of
advertisement and/or 1st date of posting of
the ITB up to the opening of bids.
12 Issuance of bid documents and
supplemental bid bulletins

Admin. Officer II 1. After the required publication, issues the

bidding documents to any interested
participating bidders

BAC 2. Schedules the Pre-Bid Conference

3. Holds the pre-bid conference at least

twelve (12) calendar days before deadline
for the submission and receipt of bid for
contracts to be bid with an approved ABC
of P1.0 million for clarification and/or
explanation of the requirements, terms and
conditions and specifications stipulated in
the bidding documents.

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 4. Requires the participating bidders to state
their clarification on the ITB and or submits
in writing any request for clarification (s)
after the pre-bid conference to the BAC at
least ten (10) calendar days before the
submission and receipt of bids

5. Upon receipt of request for clarifications

from the bidder, responds to the bidder by
issuing a supplemental/bid bulletin at least
seven (7) calendar days before the
deadline for submission and receipt of bids
and posts the same in the website of the
procuring entity and in the PhilGEPS.

13 Submission and receipt of bids

Participating Bidder 1. Submits the bids through their respective

authorized representatives in two (2)
separate sealed envelopes, the first
containing the technical proposal and the
second financial proposal.

The two envelopes shall be placed in an

outer envelope which shall be sealed and
addressed to the BAC and marked as
specified in the ITB.

BAC Secretariat 2. Receives the bid at the time, date, and

place specified in the bid documents and
stamps the face of the outer envelope as
“RECEIVED” indicating thereon the date
and time of receipt and have the stamped
countersigned by an authorized
representative. Any bid submitted after the
deadline for submission shall not be
received or accepted by the BAC.
14 Opening of bids

BAC 1. Proceeds with the opening and preliminary

examination of the first envelope
containing the technical proposal to
determine its compliance to the required
documents for technical bid and eligibility
criteria stated in Section 23.11 of IRR-A.

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2. Checks the documents in the technical
proposal against the following checklist of
required documents using a non-
discretionary “pass/fail” criteria:
Class “A” documents

a. DTI/SEC/CDA registration
b. Mayor’s permit
c. Taxpayer’s Identification Number
d. Statement of prospective bidder that it
is not blacklisted
e. Certificate of PhilGEPS Registration
f. Audited financial statement
g. Statement of ongoing, completed or
awarded but not yet started within the
relevant period, where applicable
h. Omnibus Sworn Statement

Class “B” documents

i. Valid joint venture agreement, in case

of joint venture; and
j. Letter authorizing the BAC to verify any
and or all of the documents submitted
for the eligibility check

A bidder determined as “FAILED” has 3

calendar days upon written notice or, if
present at the time of bid opening, upon
verbal notification, within which to file a
request for reconsideration with the BAC.

3. Opens the second envelope containing the

financial proposal of bidder whose
technical proposal was rated “PASSED”
within the same day to determine if the
following documents required for financial
proposal are complete and sufficiently
complied with:

a. Audited financial statements, stamped

received by the BIR.
b. Net Financial Contracting Capacity
equivalent to 10% of the approved
budget for the contract to be bid

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 c. Bid security
d. Performance security equivalent to 10%
of the contract price in the form of
unconditional bank guarantee or cash
deposit.
15 Evaluation of bids

BAC TWG 1. Determines the Lowest Calculated Bid

(LCB) by establishing the correct
calculated prices of bids, ranking the total
bid prices as calculated from the lowest to
the highest. The bid with the lowest price
shall be identified as the LCB

2. Ranks the bids in ascending order of their

total calculated bid prices as evaluated
and corrected.

Members of the BAC, BAC Secretariat

and BAC

TWG are prohibited from making or

accepting any kind of communication with
any bidders regarding the evaluation of
their bids until the issuance of the Notice
of Award.
16 Issuance of Notice of Award

BAC 1. Within seven (7) days from the

determination of LCB, conducts and
accomplishes a post-qualification of bidder
with the LCB to determine whether the
bidder is compliant and responsive to all
the requirements and conditions for
eligibility.

2. Notifies the bidder in writing of its post

disqualification and the grounds for it and
gives the bidder/s three (3) calendar days
from receipt of notification to request for
reconsideration of the BAC decision.

3. Evaluates the request for reconsideration

of the bidder and issues final
determination of the said request within

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 seven (7) calendar days from receipt
thereof.

4. If the request for reconsideration of the

bidder has been denied, initiates and
completes the same post qualification
process of the bidder with the second
lowest LCB. If the second bidder passes
the post qualification, declares the second
bidder as the bidder with the Lowest
Calculated Responsive Bid.

5. If nobody passes the post-qualification,

declares a failure of bidding and conducts
a re-bidding and positing of the ITB.
17 Awarding of contract

BAC 1. Issues a Resolution recommending to the

Head of Procuring Entity the award of the
contract to the bidder with the LCRB at its
submitted bid price or its calculated bid
price, whichever is lower.

HOPE 2. Within the period of not exceeding seven

(7) calendar days from the
recommendation of award, approves or
disapproves the recommendation.
Where project cost is less than P50
million, approves the recommendation
within four (4) calendar days (GPPB
Resolution No 014-2006 , Section 37.2.1).

BAC Secretariat 3. After the approval of the BAC Resolution

recommending the award of contract,
issues the Notice of Award (NOA) to the
bidder with the LCRB;

4. Simultaneously, furnishes a copy of the

NOA to all losing bidders and post in the
website of the Procuring Entity.

5. If the bidder refuses to accept the award

within the validity period, forfeits the bid
security of the bidder and initiates the
blacklisting procedure in accordance with
the Uniform Guidelines for Blacklisting.

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 6. Initiates and completes the post-
qualification of bidder with the second
LCRB.
18 Signing of contract

HOPE 1. Enters into a contract with the winning

bidder or its duly authorized representative
and requires the submission of all
documentary requirements to perfect the
contract within 10 calendar days from the
receipt of Notice of Award.

Documentary Requirements:

• Written Confirmation of Award

• Contract Form signed by the Bidder
• Performance Security
• Other documentary required by the
existing laws and procuring entity

2. Signs the contract on the same day after

the signing of the Bidder, provided that all
contract documents are completed.

Chief Accountant/ 3. May sign the contract as an instrumental

CAO witness.
19 Issuance of Notice to Proceed (NTP)

CAO 1. Issues the NTP together with a copy of the

approved contract to the successful bidder
within three (3) calendar days from the
date of approval of contract by the
appropriate government approving
authority.

3.4.3.7 RECEIPT, INSPECTION, ACCEPTANCE AND RECORDING

OF DELIVERIES OF INVENTORY ITEMS AND EQUIPMENT
PROCESS

PROCEDURES FOR THE RECEIPT, INSPECTION, ACCEPTANCE AND

RECORDING DELIVERIES OF INVENTORY ITEMS AND EQUIPMENT
Responsible Procedure
Instruction/Activity
Person No.
1 Delivery of equipment and inventory Items

Admin. Officer III 1. Signs “received” portion of the original and

copy 2 of the Delivery Receipt (DR).
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 2. Files the original and returns Copy 2 of the
DR to the supplier/Procurement Division (if
acquisition is from PS of DBM) and
Property Inspector.

2 Preparation of inspection and acceptance

report
Admin. Officer II
1. Prepares Inspection and Acceptance
Report (IAR) in three (3) copies and
forwards IAR, original of DR and copy 2 of
approved PO to Property Inspector for
inspection of deliveries.

2. Inspects and verifies items as to quantity

and conformity with specifications based on
the DR and approved PO.

3. If the delivered item is in order, signs and

indicates it in the “Inspection Column” of
the IAR and retains copy 3 of the IAR and
forwards the item/s and copy 1-2 of IAR,
original of DR and Copy 2 of the PO to the
Property Clerk for acceptance.
4. If specifications are not in order or delivery
is not complete, indicates notation on the
IASR that the deliveries are not in
conformity with specifications agreed under

the approved PO or deliveries are not

complete and forward the IAR to the
Property Clerk.
3 Acceptance of delivery

Admin. Officer III 1. Signs in “acceptance column,

acknowledging the receipt of the items
delivered.

2. Upon receipt of delivered items, records all

deliveries on the Property, Plant and
Equipment Ledger Card (PPELC)/Supply
Ledger Card and stores and stocks items at
the stock room where the items shall be
arranged in the most accessible
manner/within easy reach for issuance

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 3. Prepares and submits a monthly report of
the stock transactions in a summary form
indicating for each item the quantity at the
beginning, quantity received and issued
during the month and the balance at the
end of the month.
4 Conduct an on-the-spot inventory

SAO 1. Conducts on -the-spot check/count of office

supplies at random for control and submits
a report to the Head of Property Unit.

2. Determines the quantity of stock items to

Admin. Officer V be replenished based on the established
reorder/stock level quantity.

3.4.3.8 REQUISITION AND ISSUANCE OF INVENTORY ITEMS

PROCESS

PROCEDURES FOR THE REQUISITION AND ISSUANCE OF INVENTORY

ITEMS
Responsible Procedure
Instruction/Activity
Person No.
1 Conduct an inquiry on the availability of
supplies

Requesting 1. Prepares the Requisition and Issue Slip

Personnel (RIS) in two copies and fills up all the
necessary information except for the
issuance portion and signs “Requested by”
portion of the RIS and forwards the same to
the Supply Officer.

Admin. Officer II 2. Receives the RIS from Requesting

Personnel, retrieves the Stock Ledger Card
to determine availability/status of stocks.

3. If stock is available, forwards the RIS to the

approving official for signature in the
“Approved” by portion of the RIS

4. If stock is not available, informs the

Requesting Personnel to prepare Purchase
Request (PR) and follow procedures for
requesting and procuring supplies and
materials.

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Admin. Officer III 5. Reviews and verifies RIS as to
completeness of information and fills up the
RIS No., date, quantity, remarks and
initials “Approved by” portion of the RIS and
records RIS in the logbook and forwards
the same to the Head of the Procurement
Division for approval.
2 Approval of Requisition and Issue Slip
(RIS)

CAO 1. Signs the “Approved by” portion of RIS and

returns to the Supply Officer for issuance of
stock.
Admin. Officer II
2. Fills up and signs the “Issuance portion” of
the RIS and issues inventory items
requested to the requesting personnel.
Requesting
Personnel 3. Receives supplies requested and signs in
the “Received by” portion of the RIS
3 Filing of RIS

Admin. Officer II 1. Files permanently in numerical order Copy

2 of RIS and files temporarily the originals
of RIS and SAI for the preparation of
Report of Supplies and Materials Issued
(RSMI).

CAO 2. Retrieves the original copies of RIS and

SAI from temporary file and checks
completeness of the RIS for preparation of
RSMI in three copies.

3. Initials in the “Certified by” portion of the

RSMI and forwards it to the Head of the
Procurement Division (PD).

4. Signs in the “Certified by” portion of the

RSMI and forwards to the Accounting
Division the original and copy 2 of RSMI
together with originals of RIS and SAI. File
copy 3 of RSMI.

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 4 Posting of RSMI at the end of the day and
at the end of the month

End of the day

Admin. Officer II 1. Receives original and Copy 2 of RSMI, and

original SAI and RIS.

2. Checks and verifies the completeness of

information and retrieves Supply Ledger
Card (SLC) from file and fills up the “To be
filled up in the Accounting Unit” portion of
the RSMI. Record RSMI in the SLC.

3. Signs in the “Posted by/date” portion of the

RSMI.

4. Files permanently in numerical order Copy

2 of RSMI and files temporarily the original
RIS, SAI and RSMI for recording issuance
of inventory items in the books of accounts

At Month End

5. Retrieves the original RIS, SAI and RSMI

from temporary file.

6. Prepares JEV in two copies based on the

RSMI to record issuance of stock.

7. Signs in the “Prepared by” portion of the

JEV
5 Recording in the general ledger

Chief Accountant 1. Signs in the “Certified Correct by” portion of

the JEV and record in the General Journal.
File copy 2 of JEV.

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 3.4.3.9 REQUISITION AND ISSUANCE OF EQUIPMENT PROCESS

PROCEDURES FOR THE REQUISITION AND ISSUANCE OF EQUIPMENT

Responsible Procedure
Instruction/Activity
Person No.
Delivery and inspection of Equipment

Admin. Officer II 1 Receives from the supplier the

property/equipment items as well as the
supporting papers/documents.

1. Checks the items delivered against

Purchase Order and specifications and
requests property inspector to inspect the
property/equipment after acknowledging
receipt from supplier/s.

Admin. Officer III 2. Inspects the property/equipment delivered.

2 Recording in the ledger and issuance of
equipment

Admin Officer II 1. After the inspection, records in the ledger,

date of receipt of items and requisitioning
group.

2. Prepares Acknowledgement Receipt of

Admin. Officer III
Equipment (ARE) indicating the quantity,
description and property number of the
items to be issued.

3. Requires the accountable/requesting

party/employee to acknowledge receipt of
the ARE and signs in the “Issued by”
portion of the ARE.

Accountable/ 4. Signs in the “Received from” portion of the

Requesting Unit/ ARE to acknowledge the receipt of
Person equipment.
Admin. Officer II
5. Upon signing, issues the
property/equipment item to the employee
together with a copy of signed ARE.

6. Files original of ARE for record and control

per accountable officer/ employee and
records the ARE in the Property Card.

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 3 Return/transfer of equipment

Accountable 1. Forwards the property/equipment to be

Person returned together with the file copy of the
ARE to the Property Custodian.

Admin. Officer II 2. Retrieves copy of ARE from the file and

checks if the returned items pertains to the
same equipment/property indicated in the
ARE and stamps “Returned” indicating the
date thereon.
3. Prepares and accomplishes new ARE for
the transfer of Property Accountability if the
property/ equipment is to be used by
another employee/or if the property is to be
transferred to another person.

4. Requires the accountable person to

acknowledge the receipt of
property/equipment

Accountable 5. Acknowledges receipt of

Person property/equipment.

Admin. Officer II 6. Files copy of ARE for record and control.

4 Preliminary property and equipment

physical inventory taking

Admin. Officer III 1. Prepares/accomplishes four (4) copies of

inventory sheet containing the list of all
furniture, fixtures and equipment and other
fixed assets to be counted physically to be
prepared as early as October.
CAO
2. Requests approval for the creation of
inventory team for the conduct of inventory
of PPE from the Head of Agency.
HoPE
3. Approves the composition of inventory
team, which is composed of representative
of the Property Unit of GS, COA and
Financial Service and the conduct of
inventory both at the Central and Regional
Offices.

317
Property 4. Prepares/issues memorandum to inform all
Custodian operating groups of the schedule of
Physical Inventory Count for
approval/signature of the Undersecretary or
any authorized official.

Director IV- 5. Assigns one representative from its unit to

Admin. Service assist the Inventory Team during the
group’s scheduled date for inventory taking.
5 Conduct of actual inventory

Inventory Team 1. Based on the approved schedule of

inventory taking, conducts the actual
inventory count of the items listed in the
inventory sheet by checking the existence
and condition/where about of each items in
the possession of accountable employee.
SAO
2. After the physical inventory count, prepares
a report together with the list of property
(Inventory Sheet) and submits the same to
the Director-Administrative Service for
endorsement to the Secretary.
6 Approval of PPE Inventory Report

Secretary 1. Approves and signs the Inventory Sheet

and returns the same to the Property
Custodian
7 Submission of signed inventory report to
COA and Accounting Service

1. Forwards/transmits copy of Inventory

CAO Report and Inventory Sheet to COA and
Accounting Division to take-up adjustments
in Fixed Assets resulting from Physical
Inventory of Items.
8 Application for property and insurance
coverage

Admin. Officer III 1. At the start of the year, retrieves latest

physical inventory report of property and
equipment and insurance policies.

2. Based on the above records and

documents, prepares a summary of
property and equipment insurance.

318
 3. Evaluates the insurance coverage and
makes the necessary recommendation for
modification/s in the insurance coverage, if
any.

Secretary 4. Prepares letter to the GSIS amending the

present insurance coverage for signature of
the Secretary.

5. Signs the letter to the GSIS

9 Computation of depreciation of property
and equipment

Admin. Officer II 1. Retrieves monthly all Property and

Equipment Ledger Card from file for
updating of depreciation

2. Computes the amount of depreciation

using “Straight Line Depreciation Method,
by subtracting the salvage value from the
purchase or acquisition cost of the asset
Director IV- AS and dividing the difference by the
estimated useful life of the asset.
3. Reviews the depreciation rates used as
well as the mathematical accuracy of
depreciation and forwards the computation
Accounting to the Accounting Division for JEV
Division preparation.

4. Records the depreciated value of

property/equipment

10 Request for repair of property/equipment

Requesting 1. Prepares Purchase Request (PR)

Person/Unit requesting for repair of property/equipment.

Admin. Officer III 2. Receives request and determines/checks if

the item/s for repair is covered by warranty
or maintenance service agreement.

3. Forwards request to Purchasing Personnel

for canvassing of repairs if the item is not
covered by warranty or maintenance
agreement

319
 4. Contacts the company/supplier for service if
the property/equipment is covered by the
warranty/service contract.

Admin. Officer II 5. If not covered by warranty/service contract,

conducts canvass for the repair from at
least three (3) bonafide suppliers.
11 Disposal of unserviceable property

Admin. Officer III 1. Prepares/accomplishes waste material

report for unserviceable properties and
secures approval of the Secretary.

2. Prepares quarterly reports of all properties

which are already unserviceable or are no
longer needed using the Inventory and
Inspection (I & I) Report (General Form
17A)

CAO 3. Signs the request portion of the I & I and

forwards it to COA for appropriate action.

COA 4. Checks and determines if the

property/equipment is already beyond
repair through the presence of authorized
DHSUD representative and then
determines the appraisal value, if
CAO applicable and recommends action on I & I

5. Implements action of COA

12 Determination of applicable modes of
Disposition of serviceable PPE

Transfer to Other Government Agencies

Admin. Officer III 1. Prepares Invoice-Receipt for Property or

Deed of Donation/Transfer of
property/equipment to other government
agencies for signature both by the donor
and done.

2. After the signing of Invoice Receipt for

Property or Deed of Donation/Transfer,
forwards a copy to the Accounting Division
for recording necessary adjustment.

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Admin. Officer IV 3. Prepares JEV to account the
property/equipment transferred/ donated to
other government agencies.
13 Public/Private Sale/Disposal

CAO-PD 1. Secures approval of the Secretary on the

properties to be disposed.

Secretary 2. Approves the disposal of

property/equipment

SAO-PD 3. Advertises/posts the disposition of

disposable property/equipment using the
appraisal value of COA, if applicable, in
public places or in the locality/area where
the property may be sold, for not less than
three (3) consecutive days.

CAO-PD 4. Ensures that there are at least three (3)

participating bidders in the disposition of
property/equipment.

5. Awards the disposition of

property/equipment to the highest
responsive bidder.

Admin. Officer V 6. After the sale is consummated,

accomplishes the Report of Sales of
Property column of the Inventory and
Inspection (I & I) and retains a copy of duly
accomplished I & I Report.
14 Destruction, where continuance in the
service is not advisable

Admin. Officer III 1. If the property/equipment is found to be

valueless, or unserviceable, recommends
the destruction of property/equipment to the
Secretary
DHSUD
Secretary 2. Approves the destruction of
property/equipment.

Admin. Officer III 3. Initiates the destruction of

property/equipment in the presence of COA
Auditor.

4. Accomplishes I & I and retains a copy.

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 3.4.3.10 RESERVATION AND DISPATCHING OF DHSUD MOTOR
VEHICLES PROCESS

PROCEDURES FOR THE RESERVATION AND DISPATCHING OF MOTOR

VEHICLES
Responsible Procedure
Instruction/Activity
Person No.
1 Reservation of motor vehicles

Requesting 1. Accomplishes the Motor Vehicle

Personnel Reservation Form (MVRF) and submits the
same to the Dispatching Clerk.

2. To avoid unnecessary delay or disapproval

thereof, states in the form all information
required (name of passenger, destination,
office, time, destination, etc.) and the
purpose of the trip.

3. Whenever the nature of the trip requires

continuous driving even after regular office
hours and or Saturdays, Sundays and
Holidays within his permanent station,
accompanies the request for the use of
vehicle with a request for the driver to
render overtime service.

Admin. Aide 4. Supports each trip with a trip ticket to be

prepared in four (4) copies for distribution to
the following:

a. Chief, General Services Division

b. Security Guard
c. Motor pool Unit for file
d. Driver
2 Determination of availability of vehicles

Admin. Aide VI 1. Upon receipt of MVRF, determines the

availability of driver and vehicle for the trip.

2. If the driver and vehicle are available,

informs the requesting personnel on the
approval of the request. If the driver and/or
vehicle is not available, also informs the
requesting personnel on the unavailability
of either the driver and/or vehicle

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 a. Assigns the driver, dispatches the
vehicle and makes entries in the record
book the name of driver, kind of vehicle,
plate number, date of departure and
speedometer reading of vehicle upon
departure and arrival.

b. Maintains a control/bulletin board to

show the whereabouts of all vehicles,
driver/s assigned to each vehicle,
schedule/s of trip and list of vehicles
available for dispatching.
3 Issuance of purchase order (PO) for
gasoline

Admin. Aide 1. If the gasoline of the vehicle assigned to

the driver is insufficient, requests the
issuance of PO for availment of gasoline
from the authorized gasoline station where
the DHSUD has an existing credit line.
Admin. Assistant
III 2. Issues gasoline PO to the driver based on
approved request for gasoline/motor
vehicle services.

Admin. Aide 3. Presents the PO to authorized gasoline

station for withdrawal of gasoline
requirement. The vehicle assigned to each
Group has an allocation of ____ liters of
gasoline a week.
4 Completion of travel

Admin. Aide 1. Accomplishes the trip ticket including the

itinerary of travel.

2. Requires the passenger to sign the trip

ticket in collaboration with the statement of
the driver concerning the use of the car,
itinerary of travel and the date and time of
arrival from the trip.
3. Submits duly accomplished trip tickets
weekly to the Dispatching Clerk.

4. Reports to the dispatcher any unusual

observation on the condition of the vehicle
during the trip.

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Admin. Aide VI 5. Cleans and checks the vehicle upon arrival
from a trip before turning it over to the
motor shop.

Admin Aide and 6. Sees to it that the driver concerned cleans

passenger the vehicle before leaving the motor shop.

7. In case of any considerable delay or

excess of time consumed due to an
unavoidable circumstance, especially
when the parties involved will make use of
such delay or excess of time consumed as
basis for claiming their per diems, make a
comprehensive explanation therefore on
the space provided for “remarks” below the
itinerary of travel.

3.4.3.11 CASH CUSTODIANSHIP PROCESS

PROCEDURES FOR RECORDING COLLECTION AND DEPOSIT

Responsible Procedure
Instruction/Activity
Person No.
1 Preparation of order of payment

Payor 1. Presents an Order of Payment prepared by

the Accounting Division or any designated
Collecting Officer to the Cashiering Division
as basis for the issuance of Official
Receipts (ORs) for all payments received
by the Cashier
2 Receipt of daily collection

Admin. Officer II 1. Receives cash/check from payor

representing collection based on the Order
of Payment prepared by the Accounting
Division.

2. Issues Official Receipt (OR) to

acknowledge receipt of cash/check.

The OR shall be prepared in three (3)

copies and shall be distributed as follows:

Original – Payor
Copy 2 – To be attached to the Report of
Collections and Deposits (RCD)
Copy 3 – Cash Unit file

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 3 Recording of collection

Admin. Officer II 1. Records collections in the Cash Receipt

Record (CRR)
4 Deposit of collection

Admin. Officer II 1. Prepares Deposit Slip (DS) in three (3)

copies to be distributed as follows:

Original – DHSUD Depository Bank

Copy 2 – To be attached to Report of
Collections and Deposits
Copy 3 – Cash Division File

2. Deposits collections with the DHSUD

Depository Bank (DDR).

Collections pertaining to National

Government Books shall be deposited with
the DHSUD Depository Banks for the
account of the Treasurer of the Philippines.

3. For trust collections maintained in separate

bank accounts, prepares deposit slips in
two (2) copies for deposit to the LBP trust
account.
5 Preparation of Report of Collections and
Deposits (RCD)

Admin. Officer III 1. Based on the validated deposit slips (DS)

from the DDR and copy of the OR’s on file,
prepares Report of Collections and
Deposits (RCD) in two copies, signs the
RCD and forwards the same together with
Copy 2 of the OR’s and DS to the
Accountant for review and signature.

Accountant IV 2. Reviews and signs the RCD, then forwards

original of RCD, Copy 2 of the ORs and DS
to the Accounting Division and distributes
the RCD as follows:

Original - Accounting Division together with

Copy 2 of the ORs and DS to support the
JEV
Copy 2 – Cash Division File

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Admin. Officer III 3. Records the RCD in the logbook
maintained and forwards the same with the
ORs and DS to the Accounting Division for
recording in the books of accounts.
6 Preparation of Journal Entry Voucher
(JEV)

Admin. Officer V 1. Receives original of RCD with Copy 2 of

the ORs and DS from the Cash Division
and records receipt in the logbook
maintained for the purpose and forwards
the same to the Bookkeeper for review and
preparation of the JEV.
Admin. Officer IV 2. Based on the RCD, prepares JEV in two (2)
copies and signs “Prepared by” portion of
the JEV then forwards the JEV and
document to the Accountant for review and
signature.
Accountant IV
3. Reviews and signs “Certified Correct by”
portion of the JEV. Forwards the JEV and
documents to the Bookkeeper for recording
in the Cash Receipt Journal (CRJ) and/or
Cash Journal (CJ) as the case may be.

3.4.3.12 RECORDS MANAGEMENT PROCESS

PROCEDURES FOR RECORDS MANAGEMENT

Responsible Procedure
Instruction/Activity
Person No.
1 Identification of records

Process Owner/ 1. Identifies all types of records kept by the

CAO Department and its organizational units
using the records master list through any
or combination of the following information,
as appropriate.

a. Title of Record
b. Date(s)
c. Code as applicable/ determined by
each Bureau, Units, Divisions and
Sections

2. Identifies the types of records that should

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 be kept and forwarded/ endorsed to the
Records Division of the Central and
Regional Offices.

Authorized 3. Uses marking pens or computerized labels

personnel on records.

4. Signs all records and ensures that said

records are legible and contain sufficient
information as basis for its endorsement or
approval. Hence, records without the
signature of approving authorities except
e-copies shall be considered “unofficial.

5. Signs a certification on the availability of

records/documents on file submitted under
the custody of the Records Division.
2 Collection/gathering/creation of records

Admin. Officer II 1. Collects/endorses records upon availability

from the source, for appropriate filing.

2. Creates a computerized records database

system to ensure the identification,
creation and preservation of voluminous
institutional records of the Department

3. Preserves and keeps a logbook in which

records shall be logged in chronological
order and final official acts, decisions,
transactions of contracts pertaining to the
functions of the organizational units.
3 Storage and protection of records

Admin. Officer III 1. Keeps the records in appropriate locations

to minimize physical deterioration, damage
and loss. For protection purposes, the
following may be utilized:

a. Collection/gathering/
endorsement of records;
b. Expanded folder/envelopes and or ring
binder
c. Magazine files
d. Stored in shelves or steel cabinets to
prevent wear and tear.

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 e. Digitized records through the use of
records database management
system.

2. Maintains regular back-up of permanent

and archived records including electronic
records.

3. Restricts access through password (this

pertains only to soft copy and other security
measures) to prevent unauthorized use.

4. Ensures compliance to Freedom of

Information and Data Privacy Act.
4 Retrieval and retention of records

Admin. Officer I 1. Labels the filing cabinets, shelves, boxes,

magazine files, folders and envelopes
according to the established filing system
for easy retrieval.

2.Traces the borrowed records by other

offices or workgroups using logbooks and
/or borrower’s slip or by requiring the
DHSUD personnel borrowing records to
utilize the internet protocol (IP) or by
swiping the ID with barcode.

4. Maintains Records Retention Schedule

indicating information such as: File Code,
Record Title, Retention Period and
Responsibilities for both active and inactive
records

5. Determines Records Retention Schedule in

accordance to R.A. No. 9470 or the
National Archives of the Philippines Act of
2007.
5 Maintenance and Control of Incoming and
Outgoing Documents

Admin. Officer III Incoming documents

1. Receives and records incoming documents
in the records registry logbook and checks
completeness of documents if with
attachments and barcode and/or stamp
“received”.

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 2. Advises clients to follow-up their request
using the Records Division trunk line
__________.

3. Issues Certificate of Appearance to the

clients, if requested upon presentation of
the required documents.

4. Checks, sorts and classifies all incoming

documents according to subject,
personality, activity, event and organization

5. Arranges the documents chronologically by

date and time with the inclusion of the
following data:
a. Document control number
b. Source of document
c. Title and subject description
d. Name of the addressee
e. Receiving Unit

6. Affixes barcode to the incoming documents.

USec/ASec.
7. Encodes the incoming document to the
Document Tracking System (DTS)
Organizational
Unit 8. Refers/assigns the barcoded documents to
the supervising USec/ASec for appropriate
assignment to the concerned organizational
units.
USec/ASec.
9. Prepares the necessary complete staff
work and the required action documents
and forwards the same to the supervising
USec/ASec. for approval and signature.
Admin. Officer
III 10. Signs and approves the action documents
and returns to the concerned organizational
units.

11. Endorses the signed outgoing

communications to the Records Division for
proper dissemination to requesting
party/letter sender.

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 12. Upon receipt of documents, arranges the
documents chronologically by date and
time with the inclusion of the following data:

a. Document control number

b. Source of document
c. Title and subject description
d. Name of the addressee
e. Receiving Unit

13. Reproduces a copy of outgoing

communication (Action document)

14. Affixes a control number sticker on the

upper right corner of the communications
and envelope with the insertion of date and
initial of the receiving Records Officer/Staff.

15. Converts permanent records to e-file

except for records that require original copy
bearing authentic signatures for easier
safekeeping
Messenger
16. Maintains and keeps printed records in a
central location accessible to the DHSUD
employees.
Admin. Officer III
17. Dispatches a messenger for delivery of
documents to the requesting party.

18. Returns the documents duly receipted by

the requesting party to the Records
Division, copy furnish the concerned units.

19. Submits monthly monitoring report on all

outgoing documents that have been sent.

Notes: Document marked ‘RUSH,

URGENT, ASAP” shall be given priority
over other documents.
6 Issuance of records

Admin. Officer III 1. Identifies records that are frequently

requested by the general public.

2. Signs certified true copies of those

330
 documents issued by the Department by
printing the name of Records Custodian
under his/her signature and indicating the
date of issuance.

3. Establishes procedure for the photocopying

of records outside the office premises
especially in case of failure of reproduction
machine.
7 Disposition of records

Admin. Officer III 1. Prepares an inventory and appraisal of

records holding using the prescribed form
No. 1 of the National Archives of the
Philippines (NAP) as an initial step in
developing the Records Disposition
Schedule .

2. Disposes records in accordance with the

General Records Disposition Schedule/
Records Retention Schedule for each type
of record.

3. Utilizes pre-defined disposal methodology

in the discarding of records.

4. Submits list of valueless records for

disposal by the respective divisions to be
consolidated by the Records Officer in the
National Archives of the Philippines (NAP)
for disposal.

5. Upon receipt of the Authority for Disposal

from NAP, commences the disposal in the
presence of representatives of the NAP
and COA.

3.4.3.13 AGENCY ANNUAL BUDGET PREPARATION PROCESS

PROCEDURES FOR PREPARING ANNUAL BUDGET

Responsible Procedure
Instruction/Activity
Person No.
1 Issuance of National Budget Call

DBM Secretary 1. Issues the National Budget Call to provide

the overall fiscal policy framework and

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 priority thrusts of the government, based on
the Socio Economic Agenda and Philippine
Development Plan and prescribes the
guidelines and procedures in the
preparation and submission of the agency
budget in accordance with the different
administrative reforms for greater budget
transparency and reliability.
2 Cascading the budget call to the
Organizational Units of DHSUD

CAO-BD 1. Conducts orientation on the budget

preparation process to the different
Organizational Units based on the Policy
Guidelines and Procedures issued by the
DBM during the National Budget Call and
prepares the necessary worksheets to
assist the different units in preparing their
respective budget for consolidation into the
DHSUD’s budget estimates for the coming
year.
3 Preparation of budget of organizational
units and DHSUD

Organizational 1. Consolidates the budget estimates

Unit Staff submitted by the different organizational
units into the DHSUD budget estimates and
submits it to the Director of Finance
Service.

2. Reviews the budget estimates and presents

the consolidated budget estimates to the
DHSUD Management Committee for final
review and approval including the
justification of the budget request

SAO-BD 3. Based on the comments and

recommendations of Mancom members,
makes the necessary adjustments to the
proposed budget.

332
Admin. Officer V 4. Prepares Budget Preparation forms
(Guidelines for the preparation of Tier 1
and Tier 2 proposals in line with the
adoption of Annual Cash Based
Budgeting (ACBB), BP Form 300 and
necessary supporting documents and
secures endorsement by the DHSUD
Secretary.

4 Submission of budget proposal to DBM

CAO 1. After securing endorsement of the

proposed agency budgets, submits the
budget proposal through the Online
Submission of Budget Proposals System
(OSBPS) and transmits three (3) hard
copies of the required BP forms duly
endorsed by the Department Secretary
directly to the Administrative Service-
Central Records Division (AS-CRD),
Ground Floor, DBM Building III, General
Solano Street, San Miguel Manila.
The budget proposal should include the
following:

a. Five (5) complete sets of the

following properly accomplished
Budget Preparation(BP) Forms:
b. BP 200: Comparison of
Appropriations and Obligations;
c. BP 201: Summary of Obligations and
Proposed Programs and Projects;
d. BP 201-Schedule A: Obligations, by
Object of Expenditures – Personal
Services;
e. BP 201-Schedule B: Obligations, by
Object of Expenditures-MOOE;
f. BP 201-Schedule C: Obligations by
Object of Expenditures-Capital
Outlay;
g. BP 202: Profile and Requirements of
Locally Funded Projects;
h. BP 203 and BP 203-A:
Requirements of Foreign Assisted
Projects and Project Profile;

333
 i. BP 205: Staffing Summary of Non-
Permanent Positions;
j. BP 208: List of Retirees For
Payment of Terminal Leave and
Retirement Gratuity Benefits;
k. BP 300: FY ___ Proposed
Provisions;
l. BP 500: Statement of Other
Receipts/Expenditures;
m. BP 600: Annual GAD Plan and
Budget; and
n. BP 600-A: Annual Gad
Accomplishment Report.
5 Depend the proposed budget to the DBM
Technical Budget Hearing

Supervising 1. Attends the Technical Budget Hearings to

ASec/Usec for be convened by the DBM to depend the
Finance Service budget proposal.

6 Confirmation of recommended agency

budget
DBM Secretary
1. After the Technical Budget Hearings,
sends Confirmation Letters on the
DHSUD Secretary recommended budget to the Department.
2. If there is a big budget cut on the proposed
budget, sends a letter requesting
reinstatement of budget reduction by
DBM submitting justification.

3. Releases the National Expenditure

Program (NEP) indicating the
recommended budget per
agency/department.
7 Submission of the DBM recommended
budget for the Department to Congress
and Senate for the deliberation of agency
budget

CAO 1. Submits the DBM recommended budget for

the Department including other documents
requested by the Senate Committee on
Finance and House Committee on
Appropriations.

334
 2. Prepares powerpoint presentation of the
Director IV- Agency proposed budget and assists the
Planning Service Secretary during the budget deliberation in
both houses.
8 Approval of the General Appropriations
Act and preparation of Agency Budget
Matrix

CAO 1. Based on the approved GAA, prepares the

Agency Budget Matrix (ABM) by
appropriations/financing sources to
support expenditures to be made during
the year broken down by allotment
class/expenses and secures approval of
Admin. Officer II the Head of the Agency.

2. Submits the signed ABM to the DBM for

approval.

3.4.3.14 MONITORING AND RECORDING OF ALLOTMENTS

PROCESS

PROCEDURES FOR MONITORING AND RECORDING OF ALLOTMENTS

RECEIVED FROM DBM
Person/Unit Procedure
Instruction/Activity
Responsible No.
1 Receipt of ABM/NCA

CAO-BD 1. Receives the approved ABM/NCA from the

DBM.

Admin. Officer IV 2. Records the ABM/NCA in the logbook and

forwards the same to the Budget Staff for
preparation of Obligation Request (ObR)

2 Preparation of ObR

Admin. Officer II 1. Prepares ObR in two (2) copies and retains

original copy and the duplicate copy for the
Accounting Division.

2. Forwards the ObR and ABM/NCA to the

CAO -Budget Division.
CAO-BD
3. Reviews and checks the small box
opposite the “Received Portion in box A of
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 the ObR and affixes signature certifying the
receipt of allotment.

The numbering structure of the ObR shall

be as follows:

4. Returns the signed ObR to the Budget Staff

for recording in the appropriate Registry of
Allotment and Obligations (RAO’s).

3 Recording of ObR

Admin. Officer II 1. Records the ObR in the appropriate RAOS

and files the OS for reference.

The following RAOS shall be maintained by

the Budget Division

a. RAO-PS
b. RAO-MOOE
c. RAO-CO
d.Registry of Allotments and Obligations –
Financial Expense (RAOFE)

2. Forwards copy 2 of the ObR to the

Accounting Division for reference.

PROCEDURES FOR RECORDING OBLIGATIONS

1 Recording of Obligations

Admin. Officer II 1. Receives the Disbursement

Voucher/Payroll (DV/P) and supporting
documents) from concerned
offices/personnel.

336
 2. Verifies completeness of the documents. If
incomplete, returns the documents to
concerned offices for completion. If
complete, records the same in the logbook
maintained and prepares the ObR

3. Verifies availability of allotment based on

the RAOS. If no allotment is available,
returns document to the office/personnel
concerned except as authorized by the
DBM.

4. If there is an available balance of allotment

to cover the obligations, prepares an ObR
in two copies, signs the ObR and forwards
the same to the Budget Division Chief for
review and signature.

CAO-BD 5. Reviews and checks the small box opposite

the “Available and duly Obligated” portion
of Box A of the OS and affixes signature.

Admin. Officer II 6. Forwards the ObR and document to the

Budget Staff for recording in the
appropriate RAOS.

Admin. Officer II 7. Records the amount obligated under the

“Obligation” column of the RAOs and
forwards duplicate copy of the ObR and
documents to the Accounting Division for
processing and signature and the original
copy is retained by the Budget Division.

Admin. Officer II 8. Receives original copy of ObR. If there is

no correction, files the same to support the
RAOs. Otherwise, effects correction in the
RAOS or prepares a new ObR, as the case
may be.

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 3.4.3.15 DISBURSEMENTS BY CHECK PROCESS

PROCEDURES FOR DISBURSEMENTS BY CHECKS

Responsible Procedure
Person No. Instruction/Activity

1 Processing of Disbursement Voucher

(DV)
Admin. Officer II
1. Receives Copies 1-3 of DV, original
supporting documents and copies 1-3 of
ObR from the Budget Division.

2. Checks the completeness of supporting

documents. If incomplete, returns to the
concerned party for compliance.

If complete, stamps “Received” and

indicates the date of receipt and initials on
stamped “Received” portion of the DV.

Admin. Assistant 3. Assigns DV number and records in the

III logbook the DV number, date, payee,
particulars and amount and forwards
copies 1-3 of DV, originals of supporting
documents and Copies 1-3 of ObR to the
designated staff for processing.

The numbering structure for DV shall be

as follows:

Admin. Officer II 4. Receives Copies 1-3 of DV, originals of

supporting documents and Copies 1-2 of
ObR from the Receiving/Releasing Staff

and reviews DV for completeness and

propriety of supporting documents

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 2 Control of payment

Admin. Officer IV 1. Checks Index of Payments (IP) from file

and determines whether there was prior
payment of the same claim. If the claim
was already paid, returns the DV and
supporting documents to the
Receiving/Releasing Staff to be returned
to claimant.

2. If not yet paid, records the following in the

Index of Payment: name and address of
creditor, DV date and number, particulars
and amount.

3. Accomplishes and affixes initials in Box B

of ObR.

Chief Accountant 4.. Initials in Box A of DV and forwards

Copies 1-3 of DV, original supporting
documents and Copies 1-2 of ObR to the
Accountant

Admin. Assistant 5. Reviews DV and supporting documents

III and signs in Box A of DV and ObR and
forwards the documents to the
Receiving/Releasing Staff.

6. Records in the logbook the date of release

of copies 1-3 of DV, originals of supporting
documents and copy 3 of ObR and
forwards to the Head of Agency or
authorized signatory for approval of the DV.

Head of Agency/ 7. Forwards copy 1 of ObR to the Budget

Authorized Division and retains copy 2 of ObR for file.
Signatory
8. Reviews and signs Box B of DV and
forwards copies 1-3 of DV, copy 3 of the
ObR and originals of supporting documents
to the Cash Division for check preparation.

3 Preparation and approval of check

Admin. Officer I 1. Receives copies 1-3 of approved DV,

(Cashier I) copy 3 of ObR and originals of supporting

339
 documents and records in the logbook the
date of receipt, DV number, payee,
particulars and amount.

2. Verifies completeness of signatories on

the DV and prepares check in three
copies.

3. Retrieves from file the Check

Disbursement Records (CkDR) and
records the date, reference or check
number, name of payee/bank account.

4. Forwards copies 1-3 of check, copies 1-3

of DV, copy 3 of ObR and originals of
supporting documents to Chief-Cash
Division for review and signature.

5. Verifies completeness of signature on the

CAO- Cash
DV and reviews the amount of the check
Division
against the DV and supporting documents
& forwards the check to the authorized
signatories for signature.

6. Countersigns check and forwards copies

Designated
1-3 of check, copies 1-3 of DV, copy 3 of
Signatory
OS and supporting documents to the
Receiving/Releasing Staff for return to the
Cashier.
4 Releasing of checks

Admin. Assistant 1. Records in the logbook the date of release

III of Copies 1-3 of check, copies 1-3 of DV,
copy 3 of ObR and supporting documents.

2. Releases the original of check and Copy 3

Admin. Officer I of DV to the payee and attaches
OR/Invoice on Copy 1 of DV. Files copies
2-3 of check, Copies 1-2 of DV, originals
of supporting documents
5 Preparation of Report of Checks Issued
(RCI) and Checks Disbursement Journal
(CkDJ)

Admin. Officer I 1. With copies 1-2 of DV, Copy 3 of ObR,

supporting documents, Copies 1-3 of
checks, prepares RCI in two copies.

340
 RCI shall include only those checks
actually released to the payees during the
day including cancelled checks. The RCI
shall be distributed as follows:

Original – Accounting Unit together with the

originals of the paid DVs/payroll and
supporting documents for JEV preparation.
Copy 2 – Cash Unit file

2. Reviews RCI and signs in the “Certification

Portion

3. Submits copy of original of RCI together

with Copy 2 of checks, Copy 1 of DVs,
Copy 3 of ObR and supporting documents
to the Accounting Division for the
preparation of JEV and retains Copy 2 of
RCI, Copy 3 of checks and Copy 2 of DVs
for file.

Admin. Officer II 4. Verifies DVs and checks against RCI on

the actual checks issued and cancelled for
the month.

Admin. Officer II 5. Prepares Journal Entry Voucher (JEV) to

record the financial transactions and signs
in the “Prepared by” portion.

6. Reviews the correctness of the accounting

entries and signs in the “Certified Correct
by” portion of the JEV

7. Records the JEV’s in the Check of

Disbursement Journal (CkDJ)
6 Preparation and recording of Cash
Disbursement Journal

Admin. Officer V 1. Designated staff receives and examines

liquidation of cash advance for travelling
expenses for local and foreign travel,
miscellaneous expenses and for specific
activities.

341
 2. Prepares Journal Entry Vouchers (JEV) to
record the financial transactions and signs
in the “Prepared by” portion.

Chief Accountant 3. Reviews the correctness of the accounting

entries and signs in the “Certified Correct
by” portion of the JEV.

4. Records the JEV in the CkDJ

7 Verification and Submission of Cash
Receipt Journal

CAO 1. Submits to the Accounting Division a copy

of report of collection and deposits for all
collections and deposits for the month
together with the Official Receipts (OR)
and Deposit Slip (DS).

Admin. Officer V 2. Verifies the OR and DS against Report of

Collection and Deposit (RCD) on the
actual collection and deposits for the
month.

3. Prepares Journal Entry Voucher to record

the financial transactions and signs in the
“Prepared by” portion.

Chief Accountant 4. Reviews and certifies correctness pf the

accounting entries and signs in the
“Certified Correct by” portion of the JEV

Admin. Officer II 5. Records the JEV’s in the Report of Cash

Receipt Journal (CRJ)
8 Preparation and Recording of General
Journal
Admin. Assistant
III 1. Prepares JEV for all financial adjustments,
Depreciation Expense, Amortization of
Prepaid Expenses for the month.

2. Records JEV in the General Journal.

342
 3.4.3.16 PREPARATION OF FINANCIAL STATEMENTS/ REPORTS
PROCESS

PROCEDURES FOR PREPARING FINANCIAL REPORTS/STATEMENT

Responsible Procedure
Instruction/Activity
Person No.
1 Preparation of Trial Balance (Monthly,
Quarterly, Annual)

Admin. Officer V 1. Posts all the journal in the General Ledgers

2. Foots and extracts balances of all accounts

in the General Ledger and Subsidiary
Ledgers.
Accountant IV
3. Prepares Trial Balance to be submitted to
oversight agencies and for management
use duly signed by the Accountant.

The other Financial Statements prepared

and submitted to COA, DBM, Congress,
Senate and other oversight agencies, are
as follows:

a. Statement of Income and Expense

(Detailed and Condensed)
b. Balance Sheet (Detailed and Concise)
c. Statement of Government Equity
d. Statement of Cash Flows
e. Schedule/Aging of Cash Advances
f. Detailed Breakdown of Disbursements
g. Annex B-Cumulative Statement of
Obligations, Liquidations and Balances
h. Report of Income
i. Bank Reconciliation
j. Other financial reports/statements
needed/required from time to time
2 Preparation of consolidated Financial
Reports/Statements

Regional 1. Submits financial reports/statements to the

Accountant III Central Office for consolidation.

2. Reviews, analyzes and consolidates the

Accountant IV regional financial reports/ statements with
the reports of the Central Office.

343
 3. Prepares the following consolidated
reports:

a. Consolidated Trial Balance

b. Consolidated Statement of Income and
Expense
c. Consolidated Balance Sheet
d. Consolidated Government Equity
e. Consolidated Statement of Cash Flow
f. Regional Breakdown of Expense
g. Regional Breakdown of Income
h. Other financial statements required from
time to time

3.4.3.17 KNOWLEDGE MANAGEMENT COLLECTION,STORAGE

DISSEMINATION AND UTILIZATION PROCESS

PROCEDURES FOR KNOWLEDGE MANAGEMENT

Responsible Procedure
Instruction/Activity
Person No.
1 Acquisition of knowledge

Information 1. Conducts current state analysis (CSA) in

Officer V order to find out the knowledge that is
already available, the process of handling
knowledge and the kind of culture that
exists in the organization.

2. Conducts knowledge mapping to identify a

need for knowledge and determines the
kind of knowledge required for the
improvement of personnel and
organization.

3. Establishes linkages with the knowledge

holders and creation places.

4. Generates/collects knowledge from the

following sources:

a. External Sources: Writing and

researches of International Donor
Agencies like UN Habitat, ADB, WB
and national government agencies like
PIDS, NEDA, PSRTI, etc.

344
 b. Research Symposium/
Conferences/Forum Papers
c. Intra-organizational sources: DHSUD
and KSAs staff for the contracted out
researches, reference materials from
the conferences, seminars, workshops
attended by the personnel and regular
reports prepared by DHSUD and KSAs.

Information 5. Formulates, coordinates, and implements

Officer IV policies and guidelines related to housing
and urban development collection,
processing, data banking, and information
packaging and dissemination.
2 Storage of knowledge

Information 1. Provides technical assistance/directs

Officer III communication to the DHSUD
organizational staff in the
institutionalization of knowledge adapted to
the specific needs of the organization to
ensure continuous learning of individuals
and integration of knowledge to
organizational routines and action

2. Stores knowledge thru the use of computer

software and hardware.

3. Manages/maintains databases to enable

continuous online access of housing and
urban development data.

4. Prepares annual housing and urban

development statistical bulletin as required
by the stakeholders in support to the policy
formulation and decision-making.
3 Distribution/dissemination of knowledge

Information 1. Deploys appropriate content to users

Officer II through the use of technology-based tools
and processes such as websites, intranet
and other media.

Information 2. Prior to uploading KM materials in the

Officer V website, performs quality checks on
manuscripts and final printed products

345
 worthy of publications and initiates
administrative processing and printing.

Information 3. Conducts researches and prepares write-

Officer IV ups for the production of DHSUD
publication/newsletter.

4. Conceptualizes, designs and develops or

produces information, education and
communication materials for special
events and other housing and urban
development related activities per target
audience.
Utilization of knowledge
4
Information 1. Identifies the user groups, their roles and
Officer II access privileges to content and
application and formulates security and
access policies/users policy guidelines for
the Knowledge Management Portal.

2. Ensures effective and efficient utilization of

available knowledge stored in the
database to fill a knowledge gap or need.

Information 3. Monitors visitors of the online platform on

Officer I regular basis.

5 Definition and evaluation of Knowledge

Management Planning Measurement

Information 1. Defines the metrics to be used in

Officer III measuring the effectiveness of knowledge
management.

2. Evaluates the feedback with respect to

possible improvements in the KM.
.

346
 3.4.3.18 SYSTEMS INTEGRATION PROCESS

PROCEDURES FOR SYSTEMS INTEGRATION

Responsible Procedure
Instruction/Activity
Person No.
1 Planning for the development of
Information Systems and Strategic Plan
(ISSP)
Information 1. In consultation with the different DHSUD
Technology organizational units, reviews and/or
Officer III updates the DHSUD information systems
in order to determine the current systems
requirements of the agency;

2. Based on the consultation, conducts a

thorough analysis of the system
requirements in order to determine
operational feasibility and develops ISSP in
order to put the desired architecture
design/blueprint to ensure seamless data
connectivity between all of the components.
Information 3. Presents the draft ISSP to the DHSUD
Officer V Management Committee (Mancom) for final
review and recommendations.
Information 4. Based on the comments and suggestions
Officer III of Mancom, revises the ISSP.

5. Submits the ISSP to the Department of

Information and Communication
Technology for approval upon securing the
endorsement of the DHSUD Secretary.
2 Implementation/operationalization of ISSP

Information 1. Upon approval of the ISSP, coordinates

Technology and facilitates the development of the
Officer III DHSUD MIS in all DHSUD
offices/bureaus/services.

2. Provides technical assistance in

outsourcing the development and
deployment of information systems and
corresponding databases.

347
Information 3. Upon completion of MIS development,
Technology introduces and integrates new
Officer II technologies into the existing system
infrastructure and conducts orientation to
the users of the system.

Information 4. Once the system is ready, verifies and

Systems Analyst tests the system to detect and fix any bugs
II to ensure that the system is errorless

3 Maintenance of computer hardware and

software
Information
Systems Analyst 1. Provides technical assistance and client
I support services on virus detection and
removal, installation of authorized software,
use of open source operating system and
productivity suites, relocation of networked
workstations, printers and other network
appliances and other similar needs.

4 Monitoring and evaluation of information

system development and implementation

Information 1. Monitors and evaluates information system

Systems Analyst development and implementation.
II

348
IV. LIST OF REFERENCES

4.1 LIST OF PROCESS, PROCEDURES AND FLOW CHART

National Human Settlements Board

1. Procedures for Extending Technical and Secretariat Support to the

National Human Settlements Board

Office of the Secretary

2. Procedures for Handling of Special Events

3. Procedures for Calendaring the Secretary’s Engagement
4. Procedures for Handling of Request for Messages/Greetings from the
Secretary
5. Procedures for Handling of Documents 9Needing the Secretary’s
Decision/Action
6. Procedures for Handling of Documents Received through Email and
Mobile Messaging
7. Procedures for Reserving the Use of Board Room

Management Processes

8. Procedures for Strategic and Program Planning

9. Procedures for Formulating/Issuing Policy, Plans and Program
10. Procedures for Performance Monitoring Review and Evaluation
11. Procedures for Extending Public Assistance/Handling of Grievance
12. Procedures for Designing and Effective Public Relations Information and
Education Campaign
13. Procedures for Conducting Management and Operational Audit
14. Procedures for Providing Legal Support/Assistance
15. Procedures for Legal Appeals

Public Housing and Settlements Service

16. Procedures for the Formulation of Policies, Frameworks, Strategies, Plans

and Guidelines for PHSS
17. Procedures for Extending Technical Assistance/Support to Regional
Offices by PHSS
18. Procedures for Program and Project Development for PHSS
18.1 Procedures for the Recovery and Rehabilitation of Damaged Houses
of Families Affected by Natural and Man-Made Calamities
18.2 Procedures for the Declaration of Subdivision, Condominium Projects
as Abandoned, Incomplete and Unfinished

349
 18.3 Procedures for the Establishment of New Town, Estate, New
Settlements, Urban Renewal Programs and Prototyping of Housing
and Urban Development Interventions
18.4 Procedures for Reserving/Designating Lands as Government Center
18.5 Procedures for Opening of Subdivision Roads for Public Use
18.6 Procedures for the Conduct of Inventory of Government-Owned
Lands
19. Procedures for Monitoring and Evaluation of Policies and Programs of
PHSS

Environmental Land Use and Urban Development Planning Bureau

20. Procedures for Formulating Environmental Land Use and Urban Planning
Development Policies, Frameworks, Strategies, Plans, Guidelines and
Standards
21. Procedures for Program and Project Development for Environmental Land
Use and Urban Planning and Development
22. Procedures for Extending Technical Planning Assistance to LGUs by
Regional ELUPDB
23. Procedures for Conducting Capability Building Program for ELUPDB and
Regional ELUPDD Staff
24. Procedures for Conducting Technical Assistance and Support to Regional
Offices, LGUs, NGAs and Other Institutions by ELUPDB
25. Procedures for the Review, Adoption and Approval of Provincial Physical
Framework Plan
26. Procedures for the Review, Adoption and Approval of Comprehensive
Land Use Plan and Zoning Ordinance for Component Cities and
Municipalities
27. Procedures for the Review, Adoption and Approval of Comprehensive
Land Use Plan and Zoning Ordinance for Highly Urbanized Cities and
Component Cities
28. Procedures for the Review, Adoption and Approval of Comprehensive
Land Use Plans and Zoning Ordinance for Metro Manila Cities and
Municipality
29. Procedures for Monitoring and Evaluation of Environmental Land Use and
Urban Planning and Development Policies
30. Procedures for Issuance of Certification

Housing and Real Estate Development and Regulation Bureau

31. Procedures for Formulating Policies, Regulations, Strategies and

Standards for Subdivision, Condominium and Other Real Estate
Development Projects
32. Procedures for Registering and Licensing Subdivision, Condominium and
Other Real Estate Development Projects

350
33. Procedures for Issuing the Certificate of Registration to Dealers, Brokers
and Salesmen
34. Procedures for Extending Capacity Building to Regional Personnel
35. Procedures for Monitoring and Evaluating Subdivision, Condominium and
Other Real Estate Development Projects
36. Procedures for Monitoring Real Estate Brokers, Dealers and Salesmen

Homeowners Association and Community Development Bureau

37. Procedures for Formulating HOA Rules and Guidelines

38. Procedures for Issuing the Certificate of Registration of HOAs
Incorporation
39. Procedures for Program Development for HOAs
40. Procedures for Extending Technical Assistance to HOAs, Cooperatives
and Local Government Units
41. Community Development Process
42. Procedures for Monitoring and Evaluating Homeowners Associations

Support Services

43. Procedures for Selection, Recruitment and Promotion

44. Procedures for Granting of Rewards and Recognition
45. Procedures for Assessing Group and Individual Performance
46. Procedures for Procurement Planning
47. Procedures for Requesting and Procuring Supplies, Materials and
Equipment including Repairs and Maintenance of Motor Vehicles and
Property, Plant and Equipment (PPE)
48. Procedures for Receipt, Inspection, Acceptance and Recording of
Deliveries of Inventory Items and Equipment
49. Procedures for the Requisition and Issuance of Inventory Items
50. Procedures for the Requisition and Issuance of Equipment
51. Procedures for the Reservation and Dispatching of Motor Vehicles
52. Procedures for Recording of Collection and Deposit
53. Procedures for Records Management
54. Procedures for Preparing Annual Budget
55. Procedures for Monitoring and Recording Allotments Received from the
Department of Budget and Management
56. Procedures for Disbursements by Checks
57. Procedures for Preparing Financial Reports/Statements
58. Procedures for Knowledge Management
59. Procedures for Systems Integration

351
 CORE PROCESSES

ENVIRONMENTAL LAND USE AND URBAN PLANNING AND DEVELOPMENT

BUREAU

PROCEDURES FOR FORMULATING ELUPDB POLICIES, FRAMEWORK, STRATEGIES, PLANS AND

GUIDELINES
Procedure Director IV- Technical Staff Regional Director Secretary/
ELUPDB ELUPDB IV NHSB Members
Determination of
basis in the Start
development of
policies, strategies,
plans, standards
and framework Utilizes the various
legal basis in
resolving problems
related to the ff:
a. Ownership &
administration
of
government-
owned land
b. Resilient
housing and
human
settlements
c. Estate & new
towns, new
settlements &
urban renewal
programs; and
d. Imposition of
fines and
provision of
incentives

Drafting of
proposed policy
Gathers necessary
paper information/
Data and/or
conducts
researches/
studies and drafts
policy/framework
/strategy/plan/
guidelines
Presentation of
policy paper for Presents the Presents the
initial draft of initial draft of the
critiquing and
the proposed proposed
approval policies/
policies/
framework/
strategies, etc.
strategies/plans/
to the ff: guidelines.
a. HPWC, or to the ff:
Experts a. Technical
Group staff
Mtng. b. Intra bureau/
b. Supervising office or
ASec./USec. Mancom

Based on the
above cited
deliberations,
revises/
modifies
policies/
strategies, etc.
Presents the
final draft of
the paper to If the NHSB has
the Mancom & additional
NHSB, if comments/
necessary suggestions,
revises, finalizes
and converts
the policy paper
Forwards the
into an
finalized policy appropriate
paper to the instrument for
Secretary & signature by the
NHSB Secretary &
members for NHSB members
signature

Signing and
adoption of policy Furnishes a Signs and
copy of policy Adopts and approves the
paper to the implements policy paper &
Regional the policy/ returns to
Directors and strategies, etc. Director IV-
Heads of ELUPDB
Organizational
Units
 Furnishes a
copy of the Adopts and
order/circular/ implements
policy paper to policy
the Regional
Directors and
heads of
organizational
units
Prepares
training
modules on
the approved
Translation into policy/
Training Modules Framework &
conduct
orientation/tra
ining to ROs,
inter-Bureaus/
Offices, NGAs
& other
entities

Monitoring and Monitors &

evaluation of policy evaluates the
implementation implementation
of policy by the
Regional
Directors &
other
Organizational
Units &
prepares a
report on the
implementatio
n of
policies/frame
work/strategies
/plans/guidelin
es/standards

End
 PROCEDURES FOR PROGRAM AND PROJECT DEVELOPMENT FOR ELUPDB
Procedure Director IV/III Technical Staff Regional
ELUPDB ELUPDB Director
Initiating the
identification of Start
basis for
program and
project
development Identifies the basis for
the development of
program and project

Identifies the Prepares proposal for

appropriate division the development of
and staff to make the following
the proposal or programs/projects:
studies the feasibility a. Pilot projects of
of outsourcing the proposed or newly
program/project developed
development guidelines and
standards;
b. Prototypes of
urban
development
interventions;
c. Capability building
and training
programs; and
d. Development *&
maintenance of
monitoring &
information system

Works on the issues,

develops the
conceptual
framework,
formulates the
strategies and
prepares the detailed
operational plan of
work
Preparation of
work plan for the Prepares a work and
execution of financial plan for the Develops a
program/project execution of communication hub
program/project, where stakeholders
including the desired can collaborate on
objectives and the progress of the
outcome program/project

Presents and Submits/endorses

discusses the the approved
proposal to the program/project
following: proposal to Finance
a. Supervising ASec Service or other
and Usec potential funding
b. Pre- institutions for fund
Management allocation
Committee;
c. Management
Committee;
d. Secretary; and
e. NHSB, if
necessary

Advises the TAD to

prepare the training
modules for the
conduct of
orientation to the
Division handling the
program/project

Implementation Disseminates the

of Program/ program/project
Project communication,
report and work plan
to the concerned
offices.
 Develops a
Implements the
communication hub
program/project in
where stakeholders
accordance with the
can collaborate on
approved work and
the progress of the
financial plan
program/project

Monitoring of
program/project
Conducts regular
implementation
monitoring to
ensure that the
program/project
implementation is in
accordance with the
plans and objectives

Recommends
changes to
program/project
implementation, if
necessary.

Closing of
program,/project Upon completion of
program,/project,
prepares and submits
an accomplishment
report

Develops a
policy/strategy/frame
work for sustainability
& integration to
regular planning
processes

End
PROCEDURES FOR EXTENDING TECHNICAL PLANNING ASSISTANCE TO LGUs
BY ELUPDD
Procedure HHRO VI-ELUPDD OTHER ELUPDD Regional Director
Technical Staff IV
Identification of
LGUs to be Start
provided with
Technical Identifies LGUs to be
Assistance and provided with
determination of technical assistance
modes of conduct based on the
following:
a. New policies,
frameworks,
strategies &
guidelines;
b. CLUP, ZO and
PPFP formulation
and
implementation;
c. Ongoing &
upcoming projects
of DHSUD & other
partners;
d. Requests from
LGUUS, NGAs &
others;
e. Other intervening
& strategic targets
set by the
Secretary

Determines topics &

technical inputs to
provide to target LGUs:
a. CLUP, ZO & PPFP
formulation/revision/
updating;
b. LSP
formulation/updating
c. LHB creation
d. Urban development
laws, policies,
standards &
guidelines
 Coordinates with
target LGUs & Approves target LGUs
determines modes of & modes of conduct
conduct of technical of TA & instructs
assistance (TA): Regional ELUPDD to
a. DSHUD-led proceed with the
training program activity
b. On-field
monitoring &
coaching
c. Act as resource
persons in
seminars, etc.
d. Assistance to
walk-in
consultations
e. Assistance
through online,
phone & letter
queries

Preparation of
administrative and Prepares activity
logistical proposal &
requirements administrative & Approves the
logistical proposal to conduct
requirements & the training/TA
secures approval of
Regional Director IV

Notifies concerned
LGUs on the approval
of the TA activity and
provides logistical
support to the
participants
Conduct of
technical
assistance activity Ensures arrival &
presence of training Facilitates the
Handles registration
team & participants conduct of opening
of participants
before starting the programs
activity .

Presents and discusses the applicable training

modules and assists the participants in the
practicum phase throughout the duration of the
activity.

Conduct of closing
program activities
Conducts post
activity evaluation
and client satisfaction
survey

Collects the activity

output and
documentary
requirements.

Facilitates closing
activities:
a. Agreements on
the next steps
b. Distribution of
certificates
c. Closing Remarks
d. Group pictures

Checks & settles

financial obligations
Conduct of post
assistance Prepares & submits
activities liquidation/reimburse
ment & other
documentary
requirements

Reviews post-activity
evaluation submitted
by participants for
improvement in the
next trainings

Prepares a report
immediately after the
activity & submits the
same to the Regional
Director copy
furnished TAD

Includes the activity

as part of the
accomplishment
report for submission
to ELUPDB- MED

Sends training
materials &
documentation notes
to participants

End
 PROCEDURES FOR CONDUCTING CAPABILITY PROGRAM FOR ELUPDB AND
REGIONAL ELUPDD STAFF
Procedure Director IV- HHRO VI-TAD Secretary
ELUPDB & Other TAD Staff
Conducting
capability and Start
training needs
assessment Conducts pre-training
Identifies personnel needs assessment to
knowledge and skills validate & determine
to be enhanced the necessary
knowledge & skills

Determines if training
will be in-house or
external and drafts a
Approves the concept training concept
note & instructs TAD note, including list of
to prepare the participants
training module as
well as the
administrative &
logistical
requirements for the
training

Preparation of
administrative &
logistical
requirements Prepares activity
proposal

Prepares
administrative &
logistical
requirements for the
training
 Approves the
Secures approval of
proposal to conduct
the Secretary
the training

Upon approval,
notifies the
concerned Bureau &
Regional Office staff
on the approval of
training

Conduct of
capability Ensures arrival and
building activity presence of training
team & participants
before starting the
activity

Handles the
registration of
participants

Facilitates the
conduct of opening
program

Presents and
discusses the
applicable training
modules

Assists the
participants in the
practicum phase
throughout the
duration of the
training course
Conduct of
closing program
activities Conducts post-
training evaluation
and Client
Satisfaction Survey

Collects the training

outputs and other
documentary
requirements

Facilitates closing
activity

Checks and settles

financial oligations

Conduct of post
training activities Prepares and submits
liquidation/reimburse
ment and other
documentary
requirements

Reviews training
evaluation submitted
by participants
Prepares a report
after the activity &
submits it to the
ELUPDB Director &
MED, copy furnished
the supervising USec
& Asec

Reviews training
evaluation submitted
by participants

End
 PROCEDURES FOR CONDUCTING TECHNICAL ASSISTANCE (TA) & SUPPORT
TO REGIONAL OFFICES, LGUs, NGAs AND OTHER INSTITUTIONS BY ELUPDB
Procedure Director IV- HHRO VI-TAD Other TAD Staff
ELUPDB
Receiving of
request for TA Start
and Support

Receives request
Determines if TA is
from Regional
necessary or it can be
Offices, LGUs, NGAs
delegated to Regional
& other institutions
Officers
for technical
assistance and
support. Coordinates with
requesting party for
activity details on the
conduct of TA and
prepares
documentary
requirements

Secures travel order

for assigned staff, if
necessary

Conduct of TA
and Support
Coordinates with
requesting party &
conducts TA and
Support

Provides technical
inputs based on the
requested topics or
subjects & suggests
future plan of
actions.
 Conducts Client
Satisfaction Survey

Conduct of Post
Assistance Prepares and submits
Activities liquidation/reimburse
ment and other
documentary
requirements

Prepares a report
after the activity &
submits to ELUPDB
Director & MED

Reviews training
evaluation submitted
by participants for
improvement in the
next training

Includes activity as
part of the
accomplishment
report for submission
to ELUPDB MED

Sends training
materials and
documentation notes
to the participants.

End
 PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF PPFP
Procedure Governor/ DHSUD-RO RLUC DHSUD-
LGU/ Chairman/ ELUPDB/
Sangguniang Members Secretary
Panlalawigan
Submission of
final draft of Start
PPFP

Governor
transmits to Receives &
the DHSUD-RO checks
one set of completeness of
presentation plan documents
maps and
three (3) sets
NO
of PPFP &
other Complete
documents

YES

Endorses/trans
mits the
documents to
RLUC copy
furnished
ELUPDB

Conduct of
review of final ELUPDB Reviews
draft of PPFP the draft PPFP
by RLUC and and prepares
SP report/
Recommendatio
ns and transmits
to RO.
Reviews the
Transmits the PPFP and
consolidated generates
DHSUD review reports using
report to RLUC the parameters
for review
 Convenes a
meeting with the
LGU to present
and discuss their
plan

Revises the
Completes their
draft PPFP
final review &
integrating the
transmits to LGU
recommendati
for the
ons of RLUC
integration of
comments

SP adopts the Checks if

PPF thru a comments were
resolution & incorporated in
submits the the PPFP. If OK,
adopted PPFP endorses the
and plan PPFP to LGU
documents to through SP for
ELUPDB & adoption and
DHSUD-RO for enactment
cursory review

Review,
Presents the ELUPDB
adoption and
plan before the conducts a
approval of
DHSUD cursory review
PPFP by on the PPFP &
Secretary &
DHSUD plan documents.
representatives
from other If OK, endorses
concerned the PPFP to the
offices. DHSUD
Secretary for
approval

Secretary
approves the
PPFP and awards
Certificate of
Approval
 ELUPDB
authenticates th
PPFP & other
plan documents
, retains one (1)
set of plan
LGU publishes document & one
the ratified (1) set of
PPFP as a presentation
requirement map & furnishes
per Sec. 559 of the remaining
RA 7160. copies of the
approved plan to
DHSUD-RO & lgu

End
 PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF CLUP AND
ZO FOR COMPONENT CITIES AND MUNICIPALITIES
Procedure LGU/Sangguniang PLUC DHSUD-RO
Panlalawigan
Submission of
final draft of Start
CLUP and ZO Receives the
documents &
Mayor transmits checks/determine
to the DHSUD-RO s completeness of
one (1) set of required
presentation maps documents &
& three (3) sets of checks compliance
final draft of CLUP of the plan to
& ZO Section 20 of LGC
and MC 54

NO
Complete

YES

SP receives plan
documents & Transmits &
endorses to PLUC endorses plan
for review documents to SP

Conduct of
review of final
Refines the plan
draft of CLUP Reviews CLUP &
consistent with
and ZO by PLUC ZO & transmits
the
comments/recom
recommendations
mendation to LGU
of PLUC.

Checks if
Transmits refined comments/recom
CLUP & ZO to mendations were
PLUC incorporated in
the CLUP & ZO
 Sanggunian adopts Endorses CLUP &
the CLUP & enacts ZO to Sanggunian
ZO & submits the for adoption &
adopted CLUP and enactment, copy
enacted ZO to the furnished the SP
SP thru the PLUC
for cursory review
& approval
Conducts cursory
review of the
submitted
LGU endorses the documents &
CLUP & ZO to SP coordinates
for approval upon directly with the
fulfillment of LGU
required
documents

Conduct of
CLUP and ZO
approval and
documentation Approves CLUP &
ZO

Authenticates the
approved CLUP,
ZO & other plan
documents

Through the
PPDO, retains one
(1) set of the plan
documents &
furnishes the
remaining copies
to DHSUD-RO &
LGU
 Receives a copy of
LGU publishes the
the plan
ratified CLUP &
documents &
ZO in compliance
stores in the
with Section 59 of
records/database/
RA 7160
library

End
 PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF CLUP AND
ZO FOR HIGHLY URBANIZED CITIES AND INDEPENDENT COMPONENT CITIES
Procedure LGU/Sangguniang RLUC DHSUD-RO/
Panlalawigan ELUPDB
Submission of
final draft of Start
CLUP and ZO Receives the
documents &
Mayor transmits checks/determine
to the DHSUD-RO s completeness of
one (1) set of required
presentation maps documents &
& three (3) sets of checks compliance
final draft of CLUP of the plan to
& ZO Section 20 of LGC
and MC 54

NO
Complete

YES

Transmits &
endorses plan
documents to
RLUC, copy
furnished DHSUD-
ELUPDB

Conduct of
review of final Prepares the
Refines the plan
draft of CLUP Reviews CLUP & review reports of
consistent with
and ZO by PLUC ZO & transmits the draft CLUP &
the
comments/recom ZO & transmits to
recommendations
mendation to LGU RO for
of PLUC.
consolidation

Checks if
Consolidates
Transmits refined comments/recom
DHSUD report &
CLUP & ZO to mendations were
transmits it to
RLUC incorporated in
RLUC
the CLUP & ZO
 Sanggunian adopts
Endorses CLUP &
the CLUP & enacts
ZO to Sanggunian
ZO & submits the
for adoption &
adopted CLUP and
enactment, copy Conducts cursory
enacted ZO to the
furnished the SP review of the
SP thru the
submitted
ELUPDB thru
documents &
DHSUD RO for
coordinates directly
cursory review &
with the LGU
approval

Endorses the CLUP

& ZO to the
DHSUD Secretary
for approval &
invites the LGU to
present the plan

Conduct of
CLUP and ZO
approval and Approves CLUP &
documentation ZO after the
presentation of
p;lan by LGU

Authenticates the
approved CLUP,
ZO & other plan
documents

Retains one (1) set

of the plan
documents &
furnishes the
remaining copies
to DHSUD-RO &
LGU
LGU publishes the
ratified CLUP &
ZO in compliance
with Section 59 of
RA 7160

End
 PROCEDURES FOR THE REVIEW, ADOPTION AND APPROVAL OF CLUP AND
ZO FOR METRO MANILA CITIES AND MUNICIPALITY
Procedure LGU/Sangguniang PLUC/ DHSUD-NCR/
Panlalawigan MMDA ELUPDB
Submission of
final draft of Start
CLUP and ZO

Mayor transmits
to the DHSUD-RO
Receives the
one (1) set of
documents, &
presentation maps
checks/determines
& three (3) sets of
completeness of
final draft of CLUP
required documents
& ZO

NO
Complete

YES

Transmits/endorses
the plan documents
to RLUC, copy
furnished DHSUD-
ELUPDB

Conduct of
review of final
Refines the plan
draft of CLUP Conducts joint technical review of the CLUP
consistent with
and ZO by PLUC & ZO & transmits
the
comments/recommendations to LGU for
recommendations
refinement
of PLUC.

Transmits refined
Checks if comments/recommendations were
CLUP & ZO to
RLUC incorporated in the CLUP & ZO
 Sanggunian adopts Endorses CLUP &
the CLUP & enacts ZO to Sanggunian
ZO & submits the for adoption &
adopted CLUP and enactment, copy
enacted ZO to the MMDA receives the
furnished the SP
MMDA-OAGMP, plan documents ,
for Metro Manila checks for
Council completeness &
endorsement for transmits to MMC Conducts cursory
approval/ for approval/ review of CLUP &
ratification ratification ZO & coordinates
directly with LGU.
MMC passes a If OK, endorses
resolution the plan
endorsing the CLUP documents to the
& ZO to DHSUD for Secretary for
approval & approval & invites
transmits the plan LGU to present the
to DHSUD-ELUPDB plan

Conduct of
CLUP and ZO
approval and Secretary
documentation approves the CLUP
& ZO after the
presentation of
plan by LGU

DHSUD-ELUPDB
authenticates the
approved CLUP,
ZO & other plan
documents

Retains one (1) set

of the plan
documents &
furnishes the
remaining copies
to DHSUD-RO &
LGU
LGU publishes the
ratified CLUP &
ZO in compliance
with Section 59 of
RA 7160

End
 PROCEDURES FOR MONITORING AND EVALUATION OF ENVIRONMENTAL LAND USE,
URBAN PLANNING AND DEVELOPMENT POLICIES
Procedure Director IV- Technical Staff Regional Secretary
ELUUPDB MED-LUUPDB MED
Conduct of
preparatory activities End
Conducts
for the monitoring of discussion with
accomplishment the KMISS &
reports Instructs the
Regional Offices to
Division Chief-
come-up/update
MED to
/revise/improve
commence the
the monitoring
preparation of
forms & IT-based
DHSUD monthly,
tools
quarterly, semi-
annual & annual
reports
Jointly conduct
field workshop to
further establish &
validate a uniform
& systematic
reporting
procedure using
the official
monitoring forms
or other IT-based
monitoring forms

In the conduct of
CLUP/LSP, ensures
the inclusion of the
following data:
a. Inventory of idle
lands suitable for
housing;
b. Land use
changes;
c. Inventory of
existing LSP &
local ordinances
on LSP; and
d. List of potential
& existing
housing
beneficiaries
Issuance of notices Forwards to ROs,
to Regional Offices one week before
for the submission of the end of the
monitoring reports month, a
memorandum &
monitoring form/s
requesting
submission of
accomplishment
report/s
Prepares &
submits the
regional
accomplishment
report on or
Upon receipt of before the 3rd
regional reports, week of the
consolidates/ succeeding ng
evaluates/ month to the
validates the HHRO VI-MED-
report for PS
preparation of
agency report

Schedules the
conduct of
filed/ground
monitoring, if
there is a need.

Prepares internal
office documents
& logistical
requirements for
the said ground
monitoring

Establishes
coordination with
the Regional Office
and identified
sources of data to
facilitate the
conduct of ground
validation.
 Prepares ground
validation report
& incorporates it
in the Agency
Performance
Report.

Submission of
Upon completion
monitoring reports of ground
validation, &
consolidation of
regional reports,
submits it to the
Director IV-
ELUUPDB copy
furnish the
supervising
ASec./USec.

Submits the
performance Approves/notes
report duly the performance
endorsed by report
Assec./Usec. to
the Secretary
either for info. or
approval

Distribution of
approved agency
performance report Reproduces
official report &
furnishes copy to
the different
organizational
units & oversight
agencies like
DBM, NEDA,
Congress &
Senate

End
 INFORMATION SYSTEM DEVELOPMENT AND MANAGEMENT
HHRO VI-MED KMISS
System Investigation
Start

In coordination with KMISS,

conducts preliminary analysis to
determine ways to address the
group’s problem and opportunities
in relation to its information system
requirements

Based on the preliminary analysis,

conducts a feasibility study to
determine whether a new or
improved business system is a
feasible solution.

Develops a project management

plan and secures management
approval.

System Analysis
Undertakes consultation with the different
stakeholder groups to determine the specific
information needs/requirements for the
new system.

Develops the functional data requirements

of a system that can meet business
priorities and the needs of the stakeholders

Develops a logical model of a system to get

an overall picture of exactly what a system is
supported to do.
System Design
Based on the system requirements
and document created in the system
analysis, develops the specific
technical details required for the
system and data resources and
information products that will satisfy
the functional requirements of
ELUPDB.

Develops logical model of new system

System
Development Determines if it makes more sense to
build the system by the KMISS or to
purchase it from an outside company
based on the “build vs. buy” decision

System
Implementation
Puts the software program developed in
the systems development thru a unit test,
system test and the user acceptance test.

Thru the assistance of the TAD, trains the

users (ELUPDB, ROs and other
organizational units) and provides system
documentation and conversion from any
previous system to the new system.

System
Maintenance
Uses a post implementation review process
to monitor, evaluate and modify the
business system as needed.
 Ensures that the system has a structured
support process in place, reported bugs are
fixes and requests for new features are
evaluated and implemented and system
updates and backups are performed on a
regular basis

Manages data entry and validation into the

system

End

PROCEDURES FOR THE ISSUANCE OF CERTIFICATION

Procedure Applicant Receiving/ Regional Director Secretary
Releasing/ Office IV-
Records ELUPDB
Officer &
Staff
1.Certificate of Concurrence
Submission of
application Start

Receives
Files an application
application & reviews
for a completen
Certificate of ess of
Concurrence documents

Logs the
application
&
supporting
documents
 Prepares Signs a
a memoran
memoran dum
dum to transmitti
the ng the
ELUPDB applicatio
Director n to the
for concerne
signature d RO

Logs out
and
forwards
the
document
s to the
Records
Mngt. For
mailing to
RO
Review of
documents

Upon
receipt of
document
s, reviews
the
applicatio
n,
determin
ed site
zoning
classificati
on &
conducts
site
inspection
 Prepares,
initials
and
endorses
Certificate
of
Concurren
ce &
forwards
to
ELUPDB
Director

Review the
recommendation of Upon
Regional Office receipt of
document
s from the
RO,
prepares
a memo
to be
signed by
ELUPDB
Director
recomme
nding the
approval
of
Certificate
of
Concurren
ce (COC)
to the
Secretary

ELUPDB
Dir.
reviews
the
recomme
ndation &
transmits
COC to
Secretary
 Logs out & Signs the
forwards COC &
the COC to forwards
the to
Secretary ELUPDB
Director
Prepares &
issues
Pays the Order of
required Payment
fees to the to the
Cashier & applicant
submits OR
to the
Releasing
Officer

Releases
COC to the
applicant

End

2.Zoncing Certification
Submission of
application form for Start
zoning certification
Submits
request for Receives
the issuance applicatio
of Zoning n &
Certification
checks
, fills-out the
application
complete
form& ness of
submits documen
vicinity map ts
& TCT
 Computes Cashier
& issues receives
Order of payment &
Payment & issues OR
advises to
applicant applicant.
to pay it to Applicant
the Cashier submits OR
to ELUPDB
Submits
the OR to
the
ELUPDB

Review and HHRO III –

issuance of ELUPDD
application for ZO checks
certification the OR &
complete
ness of
document
s &
records in
the
logbook

Upon
receipt of
document
s, HHRO
VI,
reviews
the
applicatio
n,
determin
ed site
zoning
classificati
on &
conducts
site
inspection
 Prepares,
initial &
endorses
the
Zoning
Certificati
on to RO
Director

RO
Director
signs
Zoning
Certificati
on

Releasing Transmits
Officer the
releases signed
the Zoning
Zoning Certificati
Certificati on to the
on to the Releasing
Applicant applicant Officer
receives
the
Zoning
Certificati
on

End
3. CLUP and ZO Approval Certification
Submission of letter
of request for the Start
CLUP and ZO
approval certification Applicant
Releasing
submits Officer
letter receives
request request &
for forwards
issuance it to
of CLUP & ELUPDB
ZO MED or
Approval Regional
Certificati ELUPDD
on

Review of request
documents and Upon
issuance of CLUP receipt of
and ZO approval request,
ELUPDD/
Certification
ELUPDB
Info.
Officer
determin
ed the
info being
required.

Validates
the
informati
on to the
concerne
d LGUs or
ROs, if
necessary
RO
HHRO VI,
Director
prepares a
CLUP & ZO signs the
Certificatio CLUP &
n, initials & ZO
endorses it Approval
to RO Certificati
Director on
 HHRO III
Releasing transmits
Officer the signed
releases certificati
the CLUP on to the
& ZO Releasing
Approval Officer
Certificati
on to
applicant

End
 HOUSING AND REAL ESTATE DEVELOPMENT AND REGULATION BUREAU

PROCEDURES FOR FORMULATING SUBDIVISION, CONDOMINIUM AND REAL ESTATE DEVELOPMENT

POLICIES, REGULATIONS, STRATEGIES AND STANDARDS
Procedure Director IV- Technical Staff Regional Director Secretary/
HREDRB HREDRB IV NHSB Members
Determination of
basis in the Start
development of
policies, strategies,
plans, standards and
framework Utilizes the various
legal basis in
resolving problems
in relation to the
ff:
a. Resettlement
housing
program for
land acquisition
& onsite
development
b. Land banking
c. Housing
finance &
production
d. Public housing
e. Mngt. &
oversight of
proclaimed
sites
f. Estate and new
towns, new
settlements,
urban renewal
g. Price ceiling
h. Rental
regulation
i. Rules,
regulations,
technical
designs,
standards and
guidelines for
real estate
projects
development
j. Rules and
regulations on
balanced
housing
compliance
 k. Guidelines and
procedure for
the conduct of
monitoring of
the
development,
sale,
maintenance of
real estate
projects
l. Rules and
guidelines for
the take-over of
incomplete,
unfinished or
abandoned
licensed
subdivision
projects
m. System and
procedure for
Housing One
Stop Processing

Drafting of proposed
policy paper/ Gathers
regulations necessary
information/
Data and/or
conducts
researches/
Studies and
drafts policies/
Regulations,
strategies, etc.
Presentation of Presents the
policy paper Presents the
initial draft of
/regulation for initial draft of
proposed
critiquing and prosed policies/
policies/
approval strategies, etc.
strategies, etc.
to the ff:
to the ff:
a. Technical
a. HPWC, For
staff
Experts
b. Intra
Group
bureau/
Mtng.
office or
c. Supervising
Mancom
Assec./
Usec.

Signing and adoption

of policy/regulations Based on the
above cited
deliberations,
revises/
modifies
policies/
regulations/stra
Presents the tegies, etc.
final draft of
the paper to
the NHSB
If the NHSB has
additional
comments/
Forwards the suggestions,
revises, finalizes
finalized policy
and converts Signs and
paper to the the policy paper
Secretary & approves the
into an
NHSB policy paper/
appropriate
members for instrument for regulations,
signature signature by the etc.
Secretary &
NHSB members

Furnishes a Adopts and

copy of policy implements
paper to the the policy/
Regional strategies, etc.
Director
Monitoring and
evaluation of policy / Monitors &
regulations evaluates the
implementation implementation
of policy
/regulations by
the Regional
Directors

End
PROCEDURES FOR REGISTERING AND LICENSING OF SUBDIVISION, CONDOMINIUM AND
OTHER REAL ESTATED DEVELOPMENT PROJECTS
APPLICANT RECORDS SPECIAL EVALUATOR/P INSPECTOR HEAD-HRERD REGIONAL
OFFICER COLLECTING ROCESSOR Director
OFFICER

2
START
Receives,
evaluates
1 completeness
Files of documents. Accepts full
application for Computes payment of
CR/LS with processing fee. processing
supporting Applicant pays fee.
documents full amount of 5
processing 3
fees. Checks
YES documents Indorses
NO submitted, 4 documents
CCMPL notes down to Division
ETE additional
Assigns Head
A requirements, if
documents to
COMPLET any
E? evaluators/
Submits req’d YES processors
documents Prepares
Addit Notice of
ional
Deficiency 7a
Rqmt
s
Reviews/signs
NO notice of A
deficiency
6a
Fills-up pro-
forma of NTP
a 7
6
Reviews, 8
evaluates/
initials NTP Reviews/
11 . evaluates/
9 signs NTP.
Secures Logs out
Mails or
clearance from NTP
10 releases NTP
M&ED
21
12
Receives NTP
Publishes NTP If there is pending Conducts
Coordinates compliance to site 13
site inspection existing order/s. inspection;
Then, applicant is 21
determines Reviews/
10a required to comply extent of evaluates/
w/ the order/s. development initials APB
Submits AOP/ computes
req’d documents PB; prepares
10b
compliance B letter/advise
21 on PB
21
B
 16 15 14
Receives AOP
Posts PB Mails or Reviews/
Submits releases APB evaluates/
documents signs APB
21 21
17 Logs out
APB

21 18 CR/LS 19 20
Reviews/
Receives Evaluates initials Reviews
documents acceptability of CR/LS and and affixes
PB. EB signature
on CR/LS
22 Prepares and EB
21
CR/LS & EB
Receives Releases
approved CR/LS CR/LS

21 21

END

CR/LS Certificate of Registration and License to Sell NTP Notice to Publish

APB Authority to Post Performance Bond NTPPB Notice to Post Performance
Bond
PB Performance Bond AOP Affidavit of Publication
EB Executive Brief
M&ED Monitoring and Evaluation
Division
A B Application is pending
 PROCEDURES FOR ISSUING CERTIFCATE OF REGISTRATION FOR REAL
ESTATE BROKERS/DEALERS/SALESPERSON
Procedure Applicant Technical Regional Accountant/
Staff/ Director Special
Records Collecting
Section Officer
Filing of
application Start

Files
applications
with
supporting
documents

Receipt &
processing of
application Receives and
evaluates
completeness
of documents

Settlement of
order of payment Receives
Assessment
Form & Prepares order
proceed to of payment
Accounting
Section for
payment

Receives Accepts full

Receives
photocopy of payment of
Order of
OR and processing fee
Payment and
forwards the and issues
proceed to
documents to official receipt.
cashier for
the evaluator (OR)
payment
 Receives OR
and submits
photocopy of
OR to Records
Section

Review &
evaluation of Evaluates
application documents
and notes
down
additional
requirements
if any.

Prepares
Certificate/ID

Releases
Certificate/ID

Release of
certificate/ID
Accepts
Certificate/ID

End
PROCEDURES FOR EXTENDING CAPACITY BUILDING TO REGIONAL PERSONNEL
AND OTHER UNITS
Procedure Requesting Director IV or Technical Secretary
Unit/s/ III-HRERDB /HRD Staff
Participants
Receipt of
request for Start
technical
assistance &
application for
training/ Sends a
scholarship request for
technical
assistance
and/or intent
to attend the:
a. In-house
training
b. External
training

Preparation of
administrative
Prepares
and logistical
necessary
requirements for administrative
training & logistical
requirements
for the
conduct of in-
house training

Conduct of
training
Identifies the
Handles the
composition
registration of
of training
participants
staff

Assists the
participants in
 Facilitates the Presents &
conduct of discusses the
opening applicable
program HRER module

Conduct of
closing program Conducts
training
evaluation and
Client
Satisfaction
Survey

Collects the
training
output and
other
documentary
requirements

Checks &
Facilitates the
settles
closing
financial
activities
obligations

Processing of
application for Signifies intent
Scholarship to apply for
external
training/
scholarship

Submits the Advises the

required Chairman of
training/ PDC for the
scholarship schedule of
documentary Committee
requirements meeting
 Evaluates &
Signs the recommends
scholarship & the priority
training applicants for
contract the
scholarship &
submits its
recommendati
on to the
Secretary

Defining the
responsibilities of
training Relieves the
participants and participants of
Attends/
DHSUD his/her duties &
completes the
responsibilities
training

Relieves the
participants of
Conducts his/her duties &
echo-seminar responsibilities
on the training
attended

Pays for the

trainee’s
Abides by the HRD monitors training fees &
provisions of the trainee’s travelling
the training progress, expenses
/scholarship & completion &
study leave adherence to
the training
guidelines

Receives
documents
submitted by
trainee
 Implements the
provision of the
training
guidelines

Imposition of
sanctions for PDC to
Completes the
failure to determine the
course within
complete the legitimacy of
the specified
Course reasons in
duration
case the
scholar failed
to complete
the
scholarship &
propose
appropriate
action

End
 PROCEDURES FOR MONITORING AND EVALUATING SUBDIVISION,
CONDOMINIUM AND OTHER REAL ESTATE DEVELOPMENT PROJECTS
Procedure Director IV- Director IV-PS Regional Technical Staff
HRERDB Director Central &
Region
Conduct of
preparatory Start
activities for the
monitoring of Conducts
accomplishment discussion with
reports Instructs the the ITKMS
HHRO VI –M&ED Division Chief
to commence for the revision/
preparation of updating of
accomplishment monitoring
reports forms

Jointly conduct
field workshop
to come-up
with a uniform
and systematic
reporting
procedure using
the official
monitoring
forms for
distribution to
the regional
offices

Conduct of:

a. Field
Monitoring Secures
Gives authority from
authority for the Regional
the conduct of Director for
field the conduct of
investigation field
investigation
Exercises the ff:
powers in the
conduct of
investigation:
a. Conducts
interviews
with the
project
owner;
b. Opens/
Removes
barriers,
gate,etc.,
c. Requires
production of
permits &
other
documentary
reqmts.
d. Calls on other
person, office
or entity for
assistance

After the lapse

of 6 months
from issuance of
CR/LTS,
conducts field
inspection
following the
hereunder
procedures:
a. Reviews the
records of
the project;
b. Notifies the
project
owner;
c. Conducts the
inspection
 d.Prepares Site
Inspection
Acts on the Report (SIR)
recommendati or Field
on of the Inspection
M&ED Report (FIR),
including the
recommenda
tions

b. Non-field
monitoring Adheres to the
following
procedures in the
conduct of non-
field
investigation:
a. Reviews &
evaluates
project
records;
b. Prepares Non-
Field
Investigation
Report (NFIR)
Acts on the
recommendati
on within 5
working days Submits
from receipt recommendation
to the Regional
Director

Cites relevant
findings in the
SIR/FIR & NFIR
in the issuance
of NOV or NOAV
 Issues Cease &
Desist Order
when the
violation
constitute
selling without
LTS

Imposes
sanctions in case
of violations
found in the
field & non-field
monitoring

Issues a Final
Notice to
Comply directing
compliance
within 10
working days
from receipt of
notice

Issues a a Writ
of Execution in
case of non-
compliance with
the NFC

Monitoring of
projects issued
with COC Issues a a Writ
of Execution in
case of non-
compliance with
the NFC
 Issues a a Writ
of Execution in
case of non-
compliance with
the NFC

Issues a a Writ
of Execution in
case of non-
compliance with
the NFC

Issuance of
Forwards to all
notices to
Regional
Regional Offices
Directors a
to submit
memorandum
monitoring
requesting
reports
submission of
monitoring
reports

Prepares &
submits the
accomplished
regional
monitoring
reports to the
HHRO VI-M&ED
PS

Consolidates/
evaluates the
submitted
regional
monitoring
reports
 Conducts
ground
validation if
there is a need.

Prepares
internal office
documents &
logistical
reqmts. for the
conduct of
ground
validation

Establishes
liaison with the
Regional Office
to facilitate the
conduct of
ground
validation

Prepares the
report of ground
validation &
submits it to the
Regional
Director &
Director IV-
HRERDB

Submission of
monitoring Upon
reports consolidation of
regional reports
& ground
validation
report, submits
a progress
report to the
Director IV –
HRERDB &
 supervising
Assec/Usec. for
final review

Incorporates the Upon approval,

regional reports furnishes a copy
in the DHSUD to the Director
Performance IV–PS for
Report & incorporation in
secures the the DHSUD
approval of the performance
Secretary & report
NHSB members

Dissemination of
approved Reproduces
DHSUD approved
performance performance
report report and
furnishes a copy
to all
organizational
units and
oversight
agencies

End
 PROCEDURES FOR MONITORING REAL ESTATE BROKERS, DEALERS AND
SALESMEN
Procedure Regional Director Technical Staff
M&ED
Securing
authority from the
Start
Regional Director

Grants authority to conduct Secures an authority to conduct

monitoring of brokers/dealers/ monitoring of selling activities of
salesmen brokers/dealers/salesmen

Determination of
existence of If violation is found, issues an
violation NOV to delinquent
Prepares an OIAS in case the
brokers/dealers/salesmen
dealers/brokers/salesmen failed
to submit a sworn explanation
after the lapse of 10 days from
receipt of NOV
Signs the OIAS

Issues the FNC directing

compliance within 10 days from
receipt of the FNC, in case of non-
compliance to OIAS

Issues a Writ of Execution for

faiiure to comply with the FNC
within 10 days from receipt
thereof

End
 HOMEOWNERS ASSOCIATION AND COMMUNITY DEVELOPMENT BUREAU

PROCEDURES FOR FORMULATING HOA RULES AND REGULATIONS

Procedure Director III/IV Technical Regional Secretary &
HOACDB Staff Director NHSB
HOACDB
Determination of
basis in the Start
development of
rules and
regulations
Utilizes the
various legal
basis in the
formulation of
the following
rules and
regulations:
a. Implementati
on of RA 9904
b. Documents of
HOA and
Neighborhood
Association
c. Deputization
of another
agency &
private
institutions
d. Imposition of
fines & admin.
sanctions

Drafting of
proposed rules Gathers data /
and regulations information
and/or
conducts
studies/
researches
Presentation of
rules and
regulations for Presents the Presents initial
critiquing and draft HOA draft of the
approval rules & proposed HOA
regulations to rules &
the regulations to
supervising the Technical
Assec./Usec. Staff and
Mancom

Revises rules Proposes

Presents the & regulations revisions/
revised HOA based on the suggestions
rules & inputs from and/or
regulations to the above approves the
the Secretary cited HOA rules &
& NHSB discussions & regulations
members NHS inputs

Signing and
Signs &
adoption of rules approves HOA
and regulations rules &
regulations

Adopts &
implements the
approved HOA
rules &
regulations

Monitoring and
evaluation of Monitors &
implementation evaluates the
of rules and implementation
regulations of HOA rules &
regulations by
the Regional
Offices & other
Units

End
 PROCEDURES FOR ISSUING CERTIFICATE OF REGISTRATION OF HOAs
INCORPORATION

Procedure Applicant/ HHRO VI & Regional Director

Client Technical Staff
HACDD
Filing of HOA
application for Start
registration

Presents the
requisite
documents for
registration of
HOA

No
Yes

Returns to Complete?
applicant

Review and
Acknowledges
evaluation of Pays the necessary
receipt of
HOA application registration fee
application and
prepares Order of
Payment

Reviews &
evaluates
submitted
documents

Yes
Complete?

No
 Returns the
documents to the
Registration Officer
to notify the
applicant

Sets a clarificatory
conference if there
is an oppositor

Receipt and
approval of If approved,
complete and records the HOA in
incomplete the registry book
application and prepares the
corporate folder
and the Certificate
of Registration &
affixes initials at Affixes signature at
the Certificate of the CR
Registration (CR

Release of
certificate of
registration Releases the client’s
copy of the CR

Receives copies of
the BIR registration
documents &
Receives the original
applies for
copy of the HOA
registration & a tax
Certificate of
identification
Registration
number for the
HOA at the BIR

End
 ISSUANCE OF CERTIFICATE OF FILING OF AMENDED ARTICLES OF
INCORPORATION AND/OR BY-LAWS
Filing of
Checks completeness
amended Presents requisite of documents
articles of documents for filing
incorporation of amended Articles
and by-laws of Incorporation
Complete?
and/or By-Laws

No Yes

Review and
Returns the
evaluation of
documents to the
complete and
Officer to notify the
incomplete
applicant
application for
amendment of
by laws
If complete,
acknowledges in the
registry book and
prepares receipt of
Pays the filing fee the application and
records in the
logbook and
prepares Order of
Payment & advises
the applicant to pay
the filing fee

Reviews & evaluates

the submitted
documents

Yes
Complete?

No

Refers to the
Registration Officer
Receipt and
approval of If approved, records
application in the logbook &
prepares the
Certificate of Filing
an Amended Articles
of Incorporation
and/or By-Laws

Affixes signature at
HHRO VI affixes the Certificate of
initials in the Filing of an Amended
Certificate Articles of
Incorporation and/or
By-laws

Release of
amended Receives the client’s Releases the client’s
Articles of copy of the copy of the
Incorporation Amended Articles of Amended Articles of
and By-Laws Incorporation and/or Incorporation and/or
By-laws By-laws

ISSUANCE OF CERTIFICATE OF DISSOLUTION

Filing of
application
Presents the
requisite documents
for application for
the voluntary
dissolution of the
HOA

Receipt and
approval of Checks the
application completeness of
documents
presented

Yes

Acknowledges
 No
If defective, notifies Complete?
the applicant on the
deficiencies
Yes

Approval of
Certificate of
Dissolution
If approved, records
in the logbook and Affixes signature at
prepares Certificate the Certificate of
of Dissolution & Dissolution
affixes initials

Release of
Certificate of
Dissolution Receives the
Releases the client’s
original of the
copy of the Certificate
Certificate of
of Dissolution and its
Dissolution and its
supporting
supporting
documents
documents

ISSUANCE OF CERTIFICATE OF ENROLLMENT

Filing of
application Presents requisite
documents for
application for
enrollment of the
association

Review and
Checks
evaluation of completeness of the
application documents
presented &
conducts
preliminary
evaluation

Acknowledges
receipt of the
Pays the filing fee application, records
 No Yes
Returns to Complete?
applicant

Approval of
Reviews & evaluates
application
the submitted
documents
Registration Officer
receives the
approved
application

HHRO VI initials at Affixes signature at

the Certificate of the Certificate of
Enrollment Enrollment

Release of
application
Releases the client’s
Receives the original
copy of the
copy of Certificate of
Certificate of
Enrollment & its
Enrollment & its
supporting
supporting
documents
documents

ISSUANCE OF VARIOUS CERTIFICATIONS

Filing of
Presents request
application
letter for
certification and
other requisite
documents for the
issuance
Review & Checks the
evaluation of completeness of the
application documents
presented and
conducts preliminary
evaluation

No
Complete?
Retrns to applicant

Yes
Approval of
application Pays the necessary Acknowledges the
receipt of
fee
application, records
it in the logbook and
prepares and Order
of Payment

Checks and verifies

the corporate
records of the
Affixes signature at
concerned HOA for
the Certification
the information
needed, then
prepares requested
certification and
affixes initials on the
certification

Releasing of
certification
Receives the original Releases the client’s
copy of the copy of the
certification certification

ISSUANCE OF CERTIFIED TRUE COPIES

Filing of
application Fills out the request
from in verifying the
corporate records of
the association
Retrieval of
Records Retrieves the
requested corporate
records, asks for
identification card
from the client &
lends it to him for
review &
examination

Photocopies the
documents needed to
be certified, submits
to the Records Officer
& returns the
corporate records of
the association

Computes the
amount to be paid
Pays the necessary by the client and
fees prepares the order
of payment

Approval &
release of Stamps certified true
records Receives the copy and signs all
certified documents the photocopied
documents
submitted and
releases the certified
documents to the
client.
 PROCEDURES FOR PROGRAM DEVELOPMENT FOR HOAs
Procedure Director IV- Technical Staff Regional
HOACDB Director
Initiating the
identification of Start
basis for the
development of Identifies the
program legal basis for
the
development
of program

Prepares
proposal for
the
development
of the
following
programs:
a. Non-
partisan
nature of
the
activities of
the
HOA;and
b. Linkages
with the
LGU

Identifies
appropriate
staff to make
the proposal
or the
feasibilities of
outsourcing
the
development
of program
 Works on the
issues,
develops the
conceptual
framework,
formulates
the strategies
and prepares
the detailed
operational
plan of work
for the
preparation of
full blown
program
proposal

Preparation of
work plan for the Prepares a work
execution of plan (timetable
program/project and resources)
Presents &
for the
discusses the
execution of the
proposal to
project,
the following
including its
to secure their
desired
endorsement/
objectives and
approval:
outcome,
a. Mancom
measurement
b. Supervising
of progress and
Assec/Usec
anticipated
c. Secretary
milestones
d. NHSB

Upon approval,
disseminates
program
communication
and reports and
sources out
funds to ensure
availability and
release of the
program fund.
Execution of
program Implements the
program in
accordance with
the approved
work and
financial plan.

Develops a
communication
hub where
stakeholders can
collaborate on
the progress of
the program

Conducts regular
review of its
progress and
makes any
changes or
adaptations if
needed.

Monitoring and
Institutes
controlling of control during
program the execution
execution stage to ensure
that the plan is
kept to as
closely as
possible and
conducts
regular
monitoring to
ensure that the
program does
not spin out of
control.
Closing the
program Upon
completion of
program
execution,
writes a report,
giving a
summary of
the project/
program, how
well the
project/progra
m is managed
to keep to the
plan, any
changes that
need to make
and the
justification
and any
reforms to
make

End
 PROCEDURES FOR EXTENDING TECHNICAL ASSISTANCE TO HOAs,
COOPERATIVES AND NGOs

Procedure Requesting Party Technical Staff Director III or IV-

HOACDB HOACDB
Submission of
request for Start
training Approves the
request/s for the
Submits the training/technical
request/s for the assistance to the
training/technical requesting party &
assistance to the advises HHRO VI to
Director IV- make the necessary
HOACDB preparations

Preparation for Develops standard

the conduct of orientation on the
training laws, rules and
regulations pertaining
to HOAs &
participation of
Cooperatives and
NGOs in housing &
urban development

Conducts trainor’s
training to the
Regional Offices,
HOAs, Coops & NGOs
on the following:
a. HOA regulation
b. Implementation of
Housing & Urban
Development
plans, projects &
programs
c. Govt. partners for
homeownership &
community devt.
 Prepares the necessary
administrative &
logistical requirements
for the conduct of
training

Conduct of
training Handles the
registration of
participants

Facilitates the opening

session of the training

Presents the following

topics:
a. Establishment of
HOA
b. Responsibilities &
obligations of HOA
under the Magna
Carta for the HOA
c. Leadership &
community
organizing
d. Mediation
e. Disaster resiliency
f. HOA empowerment
g. Housing programs
for the poor
h. Estate Mngt.

Facilitates the open

session to give
participants an
opportunity for
clarification
 Documents the issues
raised during the open
forum

Closing program
activities Requests the
participants to
accomplish the
evaluation form &
Client Satisfaction
Survey (CSS)

Gathers all the

Facilitates the closing training
outputs/documents &
session
settles all financial
obligations
Conduct of post-
training activities Prepares & submits
Conducts pre and post
the training report to
training evaluation
the Director IV-
using the evaluation
HOACDB &
form or CSS submitted
supervising
by participants
Assec/Usec.

Submit liquidation of
all cash advances for
the conduct of said
training.

End
 PROCEDURES FOR MONITORING AND EVALUATING HOA REGISTRATION AND
CERTIFICATION
Procedure Director IV- Technical Regional Secretary/
HOACDB Staff-CO & RO Director Director IV-PS
(HOACDB)
Conduct of Conducts
preparatory Start
discussion with
activities for the ITKMS &
monitoring of Regional Offices
accomplishment for the
reports Instructs the updating of
Division Chief monitoring
M&ED to forms
commence
preparation of
monthly, For purposes of
quarterly, satisfying DBM
semi-annual & requirements,
annual submits the
accomplishme DHSUD
nt reports performance
reports based
on the target
set in the NEP
or GAA

Jointly conduct
field workshop
to establish a
systematic and
uniform
reporting
procedure using
the official
monitoring
form that will
capture the
following:
a. HOA
Registration
b. HOA
Certifications
,e
Regional Office-
Conduct of: Upon receipt of
request from an
interested
party, conducts
field and/or
non-field
investigation to
a. Field
monitoring

b. Non-Field
monitoring

Examination of
financial
transaction by
Regional Offices After the
submission of
the HOA annual
reports,
examines &
evaluates the
reports within
15 days from
receipt &
completes the
reviews &
evaluations
within 15 days.

In case the
submitted
documents are .
or inconsistent
If it appears that a
violation of
existing laws,
rules &
regulations has
been committed,
requires the HOA
to submit a sworn
 Upon receipt of
the sworn
statement,
determines if any
violations exists

No
Applies
appropriate
Violation? sanctions &
ns penalties

Yes

Issues an order
terminating the
matter

Issuance of
notices to Forwards to all
Regional Offices Regional offices
to submit a memorandum
monitoring requesting the
reports submission of
accomplishment
reports

Prepares &
submits the
regional
accomplishment
reports to the
Division Chief-
M&ED-PS
Upon receipt of
the Regional
accomplishment
report,
consolidates &
evaluates the
report for
preparation of
the DHSUD
overall
performance
report

Conducts &
schedules
ground
validation, if
there is a need.

If ground
validation is
needed,
prepares the
administrative
& logistical
requirements
for the said
undertaking

Establishes
liaison with the
RO to facilitate
the conduct of
ground
validation

Prepares the
ground
validation
report &
incorporates
the same in the
DHSUD
 Establishes &
maintains a
registry of
HOAs,
neighborhood
associations &
their
federations,
confederations
or umbrella
associations

Submission of
ground validation Submits the
and monitoring progress report
reports to the Director
IV-HOACDB
copy furnish the
supervising
Assec./Usec.

Transmits the Approves &

DHSUD signs the
Performance DHSUD
Report to the Performance
Secretary & Report
NHSB

Distribution of
approved Reproduces
official report &
furnishes copies
to all
organizational
units &
oversight
Department
performance
report
 PROCEDURES FOR EXTENDING TECHNIAL AND SECRETARIAT SUPPORT TO
THE NHSB MEETING
Procedure Secretariat NHSB Members Chairperson/Secretary
Prior to the
Board Start
Meeting
Gathers agenda and
secures approval of the Approves the proposed
Secretary on the agenda
proposed agenda

Reserves the venue

Schedules and Board

meeting and issues
notices to the NHSB
members

Gathers, packages and

distributes
Board materials

Prepares the
Secretary’s
Discussion notes
Board
meeting Confirms the existence of a
Records the attendance
proper quorum

Informs the Secretary

on the existence of a
quorum
Invites the NHSB members
Walks through the Provides to confirm the ff:
NHSB members on the corrections/ 1. Agenda
agenda approves the 2. Minutes of the mtng.
agenda/minutes 3. Matters arising
/matters arising
Takes note and records
the minutes of the Conducts Executive
meeting Session if there is
confidential agenda
Post
Drafts the minutes
meeting
within 15 days from
the conclusion of the
Board mtng.

Secures the Gives his clearance

Chairperson’s for the circulation
clearance prior to of unconfirmed
circulation of minutes minutes

Distributes Prepares and

unconfirmed minutes submits
to the NHBS members comments/
for comments/ corrections to
corrections the Secretariat

Revises and finalizes

minutes and circulates Signs the Signs the minutes of
again to the NHSB minutes of meeting
members for signature meeting

Prepares action memo

to each of those
delegated to act,
describing the action
required and time
frame

Follows-up submission
Notes/ gives further
and prepares a report
instruction on the report
to the Secretary

End
 PROCEDURES FOR HANDLING OF SPECIAL EVENTS
Activity Executive Assistant Director Secretary
Coordination with the
Honorees/Guests Coordinates with the
honorees/guests to get
the details of request

Prepares and submits a

Approves/gives further
short brief and
instruction on the
protocol aspects of the
events
events to the Secretary
Planning and Organizing
the Event Scouts for the venue

Draws up the guests

list

Prepares budgetary
requirements

Designs and produces

program & invitation

Selects caterer & menu

Selects performer &

emcee

Selects token to be
given

Determines
appropriate physical
arrangement

Coordinates with the

venue on the provision
of security & parking
space

Coordinates with the

PAS for press/photo
coverage
Execution of Events Conducts final briefing
to the emcees & Prepares arrangement
usherettes and assigns personnel
for the press/photo
coverage
Sends an advance party
to check if everything is
done according to the
approved plan

Assessment after the

Event Conducts an
assessment after the
event to check areas
for improvement

Provides feedback to Notes the feedback

the Secretary report

End
 PROCEDURES FOR CALENDARING THE SECRETARY’S ENGAGEMENT
Procedure Executive Public Secretary Chosen
Assistant Assistance Representative
Service
Receipt of Invitation Yeas Yes Yes
Start

Determines the
role of the
Secretary & gets
the details of
invitation

Calendars the
invitation

Prepares an
Executive brief of
the invitation

Secures approval
of the Secretary

Approves the
Yes invitation or sends
Approves a chosen
representative

No Sends Attends and

a chosen represents the
representative Secretary

Confirmation of Informs the

attendance requesting party
of the Secretary or
his chosen rep’s
confirmation

If the Secretary has

a speaking role, Drafts speech
sends a copy of the and forwards it
invitation to the PAS to the HEA for
for the drafting of
comments
speech
 Provides Edits and finalizes
comments and the speech and
returns it to the returns it to HEA
PAS for editing for endorsement
and finalization to the Secretary
or his

Forwards the
speech to the Acknowledges Acknowledges
Secretary or his receipt of speech receipt of speech
chosen reps.

Filing of
accepted/completed/ Files the
regretted invitation accepted/
completed/
regretted
invitation

Scans/reproduces
all accepted/
completed
invitation

End
 PROCEDURES FOR HANDLING OF REQUEST FOR MESSAGES FROM THE SECRETARY
Procedure Executive Assistant Public Assistance Secretary
Service
Receipt and preparation
of request for Start
greetings/messages

Informs the requesting

party to submits a
letter request in
writing of via e-mail

Courses thru all

requestes for
messages/greetings to
the Secretary for his
approval

Approves the request

Yes and returns it for the
Approves
drafting of greetings/
messages
No

Informs the requesting

Party on the denial of
request

Refers the request to

the PAS for the Drafts the messages/
drafting of greetings and
messages/ forwards it to the
greetings HEA for comments

Revises and finalizes

Provides comments on the messages/
the draft messages/ greetings and
greetings and returns it forwards it to the
to the PAS for editing HEA endorsement to
and finalization the Secretary

Endorses the
messages/
greetings to the Approves and signs the
Secretary for his messages/greetings
approval and signature
Distribution of signed
Sends the signed
messages/greetings
greetings/messages to
the requesting party

Files the scanned copy

of the messages/
greetings

End
 PROCEDURES FOR HANDLING OF DOCUMENTS NEEDING THE SECRETARY’S
DECISION/ACTION
Procedure Executive Organizational Usec./Assec. Releasing Clerk
Assistant Unit concerned
Conduct of
Preliminary Start
Review

Checks if the
documents are
properly received,
stamped and
registered by
Releasing Clerk

Reviews
documents for
completeness

Determines if
document is
routine or non-
routine

Refers the
documents to the
concerned unit for
CSW
Conduct of
Prepares the CSW
Complete Staff including the
Work required action
documents in the
form of an
issuance

Secures Endorses the

endorsement of CSCW and its
Usec/Assec action
handling the documents to
group the Secretary

Looks for the

endorsement of
Usec/Assec.

Conducts final
oversight review
on the CSW and
action documents

Looks at
precedence with
respect to the
request, retrieves
background record
& attaches it to
the document

Seeks the Converts the

assistance of PAS document into a
& Legal Service in full length action
converting the document and
document into a submits the same
full length action to the Secretary
document for his approval

Post Decision
Staff Work Sees to it that the
Secretary has
signed all pages
 Cleans up the
bunch of
documents and
scans and stores
PDF copy prior to
release

Releases advance
copy of signed
document via e- Releases copy of
mail and gives signed document
instruction to the
Releasing Clerk on
the release of hard
copy

Logical/Physical
Sorting of Establishes system
Documents for logical sorting
of document to
facilitate reading
& action by the
Secretary

End
 PROCEDURES FOR HANDLING OF DOCUMENTS RECEIVED THROUGH E-MAIL AND MOBILE
MESSAGING
Client Admin. Assistant Executive Assistant HEA Secretary

Start

Sends request

Receives the
Request by stamping Processes the request
the doc logging and
assigning it with
unique track
I code
Hard copy Processed email, E-
n
calendar entry for
c tracking
o Provides
m Received request additional
i with code comments and
n suggestions to Acts on
g Evaluates aid the the
Email request Secretary in request
the decision
request making

Coordinates with the

Updates requesting party to
request get new dates

Processes the Checks the

action of the action of the
Secretary Secretary for
additional
O instruction
u Updates the e-
t calendar entry

g
o
i Relays the
g action of the
Secretary

Scans the
request for
End Secretary’s
record
 PROCEDURES FOR RESERVING THE USE OF BOARD ROOM
Procedure Requesting Party Executive Assistant
Reservation of Board
Room Start

Submits a request for the

use of Board Room

Receives the request and

enters the date and time
of use

Approval of Request
Approves the request for
the use of Board Room

Issues notification on the

approval and use of Board
Room

Use of Board Room

Takes-charge in the set-up,
caterer and technical
aspect on the use of Board
Room

Completes the set-up at

least one hour before the
start of the meeting

Completion of the Use of

Board Room Coordinates with the AS
for the clean-up of the
Board Room

End
 SUPPORT PROCESSES

STRATEGIC AND PROGRAM PLANNING

PROCEDURES FOR STRATEGIC AND PROGRAM PLANNING

Procedure Director IV Planning Service Budget Organizational
Planning Service Tech. Staff Division Units
Brainstorming
Start
session with the
organizational
units
Conducts
brainstorming
Based on the
session with the
discussion,
different
prepares the
organizational
situational analysis
units to discuss
and strategic
the DHSUD’s
directions of the
situation in line
DHSUD
with its vision and
mission

Year-end review
and strategic Organizes year-
planning end review and
strategic planning
workshop to
assess the
performance of
the DHSUD and
revisit its vision
and mission

Prepares the
proceedings of the
workshop &
distributes copies
to the
management &
organizational
units
Preparation of
Based on the
strategic plan/
proceedings of the
roadmap
year-end review
and strategic
planning, updates
the strategic
plan/roadmap of
the DHSUD

Preparation of
annual plans Organizes Collects feedback
and budget and consultation from the
stakeholders meetings with the stakeholders on
consultation DHSUD the draft strategic
regarding issues organizational plan
units, regional
and priority
offices & other key
needs
stakeholders to
identify issues and Documents the
concerns of following:
different sectors a.List of issues &
as well as priority needs
determine b.List of possible
possible solutions solutions &
to address said recommendations
issues and c.Other comments
concerns /recommendation
s

Prepares the
DHSUD budget
cover based on
the revised
strategic plan

Prepare the budget preparation (BD)

forms as contained in the Budget Call and
the Budget Priorities Framework issued by
the DBM every year

Encode the BP forms and other budget

data in the OSBP’s of the DBM and
generate hardcopies of BP forms for
signature by the authorized signatories
Submission of
Prepares & After the approval,
packaged plans
submits the submits hard and
and budget to
DHSUD plans and soft copies of the
DBM
budget proposals DHSUD’s
to the Secretary recommended
for review and plans and budget
approval to the DBM

Revision of
budget proposal After the issuance of revise the DHSUD
based on NEP budgetary requirements based on thee NEP
and submission and prepare set of documents required by
to DBM, Senate, the Senate and HOR
& HOR
Extension of
assistance to Assists the
Prepares and
the management in
provides a copy of
management in preparing for the
the budget kit to
preparing for the technical budget
the management
technical budget hearing called by
hearing Senate & HOR

Preparation of
annual planning Prepares the
guidelines for agency annual
approval by the Planning
Secretary Guidelines for
the preparation of
the annual budget
execution plan

Conduct of
internal planning
Submits the agency In consultation with
sessions
Planning Guidelines the Planning Officer
to the Secretary for & Regional Conducts its own
approval and Directors, transmits internal planning
prepares intra- the recommended session and
office budget per activity prepares its
memorandum to based on the NEP indicative WFPs
the management & budget level to and submits the
different each organizational same to the PS for
organizational units unit to serve as consolidation
for the conduct of their reference in
internal planning the preparation of
sessions organizational WFP
Conduct of
annual Spearheads the Presents the major
operational conduct of accomplishments
planning Operational for the current
assembly Planning Assembly year, the factors
(OPA) with the that facilitated or
organizational hindered the
units attainment of
targets and the
WFP

Prepares the
documentation
report of the OPA

Revision and
finalization of Revises and
organizational finalizes the
unit ‘s physical indicative and
and financial detailed WFP
plans based on the
comments &
recommendations
during the OPA

Submits the
revised and
detailed WFP to
the immediate
supervisor and to
the supervising
Assec./Usec.,

Preparation of
BED forms and Prepares the required BED forms and
other other documents for the DHSUD’s WFP,
documents for using the NEP and PS Planning
the DHSUD’S Guidelines
WFP
Review and
consolidation of Consolidates &
WFP reviews the
approved WFP
submitted by the
organizational
units.

Encoding of the
Encodes & endorses the BED forms and
BED Forms in
other documents in the DBM URS and
the URS
generates the BED forms.
Submission of
Prepares and
duly signed BED
submits the
Forms to the
DHSUD WFP to
DBM
the Secretary for
review & approval

After the review &

approval by the
Secretary,
submits both hard
and soft copies of
the approved and
packaged WFP of
the DHSUD to
DBM

Implementation
of WFP Transmits the
signed and Implements the
approved copies respective WFP
of the WFP to the
organizational
units for
implementation

Monitoring &
evaluation of
WFP Sends a reminder
implementation to all units to
submit their
GMAR on or
th
before the 25 of
the month

Collects and
consolidates the
GMARs including
the Means of
Verification (MOV)

Validates the
accomplishment
of the different
units through the
submitted MOVs.
Preparation &
Prepares periodic
submission of
accountability
periodic
reports for
accountability approval by the
reports to Secretary
oversight
agencies
Submits the
approved/signed
accountability
reports to the
oversight
agencies

Encodes and
submits online
the BAR 1 to the
URS of DBM

Produces a
consolidated
monthly , quarterly
semestral and
annual
accomplishment
report and
submits the same
to the Secretary
for discussion in
the MANCOM &
NHSB

Submission of
yearly If The DHSUD is
qualified to avail
accomplishment
of the PBB,
report to DBM
submits the
for PBB
annual
availment
accomplishment
reports & other
documents to
DBM.

End
 POLICY, PLANS AND PROGRAM ISSUANCE PROCESS

PROCEDURES FOR FORMULATING/ISSUING POLICY, PLANS AND PROGRAM

Procedure Director IV- Technical Staff Director IV-PS Secretary
PHSS PHSS
Identification and
analysis of problem Start
Undertakes
identification and policy
analysis research/study
Identifies policy
problem to be to address the
sourced from pre- identified policy
identified sources problem

Drafting/formulation
Drafts policy
of policy paper
paper based on
the information
collected from
research/study

Presents the
policy paper to
the HPWC and
other fora,
workshop, FGD,
etc.

Revises/finalizes
the policy paper
after incorporating
the inputs
generated from
the above cited
consultations.

Policy Issuance Translates the

policy paper into Advises the
a legal instrument Planning Service
in collaboration to calendar the
with the HPSD & policy paper in
Legal Service and the NHSB meeting
submits the same
to the Secretary
for calendaring in
the NHSB NHSBD either
meeting approves/
disapproves the
policy paper.
 Once the policy
paper is approved
and signed by the
NHSB members,
submits the
approved policy to
the Philippine Law
Center for
cataloging and
publication

Disseminates
copies of the duly
approved policy
to the concerned
stakeholders

Provides Maintains the

instruction to the authenticity of
policy staff for the policy through
implementation the institution of
of approved various control
policy measures

Policy review
Undertakes any
amendments or
repeal of existing
policy as
necessary by
applying the
procedures
outlined above.

Distribution/issuance
of policy paper Keeps original
copy of policy
paper at the
Central Registry
for safekeeping

Distributes copies
of policy paper to
concerned
bureaus/offices,
stakeholders for
implementation
Obtains
regulatory
approval if there
are some changes
to be introduced
in the documents
prior to
implementation
and updates
appropriate
documentation
when processes
are changed

Validates the
effectiveness of
changes by re-
evaluation,
inspection (where
applicable),
internal auditing
and clients
satisfaction
survey (CSS)

End
 PERFORMANCE MONITORING AND EVALUATION

PROCEDURES FOR MONITORING AND EVALUATION

Procedure Director IV-Planning Monitoring & Evaluation NHSB Members
Services Division Staff
Creation of M&E
Start
plan and
identification of
program goals &
objectives Creates an M & E Plan
identifying the program
goals and objectives

Defines the program

goals by identifying the
problem to be solved,
the steps to be taken to
solve the problem and
the means of verification
(MOVs) based on the
approved OPCR to
determine the success of
steps undertaken in
solving the problem.

Selection of
performance
indicators and Using the OPCR developed
baseline data during the strategic planning
per indicator and the sectoral
performance commitment of
the DHSUD to NEDA-PDP and
DBM, identifies and defines
the baseline information per
indicator for tracking
progress towards achieving
those goals
Defining the data
collection After identifying/creating the
methods and performance monitoring
indicators, discusses the
timeline
methods of generating the
data, recording of data to
track indicators and the
frequency of collecting the
data from the different
sources.

After agreeing on the method

and frequency of data
gathering, collects the
monthly report from the
different sources.

Consolidates the monthly

report to come-up with
quarterly, semi-annual and
annual reports.

Identification of
M&E roles and Identifies the staff in charge
responsibilities for collecting data for each
indicator from the sources
and compiling, consolidating
and evaluating the data
generated

Evaluation of
submitted
performance Compiles and analyzes the
Reports data generated per indicator
by comparing the actual
accomplishments vis-a-vis
targets and baseline data
and finds out if there are
slippages, the reasons for
the shortfall and the
different factors hindering
the attainment of targets.
 Discusses the results of
performance evaluation with
the concerned operating
units/KSAs especially to
those that are unable to
meet their performance
commitments.

Documents the results of

discussions and incorporates
the same in the final M&E
Report for submission to
Director IV-PS and Secretary
for calendaring in the NHSB
meeting prior to its
dissemination to the
intended users of said
report.

Calendar the M& E Report Notes/approves the

in the NHSB meeting either DHSUD M&E Report
for notation/approval

Dissemination of Upon approval/notation by

outcome of the NHSB, distributes the
Evaluation results of performance to
the internal and external
users including the
oversight agencies

End
 PROCEDURES FOR EXTENDING PUBLIC ASSISTANCE
Procedure Requesting Director IV-PAS Information Other
Party/ Officer-PAD Organizational
Complainant Units/KSAs/LGUs
Regional Office
Submission of
Start
request for
assistance

Submits a query
or request for
assistance

Frontline resolution
of assistance
requested/complaint Assesses the
complexity of
query/request

Advises the
requesting party/
complainant on
the query/
request for
assistance/
process

No
Request is
simple

Yes

Takes prompt or
reasonable
action on the
request/
complaint if the
request/
complaint is
within the power
of the handling
staff
Investigation of If the request for
unresolved request assistance/
for assistance/ complaint could
complaint not be resolved
at the frontline through the
informal process,
investigates
where the
requesting party/
complainant is
still dissatisfied
after
communication
of decision at
Stage 1.

Conducts the
If the matter CSW and advises
cannot be the requesting
resolved by the party/
PAS, or the complainant of
subject matter the outcome of
thereof properly the request for
falls within the assistance/
ambit of the complaint .
mandates/ Furnishes the
functions or PAS with a copy
Refers the
expertise of the of the outcome
request
Regional Office,for
of the CSW
assistance/compl
Bureaus, Services
aint
or of theto HSAC,
the
proper bureau,
or of the KSAs, or For the Regional
service
of other or office
agencies Offices, handles/
for the conduct
or of the LGU, processes
of necessary
refers/endorses request for
complete
the request staff
for assistance taken
work
assistance/ from the
complaint to the suggestion box
proper or
entity/unit. mailed/delivered
and filed at the
office, if it is
within his/her
power and the
same shall be
Records the processed within
conclusion and the prescribed
outcome of the processing time.
request for Otherwise, refers
assistance/ the matter to the
complaint concerned
Divisions
Monitoring of status
Monitors the
of assistance status of
requested/ complaint request/
complaint
referred to other
organizational
units, HSAC,
KSAs, LGUS, etc
and makes
follow-up on its
status.

End
 PROCEDURES FOR DESIGNING AN EFFECTIVE PUBLIC RELATIONS INFORMATION AND
EDUCATION CAMPAIGN
Procedure Director IV-PAS Information Officer-CDMRD
Defining public
relations problem Start
through research

Anticipates, analyzes and interprets the

public opinion and attitudes of the
public towards the programs, projects
and services of the DHSUD

Conduct of
strategic planning
Establishes goals and specific,
measurable, accurate, reliable and time
bound objectives in relation to the
target audience

Identifying target
audience Defines the audience targeted to reach
and the kind of key messages to deliver
to them.

Formulates the different strategies to

be undertaken in various situations
including the different typologies of
initiatives and responses

Drafts the message in accordance with

the results of analysis of the situation,
organization and the public.

Designing an
effective public Designs effective communication by
relations taking into consideration the sources,
communication who will present the message to the
key publics, the content of the message
,its tone and style, verbal and non-
verbal cues and related issues.

Selection of
communication Develops and determines the various
tactics communication vehicles to be used to
send the messages of the campaign to
the target client.
Implementation of
strategic plan Prepares budget and schedules to
implement the communication program
and submits to the Director-PAS for
evaluation and approval.

Measuring
evaluation results Evaluates the strategic plan by
indicating specific methods for
measuring the effectiveness of each
recommended tactic.

Writes the results of the evaluation and

presents the findings to the
management.

Evaluates the results to provide an

indication for further campaign ideas
and to allow the PAS to consider
whether the original plan needs
modification in any way.

End
 INTERNAL AUDIT (MANAGEMENT IMPROVEMENT) PROCESS

PROCEDURES FOR CONDUCTING MANAGEMENT AND OPERATIONAL AUDIT

Procedure Director IV-IAS Internal Auditors Secretary/

IAS NHSB
Preliminary
planning activities Start

Prepares a proposal to the

conduct of IAS Strategic
Planning to identify key
audit three-year strategic
direction and prepare the
IAS Annual Work Plan
(AWP) and submits it to the
Director IV-IAS to secure
approval of the Secretary.

Secures the approval of

the Secretary on the Approves the proposed
proposed IAS Strategic IAS Strategic Planning.
Planning.

Upon approval, undertake the IAS strategic planning to

set out the IAS medium term direction (three year plan)
and outlines the priorities in moving forward including the
undertaking of the following activities/actions to address
the same for a period of three years:
1. Performing baseline assessment of the internal
control system;
2. Considering control significance and materiality and
control risk of key processes of the operating and key
support systems to achieve the control objectives;
3. Assessing Internal Audit Risks to identify those risks or
factors which may affect the conduct of the audit;
4. Formulating the strategic plan consisting of the
three-year direction by considering the results of the
baseline assessment of the ICS of the
organization/sector, the control significance and
materiality and control risk of key processes, and the
assessment of internal audit risks; and
5. Preparing the Annual Work Plan. (AWP) containing
the prioritized audit areas from the Strategic Plan and
approved by the Department Secretary
Conduct of audit Undertakes the following
engagement preparatory activities for
planning the conduct of annual
audit :

a. Lists down audit

activities per audit
engagement based on
the AWP.

b. Determines the audit

objective, scope and
criteria and audit
evidence.

c. Documents
understanding of the
programs, projects and
activities of the agency
and the units to be
audited.

d. Selects the size and

members of
management Audit
Team, which is
comprised of people
with divergent
background and
specialization.

e. Determines the
resources required for
the audit and the target
milestone/date; and

f. Develops the audit plan

and program in
accordance with the
AWP.

Secures the approval of

Approves the execution Director IV-IAS for the
of the annual audit execution of the annual
engagement plan. audit engagement plan.
Execution of audit
engagement plan Notifies the auditee in
writing on the planned
audit particularly on the
following:
a. Proposed date of audit;
b. Duration of the audit;
c. Basis for the audit e.g.
organizational
structure, budget,
planning, Human
Resource Development,
etc.
d. List of documents of
prime interest in the
audit e.g. Quality
Management System
Manual, Operations
Manual, Systems,
Procedures and
instruction
e. Names of the Audit
Team Leader and
members; and
f. Blank questionnaire for
providing details of the
auditee’s operations

Requests the auditee to

confirm in writing the
suitability of the proposed
audit date and/or let them
proposed suitable
alternative date

Initiates entry conference

to explain the audit
program in brief and
discusses the focus,
requirements and
timelines of the audit and
the need to supply the
records.

Adopts the techniques and

procedures enumerated in
the audit work program to
gather data and pieces of
evidence and to achieve
the stated audit
objective/s
Requests the auditee to
provide accurate,
reasonable and reliable
information

Requires the persons

supplying the
documents/information to
authenticate the same by
affixing his/her signature
on the said
document/information

Takes necessary steps to

assemble information that
will enable the audit team
to make decisions.

Analyzes the evidence to

determine cause and
quantifies the effect of the
condition identified in the
survey and development of
recommendations

Conducts team meeting to

discuss preliminary review
and analysis and comes-up
with preliminary conclusions

Conducts closing meeting

with the auditee to present
audit findings and
conclusions and discusses
any disagreements during
the said session.

Raises the unresolved

issue/s to the IAS Team
Leader
Writing and
reporting audit Conducts team meeting to
results prepare the outline of the
draft audit report and to
set out the findings in
appropriate format and
provide the pieces of
evidence gathered to
arrive at the audit findings,
and the recommendations

Writes the draft report as

the culmination of the audit
execution for review by the
Audit Team Head.

Processes draft report after

the review and submits a
copy of the draft report to
the auditee to secure their
written comments.

Processes and approves the NHSB notes/provides

correction and corrective suggestions/ comments
action based on agreed on the IAS final audit
target completion date, report
prepares issues and submits
the final report to the
Director IV-IAS for
presentation to the NHSB.

Conduct of post Conducts team meeting

audit evaluation after the submission of
final report to discuss the
strengths and weaknesses
of the audit and to suggest
ways to improve the
quality of future audit
efforts.

Develops suggestions for

improvement especially if
there is a need to make
some changes on the audit
policies and procedures
 Monitors the results of
verification according to
Control of Nonconformity
procedure and
documented Request for
Action Form (RAF) and
Action Status Report (ASR).

Make necessary
follow-up on the Makes the necessary
mitigating follow up to ensure
measures whether the key findings in
instituted by the audit report are
auditee. mitigated by related
management or
department.

End
 LEGAL SUPPORT/ASSISTANCE

Procedure Originator of Director IV-LAD/ Attorney IV & IIII- Secretary/

Documents Admin. Asst. III LAD Authorized Signatory
DC-LAD
A. Review of contracts & other legal instruments and issuance of certification
Initial determination
before entering into Start
a business
transaction/contract
Step I
Conducts initial
determination
regarding the
authority/
mandate of
DHSUD, the
necessity
advantage of
entering into a
Contract, the
technical &
financial capability
of contracting
party, authority of
both parties to
enter into a
contract
compliance with
Procurement Act
& other laws and
concurrence of
Head of
originating unit.

Transmittal of Upon compliance

request for legal with the above,
review and transmits the
certification request for legal
review to the Legal
Service for review
and/or certification
of the contract
though submission
of signed
memorandum-
request including
factual information
about the contract
.
Review and
Receives and records Conducts a legal
issuance of legal the request for review of he contract
certification Contract Legal to examine if
Review and provisions are
Certification and consistent with laws,
forwards it to the rules & regulations,
Director IV-LS for etc.
assignment to Legal
Officer V-DC-LAD
Proposes additional
provisions or
alternative contract
language to remove
Attorney V-DC-LAD any vague or onerous
refers it to Attorney provisions for the best
IV or Attorney III- interest of the DHSUD
LAD
For the conduct of
CSW Asks for further
clarifications or
additional data/
documents from
the originating unit

If the revised Returns the

Contract is found contract together
to be in order, DC- with its comments/
LAD drafts a Legal Proposed revisions
Certification for to the originating
signature by the unit.
Director IV-LS

Signs the Legal

Certification and
returns the same
to the Originating
Unit

Records the
release of Legal
Certification to the
Originating Unit
Execution of Upon receipt of the
contract Receives the signed
Legal Certification Legal Certification,
and forwards the signs the Contract &
contract together returns it to the
with the Originating unit for
certification to the further processing.
Secretary for ‘
signature.

Furnishes the Legal Records the

Service with an receipt of
electronic copy of electronic copy of
the signed the signed
Contract for its Contract
files/reference.

Procedure Originator of Director IV-LAD/ Legal Staff-LAD Secretary/

Documents Admin. Asst. III Authorized Signatory
B. Drafting of contract
Initial determination
before entering into
a business Follows Step 1
transaction/contract above

Submission of
request for drafting Upon compliance
of contract with the above,
transmits a signed
memorandum-
request by the
Head of
Originating Unit
together with the
required
information and
documents. to the
Director-Legal
Service for the
drafting of the
Contract.

Drafting of contract Receives and records

the request for the
drafting of Contract
and forwards to the
Director IV-LS for
assignment to Atty. V-
LAD
 DC-LAD refers the Drafts the contract
matter to & asks for
Attorney IV and additional
Attorney III with inputs/info/data
specific from the
Originating Unit
instructions on
the drafting of
contract
Submits the
drafted Contract
to the Originating
Unit for
consideration.

Review and If amenable to all

validation of the the provisions of the
draft contract Contract or if there
are minor
corrections/inputs
that do not change
the substance,
proceeds to revise
and finalize the
contract and submits
the same to the
Legal Service for final
Legal Review and
Certification

If both contracting
parties have
substantial
comments/revisions,
discusses the same
with the Legal
Service to come-up
with mutually
acceptable version.

Upon completing
the above process,
submits the final
revised version to
the Legal Service
for final Legal
Review and
Certification.

Conduct of final Receives and

review of the records the revised
revised contract draft Contract and
forwards it to Atty
V-LAD for further
action
 DC-LAD assigns the
revised draft to
Reviews the final
Attorney IV/III for version of the
review of minor Contract and if
corrections found to be in
order, drafts and
transmits a Legal
Signs the Legal Certification to the
Certification for Originating Unit
transmission to the for further
Originating Unit processing/action.

Receives the signed Records the release

Legal Certification & of the contracts &
forwards it together legal certification &
with the final transmits the same
version of the to the Originating
contract to the Unit
Secretary for
signature.

Execution of the
contract Furnishes the Legal Upon receipt of
Service with an final contract &
electronic copy of Legal Certification,
the final/signed signs the Contract
Contract for its and returns the
files/reference. signed copies of
Records the the Contract to the
receipt of e-copy Originating Unit
of final/signed for further
contract & processing.
certification

Procedure Records Director IV-LAD/ Legal Staff-LAD Secretary/

Division/PAS Admin. Asst. III Authorized Signatory
C. Handling of legal queries/concerns (public)
Initial review/
determination/action Reads the
on the query/ documents/email
concern to understand the
nature and know
the subject matter
of the
concern/query and
the action
requested
 If the matter
involves a legal
concern/query,
determines if it may
already be acted
upon/resolved by
the PAD

Endorsement of
unresolved matters Duty Officer (DO)
If the matter
determines to
cannot be resolved
which Units or
by the PAD, refers
other agencies the
the matter to the
concern/query
Duty Officer-LS
may be properly
referred to.

For callers,
transfers the call
to the DO, answers
the concern/ query
based on limited
facts & if the
concern is
complex, advises
them to email the
legal concern/
query

For walk-in clients,

asks them to
legibly fill up the
interview form
regarding their
legal
concern/query and
refers the matter
to the DO for
appropriate action

Initial evaluation
Receives and
and endorsement (if
records the Legal
needed)
Query/concerns
and forwards it to
the Director IV-LS
for assignment to
Atty. V-LAD
 Endorses the query
Assigns the query to the appropriate
to Atty. V-LAD entity if it falls
within the ambit of
the mandates,
functions and
expertise of other
organizational units,
KSAS, HSAC, NGAs,
etc.

Drafting of the reply

Studies the
If the query is
query/concern,
reverted to the LS,
drafts a reply
assigns the query
thereto &
to Attorney IV/III-
endorses to DC-
LAD.
LAD for review

If found in order,
approves the
Furnishes the PAD
finalization of the
with an electronic
draft reply to the
copy of the reply
drafters. Upon
for its easy future
receipt of final
copy, affixes reference/
his/her initials & guidance on
endorses it to DIV- similar queries.
LS for his signature

Records the release

of the reply to the Transmits the
query and sends the original copy of the
reply by email to the reply to the
client or transmits Records Division
the same to the for mailing to the
Records Division for clients.
mailing to the client.
 Procedure Originating Unit Director IV-LAD/ Legal Staff-LAD Secretary/
Admin. Asst. III Authorized Signatory
D. Handling of Queries/Request for Legal Opinion (Internal)
Initial evaluation/
determination of Determines if
issues/concerns there is a need for
legal
query/opinion on
a matter that
cannot be
answered
internally within a
unit/group

Transmittal of
query/request for
legal opinion If there is a need
for a legal
query/opinion ,
sends a duly
signed memo-
request by the
Head of
Originating Unit
to the Director-
Legal Service

Ensuring
Ensures
Transparency
transparency by
properly bringing
to the attention
of the Legal
Service any
information that
would help the LS
to have a
complete
appreciation of
the facts or issue,
any COA notice of
disallowance and
reservation/uncer
tainty about the
subject matter
Submission of
additional Promptly Receives and
submits such records the legal
information/ Conducts
other query/request for
document researches on the
data/informatio legal opinion and query
n as may be forwards it to the
required by the Atty. V-DC LAD
Legal Service Asks for
clarifications/
additional
Studies & refers data/info from
the data to the originating
Attorney IV/III. unit

Drafts the reply

Approves the draft
reply and instructs & sends it to DC-
Admin. Asst. III to LAD for review
finalize the draft and transmittal to
and transmits the the Director-LS
same to the
Originating Unit

Records the
release of the
reply/opinion and
transmits the same
to the Originating
Unit

Procedure Originating Unit Director IV-LAD/ Legal Staff-LAD Secretary/

Admin. Asst. III Authorized Signatory
E. Handling of Litigations
Initial study/
evaluation and Receives & records
other preliminary the receipt of the
actions case document &
forwards it to the
Director IV-LS for
assignment to
Atty. V-LAD

Gathers and studies the factual

background/details and related
documents of the case the DHSUD
intends to file, or which has been filed
against/involving the Department
 Determines the propriety of
filing/initiating a case and advises the
Secretary/duly authorized officer
accordingly.

Determines whether the case to be

filed/initiated or defended in behalf of
the DHSUD should be handled in-house
or by an external counsel (OSG or a
private lawyer and advises the
Secretary/duly authorized officer
accordingly

Endorsement to If it is decided that the case would best be

external counsel handled externally due to the magnitude,
difficulty or complexity of the matter
involved or for lack of in-house legal
manpower, endorses the case to the OSG
through a letter signed by the Secretary or
duly authorized officer.

Engagement of
private lawyer
If the case is to be handled externally by a
private lawyer, undertakes the
procurement process for the purpose,
seeks the approval of the OSG & COA &
secures necessary OSG letter deputizing
the private lawyer/s to appear in/handle
the case by the DHSUD

Extension of
support to the If the case would be handled by an
external counsel external counsel, extends support in the
drafting of affidavits/pleadings, ensuring
attendance of the DHSUD’s
representatives/witnesses in the
proceedings and preparing the
representatives/witnesses for any
mediation/other ADR proceedings and the
pre-trial conference and trial.
 If the case would
be handled in-
house, assigns the
case to the Atty. V
of the Legal
Assistance
Division for
handling under his
supervision

Procedure Originating Unit Director IV-LAD/ Legal Staff-LAD Secretary/

Admin. Asst. III Authorized Signatory
F. Drafting of Position Papers on Pending Bills
Coordination with
other relevant units Receives & Coordinates with
records the the other relevant
request for units and KSAs for
instruction to submission of
draft the position their positions,
paper and comments, inputs,
forwards it to the proposals and
Director IV-LS for recommendations
assignment to the to the proposed
appropriate legal bill/s.
staff.

Drafting and Upon receipt of

finalization of inputs from relevant
position paper units/KSAs, drafts
the DHSUD’s
position paper and
finalizes the same in
collaboration with
the relevant
units/KSAs and
Office of the Approves and
Secretary & submits signs the
Submits the
it to the Director IV- position paper &
position paper to LS for submission to returns it to
the Secretary for the Secretary
Director IV-LS
approval

Submission of
signed position Records the
paper release of position
paper & submits it
o the requesting
office/Committee
of the Senate and
HOR.
 PROCEDURES FOR HANDLING APPEALS TO THE OFFICE OF THE
SECRETARY
Procedure Appellant/ Regional Receiving Director IV- Secretary
Counsel Office Staff LS/
Representative (HREDRD) Office of the Receiving
(Records Secretary Staff/
Section) Appeals
Division
Filing of the
appeal Start

Files an appeal
memorandum
, pays the
appeal fee
and posts an
appeal bond
within 15 days
from receipt
of the assailed
order or
issuance of
the Regional
Director

Files an appeal
through any of
the following
modes:
a.By personal
service
b.By
registered
mail
c. By courier
service

Receipts and
endorsement of Checks the
the appeal appeal & its
attached
documents to
verify
completeness
& full
compliance
thereof, then
forwards the
appeal to
HREDRD
 Receives the
appeal and
logs the same

Prepares and
signs a letter
signed by the
RD notifying
the appellee
that the
appellant has
filed an appeal

Locates and
complies the
dockets/
records
relevant to
the subject
matter of the
appeal

Elevates the
appeal the
appeal
together with
the Record on
appeal and
the summary
of
proceedings
to the Office
of the
Secretary, if
no comments
received from
the appellee

Receipt of the Assigns a

appeal from the document
Regional Office tracking
and number and
endorsement to endorses the
the Office of the entire Record
Secretary on Appeal to
the Office of
the Secretary
Receipt of
Records the
appeal by the appeal for
Office of the documentation
Secretary & and monitoring
referral to the purposes then
Legal Service refers the
entire Record
on Appeal to
the Legal
Service

Assigns a case Reviews the

number to the Appeal &
Appeal assigns it to
received, the Appeals
records the Division for
same and appropriate
forwards to
action
DIV-LS

Issues a letter
signed by the
DIV-LS,
notifying the
parties that the
Office of the
Secretary has
received the
Appeal

Upon receipt
of the Record
on Appeal,
investigates &
validates the
Records of the
Appeal thru a)
Legal
Research, b)
Ocular
inspection and
c) Clarificatory
conference

Submission of
Prepares a
recommendation recommendatio
and draft order/ n & draft
resolution to the Order/Resolutio
Director, Legal n for review of
Service the DIV-LS
within 30 days
from receipt of
the notice
 Submits the
evaluation/
recommendati
on the
Appeals
together with
the draft
order/resoluti
on to the DIV-
LS

Reviews &
affirms or
revise the
recommendati
on of the
Appeals
Division

Submits the
final
recommendati
on & draft
order/resoluti
on on the
Appeal to the
Secretary for
his approval

Issuance of
order/resolution If the Secretary
agrees with the
on appeal
recommendatio
n of DIV-LS,
signs the draft
resolution/
order

Submission of After signing by

the order/ the Secretary,
resolution on endorses the
appeal to the order/resolutio
DTS/Records n on Appeal to
Section the
DTS/Records
Section for
release to the
parties, copy
furnish the RO
Appeal from the
order/resolution
If so minded, Logs the Logs the
of the Secretary files an appeal Notice of Notice of
on the Order/
Appeal & Appeal &
Resolution of
the Secretary to
transmits it to transmits it to
the Office of the Appeals the Appeals
the President Division Division

Informs the
DC-LAD of the
Notice of
Appeals &
prepares the
complete
records of the
case for
transmittal to
the Office of
the President
within 10 days
from receipt of
the Notice of
Appeal

Stay of
execution of the
Secretary’s If an appeal
order or to the Office
resolution of the
President is
filed by way
of a Notice of
Appeal, such
appeal will
stay the
execution for
a period of 60
days from the
date of the
filing of
Notice of
Appeal, after
which, the
order/
resolution of
the Secretary
shall
executory
Implementation
of the Implements
Secretary’s the order/
order or resolution on
resolution Appeal motu-
propio or upon
filing of a
Motion for
Execution
thereof

End
 SUPPORT SERVICES

HUMAN RESOURCE DEVELOPMENT PROCESS

PROCEDURES FOR THE SELECTION, RECRUITMENT AND PROMOTION

Procedure HRDD Staff PSB Secretary Applicant/
Next-in-Rank
Publication and
posting of Start
vacant positions

Publishes the
vacant
positions in the
CSC Bulletin of
Vacant
Positions or
thru DHSUD
webiste &
posts the list in
three
conspicuous
places in the
agency for a
period of 10
calendar days

Republishes
/reposts the
vacant which
are not filled
within six (6)
months from
publication

Listing of
Prepares the
applicants
long list of all
applicants for
the vacant
position
including those
on maternity
leave, stud
grant
 Conducts
preliminary
evaluation of
the
qualification of
all applicants &
let those found
qualified to
undergo
further
assessment
such as: written
exam., and/or
skills test.

Prepares the
long list of
qualified
applicants
based on their
qualifications
and written
examination
results

Evaluation
Utilizes the
based on the
following
criteria for
criteria in the
selection
selection
/promotion
/promotion of
applicants:
a.Performance
b.Education,
Training &
Experience
c. Written Exam
d.Personality
Qualifications
& Attributes
(PGA)
e.Outstanding
Accomplishm
ent
Deliberation of
applicants by Evaluates the
the Personnel applicants on
the basis of the
Selection Board
following:
a.Appropriate
CSC Eligibility
b.Education
c.Performance
d.Training
e.Experience
f.Test results
g.Outstanding
accomplishm
ents.

Prepares short
list of
applicants

Conducts
interview to
determine/
evaluate the ff:
a. Pyscho-
social
attributes &
personality
traits
b. Potential

Ranks top three

contenders

Submits
comparative Selects the
assessment qualified
report of the appointee
screened
applicant to the
appointing
authority
 Issues
appointment
papers & other
documents

Submits
appointment to
the CSC for
actions

Posts the name

of selected
applicant in the
DHSUD Bulletin
Board
Filing of
grievance/ Files a protest
Protest with the
Appointing
Authority if
he/she is not
satisfied with the
selection of
applicant

Elevates all
complaints/
grievance to the
CSC Regional
Office (CSRO)
and then to the
CSC proper.

End
 PROCEDURES FOR GRANTING REWARDS AND RECOGNITION
Procedure HRDD Director IV-AS PRAISE & PMT Secretary
Staff Committee
Creation of
PRAISE End
Committee and
defining its
functions
Prepares an
office order Transmits the
creating the Office Order Approves &
PRAISE creating the signs the Office
Committee & PRAISE Order creating
defining its Committee the PRAISE
functions & to the Committee
forwards it to Secretary for
Director IV-AS his approval
to secure the
approval of the
Secretary
Determination of
Based on the
types of awards
approved
DHSUD
PRAISE, the
HRDD thru the
DHSUD Search
Committee,
determines
the officers
and employees
who may
qualify to the
different
national and
DHSUD awards
identified
under the
PRAISE
Participates in
the search for
deserving
employees
who may be
included in
the screening
of candidates
in the national
and DHSUD
awards

Submission of
GPCR and IPCR Evaluates and
In every
ranks the
October-
performance
December of
of the different
the year,
groups/individ
submits the
uals based on
GPCR and IPCR
the standards
to the Planning
set in the
Service and
SPMS and
HRDD.
PRAISE
 Forwards the
GPCR and the
rankings of the
different
organizational
units to the
PMT

Evaluation of
GPCR and IPCR Evaluates and
confirms the
evaluation of
the Planning
and HRDD
staff.

Prepares a
recommendati
on on the
grant of
awards and
incentives to
the different
organizational
units/personn
el and submits
the same to
the PRAISE
Committee

Preparation of
Based on the
resolution evaluation of the
recommending PMT, prepares a
the grant of resolution
recommending
awards and the grant of
Incentives awards and
incentives and
submits the same
to the Director of
Legal Services for
issuance of legal
certification and
to the DHSUD
Secretary for
approval,
respectively.
Approval and
processing of Approves the
grant of awards resolution,
and incentives recommending
the grant of
awards and
incentives.

Forwards the
approved
resolution to
the Director-
Financial
Service and
Procurement
Division for
processing/
appropriate
action

End
 PROCEDURES FOR ASSESSING GROUP AND INDIVIDUAL PERFORMANCE
Procedure Director IV- Technical Group PMT/ Secretary
PS Staff-PS & Heads PRAISE
Admin Staff- Committee
HRDD
Conduct of
strategic Start
planning to
ensure
alignment of Facilitates
agency plans the conduct
/targets of strategic
planning Reviews the
session with GPCR to
the Directors ensure its
& staff and alignment to
agrees on the overall
the outputs goals &
to be targets of the
accomplishe DHSUD
d based on
the goals of
the DHSUD

Forwards the
Requires the GPCR to the
different group heads
organizational for the
units to distribution
submit the of group
GPCR to the performance
Planning commitment
Service to individual
staff
Rationalizing
Assumes
the distribution
joint
of Group responsibility
Performance with the
Commitment to Secretary in
staff ensuring the
attainment
of
performance
objectives
and targets
Rationalizes
the
distribution
of targets/
tasks to
individual
employees

Monitors the
status of
performance
of their
subordinates
& provides
support
through
coaching

Assesses
individual
employee’s
performance

Recommends
developmental
intervention
& informs
employee of
his/her
developmental
needs.

Submits the
GPCR & IPCR
to the PS &
HRDD
respectively
to assess the
group and
individual
performance
Monitoring and
Monitors
evaluation of
submission of
individual IPCR & GPCR
performance by
commitment organizational
units

Reviews the
summary list
of
performance
rating to
ensure that
the average
performance
rating is
equivalent or
lower than
the GPCR &
OPCR ratings.

Provides
analytical
data on
retention,
skills
competency
gaps & talent
development
plans that
align with
strategic plan

Coordinates
development
al
interventions
that will form
part of the
Human
Resource Plan
Informs
employees
based on the
assessment of
developmenta
l needs

Consolidates,
reviews &
validates the
initial
performance
assessment of
the different
units based on
reported
accomplishment
against the
success
indicators & the
allotted budget
against actual
expenses

Provides each
organizational
unit with the
results of the
final group
assessment to
serve as basis
in the
evaluation of
performance
of individual
staff

Submits the
GPCR & IPCR
to the PMT to
determine
those
qualified to
receive the
PRAISE
awards &
incentives
Conduct of
consultation Schedules the
meeting to review of the
compare the GPCR by the
group PMT
performance
against targets
Sets
consultation
meeting with
all the Heads
of
Organizational
Units to
discuss group
performance
vs. target set
in the GPCR Validates &
evaluates the
submitted
Ensures that ranking &
the GPCR prepares a
targets & memorandum
measures , as to the PRAISE
well as the Committee
budget, are confirming the
aligned with ranking &
those of the recommendin
Agency & their g the grant of
work awards &
distribution of incentives
units is
rationalized.

Reviews the
Conducts initial recommendati
identification of on of the PMT
potential top & prepares a
performers resolution
based on the recommendin
submitted g the grant of
GPOCR & IPCR awards &
& submits it to incentives to
the PMT for DHSUD
validation of employees &
final ranking of forwards it to
the different the Secretary
units. for approval.
Approval of the
grant of awards Approves
and incentives the
recommen-
to deserving dation of the
DHSUD PRAISE &
employees PMT

Transmits
the signed
coy of the
resolution to
the PRAISE
Committee
& Financial
Service for
appropriate
action

End
 PROCUREMENT AND GENERAL SERVICE

PROCEDURES FOR PROCUREMENT PLANNING

Procedure Organizational Budget BAC HoPE
Units Division Secretariat
Preparation of
Project Start
Procurement
Management
Prepares the
Plan (PPMP)
PPMP for
and Annual
regular and
Procurement
common use
Plan (APP)
supplies
Consolidates
the indicative
Submits the PPMPs Approves the
PPMP to the Evaluates the submitted by indicative
Budget Division submitted the different PPMP and
for evaluation PPMP for units & submits APP for
& BAC incorporation the same to the regular &
Secretariat for in the budget HoPE for common use
consolidation proposal approval supplies.

Approval of the
GAA

Upon approval
of the GAA,
revises the
PPMP & Consolidates
Approves the
submits it to the PPMP &
revised PPMP
the BAC APP and
and APP for
Secretariat for submits the
regular &
consolidation & same to the
common use
determination HoPE for
supplies.
of appropriate approval
methods of
procurement
Posting of Upon approval
approved APP of the APP by
the HoPE, posts
a copy of the
regular APP in
the DHSUD’s
website and
On-Line
Monitoring
Evaluation
System (OMES)
in the GPBB
sites

Review of
PPMP and APP Reviews &
updates the
Consolidates supplemental
the submitted PPMP at least
revised PPMP once every six
to updated/ (6) month or as
Supplemental may be Approves the
APP & submits required by the updated/
the same to the HoPE supplemental
HoPE for
APP
approval

Submits the
reviewed &
updated
supplemental
PPMP to the
BAC Secretariat End
for
consolidation
 PROCEDURES FOR REQUESTING AND PROCURING SUPPLIES, MATERIALS,
EQUIPMENT INCLUDING REPAIRS OF MOTOR VEHICLES AND EQUIPMENT
Procedure Requisitioning GSD , BAC , BAC Approving
Unit/ Accounting & Secretariat & Authority/
Supplier Budget BAC TWG HoPE
Division
Requisition of
supplies and PPE End

Accomplishes
the Purchase
Request Form
(PRD) &
forwards it to
the Budget
Division for
stamping of
availability of
funds.

Certification on
the availability of Budget Division
funds certifies
availability of
funds on the
PRF and
endorses the
said form to the
approving
authority

Approval of
purchase request Records the PRF Approves the
in the logbook, PRF and returns
indicates the it to the GSD
control number & for assignment
determines of control
availability of number
items thru Stock
Position Sheet
 If the items are
available, issues
the
requisitioned
item to the
requesting staff

Acquisition of
requested items If items are not
available on
stock, not
obtainable from
the PS-DBM &
amount does not
exceed P50,000,
purchases the
item through
Purchase Order.

Upon receipt of
PRF from the
Budget Division,
assigns the
requested items
to the canvassers
to secure
quotations from
at least three
bonafide
suppliers

Upon receipt of
quotations,
prepares
summary of bids
& awards,
evaluates
quotations thru
Abstract of
Canvass &
forwards the
same to the
authorized
official for
signature
 Prepares the
PO Approves &
recommending signs the PO &
the lowest & returns it to the
most complying Supply Officer
price quotation
& secures
approval of
recommending
& approving
authority

Awarding of
Purchase Order
Awards the PO
to the winning
suppliers

Delivery of items
Supplier
delivers the Conducts
item in inspection of
accordance delivered
with the agreed items
delivery date

Transmits the
required
purchasing
documents to
the Accounting
Division for
processing of
payments

Processing of Processes
payment disbursement
voucher &
check &
releases
payments to
the supplier
Acquisition of
items above Determines the
P50,000 but not alternative
more than P2.0M method of
procurement
for the
requisitioned
item & posts it
in the PhilGEPS
& DHSUD
website

Acquisition of
items P2.0 M and
above Creates Bids &
Awards
Committee

Initiates the
creation of BAC
TWG

Submits PPMP
and APP for the
requisitioned
item to the BAC
TWG

BAC TWG
prepares the
bid documents
& Invitation to
Bid (ITB)

Submits the ITB

& other bidding
documents to
the BAC
Secretariat
Conduct of pre-
procurement Sets the BAC
conference pre-
procurement
conference

Calls for a pre-

procurement
conference at
least 7 days
prior to
issuance/
publication of
ITB

Advertisement
and posting of After pre-
Invitation to Bid procurement
conference,
advertises &
posts the ITB
for
procurement

Issuance of bid
documents and After
supplemental bid publication,
bulletins issues bid
documents to
participating
bidder/s

Schedules the
Pre-bid
conference
 During the pre-
bid conference,
requires the
bidders to state
their
clarification in
the ITB and/or
submits in
writing any
clarification

Upon receipt of
clarification,
issues
supplemental/
Bid bulletin at
least 7 calendar
days before the
receipt of bid

Submission and
Stamps
receipt of bids Bidder submits
“RECEIVED” the
the bids in two
submitted bid
separate sealed
documents
envelopes
indicating the
(technical &
time, date &
financial
place specified
proposal)
in the bid
documents

Opening of bids Proceeds with

the opening of
the technical
proposal &
checks the
documents
against the
checklist using a
non-discretionary
“pass/fail”
criteria
 If the technical
proposal is
rated pass,
opens the
financial
proposal

Evaluation of bids
Determines the
Lowest
Calculated Bid
(LCB)

Ranks the bids

in ascending
order

Issuance of
Notice of Awards Conducts and
accomplishes a
post-qualification
of bidder with
the LCB to
determine
whether the
bidder is
compliant and
responsive to all
the requirements
and conditions
for eligibility

Notifies the
bidder in writing
of its post
disqualification &
the grounds &
gives the bidder
3 days to submit
request for
reconsideration
 Evaluates the
request for
reconsideration
& issues final
determination of
request within 7
calendar days

If the request of
the bidder is
denied, initiates
& completes the
post qualification
of bidder with
second LCRB

If nobody passes
the post
qualification,
declares a failure
of bidding &
conducts a re-
bidding & posting
of ITB

Awarding of Issues a Approves/

Contract resolution to Disapproves
the HoPE the
recommending recommendatio
the award to n to award
the bidder with within the
the LCB period not
exceeding 7
calendar days
After approval,
issues the
Notice of
Award (NOA) to
the Lowest
Calculated
Responsive Bid

Furnishes a
copy of the
NOA to the
losing bidders
 If the bidder
with LCRB
refuses to
accept the
NOA, forfeits
the bid security
& initiates
blacklisting

Initiates &
completes the
post
qualification of
bidder with the
second LCRB

Signing of
contract Chief
Accountant Enters & signs a
may sign the contract with
contract as the winning
instrumental bidder
witness
Issuance of
Notice to Issues Notice to
Proceed Proceed with a
copy of
contract to the
winning bidder

End
 PROCEDURES FOR THE RECEIPT, INSPECTION, ACCEPTANCE AND
RECORDING DELIVERIES OF INVENTORY ITEMS AND EQUIPMENT
Procedure Admin. Off. III Admin. Off. II SAO Admin. Off. V
Delivery of
equipment and Start
inventory items

Signs original
and copy 2 of
Delivery
ReceiptF

Files the
original &
returns copy 2
to the supplier/
DBM PS

Preparation of
inspection and Prepares
acceptance Inspection &
report Acceptance
Report (IAR) in
3 copies &
forwards IAR,
DR & PO to
Property
Inspector

Inspects and
verifies items as
to quantity and
conformity with
specifications
based on the
DR and
approved PO
 If the delivered
item is in order,
signs and
indicates it in
the “Inspection
Column” of the
IAR and retains
copy 3

If specifications
are not in order
or delivery is
not complete,
indicates
notation on the
IASR that the
deliveries are
not in
conformity with
specifications

Acceptance of
delivery Signs in
“acceptance
column,
acknowledging
the receipt of the
items delivered.

Upon receipt of
delivered items,
records all
deliveries on the
Property, Plant
and Equipment
Ledger Card
(PPELC)/Supply
Ledger Card and
stores and stocks
items at the
stock room
 Prepares and
submits a
monthly report
of the stock
transactions in a
summary form

Conduct of an
on- the-spot
inventory Conducts on -
Determines the-spot
the quantity of check/count of
stock items to office supplies
be replenished at random for
based on the control and
established submits a
reorder/stock report to the
level quantity. Head of
Property Unit

End
 PROCEDURES FOR THE REQUISITION AND ISSUANCE OF INVENTORY ITEMS
Procedure Requesting Admin. Off. II CAO Chief
Unit & III Accountant
Conduct an
inquiry on the Start
availability of
supplies
Prepares the Receives the RIS
Requisition & from the
Issue Slip (RIS) & requesting
fills up all the personnel &
necessary retrieves the
information Stock Ledger
except for the Card to
issuance portion determine
& signs availability of
Requested by stock
portion of the
RIS
If stocks are
available,
forwards the RIS
to the approving
authority for
signature in the
approved by
portion of the RIS

If stocks are not

available, informs
the requesting
personnel to
prepare Purchase
Request

Reviews RIS &

initials “Approved
by” portion of the
RIS, records in the
logbook &
forwards it to the
Head of the
Procurement
Division for
approval
Approval of
Receives Fills up and Signs the
Requisition and
supplies signs the “Approved by”
Issue Slip (RIS) requested & portion of RIS &
“Issuance
signs in the Portion” and returns to the
“Received by” issues Supply Officer
portion of the inventory for issuance of
RIS. items to the stock
requesting
personnel

Filing of RIS
Files
permanently CAO initials in
Copy 2 of RIS & the “Certified
files temporarily by” portion of
originals of RIS &
the RSMI &
SAI for the
preparation of
forwards it to
Report of the Head of the
Supplies & Procurement
Materials Issued Division (PD)
(RSMI)

Retrieves the
original copies Head PD signs
of RIS & SAI in the “Certified
from temporary by” portion of
file & checks the RSMI &
completeness forwards it to
of the RIS for the Accounting
preparation of Division .
RSMI
Posting of RSMI
at the end of the
day and at the
end of the
month At end of day

Receives
original & copy
2 of RSMI &
original SAI &
RIS
Checks &
verifies
completeness
of information
& retrieves the
Supply Ledger
Card (SLC) &
fills up the “To
be fille up” in
the Accounting
Units portion of
the RSMI

Signs in the
“posted
by/date”
portion of the
RSMI

Files
permanently in
numerical order
Copy 2 MI &
files
temporarily the
original RIS, SAI
& RSMI for
recording of
issuance of
inventory items
in the books of
accounts

At month end

Retrieves the
original RIS, SAI
& RSMI from
temporary file.
 Prepares JEV in
two copies
based on the
RSMI to record
issuance of stock

Signs in the
“Prepared by”
portion of the
JEV

Recording in
the General Signs in the
Journal “Certified
Correct by”
portion of the
JEV and records
in the General
Journal & files
Copy 2 of JEV

End
 PROCEDURES FOR THE REQUISITION AND ISSUANCE OF EQUIPMENT
Procedure Requesting Procurement Director COA/ Secretary/
Person Division IV-AS Inventory Hope
Team
Delivery and
inspection of Start
equipment

Receives
from the
supplier the
equipment &
supporting
documents

Checks the
items
delivered
against PO &
specifications
& requests
Property
Inspector to
inspect the
equipment

Inspect the
equipment
delivered

Recording in
After the
the ledger and inspection,
issuance of records in
Equipment the ledger &
the
requisition
group
 Prepares ARE
for the items
to be issued

Requires the
Accountable
Signs in the Person to
“Received sign the
from” portion “Issued by”
of the ARE portion of
the ARE

Upon signing,
issues the
equipment to
the
employee
together with
a copy of ARE

Files original
copy of ARE
for record
and control
per
accountable
person

Return/transfer
of equipment Retrieves copy
Forwards the
equipment to of ARE from
be returned files & checks
together with if the returned
the file copy of item pertains
ARE to the to the same
Procurement equipment
indicated in
Division
the ARE &
stamps
“Returned”,
indicating the
date thereon
 Prepares &
accomplishes
new ARE for
the transfer
of Property
Accountability
if still
serviceable

Requires the
new
Acknowledges Accountable
receipt of person to
equipment acknowledge
the receipt
of equipment

Files copy of
ARE for
record &
control

Preliminary
property and Prepares 4
equipment copies of
physical inventory
inventory taking sheet
containing all
the PPEs

Approves
Requests the
approval for requests
the creation for the
of inventory creation of
team for PPE inventory
from the team for
Secretary PPE
 Prepares a Assigns
memorandum the
to all units represen
informing tatives
them of the from its
scheduled unit to
PPE assist the
inventory Inventory
Team

Conduct of
Together
actual inventory After the
with the
inventory,
Inventory
prepares a
team,
report
conducts
together with
the actual
the inventory
inventory
sheet &
count of
submits it to
the items
the Director-
listed in
AS for
the
endorsement
inventory
to the
sheet
Secretary

Approval of
PPE inventory Signs the
report inventory
sheet &
returns it
to the
Property
Custodian

Submission of
signed CAO
inventory report transmits
to COA and the signed
Accounting inventory
Division sheet to
COA &
Accounting
Division
Application for At the start
property and of the year,
insurance retrieves
coverage latest
physical
inventory
report of PPE
& insurance
policies

Based on the
above
records,
prepares a
summary of
PPE
insurance

Evaluates the
insurance
coverage &
makes the
necessary
recommendat
ion for
modification
in the
insurance
coverage, if
there is any

Prepares
letter to the
GSIS
amending the Signs the
present letter to the
insurance GSIS
coverage for
signature of
the Secretary
Computation of
depreciation of Retrieves
PPE monthly all
PPE Ledger
Card from
file for
updating of
depreciation

Reviews the
Computes
depreciation
the amount
rates used &
of forwards
depreciation computation
using to the
“Straight Line Accounting
Depreciation Division for
Method” JEV
preparation

Accounting
Division
records the
depreciated
value of the
PPE

Request for
repair of Prepares PR Receives the
property/equip for the repair PR & checks if
ment of PPE the item for
repair is
under
warranty

Forwards
request to
Purchasing
personnel for
canvassing of
repairs
 Contacts the
company for
service if the
PPE is
covered by
the warranty

If not
covered by
warranty,
conducts
canvass for
the repair
from at least
3 suppliers

Disposal of
unserviceable Prepares
property waste
material
report &
secures
approval of
the Secretary

Prepares
quarterly
reports of
unserviceable
PPE using the
Inventory &
Inspection
(I&I) Report

CAO signs
the request
portion of
the I & I
report &
forwards it to
COA for
appropriate
action
 Checks if
PPE is
Implements
already
disposal of
beyond
PPE based on
repair &
the appraisal
determines
value of COA
the
appraisal
value

Determination Transfer to
of applicable other
mode of Government
disposition of Agencies
serviceable
Prepares
PPE Invoice-
Receipt for
PPE or Deed
of Donation/
Transfer to
other
government
agencies for
signature by
both the
donee &
donor

After signing,
forwards a
copy of the
donation to
the
Accounting
Division for
recording

Accounting
Division
prepares JEV
to account the
PPE donated
to other
government
agencies
Public/Private
Sale/Disposal

Secures
approval of the Approves the
Secretary on disposal of
the PPE to be PPE
disposed

Advertises/
posts the
disposal of PPE
using the COA
appraisal
value

Ensures that
there at least 3
participating
bidders

Awards the
disposition to
the highest
responsive bid

After the sale

is
consummated,
accomplishes
the Report of
Sales Property
Column of the
I & I & retains
a copy of I & I
Destruction,
where
If the PPE is
continuance in valueless or
the service is unserviceable,
not advisable Approves the
recommends
destruction of
the
PPE
destruction of
PPE to the
Secretary

Upon
approval,
initiates the
destruction of
PPE

Accomplishes I
& I and retains
a copy

End
 PROCEDURES FOR THE RESERVATION AND DISPATCHING OF MOTOR
VEHICLES
Procedure Requesting Admin. Aide Admin Aide Passenger
Personnel (Driver) VI
Reservation of
motor vehicles Start

Accomplishes
the MVRF &
submits it to
the Admin. Aide
VI stating all the
required
information
(name of
passenger, unit,
destination,
time & date

Whenever the
nature of trip
requires
continuous
driving even
after regular
office hours Supports each
and/or trip with a trip
weekends & ticket to be
prepared in
holidays,
accompanies four (4) copies
the MVRF with
a request for
the driver to
render
overtime
service.

Determination of
availability of Upon receipt
of MVRF,
vehicles and
determines
drivers
availability of
driver &
vehicle
 Vehicle
available
?

No Yes

Informs the Informs the

requesting requesting
personnel on personnel on
the the availability
unavailability of of vehicle,
vehicle assigns the
driver &
dispatches the
vehicle

Issuance of
purchase order If gasoline is
for gasoline not sufficient,
requests the
issuance of PO
for availment of
gasoline

Issues gasoline
PO to the driver
based on
approved
request for
gasoline

Presents the PO
to the
authorized
gasoline station
for withdrawal
of gasoline
Completion of
travel Accomplishes
the trip ticket
including the
itinerary of
travel

Requires the
passenger to
sign the trip
ticket

Submits duly
accomplished
trip tickets
weekly to the
Admin. Aide VI

Reports to the
Admin Aide VI
any unusual
observation on
the condition of
vehicle

Cleans & checks Sees to it that

the vehicle the driver
upon arrival concerned
from a trip cleans the Files a claim for
before turning vehicle before per diems if any
it over to the leaving the considerable
motor shop motor shop delay or excess
of time
consumed due
to unavoidable
circumstance.

End
 PROCEDURES FOR RECORDING COLLECTION AND DEPOSIT
Procedure Payor Admin. Officer II & Accountant IV
III
Preparation of
order of payment Start

Presents an Order of
Payment prepared by
the Accounting
Division to the
Cashiering Division

Receipt of daily Receives cash/check

collection from payor
representing
collection based on
the Order of Payment
prepared by
Accounting Division

Issues OR to
acknowledge receipt
of cash/check

Recording of
collection
Records collection ins
in the Cash Receipt
Record (CRR)

Deposit of
collection

Prepares deposit slip

in three (3) copies
 Deposits collection
with the DHSUD
Depository Bank

For trust collections

maintained in
separate bank
accounts, prepares
deposit slip in two
copies for deposit to
the LBP trust account

Preparation of Based on validated

Report of deposit slips & copy of
Collections and ORs, prepares & signs
Deposits (RCD) Report of Collection &
Deposit & forwards it
to the Accountant for
review & signature

Records the RCD in

the logbook & Reviews & signs the
forwards it with the RCD then returns
OR & DR to the original of RCD to the
Accounting Division Accounting Division
for recording
Preparation of
Receives original RCD
Journal Entry
from the Cash
Voucher
Division, records
receipt in the logbook
& forwards it to the
bookkeeper for
review & preparation
of JEV

Prepares JEV in two

Reviews & signs
copies & signs
“Certified Correct by”
“Prepared by” portion
portion of the JEV.
of the JEV & then
forwards the JEV to
the Accountant IV for
review & signature
End
 PROCEDURES FOR RECORDS MANAGEMENT
Procedure Process Owner/ Admin. Off. I, II, III Authorized
CAO Personnel
Identification of
records Start

Identifies all types of

records kept by the
Departments & its
organizational units

Identifies records that

should be
kept/forwarded to the
Records Division

Uses marking pens or

computerized levels
on records
Signs all records &
ensures that the
Reflects necessary records are legible &
corrections in a contain sufficient
separate order. For information as basis
internal records, a for endorsement/
single line should be approval
drawn thru the
information to be
corrected Signs a certification
on the availability of
records/documents
on file submitted
under the custody of
Records Officer

Collection/gathering
of records Collects records upon
availability from the
source for
appropriate filing.
 Creates a
computerized records
database to ensure
the identification &
preservation of
records of the DHSUD

Storage and
protection of Keeps the records in
appropriate locations
records
to minimize physical
deterioration, damage
& loss

Maintains regular
back-up of permanent
& archived records
including electronic
records

Restricts access thru

the password to
prevent unauthorized
use

Ensures compliance to
the Freedom of
Information & Data
Privacy Act.
 Labels the filing
Retrieval & cabinets, shelves,
retention of records boxes, etc according
to the established
filing system for easy
retrieval

Traces the borrowed

records by other
offices or workgroups
using logbook or
borrower’s slip

Maintains Records
Retention Schedule

Determines Records
Retention Schedule in
accordance with R.A.
No. 9470 or NAP Act
of 2007

Maintenance of
Convert permanent
records records to e-file
except for records
that require original
copy bearing
authentic signature
for easier safekeeping

Maintains & keeps

printed records in a
central location
accessible to the
DHSUD employees
Issuance of records
Identifies records that
are frequently
requested by the
general public.

Signs certified true

copies of those
documents issued by
the Department

Establishes procedure
for the photocopying
of records outside the
office premises

Disposal of records Disposes records in

accordance with the
Records Retention
Schedule for each
type of record

Utilizes pre-defined
disposal methodology
in the discarding of
records

Submits list of
valueless records for
disposal by the
respective divisions to
be consolidated by the
Records Officer in the
NAP

Upon receipt of
authority from NAP,
disposes the records in
the presence of NAP &
COA reps.

End
 FINANCIAL MANAGEMENT

PROCEDURES FOR PREPARING ANNUAL BUDGET

Procedure DBM Finance Planning Organizational Supervising
Secretary Service Service Unit Assec./Usec
Secretary
Issuance of
National Start
Budget Call

Issues the
National
Budget Call

Cascading the
budget call to Conducts
the orientation on
Organizational the budget
Units of preparation
process to the
DHSUD
different
organizational
units

Preparation of
Consolidates After the
budget of the WFP orientation,
organizational submitted by prepares the
units and the different proposed work
DHSUD units & financial plan
(WFP) for the
Reviews the year
budget
estimates &
presents to
the MANCOM

After the
MANCOM,
makes
necessary
adjustments
to the
proposed
budget
 Prepares the
Budget
Preparation
Forms of Tier
1 & 2
proposals

Submission of
budget After
proposal to securing
DBM endorsement
of proposed
budget,
submits the
budget
through the
OSBPS &
transmits
three (3)
hard copies
of the
required BP
Forms duly
endorsed by
the Secretary

Depend the Attends the

proposed Technical
budget to the Budget Hearing
DBM convened by
Technical the DBM to
Budget depend the
Hearing budget
proposal

Confirmation
of After the If there is a big
recommended Technical budget cut on
agency budget Budget the DHSUD’s
Hearing, sends proposed
confirmation budget, sends a
letter on the letter
recommended requesting
budget to the reinstatement
DHSUD of budget
reduction with
justification
 Releases the
NEP

Submission of
Prepares
the DBM Submits the
powerpoint
recommended DHSUD
presentation
budget for the budget as
of the
Department to recommende
DHSUD
d by the DBM
Congress and proposed
& other
Senate for the budget &
documents to
deliberation of assists the
the Senate &
agency budget Secretary
HOR for
during the
budget
budget
deliberation
deliberation

Approval of
Based on the
the GAA and
approved
preparation of GAA, prepares
Agency the ABM
Budget Matrix
(ABM)

Submits the
ABM duly
signed by the
Secretary to
the DBM for
approval

End
 PROCEDURES FOR MONITORING AND RECORDING OF ALLOTMENTS
RECEIVED FROM DBM
Procedure CAO Admin. Off. IV Admin. Off. II Accounting
Budget Budget Budget & Division
Division Division Acctng.
Division
Receipt of
ABM/NCA Start
Records the
ABM/NCA in the
logbook &
forwards the
Receives the same to the
approved Budget Staff for
ABM/NCA from preparation of
the DBM Obligation
Request (ObR)

Preparation of
Review & checks
ObR Prepares ObR in 2
the small box
copies & retains
opposite the
original copy &
“Received
duplicate copy for
Portion” oin box
the Accounting
A of ObR &
Division
affixes signature

Returns the Forwards the ObR

signed ObR to the and ABM/NCA to
Budget Staff for the CAO-Budget
recording in the Division
RAOs

Recording of
ObR in the RAOs Records the ObR in
the appropriate
RAOs and files the
OS for reference

Forwards copy 2
of the ObR to the
Accounting
Division for
reference
 PROCEDURES FOR RECORDING OBLIGATIONS
Recording of
Obligations Receives the
DV/Payroll and
supporting
documents from
concerned units

Verifies
completeness of
the documents &
records the same
in the logbook
maintained &
prepares ObR

Verifies availability
of allotment
based on the RAO.

Reviews & checks

the small box If there is
opposite the available balance
“Available & duly of allotment,
Obligated” portion prepares ObR in 2
of the box of the copies, signs the
OS & affixes ObR & forwards it
signature to the CAO-BD

Forwards the ObR

& documents to
the Budget Staff
for recording in
the appropriate
RAOs

Records the
amount obligated
under the
“Obligation”
column of the
RAOs & forwards
duplicate copy of
the ObR to the
Accounting
Division
Prepares original
copy of the ObR
and files the same
to support the
RAOs.

End
 PROCEDURES FOR DISBURSEMENTS BY CHECK
Procedure Accounting Cash Division Secretary/Designated
Division Signatory
Processing of
Disbursement Start
Voucher (DV)
Receives copies 1-3 of DV,
original supporting
documents & copies 1-3
of ObR from the Budget
Division

Checks the completeness

of supporting documents
& stamps & initials on
“Received” portion

Assigns DV number &

records in the logbook &
forwards to designated
staff for processing.

Receives copies 1-3 of DV,

original supporting
documents, & ObR &
reviews DV for
completeness.

Control of
Checks Index of Payment
payment from file & determines
whether there was prior
payment of the same
claim

If not yet paid, records

the transaction in the
Index of Payment

Accomplishes & initials in

Box B of the ObR

Initials in Box A of DV &

forwards the DV to the
Chief Accountant
 Chief Accountant reviews
DV & supporting
documents & signs Box A
of DV

Records in the logbook Reviews & signs Box B of

the date of release & DV and forwards it to the
forwards the same to the Cash Division for check
Secretary or to his preparation
authorized signatory for
approval of DV

Forwards copy 1 of ObR to

the Budget Division &
retains copy 2 of ObR

Preparation and
Receives copies 1-3 of
approval of approved DV & records
check in the logbook

Verifies completeness of
signatories on the DV
and prepares the check

Retrieves from file the

Check Disbursement
Records & records the
check details

Forwards copies 1-3 of

DV to the Chief Cash Signs and
Division for review & countersigns check &
forwards the check to returns it to the
authorized signatories Cashier

Releasing of
checks
Records in the logbook
the date of release of
check
 Releases the check to the
payee

Preparation of
Report of
Checks Issued Prepares RCI in two (2)
copies
(RCI) and
Checks
Disbursement
Journal (CkDJ) Reviews RCI and signs in
the “Certification
Portion”

Submits RCI to the

Accounting Division for
preparation of JEV

Verifies DV & checks

against RCI on the actual
checks issued & cancelled
for the month.

Prepares JEV to record

financial transaction &
signs in the “Prepared
by” portion.

Reviews the correctness

of accounting entries &
signs in the “Certified
Correct by” portion of the
JEV

Records the JEVs in the

Check of Disbursement
Journal
Preparation and e
recording of Receives & examines
Cash liquidation of cash
advance for travelling
Disbursement
expenses, miscellaneous
Journal expenses, etc.

Prepares JEV to record

financial transaction &
signs in the “Prepared
by” portion

Chief Accountant reviews

& certifies correctness of
the accounting entries &
signs in the “Certified
Correct by” portion of
the JEV

Records the JEV in the

Report of Cash Receipt
Journal

Verification and
submission of Verifies the OR & Deposit Submits to the
Slip against Report of Accounting Division a
Cash receipt copy of Report of
Journal Collection & Deposits
Collection & Deposits

Prepares JEV to record

financial transaction &
signs in the “Prepared
by” portion of the JEV

Reviews & certifies the

correctness of
accounting entries &
signs in the “Certified
Correct by” portion of
the JEV
 Records the JEV in the
Report of Cash Receipt
Journal

Preparation and
recording of Prepares JEV for all
General Journal financial adjustments,
depreciation expense,
amortization of prepaid
expenses for the month

Records JEV in the

General Journal

End
 PROCEDURES FOR PREPARING FINANCIAL REPORTS/STATEMENTS
Procedure Admin. Officer V Accountant IV Regional
Accountant III
Preparation of
Trial Balance Start
(Monthly,
Quarterly,
Annually)
Posts the Journal in the
General Ledger

Prepares the Trial

Foots & balances of all Balance to be
accounts in the General submitted to oversight
Ledger & Subsidiary agencies & for
Ledgers management use duly
signed by the
Accountant

Preparation of
consolidated Submits financial reports/
financial statements to the Central
reports/statements Office for consolidation.

Reviews, analyzes &

consolidates financial
reports/ statements of
both the Regional Offices
and Central Office.

Prepares the following

consolidated reports:
a. Consolidated Trial
Balance
b. Consolidated
Statement of Income
& Expenses
c. Consolidated Balance
Sheet
d. Consolidated
Government Equity
e. Consolidated
Statement of Cash
Flow
f. Regional breakdown of
expenses
g. Regional breakdown of
income
h.Other financial
statements required
from time to time

End
 KNOWLEDGE MANAGEMENT

PROCEDURES FOR KNOWLEDGE MANAGEMENT

Procedure Information Information Information Information
Officer V Officer IV Officer III Officer I & II
Acquisition of
knowledge Start

Conducts current
state analysis (CSA)
to find out the
knowledge that is
already available,
the process of
handling
knowledge & the
kind of culture that
exists in the
organization

Conducts
knowledge
mapping to identify
a need for
knowledge
required by the
DHSUD

Establishes linkages
with the knowledge
holders & creation
places

Generates/collects
knowledge from
the different
sources

Formulates &
implements
guidelines related
to the collection,
processing, data
banking & info
packaging &
dissemination
Storage of stical
Provides technical
knowledge assistance to the
DHSUD
organizational staff
in the
institutionalization
of KM adapted to
the specific need of
the organization

Storage knowledge
thru the use of
computer software
& hardware

Manages/maintains
databases to
enable continuous
online access of
data

Prepares the
annual DHSUD
statistical bulletin
as required by the
stakeholders

Distribution/
dissemination of Performs quality
knowledge Conducts Deploys
check on
researches & appropriate
manuscript &
prepares write- content to users
final printed
ups for the thru the use of
products worthy
production of technology-based
of publications
DHSUD tools & processes
prior to uploading
publication
KM materials

Conceptualizes,
designs &
develops or
produces IEC
materials for
special events
Utilization of
Identifies the user
knowledge groups, their roles
& access privileges
to content &
application &
formulates
security & access
policies for the KM
users

Ensures effective
& efficient
utilization to fill a
knowledge gap or
need

Monitors visitors
of the online
platform on
regular basis

Definition and
evaluation of Defines the metric
to be used in
KM Planning
measuring the
Measurement effectiveness of
KM

Evaluates the
feedback with
respect to possible
improvements in
the KM

End
 PROCEDURES FOR SYSTEMS INTEGRATION
Procedure Information Information Information Systems
Officer V Technology III Technology II Information I
& II
Planning for the
development of Start
Information
Systems and
Strategic Plan In consultation
(ISSP) with the different
units, reviews
the DHSUD
information
systems

Based on the
consultation,
conducts an
analysis to
determine
operational
feasibility &
develops the ISSP
to put the desired
architecture
design/blueprint
Submits the ISSP
to DICT for
approval after Presents the draft
securing the ISSP to the
endorsement of MANCOM for
the DHSUD review &
Secretary recommendation

Implementation/
operationalization
of ISSP Upon approval of
the ISSP,
coordinates &
facilitates the
development of
DHSUD MIS in all
units
 Provides Upon completion
Once the
technical of MIS
system is
assistance in development,
ready, verifies
outsourcing the introduces &
and tests the
development & integrates new
system to
deployment of technologies into
detect and fix
information the existing
any bugs to
systems & system
ensure the
corresponding infrastructure &
system is
databases conducts
errorless
orientation to
the users of the
system

Maintenance of
computer Provides
technical
hardware and assistance &
software client support
services on virus
detection &
removal,
installation of
authorized
software, use of
open source
operating system
& productivity
suites, relocation
of network
stations, printers
& other network
appliances.

Monitoring and
evaluation of Monitors &
information evaluates
system information
development and system
development &
implementation
implementation

End