Orientation on

ISO 9001:2015 Quality

Management System

HOMER H. ALCON
Project Manager
Productivity and Quality Training Office
Productivity and Development Center
Development Academy of the Philippines
 INTRODUCTION
Do we need Quality Management System
01
in the Government?

02 If we do, why ISO 9001:2015 QMS?

03 What is ISO 9001:2015 QMS?

04 What does it take?

 Do we need Quality
01 Management System
in the Government?
 The Challenges
80 The Philippines’ Ranking from 2011-2017
75
70
65
60 59
57 56
50 52
47
40

30

20
2011 2012 2013 2014 2015 2016 2017

0 Technological
Institutions +3
Readiness
Infrastructure +2
-3 Higher Education and
Macroeconomic +2 Training
Development
-2 Labor Market
Philippines inched up Health and Primary +1 Efficiency
1 notch in the 2017 Education
-4 Market Size

WEF Global
Goods Market Efficiency +4
Financial Market +4
Competitiveness Development
index Business Sophistication +6
Innovation +3

01 Do we need Quality Management System in the Government?

 The Challenges
“The erosion of
confidence in the
capacity of our public
servants to make the
people’s lives better,
GQMP Response
safer and healthier”

Make services accessible,

Erosion of faith and trust
convenient and pleasant
in government
to the transacting public

The Challenge ✓ Reduce requirements and

the processing time of all
applications
Source: Inaugural Address of
President Rodrigo Duterte ✓ Certify QMS covering the
Oath-taking of the President of the streamlined processes
Philippines
Malacañang Palace | June 30, 2016

01 Do we need Quality Management System in the Government?

 The Challenges

“MALASAKIT” Enhancing the social fabric of public institutions

Citizen-centered, innovative, clean, efficient, effective and

Outcome
inclusive delivery of public goods and services

Citizenry Seamless
Administrative
Sub-Sector fully Corruption service Civil service
governance
Outcomes engaged & reduced delivery strengthened
enhanced
empowered achieved

Improved citizen satisfaction driven by

government-wide quality improvement

01 Do we need Quality Management System in the Government?

 Legal Basis
▪ Administrative Order No. 161, s. 2006
(Institutionalizing Quality Management System
in Government) dated October 5, 2006
▪ Executive Order No. 605, s. 2007
(Institutionalizing the Structure, Mechanisms and
Standards to Implement the Government Quality
Management Program, Amending for the
Purpose Administrative Order No. 161, s. 2006)
dated February 23, 2007

▪ Republic Act No. 9485 (An Act to Improve Efficiency in the Delivery of
Government Service to the Public by Reducing Bureaucratic Red Tape,
Preventing Graft and Corruption, and Providing Penalties)
▪ Administrative Order 25, s. 2011(Creating an Inter-Agency Task Force
(IATF) on the Harmonization of Government Performance Monitoring
Information and Reporting Systems)

01 Do we need Quality Management System in the Government?

EO No. 605: Institutionalization of the
Government Quality Management Program

Directs departments/agencies under the Executive

Branch and GOCCs to adopt ISO-QMS and pursue
certification

Enjoins SUCs and encourages LGUs,

Judiciary,
Legislature, and Constitutional Offices to
establish ISO-QMS and pursue certification

Directs establishment of citizens’ charter of key

government offices as service guarantee

01 Do we need Quality Management System in the Government?

 Goal of the GQMP

To strengthen institutional capacities

of public sector organizations in
delivering citizen- focused public
services and in implementing
international standards-based quality
management systems (QMS)

01 Do we need Quality Management System in the Government?

 The Government Quality
Management Committee
The GQMC is mandated to formulate policies and
oversee GQMP implementation

Chair

GQMC
Co-Chair Composition

01 Do we need Quality Management System in the Government?

 Administrative Order 25, s. 2011
and the QMS

“the common target should be establishment of

Quality Management System aligned with ISO 9001
Standards or the continuing certification of one
frontline service.”

01 Do we need Quality Management System in the Government?

QMS Certification in Asia and the
Philippines

2,200
Certifications

The ISO Survey of Management System Standard Certifications, 2015

01 Do we need Quality Management System in the Government?

 QMS Certification
in the Philippine Government

340 Certificates Issued to the Government

As of April 11,
2017
01 Do we need Quality Management System in the Government?
 ISO 9001 QMS Certifications
National Government
Agencies
in the Government
NGA Attached Offices
and Bureaus
Government Owned
or Controlled
Corporations

Constitutional Offices

State Universities and

Colleges
Other Executive
Offices

Local Water Districts

Local Government
Unit As of April 11,
2017
01 Do we need Quality Management System in the Government?
02 If we do, why ISO
9001:2015 QMS?
 QMS towards Performance
Excellence
Philippine
Quality Award
Total Quality
Management Performance
ISO Excellence
Management
Management ISO 9004
Quality
Systems Performance
Process Improvement
Improvement

02 If we do, why ISO 9001:2015 QMS?

Benefits of ISO 9001 in the
Government
QMS Gaps QMS Improvements For Further Improvements
Absence of quality
Defined quality policy, Address expectations of
policy, objectives objectives and plans key stakeholders
and plans

Unclear flow of Installed control of

Enhance organizational
documents and
information records knowledge

Recurring Installed control of

Promote risk-based
transactional nonconforming
thinking
errors services

Unclear Documented work

Streamline processes
procedures procedures

Lack of systems Installed internal Improve capacities

audit and review quality audit in system audit

02 If we do, why ISO 9001:2015 QMS?

 QMS in DOH
• Better image of DOH
• Improved planning and performance
review
• Improved communication
• Clearly defined interface among offices
• Fact-based decisions
Employees’ Gains
• Improved consciousness on service
quality and continual improvement
• More organized records and offices
• Pride in job
Results of QMS in DPWH
• Clean and more organized work areas
• Improved records filing system
• Improved awareness on roles and
responsibilities
• More defined and systematic processes
and procedures
• Brought prestige to the office
• People are now working with pride
03 What is ISO
9001:2015 QMS?
 What is ISO?
▪ An independent, non-governmental
international organization with a
membership of 162 national
standards bodies.
▪ Formed on 23 February 1947.
▪ Published over 21,542 International
Standards covering almost all aspects
of technology and manufacturing.

ISO is derived from the Greek isos, meaning equal.

03 What is ISO 9001:2015 QMS?

 Core Standards
▪ ISO 9001:2015 – QMS Requirements
▪ ISO 9000:2015 – QMS Fundamentals
and Vocabulary
▪ ISO 9004:2009 – Managing for the
Sustained Success of an Organization -
A Quality Management Approach

03 What is ISO 9001:2015 QMS?

 Other ISO Standards
▪ ISO 19011 Guidelines for Auditing
Management System
▪ ISO 9001 Quality Management System
▪ ISO 14000 Environmental Management
System
▪ ISO 22000 Food Safety & Management
System
▪ ISO 27000 Information Security
Management System
▪ ISO 31000 Risk Management System
▪ ISO 26000 Social Responsibility

03 What is ISO 9001:2015 QMS?

 What is QMS?
Comprises activities by which Provides the means to identify
the organization identifies its actions to address identified
objectives and determines the and unintended consequences
processes and resources in providing products and
required to achieve desired services
results

Manages the interacting Enables top management to

processes and resources optimize the use of resources
required to provide value considering the long and short
and realize results for term consequences of their
relevant interested parties decision

03 What is ISO 9001:2015 QMS?

 Goal of QMS
QMS aims to increase an organization’s awareness
of its duties and commitment in fulfilling
the needs and expectations of its
customers and interested parties,
and in achieving satisfaction
with its products and services.

03 What is ISO 9001:2015 QMS?

Quality Management Principles
Meeting customer requirements and
01 Customer Focus exceeding customer expectations

02 Leadership Establishing unity of purpose & direction

Enhancing organizational capability to create

Engagement of
03 and deliver value by engaging competent and
People empowered people at all levels

Understanding and managing interrelated

04 Process Approach processes that function as a coherent system

Successful organizations have an ongoing focus on

05 Improvement improvement

Evidence-based Decision Decisions based on the analysis of data

06 and information are more likely to produce
Making desired results
Relationship Managing relationships with relevant interested
07 Management
parties, such as providers, for sustained
success.

03 What is ISO 9001:2015 QMS?

Frequently-Used Verbs in the
ISO 9001:2015
• Shall – requirement
• Should – recommendation
• May – permission
• Can – possibility or capability
• Note – for guidance and clarification
Overview of QMS Requirements
Clause 4 Context of the Clause 8 Operation
Organization Clause 7 Support
Clause 6 Planning

Plan Do
Clause 5 Leadership

Act Check
Clause 9 Performance
Clause 10 Improvement
Evaluation

03 What is ISO 9001:2015 QMS?

Structure of ISO 9001:2015 QMS
Introduction 0.1 General
0.2 QM Principles
0.3 Process Approach
0.3.1 General
0.3.2 PDCA Cycle
0.3.3 Risk-based thinking
0.4 Relationship with other
Management System Standards

1 Scope

2 Normative Reference

3 Terms and Definitions

Structure of ISO 9001:2015 QMS
4 Context of the Organization
4.1 Understanding the Organization
and its context
❖ Determine external & internal issues

4.2Understanding the needs and

expectations of interested parties
❖ Determine interested parties (and
their requirements) as relevant to the
QMS

4.3 Determining the scope of the QMS

4.4 QMS and its processes

www.themegallery.com
Structure of ISO 9001:2015 QMS

5 Leadership
5.1 Leadership and Commitment

5.2 Policy

5.3 Organizational roles,

responsibilities and authorities
Structure of ISO 9001:2015 QMS

6 Planning
6.1Actions to address risks and
opportunities

6.2 Quality Objectives and planning to

achieve them

6.3 Planning of Changes

 Structure of ISO 9001:2015 QMS
7 Support
7.1 Resources

7.2 Competence

7.3 Awareness

7.4 Communication

7.5 Documented Information

Structure of ISO 9001:2015 QMS

8 Operation
8.1 Operational planning and control

8.2 Requirements for products and

services

8.3 Design and development of products

and services

8.4 Control of externally provided

processes, products and services

8.5 Production and service provision

8.6 Release of products and services

8.7 Control of nonconforming outputs

Structure of ISO 9001:2015 QMS
9 Performance Evaluation
9.1 Monitoring, measurement, analysis
and evaluation

9.2 Internal Audit

9.3 Management Review

Structure of ISO 9001:2015 QMS
10 Improvement
10.1 General

10.2 Nonconformity and corrective

action

10.3 Continual Improvement

 QMS PDCA Cycle
Quality Management System (4)
Organization
and its context Support
(7)
(4) Operations
(8)
Customer
Satisfaction
Plan Do
Performance
Customer Planning (6)
Leadership
Evaluation Results of
(5)
Requirements (9) the QMS

Act Check Products

Needs and and
Expectations of Services
Improvement
Relevant (10)
Interested
Parties (4)

03 What is ISO 9001:2015 QMS?

 Process Approach
Starting
End Point
Point

Sources of Receivers of
Inputs Activities Outputs
Inputs Outputs

Predecessor Matter, Energy Matter, Energy

Processes Information Information Subsequent
e.g. e.g. e.g. Processes e.g.
customers, materials, product, customers, other
other relevant resources, service, relevant interested
interested requirements Decision parties
parties

Possible Controls and

check points to monitor
and measure performance

03 What is ISO 9001:2015 QMS?

 Sample Process Model
2 4
1 3
Develop Manage
Understand Deliver
Vision and Improvement &
the needs Leadership
Strategy Change

MANAGEMENT PROCESSES

5 8
6 7
Monitoring and
Cust Research and
Policy Services Technical
Information
Cust
Development Services
omer Dissemination omer

CORE SERVICE PROCESSES

11 12
9 10 13
Manage Financial & Comply with
Develop and Manage Procure
Physical Resources Statutory &
Manage Human Information goods and
Regulatory
Resources Resources services
Requirements
SUPPORT PROCESSES

03 What is ISO 9001:2015 QMS?

SAMPLE PROCESS
MAP FOR SUCs
 Documented Information
1. Scope of QMS
2. Justification for any ISO 9001:2015 requirement that is
not applicable to the scope
3. Quality Policy
4. Quality Objectives
5. Information to support the operation of its processes
e.g. procedures, work instructions, workflow etc.
6. Characteristics of the product, services and/or activities
to be performed
7. Results to be achieved during production and service
provision

03 What is ISO 9001:2015 QMS?

 Documented Information
8. Information to have evidence that processes are carried out
as planned
9. Information as evidence of fitness for purpose of the
monitoring and measurement resources
10. Information used as basis for calibration or verification of
measuring equipment when no int’l or national standards
exist
11. Organizational knowledge necessary for the operation of its
processes and to achieve conformity of products and
services
12. Evidence of competence

03 What is ISO 9001:2015 QMS?

 Documented Information
13. Results of the review of requirements for products and
services
14. New requirements for the products and services
15. Information needed to demonstrate that design and
development requirements have been met
16. Design and development inputs, outputs design, changes,
results of review, authorization of changes and actions
taken to prevent adverse impacts
17. Controls applied to the design and development process

03 What is ISO 9001:2015 QMS?

 Documented Information
18. Evaluation, selection, monitoring of performance, re-
evaluation and actions arising from the evaluations of
external providers
19. Information on what occurred when customer or external
provider’s property is lost, damaged and/or found to be
unsuitable for use
20. Information describing the results of the review of changes
during production and service provision, the person/s
authorizing the change, and any necessary actions rising
from the review

03 What is ISO 9001:2015 QMS?

 Documented Information
21. Evidence of conformity with the acceptance criteria during
release of products and services
22. Traceability to the person/s authorizing the release of
product/service
23. Description of Nonconformity, actions taken, concessions
obtained and authority deciding the action/s in respect of
the nonconformity
24. Results of corrective action to nonconformities
25. Results of evaluation on QMS performance and
effectiveness

03 What is ISO 9001:2015 QMS?

 Documented Information
26. Implementation of the audit programme
27. Audit results
28. Results of management reviews

03 What is ISO 9001:2015 QMS?

 Typical Documentation Structure

Governing Rules of the Organization

Policies

Maintained information on
Organization’s Procedures and
processes Guidelines

Retained Information as
evidence of performing the
Organization’s processes Records

03 What is ISO 9001:2015 QMS?

04 What does it take?
 GQMP Beneficiary Agencies

Beneficiary agencies are selected

based on the relevance of the
agency’s frontline services
to business sector
and the general
public
Development of ISO 9001:2015 QMS

Project Objective

To facilitate the establishment and/or

certification of the ISO 9001:2015 QMS
for the Agency’s management, support
processes, and operations

Important Note:
The QMS shall cover full scope or core
processes that directly contribute to the attainment
of the Agency’s major final outputs.
 QMS Development
Roadmap
Months 6-8
QMS Evaluation
Months 5-7 - Training on Auditing
QMS
QMS - Workshops on Auditing
QMS
Implementation - Training Course on Root Cause
- Technical Guidance on Analysis and Corrective Action
QMS Implementation Formulation
Months 1-4 - Seminar on 5S Good - Technical Guidance on
Housekeeping Management Review
QMS Development - Readiness Assessment
- Process Walkthrough
- Orientation on QMS
- Training on QMS Reqts
and Documentation
- Workshop on Process Mapping and Risk-based Quality Planning
- Workshop on QMS Documentation
- Seminar-Workshop on Streamlining Frontline Services
- Technical Guidance on
Enhancement of Operational
Controls
 QMS Project Activities
Activity/Expected Output* Timeframe Duration (Days)
Process Walkthrough 1-2
Orientation on ISO 9001:2015 QMS Month 1 0.5
Training Course on ISO 9001:2015 QMS Requirements and
3
Documentation
Workshop on Process Mapping and Risk-Based Quality
Month 2 2-3
Planning
Workshop on QMS Documentation Months 2-3 3-5
Seminar-Workshop on Streamlining Frontline Services Month 3 3
Technical Guidance on Review and Enhancement of
Month 3-4 2-5
Operational Controls and Procedures
Seminar-Workshop on 5S Good Housekeeping Month 4 1
Technical Guidance on QMS Implementation Months 4-5 2-5
Training Course on Auditing QMS 4
Training Course on Root Cause Analysis and Corrective
Month 6-7 2
Action Formulation
Workshop on Auditing QMS 2-3
Technical Guidance on Management Review 1-2
Month 8
Readiness Assessment 2-3
 Important
Project Terms and Conditions
The Agency shall:
1. Designate a counterpart support team who will work
closely with the DAP Project Team regarding technical
and administrative requirements of the project,
including the monitoring of the progress of the various
project activities;
2. Draft the documented information, including specific
QMS related forms and tools agreed upon during
workshops, with guidance from DAP Project Team;
3. Ensure implementation of relevant project activities
and provide policy support for the implementation of
quality systems and procedures adopted by the
Agency;
Project Terms and Conditions
The Agency shall:
4. Ensure availability and participation of
staff/participants concerned during the conduct of
training courses and other activities necessary in the
course of the project; and,
5.Ensure that the project is completed
within the agreed duration (by 31
December; and,
6.Procure a third party certifying body for the
certification of the established QMS to ISO
9001:2015 standard within three (3) months
upon completion of the DAP’s technical assistance.
 QMS Organization
Top Management

QMS Leader/Head

QMS Secretariat

QMS Core Team

Risk Training & Knowledge QMS Internal Quality

Management Advocacy Management Audit Team Workplace
Team Team Team Team
Roles and Responsibilities of
Top Management
• Leads the establishment implementation, and
monitoring of the QMS
• Ensures effectiveness of the QMS through risk-
based thinking
• Establishes and communicates quality policy;
• Ensures that quality objectives are established;
• Communicates the importance of meeting
customer requirements;
• Determines and provides necessary resources and
ensures that they are adequately available; and,
• Conducts Management Review meetings.
Roles and Responsibilities of
QMS Leader/Head

• Oversees the establishment, documentation, and

effective implementation of the QMS
• Promotes risk-based thinking in overseeing the
effectiveness of the QMS
• Acts as liaison with external parties on matters relating to
QMS
• Ensures that procedures for IQA, Management Review,
Corrective Actions are established and implemented
• Reports QMS performance to Top Management for
review and continual improvement
Roles and Responsibilities of
QMS Secretariat

• Provides administrative support to successfully

implement the QMS up to the 3rd party
certification
• Facilitates the delivery of specific outputs in-line
with the QMS
• Plans and coordinates effective deployment and
efficient use of human, financial, and other
physical resources for the QMS
Roles and Responsibilities of
QMS Core Team

• Ensures that the requirements for

maintaining and retaining documented
information are established and implemented
Roles and Responsibilities of
Risk Management Team
• Performs oversight function in ensuring that the
established risk controls and related activities are
consistently implemented
• Plans and coordinates effective and efficient use of risk
control tools
• Ensures that risk-related information are maintained and
retained
Roles and Responsibilities of
Training and Advocacy Team

• Provides administrative support in terms of training and

advocacy in the successful implementation and
sustenance of the QMS
• Plans and coordinates effective deployment and efficient
use of resources in-line with training and advocacy
activities
• Plans and coordinates echoing/cascading sessions on
QMS-related training
Roles and Responsibilities of
Knowledge Management Team
• Ensures that the requirements for
maintaining and retaining documented
information are established and implemented
• Coordinates and oversees activities related to
managing organizational knowledge
Roles and Responsibilities of
Quality Workplace Team
• Ensures that the environment for the operation of
processes needed to achieve conformity to service
requirements are managed
• Ensures consistent implementation of 5S programs, as
applicable
• Monitors and assesses workplace cleanliness,
orderliness, and safety
Roles and Responsibilities of
QMS Internal Audit Team
• Determines conformance of the QMS to the
planned arrangements and to the requirements
of ISO 9001
• Determines whether the QMS is effectively
implemented and maintained
• Provides input to management review regarding
the results of audits
• Keeps track of the implementation of the
corrective and preventive actions for
nonconformance raised during the audits
Roles and Responsibilities of
Employees

• Active involvement and participation in all ISO-

QMS related activities

• Sincere commitment in working together with the

ISO Core Team towards continual improvement of
the management systems
ELEMENTS OF SUCCESS
✓ Top management commitment

✓ Core team commitment

✓ Organization-wide employee
participation, cooperation, and support

✓ Proper time management

✓ Close coordination
EXPECTED PROJECT OUTPUTS

✓ Capability building for the

counterpart team
✓ Documented QMS
✓ QMS certifiable to ISO
9001:2015
✓ Mechanisms to sustain the QMS
ISSUES AND CONCERNS
ARNEL D. ABANTO
Vice President/Managing Director
Productivity and Development Center
Development Academy of the Philippines

(02) 631-0921 loc. 182

(02) 631-2137
abantoa@dap.edu.ph

RACQUEL M. BARBECHO
Program Manager
Government Quality Management Program Office
Development Academy of the Philippines

(02) 631-2163
barbechor@dap.edu.ph

Thank you!
The DAP Project Team
ARNEL D. ABANTO
HEAD, PDC

RACQUEL M. BARBECHO
PROGRAM MANAGER, GQMPO

MA. THERESA A. AGUSTIN

SUPERVISING FELLOW, PQTO

HOMER H. ALCON
PROJECT MANAGER

RYAN VINCENT V. LIM

DOCUMENTOR/TECHNICAL STAFF