Quality Management System Manual

December 11, 2017

DFA DEPARTMENT ORDER NO. 014-17

QUALITY MANAGEMENT SYSTEM MANUAL

I. LEGAL BASIS

In compliance with Executive Order No. 605, series of 2007 which provides for the adoption of the ISO 9001 Quality Management Systems, a Department of Foreign Affairs Quality Manual (DFA-QM) is hereby created to provide the scope and structure of the DFA Quality Management System (DFA-QMS) including the policies needed to assure quality in the provision of its products and services. DETACa

II. ADOPTION OF ISO 9001 QUALITY MANAGEMENT SYSTEM

The DFA plans, implements, documents, and assesses work activities for continual improvement in line with the adoption of a Quality Management System (QMS). DFA ensures that its work products, services and decisions respond to the requirements of its clients, and that resources and processes are aligned with DFA's strategic directions.

III. CONTEXT OF THE ORGANIZATION

DFA Profile

The Department of Foreign Affairs (DFA) had its auspicious beginnings when President Emilio Aguinaldo appointed Apolinario Mabini as the Republic's first Secretary of Foreign Affairs on 23 June 1898. The DFA was among the first government departments created following the establishment of the First Philippine Republic.

The Philippines underwent colonial rule under the United States from 1898 to 1946, and Japanese occupation from 1942 to 1944. The country regained independence, including full control of foreign affairs and diplomatic matters, on 4 July 1946. Commonwealth Act No. 732 was passed creating the Department of Foreign Affairs. Shortly thereafter, on 16 September 1946, President Manuel Roxas issued Executive Order No. 18 providing for the organization and operation of the DFA and the Foreign Service. The main tasks of the DFA then were to assist in post-war rehabilitation, formulate policies for investment promotion, and establish diplomatic relations with other countries.

The DFA's role and responsibilities have evolved over the years. Most Filipinos presently associate the DFA with the issuance of passports and the extension of authentication services both here and in its network abroad of 60 embassies, 20 consulates general and 4 missions to international organizations. In order to make consular services more accessible to the Filipino public, the DFA has established around 21 regional consular offices in the provinces and 5 satellite offices in the National Capital Region (NCR), as of January 2016.

More significantly, the DFA is entrusted with crafting, coordinating and implementing Philippine foreign policy to advance the interests of the Philippines and the Filipino people in the world community. It discharges its duties through the following fundamental policy pillars:

1. Contribution to the preservation and enhancement of national security, including the protection of territorial integrity and national sovereignty;

2. Promotion of economic security, while ensuring inclusive growth and sustainable development; and

3. Protection of the rights and promotion of the welfare and interest of Filipinos overseas, recognizing them as partners in national development. ETHIDa

Organizational Structure

A. Office of the Secretary (OSEC)

Exercises supervision and control over all functions and activities of the Department of Foreign Affairs (DFA); promulgates rules and regulations necessary in carrying out the DFA's objectives, policies, plans, programs, and projects; and delegates authority to officers and employees of the Department on the performance of any function. TIADCc

Under OSEC's supervision are the following:

Principal Offices

1. Office of Legal Affairs (OLA)

— Provides legal advice and assistance to the Secretary of Foreign Affairs (SFA) on matters concerning the interpretation and application of Philippine laws and regulations and relevant international agreements; provides assistance and support to relevant Offices in the negotiation of treaties, conventions and international agreements; and assists the Board of Foreign Service Administration in the investigation and prosecution of administrative cases involving personnel of the Department.

2. Office of Public Diplomacy (OPD)

— Coordinates with the media on foreign-related reports, advisories, and SFA communications; disseminates synopsis of major news stories to DFA personnel; and maintains social media accounts of the DFA, i.e., twitter and facebook.

3. Office of Policy Planning and Coordination (OPPC)

— Coordinates the corporate planning process, including the crafting of the Strategic Plan, and implementation of performance management systems; undertakes strategic studies and coordinates with other Offices on emerging and cross-cutting issues; and provides relevant policy advice to the SFA.

4. Internal Audit Service (IAS)

— Evaluates the achievement of internal control objectives and ensures the DFA's compliance with laws, rules and regulations by utilizing internal auditing methods.

5. Foreign Service Posts (FSP)

— Implements the Philippine foreign policy in its diplomatic and consular jurisdiction; assists the Home Office in formulating, planning, organizing and evaluating Philippine foreign policy vis-à-vis the local law of foreign countries and international organizations to which it is accredited; and prepares a set of clearly defined goals and objectives, particular to the Philippines' relations with the receiving state. AIDSTE

Support Units

6. Department Legislative Liaison Unit (DLLU)

— Attends to the foreign service-related needs of the members of the Congress, and reports directly to the OSEC.

7. Intelligence and Security Unit (ISU)

— Ensures the overall security of the DFA Main Building, the Office of Consular Affairs in Aseana (OCA DFA-Aseana), Regional Consular Offices (RCOs) and Satellite Offices (SOs); conducts background checks on newly-hired personnel and service suppliers; and oversees the performance of the contracted Security Agency, with reference to the deployed security guards and equipment/machinery.

Attached Agencies

8. Foreign Service Institute (FSI)

— Designs and conducts training programs appropriate to the needs of DFA personnel, and personnel of other government agencies who are about to be assigned abroad; and undertakes independent research on issues relevant to international relations and foreign policy, as well as, policy studies in aid of foreign policy formulation, management, and evaluation.

9. Technical Cooperation Council of the Philippines (TCCP)

— Coordinates and implements various cooperation schemes between the Philippines and other developing countries.

10. UNESCO National Commission (UNACOM)

— Coordinates with the DFA on matters relating to the United Nations Educational, Scientific, and Cultural Organization (UNESCO) programs, and the best ways and means by which educational, scientific, and cultural developments could be best taken advantaged of by the Philippines; and serves as the liaison unit between UNESCO and the DFA.

B. Undersecretary for Administration (UA)

UA oversees the functions of the following administrative offices:

1. Office of Financial Management Services (OFMS)

— Conducts financial planning and budget preparation; oversees the DFA's general accounting services; and ensures compliance to accounting and auditing rules and regulations. AaCTcI

2. Human Resource Management Office (HRMO)

— Manages human resources, career development, benefits and welfare, and grievance cases against personnel; and oversees the operations of the Philippine honorary consular system through the accreditation and deployment of service attaches in FSPs.

3. Office of Assets Management and Support Services (OAMSS)

— Oversees building maintenance, engineering, inventory and disposal, support services, and transportation services, as well as, the storekeeping of accountable forms and issuances; maintains the DFA's information technology and management information system, electronic communications, general records, and delivery of the diplomatic pouch; manages the Building Fund, contract monitoring, overseas properties, and project management.

4. Office of Protocol (OP)

— Handles preparations for inbound State and official visits, and reception and send-off of foreign dignitaries arriving in and departing from the Philippines; coordinates official visits of Philippine officials to other countries, and assists in the day-to-day activities of the SFA; ensures proper observance and enforcement of all formalities, courtesies and facilities provided for by the Vienna Conventions on Diplomatic and Consular Relations, and other conventions and agreements; and oversees functions hosted by the Secretary and Undersecretaries of the DFA. acEHCD

C. Undersecretary for Policy (UP)

UP oversees the functions of the following geographic offices:

1. Office of Asian and Pacific Affairs (ASPAC)

— Oversees the Philippines' bilateral relations, including the formulation of policies and conduct of engagement initiatives with countries in Asia and the Pacific Islands, in coordination with other Philippine government agencies and stakeholders.

2. Office of Middle East and African Affairs (OMEAA)

— Oversees the Philippines' bilateral relations, including the formulation of policies and conduct of engagement initiatives with countries in the Middle East and Africa, in coordination with other Philippine government agencies and stakeholders.

3. Office of European Affairs (OEA)

— Oversees the Philippines' bilateral relations, including the formulation of policies and conduct of engagement initiatives with European countries, in coordination with other Philippine government agencies and stakeholders.

4. Office of American Affairs (OAA)

— Oversees the Philippines' bilateral relations, including the formulation of policies and conduct of engagement initiatives with countries in the Americas, Canada, Mexico, and the Caribbean Islands, in coordination with other Philippine government agencies and stakeholders; and coordinates the Philippines' participation in the Forum for East Asia-Latin America Cooperation (FEALAC).

5. Office of Association of Southeast Asian Nations Affairs (ASEAN)

— Ensures full implementation of institutional provisions within the ASEAN Charter; coordinates and prepares for Philippine participation in the ASEAN Summit and ASEAN Coordinating Council (ACC); plans and implements political and security initiatives, and participates in relevant meetings under ASEAN to promote regional peace and stability; ensures compliance to the objectives and frameworks of the ASEAN Economic Community (AEC) and ASEAN Socio-Cultural Community (ASCC); and coordinates the Philippines' participation in ASEAN Dialogue Partner meetings and initiatives. SDHTEC

6. Office of United Nations and International Organizations (UNIO)

— Responsible for Philippine participation and negotiations in the United Nations and other international organizations on global issues concerning the economy, environment, society and culture, and peace and security.

7. Maritime and Ocean Affairs Office (MOAO)

— Handles issues and matters concerning national maritime policy, national territory and conflicting territorial claims, maritime zones, jurisdictions and border delimitation, extended continental shelves, international maritime dispute settlements, and most importantly, the West Philippine Sea issue, including the arbitration case filed by the Philippines before the Permanent Court of Arbitration; oversees issues and matters concerning marine environmental protection, marine scientific research, and maritime safety and security (including monitoring, control and surveillance of piracy, sea robbery and terrorism); and ensures compliance to the regulations of the International Maritime Organization.

D. Undersecretary for International and Economic Relations (UIER)

UIER oversees the functions of the following office:

1. Office of International Economic Relations (OIER)

— Formulates Philippine policies and positions on international economic concerns and oversees participation to Free Trade Agreements (FTAs), Economic Partnership Agreements (EPAs), Asia-Pacific Economic Cooperation (APEC) and the World Trade Organization (WTO); and conducts economic intelligence in coordination with Partner Government Agencies (PGAs) and stakeholders for the implementation of existing economic agreements and arrangements to enhance foreign direct investments (FDIs), promote trade, and boost tourism.

E. Undersecretary for Migrant Workers Affairs (UMWA)

UMWA oversees the functions of the following office:

1. Office of Migrant Workers Affairs (OMWA)

— Coordinates with various sectors of society to deliver timely assistance to Filipino nationals; and manages matters pertaining to assistance to nationals and the development and implementation of policies relating to concerns, welfare needs, and general interests of all overseas Filipinos particularly overseas workers. AScHCD

F. Undersecretary for Civilian Security and Consular Concerns (UCSCC)

UCSCC oversees the functions of the following offices:

1. Office of Consular Affairs (OCA DFA-Aseana)

— Oversees the issuance of Philippine passports and visas; manages civil registry-related services and the safekeeping, management and disposition of consular records; and handles the authentication of documents issued in the Philippines for use abroad, and the authentication by FSPs of documents issued abroad for use in the Philippines.

2. Regional Consular Offices (RCO) and Satellite Offices (SO)

— Provides consular service to Filipino nationals across the Philippines.

Mission, Vision, Core Values

Mission

To promote and protect Philippine interests in the global community

Vision

A resilient foreign service for a strong Philippines

Core Values

Patriotism

Integrity

Professionalism

Excellence

Service

DFA QUALITY POLICY

The Department of Foreign Affairs, as the prime agency of government responsible for the conduct of Philippine foreign policy, commits to effectively and efficiently deliver foreign policy, diplomatic, and consular and assistance-to-nationals services that are responsive to the needs of our stakeholders here and abroad.

We, at the DFA, shall continually uphold the principles of good governance, improve our quality management system, and adhere to the highest standards of professionalism.

Date approved: October 27, 2017

(SGD.) ALAN PETER S. CAYETANOSecretary of Foreign Affairs

ATTACHMENT

Internal and External Issues

The following internal and external factors affect the efficient delivery of services in accordance with the DFA's mandate:

 

Political Factors	Economic Factors
• Political Intervention • Legislative Agenda • Administration's Thrusts and Priorities • International Regulations and Standards • Diplomatic Relations • International Political Security Situation	• Purchasing Power (e.g., expansion of the middle class, etc.) • Globalization • Regional Integration • Trade Liberalization • Budget Appropriation • Growth in the Travel Industry • Protectionism • Industrialization • Urbanization
Social Factors	Technology Factors
• Migration • Overseas Employment • Use of social media • Right to travel • Organization's Culture • Urbanization • Employee Morale • Norms • Community • Stakeholder Relations • Public Image	• Cybersecurity • The Internet of Things • Data Privacy • Advances in Automation • Web Services • Systems Integration
Legal Factors	Environmental Factors
• Intellectual Property • Applicable Laws and Policies • Contracts and Obligations • Compliance with oversight agencies • Mandate • Treaties and Conventions • Local and International Law, Customs, and Practices • Legislation	• Natural and Manmade Calamities • Physical Infrastructure • Accessibility of offices • Location • Office Layout • Public Health and Sanitation • Neighbors • Safety and Security • Peace and Order • Climate Change

 

DFA-QMS Scope and Exclusion

The ISO 9001:2015 Quality Management System applies to the DFA-QMS. This covers the operations and processes of the authentication and regular passport services at the OCA DFA-Aseana, Parañaque City, and satellite office DFA NCR West in SM City, Manila. Included as well are authentication and passport-related support and management processes at the DFA Main Office, Roxas Blvd., Pasay City. AcICHD

Offices within each site, and processes within each office are as follows:

 

Site	Office	Process
Home Office	Office of the Secretary	Exercises supervision and control over all functions and activities of the Department of Foreign Affairs (DFA); promulgates rules and regulations necessary in carrying out the DFA's objectives, policies, plans, programs, and projects; and delegates authority to officers and employees of the Department on the performance of any function.
	Undersecretary for Administration	Oversees the functions of the Office of Financial Management Services, Human Resource Management Office, and Office of Asset Management and Support Services, and seats the Home Office's Head of Procuring Entity and BFSA Chairperson.
	Board of Foreign Service Administration Secretariat	Assists the BFSA board during the selection, assignment, promotion, discipline, and separation from the service of officers and personnel; and in acting on administrative cases brought against officers and personnel who commit offenses against the interest of the public service.
	Bids and Awards Committee Secretariat	Serves as the main support unit of the Bids and Awards Committee, organizes and makes all necessary arrangements for BAC meetings, conferences, and procurement processes.
	Undersecretary for Civilian Security and Consular Concerns	Oversees the functions of the Office of Consular Affairs-Aseana and DFA NCR West.
	Human Resource Management Office	Manages human resources, career development, benefits and welfare, and grievance cases against personnel.
	Office of Financial Management Services	Conducts financial planning and budget preparation; oversees the DFA's general accounting services; ensures compliance to accounting and auditing rules and regulations; and trains and deploys cashier personnel to OCA-Aseana and NCR West.
	Office of Public Diplomacy	Coordinates with the media on advisories and DFA communications; disseminates synopsis of major news stories to DFA personnel; and maintains social media accounts of the DFA, i.e., twitter and facebook.
	Intelligence and Security Unit	Ensures the overall security of the DFA Main Building, the Office of Consular Affairs in Aseana (OCA DFA-Aseana), and Satellite Offices (SOs); conducts background checks on newly-hired personnel and service suppliers; and oversees the performance of the contracted Security Agency, with reference to the deployed security guards and equipment/machinery.
	Office of Legal Affairs	Provides legal advice and assistance on matters concerning the interpretation and application of Philippine laws and regulations and relevant international agreements; provides assistance and support to relevant Offices in drafting contracts and agreements; and assists the Board of Foreign Service Administration in the investigation and prosecution of administrative cases involving personnel of the Department.
	Office of Policy Planning and Coordination	Coordinates the DFA planning process, including the crafting of the Strategic Plan, and implementation of performance management systems; undertakes strategic studies and coordinates with other Offices on emerging and cross-cutting issues; and provides relevant policy advice to the SFA.
	Internal Audit Service	Leads the Internal Quality Audit of the DFA-QMS.
	Office of Asset Management and Support Services
	Property Procurement Management Division	Manages the DFA's Building Fund, contract monitoring, and project management.
	General Services Division	Oversees building maintenance, engineering, inventory and disposal, support services, and transportation services, as well as, the storekeeping of accountable forms and issuances.
	Information Technology, Communications and Records Division	Maintains the DFA's information technology and management information system, electronic communications, and general records.
OCA-Aseana	Authentication Division	Authenticates an act, deed, and other documents executed or sourced within Philippine legal jurisdiction by way of certifying the authenticity of signatures on the presented documents.
	Passport Division	Serves as the issuing authority in terms of processing and providing passport booklets to Filipinos, while maintaining the integrity and credibility of the Philippine passport.
	Consular Office Coordinating Center	Closely monitor the operations of consular offices by way of ensuring that these offices comply with existing Department regulations and guidelines, particularly on submission of monthly and quarterly accomplishment reports. Facilitate requests pertaining to the conduct of their operations, such as: plans and performance targets, official leave of absences, hiring of additional personnel, budget proposals, requisition for supplies, materials and equipment, rentals of staff house and equipment, overtime services, travel authority for the attendance of consular office personnel to conferences and seminars.
	Consular Records Division	Repository Division in-charge of transitory safekeeping and disposition of all passport records, unclaimed and spoiled passport booklets turned over by the Passport Division and other Consular Offices and of other consular documents from Visa and Authentication Divisions. Responsible for all incoming and outgoing communications of OCA to and from the DFA both for internal and external communications.
	Administrative Services Unit	Responsible for the management of OCA's resources including personnel, finance, property, common supplies/equipment, and transportation to ensure the office's efficient, effective and economical operations in the delivery of consular services. It acts as the property and office supplies custodian of OCA, facilitates OCA's procurement projects, coordinates complaints management, CSC compliance and QMS requirements as OCA's administrative support process of the authentication and passport services as core processes.
Satellite Office	NCR West	Provides authentication and passport services to Filipinos.

 

The DFA-QM excludes ISO 9001:2015 requirements on clauses 8.3 Design and Development for the following justifications:

1. The authentication and passport processes are implemented in accordance with DFA policies, and internationally recognized formats and therefore is not customized per client requirement.

Relevant Interested Parties

The following are DFA's interested parties and their requirements that have significant impact in the operations of the DFA. When applicable, DFA manages its relevant interested parties through the review of contracts and memorandum of agreement, and performance evaluations and feedback analyses.

 

Interested Parties	Needs	Expectations
Applicants	Passport	Timely release   Good quality of passport   Accuracy in data   Courteousness of personnel   Comfortable and secure facilities   Data privacy, security of personal data
Personnel	Training and development   Compensation and benefits   Clear direction and instruction	Adequate and timely release of salary   Improved benefits   Defined career path-career development   Open communication   Supportive policies from management   Consistent and fair implementation of policies   Conducive workplace
Suppliers/Providers	Terms of Reference/Contract	Timely release of payment   Transparency   Open communication
Legislators	Service for constituents   Data from the DFA   Courtesy Lane	Provision of services   Special considerations
Top Management	Feedback   Performance monitoring (OPCRF/IPCRF)   Accomplishment report	Efficient personnel-CSW   Commitment to the service   Evidence-based recommendations   Solutions to issues
Oversight Agencies (e.g., CSC, DBM, OP, COA)	Reports   Regulatory compliance	Provision of services   Compliance to requirements
Partner Agencies (e.g., LTO, NBI, PSA)	Accreditation of their documents   Data	Open communication   Memorandum of Agreement
Auxiliary services (e.g., mall owners, travel agencies)	Memorandum of Agreement (mall owners)   Endorsement	Open communication   Transparency
Local Government Units	Provision of services (mobile passporting)	Open communication   Timely service
DFA Multipurpose Cooperative	Physical space	Rent-free space
Media	Information on passport processes   Accessibility to officials   Accurate data	Open dialogue   Reliable data
Netizens and bloggers	Proper delivery of services   Accurate information	Transparency   Online presence and timely feedback from the DFA

 

DFA Process Map

The above process map illustrates the DFA-QMS, focusing on the processes of the provision of quality passport and authentication services. The process map presents the interaction between the management, core, and support processes. It also provides guidance in monitoring, analyzing, and continually improving the management systems to meet and exceed client expectations. The information obtained from our clients is utilized to continually improve the processes involved. TAIaHE

The core processes describe the application for:

1. Regular passport services as inputs from clients. This is processed and released as passport booklets to the applicants of the Passport Division in OCA DFA-Aseana and DFA NCR West;

2. Authentication services as inputs from clients, both domestic and international. This is processed and released as authenticated documents to the applicants of the Authentication Division in OCA DFA-Aseana and DFA NCR West.

The management processes related to passport and authentication services involve:

1. Policy Development overseen by the Office of the Secretary (OSEC), Undersecretary for Civilian Security and Consular Concerns (UCSCC), and the Undersecretary for Administration (UA);

2. Planning at different levels is undertaken by the various offices and the Office of Policy Planning and Coordination (OPPC). Identification of risks and opportunities at different levels is undertaken by each office and overseen by OSEC;

3. Monitoring and Evaluation includes performance evaluation as supervised by the UCSCC, Internal Quality Audit by the QMS IQA Team and Internal Audit Service, and Management Review by the top management; and

4. Public Relations undertaken by the Office of Public Diplomacy (OPD).

The support processes related to passport and authentication services involve:

1. Human Resource Development as managed by the Human Resources Management Office (HRMO);

2. Finance Management, which includes provision of funding support facilitated by the Office of Financial Management Services (OFMS);

3. Safety and Security Management of physical facilities and work environment is the responsibility of the Intelligence and Security Unit (ISU);

4. Asset Management, which includes management of physical facilities, equipment, real estate property, central supply warehousing, and general services is handled by the Office of Assets Management and Support Services (OAMSS); cDHAES

5. Procurement Management is both handled by OAMSS and OCA DFA-Aseana;

6. Information Technology (IT) Management, which includes the maintenance of hardware, software, and data/information is handled by both OAMSS and OCA DFA-Aseana;

7. Provision of Legal Services is handled by the Office of Legal Affairs (OLA); and

8. Documents and Records Management is handled by both OAMSS and OCA DFA-Aseana.

IV. LEADERSHIP

Responsibilities and Authorities of the QMS Team

The top management leads the implementation and monitoring of the DFA-QMS with the goal of sustaining an ISO 9001:2015 certification of the Department. The QMS Core Team ensures that the requirements for maintaining and retaining documented information are established and implemented.

The DFA identified representatives of various ranks from the different Department offices and an Office Order is issued composed of duly-appointed Quality Management Representatives (QMRs), the Deputy QMR, the Risk Management Team, the Quality Workplace Team, the Training and Advocacy Team, the Knowledge Management Team, the QMS Internal Audit Team, and the QMS Secretariat. Following are their respective functions and responsibilities:

A. Top Management

1. Leads the establishment, implementation, and monitoring of the QMS;

2. Ensures effectiveness of the QMS through risk-based thinking;

3. Establishes and communicates the Quality Policy;

4. Ensures that Quality Plan and Objectives are established;

5. Communicates the importance of meeting customer requirements;

6. Determines and provides necessary resources and ensures their adequate availability; and, cTDaEH

7. Conducts Management Review meetings.

B. Quality Management Representative (QMR)

1. Oversees the establishment, documentation, and effective implementation of the QMS;

2. Promotes risk-based thinking in overseeing the effectiveness of the QMS;

3. Acts as a liaison with external parties on matters relating to QMS;

4. Ensures the establishment and proper implementation of procedures for IQA, Management Review, and Corrective Actions; and,

5. Reports QMS performance to top management for review and continual improvement.

C. Deputy QMR

1. Assists the QMR in performing assigned duties and responsibilities; and,

2. Assumes the responsibilities of the QMR in his or her absence.

D. Risk Management Team

1. Performs oversight function in ensuring that the established risk controls and related activities are consistently implemented;

2. Plans and coordinates effective and efficient use of risk control tools; and

3. Ensures that risk-related information are maintained and retained.

E. Quality Workplace Team

1. Ensures a conducive work environment necessary in achieving conformity to service requirements;

2. Ensures consistent implementation of the 5S program (Sort, Systematize, Sweep, Standardize, and Self-discipline); and,

3. Monitors and assesses workplace cleanliness, orderliness, and safety.

F. Training and Advocacy Team

1. Provides administrative support in terms of training and advocacy in the successful implementation and sustenance of the QMS; cSaATC

2. Plans and coordinates effective deployment and efficient use of resources of the project, in-line with training and advocacy activities; and,

3. Plans and coordinates echoing/cascading sessions on QMS-related training.

G. Knowledge Management Team

1. Ensures proper documentation of changes and revisions in documents;

2. Ensures availability of relevant versions of applicable documents at points of use;

3. Ensures documents remain legible and readily identifiable and retrievable;

4. Prevents the unintended use of obsolete documents; and,

5. Ensures controls are established for identification, storage, protection, retrieval, retention time and disposition of records.

H. QMS Internal Audit Team

1. Determines the conformance of QMS to the planned arrangements and to the requirements of ISO 9001:2015;

2. Monitors whether the QMS is effectively implemented and maintained;

3. Provides input to management review regarding the results of audits; and,

4. Keeps track of the implementation of the corrective and preventive actions for nonconformance raised during audits.

I. QMS Secretariat

1. Provides administrative and technical support to successfully implement the QMS, from systems development to third party certification;

2. Facilitates the delivery of specific outputs in-line with the QMS; and,

3. Plans and coordinates effective deployment and efficient use of human, financial, and other physical resources for the QMS.

 To ensure continuity in the DFA-QMS, the Undersecretary for Administration will designate a suitable replacement for any member of the team who will be posted abroad. The said replacement will be required to undergo training on the different aspects of establishing and implementing a QMS. cHDAIS

Management Commitment

The top management, composed of the Secretary, Undersecretaries and Heads of Offices, is responsible for establishing the policies, guidelines, and processes and procedures in conducting the activities and operations of the DFA.

Top management ensures that the QMS processes are planned, implemented, and monitored to meet the organization's QPOs and the ISO 9001:2015 requirements. The integrity of the QMS is maintained when changes to improve the QMS are planned and implemented.

The DFA top management ensures that the quality plan and objectives (QPO), established throughout the Department, are consistent with the quality policy, meet the requirements for processes and services, and improve the quality system and quality performance of the Department.

The Department's established QPOs are measurable and reviewed annually against performance goals.

V. PLANNING

Policy Formulation and Performance Evaluation

The Office of the Secretary and the offices and units directly under it, including the Offices of the Undersecretaries and the offices they supervise, work together to plan, and implement the Department's policies and objectives. They also monitor the performance of the Department with regard to these policies and objectives through the Office Performance Commitment and Review Form (OPCRF).

Each office/unit in the DFA Main Office, including Foreign Service Posts, designates a Planning Officer who coordinates with the Department's Planning Office in creating, implementing, and evaluating the individual offices' Work Plans, consistent with the 5-year Strategic Plan.

Risk Assessment

The DFA identifies risks in consideration of their potential impact, but not limited to, the achievement of intended and/or desirable results, prevention or reduction of undesired effects, and achievement of improvement.

All offices shall conduct risks and opportunities assessment taking into consideration the context of the organization, i.e., internal and external issues, the requirements of relevant interested parties or stakeholders, and the products, e.g., authentication certificates and passport, and services extended by the Department.

VI. SUPPORT TO OPERATIONS

A. Resources

The Department of Foreign Affairs (DFA) ensures that needed resources are provided to properly implement, maintain, and continually improve the DFA's quality management system. Resources include, among others, the provision of sufficient number of qualified personnel, Information Technology (IT) equipment and facilities, office supplies, and authentication forms. ISHCcT

B. Human Resource

B.1. HR Management Process

The Human Resource Management Office (HRMO) and the Board of Foreign Service Examination (BFSE) are tasked with the recruitment, appointment, development, promotion, and rotation of officers and staff in the DFA, which are based on the provisions of Republic Act No. 7157 (R.A. No. 7157), The Philippine Foreign Service Act of 1991, dated 19 September 1991, and Civil Service Commission (CSC) regulations.

Information on vacancies in the Department is disseminated through job postings on the DFA website, on the premises of the main building and satellite offices, career fairs, and advertisements in local newspapers. The recruitment process involves written exams and a series of interviews with HRMO and other relevant offices. Practical tests may be administered by requesting offices if necessary for the vacant position. Other relevant skills or qualifications (law degree, accountancy license, etc.) required by certain positions may be stipulated as necessary.

B.2. Competence and Awareness

The Recruitment and Career Development Sections of HRMO regularly updates the competency requirements for the various positions in the Department based on the approved job descriptions.

Competencies of personnel are identified through the implementation of the Career Advancement through Responsive Evaluation of Service (CARES) form of the DFA Strategic Performance Management System (SPMS). Gaps identified from the CARES forms submitted by the various offices in the Department are compiled by the Personnel Management Division (PMD) of HRMO and endorsed to the Career Development Section for appropriate intervention. Coaching and mentoring are also implemented to develop competency of personnel. Health and wellness issues concerning personnel are endorsed to HRMO-Administrative Services Division (ASD) for necessary action.

The Department, through the HRMO-PMD Career Development Section and in cooperation with the Foreign Service Institute (FSI), organizes regular training and re-tooling sessions for its personnel. Evaluation of the effectiveness of said training sessions are done through:

1. The accomplishment of feedback forms by newly-trained personnel;

2. An assessment exam at the end of the training;

3. The Strategic Performance Management System (SPMS) as mandated by the Civil Service Commission, which involves performance assessment of personnel through the Individual Performance Commitment and Review Form (IPCRF), coaching and monitoring of personnel work performance through the Performance Appraisal through Constant Encounter (PACE) Form and the CARES Form; and

4. If necessary, referral of appropriate personnel to HRMO for other interventions. CAacTH

The Training and Advocacy QMS Team, in coordination with HRMO, organizes awareness sessions on the QMS.

Records of personnel education, training, skills, and experience are consolidated at the Records and Information Unit (RIU) of HRMO. The RIU maintains the 201 files of each personnel which contain the hard copies of documents pertaining to their educational background, skills, work experience, and trainings. This information is reflected in a personnel database, which is also maintained by RIU and may be produced upon request of authorized individuals.

C. Infrastructure Management

The DFA QMS are in DFA Main Office at 2330 Roxas Boulevard Pasay City, the Office of Consular Affairs in DFA-Aseana (OCA DFA-Aseana) at the Diosdado Macapagal Boulevard corner Bradco Avenue, Aseana Business Park, Parañaque City, and DFA NCR West at 5/F SM City Manila, Concepcion St. Manila. All premises are equipped with the following equipment and support services facilities that are managed by a competent in-house building management team and assisted by outsourced personnel:

1. Facilities

 The Office of Assets Management and Support Services (OAMSS)-Property, Procurement and Maintenance Division (PPMD) is responsible for the upkeep and maintenance of the physical facilities of the DFA Home Office, OCA DFA-Aseana, and DFA NCR West. The facilities include the buildings, workspaces, utilities, and common spaces, such as the auditorium, covered court, lobby, and parking plaza.

 Regular preventive maintenance is conducted on the facilities by on-site and outsourced personnel to ensure their continuous operation.

2. Equipment

 The Engineering and Maintenance Section (EMS) of OAMSS-PPMD is responsible for ensuring the continuous operations of the building equipment in both the DFA Home Office and OCA DFA-Aseana, such as, among others, elevator/escalator, air-conditioning/cooling, emergency power, plumbing, sewerage treatment plant (STP), lighting, and fire-fighting systems.

 Consular offices within SM Supermalls are provided with equipment and services as stipulated under the Memorandum of Agreement (MOA) with DFA.

3. Real Estate Property

 OAMSS-Overseas & Regional Properties and Contract Management Division (ORP-CMD) is responsible for the acquisition, disposal, and renovation of real properties of the DFA. IAETDc

4. Office Supplies Central Warehousing

 The Supplies Receiving Section of OAMSS-PPMD maintains a supplies central warehouse for the DFA Main Office, OCA DFA-Aseana, and DFA NCR West, which is located at the basement of the DFA main building. OCA DFA-Aseana maintains its own storage room, located at the 3rd floor of the Aseana building, for office supplies delivered from the central warehouse.

 The issuance of office supplies is controlled through a ledger system.

5. General Services

 The DFA Main Office, OCA DFA-Aseana, and DFA NCR West maintain the following auxiliary services:

• Dental/Medical clinic (managed by HRMO)

• Day Care Center (managed by HRMO)

• Cafeteria/Canteen/Catering services [operated by the DFA Multipurpose Cooperative, Inc. (DFAMPC)]

• Transportation and parking services [managed by OAMSS-General Services Division (GSD)]

• Subscription services (managed by OAMSS-GSD)

• Photocopying services (managed by OAMSS-PPMD)

• Pest control services (managed by OAMSS-PPMD)

• Janitorial services (managed by OAMSS-PPMD)

• Landscaping services (managed by OAMSS-PPMD)

6. IT Management

 OAMSS-Information Technology and Central Records Division (ITCRD) is responsible for the following:

• Monitoring and maintaining the Department's computer systems and networks;

• Overseeing various Information Technology (IT) and communication programs and activities;

• Installing and configuring computer hardware operating systems and applications;

• Troubleshooting system and network problems, and diagnosing and solving hardware or software faults; and

• Testing and evaluating new programs that are to be incorporated in the Department's IT system.

 OCA DFA-Aseana and DFA NCR West are each responsible for the monitoring and maintenance of their computer systems and networks, as well as simple troubleshooting of software, hardware, and network problems in its premises.

D. Work Environment

The DFA determines and manages the work environment needed to achieve conformity to service requirements, including property management. DcHSEa

The DFA complies with accepted health and safety standards. An appropriate policy and management structure is in place to ensure compliance with these standards in the areas of temperature control, humidity control, cleanliness, and lighting, among others.

E. Safety and Security Management

The Intelligence and Security Unit (ISU) is in charge of providing the DFA with security services. The goal is to ensure the safety of both DFA employees and clients by contracting the services of a security agency in providing security guards 24 hours a day, 7 days a week in all DFA facilities. The security guards also have the responsibility to maintain order inside DFA premises.

Consular offices within SM Supermalls shall be provided with additional security, especially against fixers, unauthorized travel/recruitment/placement agency representatives and other individuals out to victimize passport applicants, as stipulated under the MOA.

F. Legal Services

The Office of Legal Affairs (OLA) provides correct and timely legal service, advice, and opinion to the DFA by reviewing contracts, agreements, and other legal documents, as well as in drafting Department regulations and policies.

OLA also handles any legal proceedings or cases in which the DFA is involved.

G. Financial Management

The goal of the Office of Financial Management Services (OFMS) is to achieve the objectives of the QMS that are anchored on the principles of transparency and accountability. This is done through strict adherence to the government's budgeting, accounting, and financial auditing rules and regulations.

With the utmost satisfaction of its internal and external clients always in mind, OFMS ensures that financial resources and reports are completely provided and collection services are rendered in an accurate and timely manner.

H. Procurement Management

The procurement procedure of the DFA Home Office, OCA DFA-Aseana, and DFA NCR West follows the provisions mandated by Republic Act No. 9184 (R.A. No. 9184), Government Procurement Reform Act, dated 22 July 2002. The control of the procurement process is established by having all purchase requests (PRs) or memorandum requests (MRs) pass through an established approval process starting with the end-user (i.e., OCA DFA-Aseana) and passing through the technical clearing houses, namely, OAMSS-PPMD, OFMS and the Bids and Awards Committee (BAC) Secretariat. SCaITA

I. Documents and Records Management

Documentation Structure

The DFA-QMS implementation is documented/recorded in three (3) levels.

Level 1. Policies

The DFA's Declaration of Policy is provided in Title I, Section 3 of Republic Act No. 7157, otherwise known as the Philippine Foreign Service Act of 1991. The DFA adopts rules and regulations in the form of Department Orders, Office Orders, Foreign Service Circulars, Department Circulars, Home Office Circulars, and other Department issuances which are all accessible through the Central Records Database System (CRDS).

The DFA Quality Manual, communicated through a Department Order, serves as the primary systems manual for function-specific processes and procedures in the DFA. It consists of the DFA Quality Policy, hierarchy of systems, and monitoring measures, as well as practices and approaches that guide personnel in the conduct of processes. cHECAS

Level 2. Manual

The Operations Manual, at all levels and units of the DFA, aims to streamline existing operations. It increases client satisfaction by eliminating irregularities in the system by promoting accountability and transparency among personnel, as can be referred to from the required sections it contains.

Manuals would include the Department's citizen charter and unaccomplished DFA forms and templates.

Level 3. Files/Records

Records serve as evidence of implementation of planned arrangements. The DFA maintains records through the following means:

1. OCA DFA-Aseana secures all consular records (i.e., filled-out application forms, civil registry reports, etc.), and

2. OAMSS safeguards policies, and certified true copies of administrative and legal documents.

 Each office has a record database and filing system for all of its accomplished forms, incoming and outgoing communications, reports, and briefing papers, among others.

Control for Documented Information

The DFA implements a procedure for the creation, revision, approval, and issuance of documented Information. The guidelines for this procedure defines the process for:

1. Drafting of documents for the approval of the signatory;

2. Routing and reviewing through qualified persons and approving of documents prior to release;

3. Ensuring that relevant versions of applicable documents are available at points of use;

4. Ensuring that documents remain legible and easily identifiable;

5. Ensuring that documents of external origin are identified and their distribution controlled; and

6. Preventing the unintended use of obsolete documents and applying suitable identification to them if they are retained for any purpose.

The DFA also implements a procedure for the identification, collection, indexing, access, filing, storage, maintenance, and disposition of documented information. The guidelines for this procedure defines the process for ensuring that: AHDacC

1. Records are indexed and grouped to facilitate their retrieval;

2. Cabinets, folders, computer discs, and other storage media containing records are clearly labelled with identification of their content;

3. Records are normally stored by the same office that initially established them;

4. Records are stored in secured, dry, and clean areas and cabinets are provided;

5. Electronic records are regularly backed up. Records and documents are stored only in authorized computer drives and designated locations; and

6. Records are retained and/or disposed in compliance with the Implementing Rules and Regulation of the Republic Act No. 9470, also known as The National Archives of the Philippines Act of 2007.

Managing Internal and External Communication

The top management ensures that appropriate communication processes are established within the Department and that communication takes place regarding the effectiveness of the QMS.

Communication in the agency is facilitated through, but not limited to, the following:

1. DFA issuances, such as, Office Orders, memoranda, and internal routing slips;

2. Notices for meetings;

3. Designated e-mails per office/unit;

4. Bulletin board and website postings;

5. Availability of telephone lines;

6. Paging system;

7. DFA Employees Information Portal and Knowledge Management System; and

8. General assemblies.

Client Communication

To effectively communicate with clients of the DFA, the method, means, and venues are as follows: IDSEAH

1. Public advisories on changes in requirements, documents, schedule, and other information through the DFA website;

2. DFA Consular Hotline and e-mail to respond to queries and complaints;

3. Client feedback through a customer satisfaction survey;

4. Information, education, and communication materials; and

5. Social media platform such as Facebook and Twitter.

Control of Externally Provided Processes, Products and Services

Outsourced Services

The controls for outsourced processes/services are as follows:

 

Outsourced Process/Product	Service Provider/Supplier	Controls	Responsible
Delivery to DFA of documents authenticated by Partner Government Agencies (PGAs)	Eight (8) PGAs	Memorandum of Agreement   Quarterly Compliance Report	Authentication Division
Encoding	Manpower-Agency	Contract   Semi-annual Evaluation Report	Authentication Division Passport Division
Security Services	Security Agency	Contract   Quarterly Compliance Report	ISU in coordination with OCA DFA-Aseana's Administrative Services Unit (ASU)
Janitorial Services	Manpower Agency	Contract   Quarterly Compliance Report   Client Feedback Form	OAMSS- General Services Division (GSD)
Air-condition Maintenance	Technical Service Provider	Contract   Quarterly Compliance Report	OAMSS- Property, Procurement and Maintenance Division (PPMD)
Elevator and Escalator Maintenance	Technical Service Provider	Contract   Quarterly Compliance Report	OAMSS-PPMD
Photocopying Services	Technical Service Provider	Contract   Quarterly Compliance Report	OAMSS-PPMD
Utilities	Technical Service Provider/Supplier	Contract   Billing Statements	OAMSS-PPMD
Regular Passport Printing	Technical Service Provider	Contract   Quarterly Compliance Report	UCSCC OCA

 

Performance Evaluation of Suppliers and Service Providers

The performance of outsourced service providers is monitored through client feedback surveys, periodic compliance reports, and annual review of terms in contracts. The outputs of evaluations are reflected in service agreements and performance reports. HCaDIS

VII. OPERATION

Control of Service Provision

The Authentication Division in OCA DFA-Aseana plans and carries out production and service provision under controlled conditions, as follows:

1. Specimen of authenticated document is posted at the releasing area;

2. Releasing Personnel counterchecks in the application form the authenticated documents to be released;

3. Implementation of monitoring and measurement activities; and

4. Implementation of release and delivery activities.

Identification and Traceability

The following are means to identify and ensure traceability in the delivery of authentication services in the DFA:

1. Authentication slip control number traceable throughout the process;

2. Authentication certificate serial number;

3. Authentication slip for traceability of payment transaction; and

4. Masterlist for traceability of the name of applicant, document type and set, date of filing, and the signing officer's name on the authentication certificate.

The following are means to identify and ensure traceability in the delivery of passport services in the DFA:

1. Passport appointment system to confirm applicants' schedule per day;

2. Passport booklet number;

3. Passport slip for traceability of payment transaction; and

4. Passport database for traceability of passport holder's name, passport number, official receipt number, site, date of capture, and date of release.

Property Belonging to Customers and External Providers

The DFA cares for its client's property through appropriate methods of identification, verification, protection, and safeguarding, such as but not limited to the following: AHCETa

1. Document to be authenticated are identified through the application form;

2. In each process, documents are placed on shelves, labelled, and stored in secure filing cabinets. Each bundle is also covered with a masterlist;

3. Authentication certificates are stored in secure cabinets;

4. In case of damaged documents attributable to the DFA and its personnel, the DFA coordinates with the concerned government agency to replace the document. If DFA cannot secure a replacement of the damaged document, the applicant is informed and requested to provide it. A log sheet for lost and damaged documents is maintained. The date and time the applicant was informed, as well as the courses of actions taken are reflected in the log sheet;

5. Adherence to D.O. No. 18-2015, instructing offices to take responsibility for ensuring that all documents and communications are properly transmitted, handled, and kept confidential; and

6. Safeguarding of relevant and confidential information about the client is in compliance with Section 7 (c) of R.A. No. 6713.

Preservation of Products and Services

The integrity of the authentication and passport products and services is preserved during internal processing by means of the following:

1. Blank authentication certificates are stored in secure cabinets;

2. Delivered passport booklets to DFA-Aseana are stored in cabinets within a secure room, and only accessed by authorized personnel;

3. Tracking system for the issuance of blank authentication certificates is maintained;

4. Dry seals are stored in well-secure filing cabinets;

5. Critical supplies such as eyelets and ribbons are stored in a well-secure stock room;

6. Authentication documents are stored in filing cabinets and pigeon holes;

7. Authentication documents are bundled together during transfers;

8. Limited access to the authentication stock room and passport booklet room.

VIII. PERFORMANCE EVALUATION

Monitoring, Measurement, Analysis and Evaluation

The calibration for the passport reader being utilized by OCA Passport Division is maintained by the external service provider, Allied Printing Office (APO). ScHADI

Audit

A. Compliance Audit

Compliance audits are conducted by the following:

1. The Commission on Audit (COA) examines, audits, and settles all accounts pertaining to the revenue, and receipts of, and expenditures or uses of funds and property, owned or held in trust by, or pertaining to, the Government;

2. The DFA's Internal Audit Service (IAS) performs a comprehensive audit of DFA operations, in accordance with the Government Accounting Manual.

B. Internal Audit

The Internal Audit Service conducts internal audits at planned intervals to determine whether the quality management system:

1. Conforms with the requirements of the ISO 9001 standard and the quality management system requirements established by the DFA; and

2. Is effectively implemented and sustained.

An audit plan is formulated, taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. The audit criteria, scope, frequency, and methods are defined. The selection of auditors and conduct of audits ensures objectivity and impartiality of the audit process. Auditors do not audit their own work. DACcIH

A documented procedure is established to define the responsibilities and requirements for planning and conducting audits, establishing records, and reporting results.

Records of the audits and their results are maintained.

The top management and Heads of Offices ensure that corrective actions are taken without undue delay to eliminate detected nonconformities and their causes.

Follow-up activities include the verification of actions taken and the reporting of verification results.

C. External/Surveillance Audit

An external audit is conducted by a third-party certifying body to verify conformance of DFA-QMS to the ISO 9001 standard and set requirements.

Management Review

To support the effective implementation of the DFA QMS, top management and the QMS Core Team conduct Management Review meetings. The goal of Management Review is to assess and subsequently provide the resources needed to sustain the QMS, as well as addressing, if not exceeding, client requirements.

Review Process

The DFA QMS Management Review is undertaken at least once a year or whenever necessary as deemed by the top management or the QMR. The review will evaluate the continued suitability and effectiveness of the QMS and assess the Department's continued compliance with statutory and regulatory requirements and ISO 9001:2015 standards. It will also cover the performance of the core processes and related services, as well as improvement measures.

Review Input

The inputs to management review include information on, but not limited, to the following:

1. Status of Action from previous Management Review;

2. Changes in the external and internal issues that are relevant to the QMS;

3. Customer Feedback/Satisfaction Data Results and Analysis;

4. Feedback from relevant interested parties;

5. Status of Performance vis-à-vis Quality Plan and Objectives;

6. Relevant trends related to operational processes;

7. Nonconformities and corrective actions via Requests for Action (RFA) and RFA Registries; HSCATc

8. Internal and external audit results to be reported by IAS. DFA personnel/Initiator issued RFAs to be reported by either UA or UCSCC;

9. Performance of external providers (Job Contracts, Consultants, Resource Person, Suppliers, Service Provider, Experts and Service Providers);

10. Resource issues/needs and status;

11. Risks and Opportunities;

12. Effectiveness of actions to identified risks via Risks and Opportunities Registry;

13. Suitability of the Quality Policy;

14. Changes Affecting the QMS (if any); and

15. Recommendations for Improvement.

Review Outputs

The outputs to management review include actions related, but not limited, to the following:

1. Opportunities for Improvement;

2. Need for changes to the QMS, if any; and

3. Client and Resource needs.

IX. IMPROVEMENT

Control of Nonconforming Outputs

The DFA ensures that services provided which do not meet requirements are identified and controlled to prevent unintended release of documents to the client, and corrected if it has been delivered.

The DFA deals with nonconforming product by one or more of the following ways:

1. Taking action to eliminate the detected nonconformity;

2. Authorizing its use, release, or acceptance under concession by a relevant authority and, where applicable, by the client;

3. Taking action to prevent its unintended use or application; and

4. Taking action appropriate to the effects, or potential effects, of the nonconformity when nonconforming product is detected after delivery or use has started. IDTSEH

When nonconforming product is corrected, it shall be subject to re-verification to demonstrate conformity to the requirements.

Records of the nature of nonconformities and any subsequent actions taken, including concessions obtained, shall be maintained.

Corrective Action

The DFA determines corrective actions to eliminate the causes/possible causes of a detected non-conformity or other undesirable situation to prevent recurrence.

The documented procedure includes:

1. Effective handling of client's complaints;

2. Use of information such as client's comments/feedback, audit reports, quality records, service reports and others to detect, analyze, and eliminate causes of non-conformities;

3. Identifying nonconformities and its causes;

4. Determining controls to be applied to ensure effective implementation of corrective actions;

5. Recording changes in procedures that result from corrective actions and immediately disseminating these to concerned Offices; and

6. Recording and reviewing the effectiveness of the corrective actions taken for submission to management.

Continual Improvement

The DFA continually improves the effectiveness of the quality management system through the use of the Quality Policy, Quality Plan and Objectives, audit results, analyzed data, corrective actions, and Management Review.

X. QUALITY MANUAL AMENDMENT AND ISSUANCE

The Quality Manual shall be amended in consideration of the following:

1. Change in regulations and policies

 Proper research is necessary for any change or amendment that may be introduced to this Quality Manual, subject to the approval of top management;

2. Change in technology

 Any change in technology or in the manner of how the core processes are conducted shall be properly documented and incorporated in this manual in the form of a written amendment; SICDAa

3. Change in standards

 This Quality Manual conforms to the ISO 9001:2015 International Standards. Duly-appointed personnel must ensure the continual improvement and conformity of this Manual to currently-established international standards and procedures.

XI. QMS RELATED GUIDELINES

Guidelines on documented information, internal quality audit and nonconformity and corrective actions will be issued in separate Department Circulars to support the implementation of QMS.

XII. SEPARABILITY CLAUSE

If any section or part of this Department Order is declared contrary to law or unconstitutional by competent authority, the remaining sections or parts hereof shall remain in full force and effect.

XIII. REPEALING CLAUSE

All Department Order, Circulars, and Regulations, or parts thereof, which are inconsistent with any of the provisions of this Order are hereby repealed or amended accordingly. TAacHE

XIV. EFFECTIVITY

This Department Order shall take effect immediately.

Pasay City, December 11, 2017.

(SGD.) ALAN PETER S. CAYETANOSecretary of Foreign Affairs