Internal Audit Checklist (For Core Processes) : Issue Number: Effective Date: Document Code

Document FM-SPM-04-03 Issue 02
Code: Number:
Effective December 18, 2017 Revision 00

Date: Number:
Internal Audit Checklist (for Core Processes)

TEDDY A. SY/GRACELYN W.
Department/Section: IFUGAO PROVINCE FIELD OFFICE Auditor: BARTON/MARIA KONIKO B. DE
LEON
REGISTRATION OF UNION; REGISTRATION OF COLLECTIVE BARGAINING AGREEMENT;
APPLICATION OF JOB FAIR PERMIT; ALIEN EMPLOYMENT PERMIT; PRIVATE
EMPLOYMENT AGENCY LICENSE; AUTHORITY TO RECRUIT; WORKING CHILD PERMIT;
ACCREDITED CO-PARTNERS; ISSUANCE OF CONTRACTOR’S/SUB-CONTRACTOR’S
Process Name/s: Date/s of Audit: OCTOBER 11-12, 2018
CERTIFICATE OF REGISTRATION; ISSUANCE OF CERTIFICATE OF NO PENDING CASE;
COMPLAINT INSPECTION; OCCUPATIONAL SAFETY AND HEALTH STANDARDS
INVESTIGATION; TECHNICAL TRAINING MODULE DESIGN, DEVELOPMENT AND
IMPLEMENTATION
ISO 9001:2015 Findings
Audit Particulars Audit Evidence
Clause C NC OFI
7.5.2 1. Are all available documented information (procedures, forms, OPMs are approved by the Regional Director prior to √
etc.) approved by the relevant authority prior to distribution duistribution and use in the area.
and use in the area?
2. Do they have identification and description? OPMs have identifications and descriptions √
7.5.3 1. For revised documented information, are they reviewed, Revision 0 √
updated and re-approved by relevant authorities prior to use
in the area?
2. Are all needed documents, for both internal and external, Yes. √
readily available in the area being audited? Are they (internal
documents) the latest version?
3. Are Masterlists of Internal and External documented Samples: √
information available in the area being audited? (May sample 1. Collective Bargaining Agreement: BLR Form
3 relevant external documents if available in the site, say No. 06, S. 2016
regulatory guidelines, RA, EO, DO, etc.) 2. Alien Employment Permit: DO. No. 186, S.
2017
4. For obsolete documents that are retained in the site, are they No obsolete documents found during the audit. √
marked with “X”? (if specified by procedure)
Cabinet Hill, Baguio City, Philippines
Tel. Nos.: (074) 424-0824|(074) 443-5338
Fax No.: (074) 443-5339
Email: dolecar88@yahoo.com|dolecar88@gmail.com
Website: http://car.dole.gov.ph
Code: Number:

Date: Number:
5. Are retained document information (records) properly Yes. Logsheets per processes are properly labelled √
labeled? (Check if filing folders have labels.)
6. Are they filed according to the defined filing system in the Yes √
Masterlist of Retained Documented Information?
7. Are the records easily retrievable? Sample some transactions. Yes √
8. Are records retained in accordance with the defined retention Yes √
period in the Masterlist of Retained Documented
Information? (May check filing cabinet if it contains records
that are within their retention period.)
9. Are they disposed properly when retention period is reached? Yes √
(Check if retention period is according to Pambansang
Sinupan (National Archives), if applicable, is implemented.)
5.3 1. Are the responsibilities of the personnel in the audited area Job descriptions are available at the area √
defined? Or are the Job Descriptions available and approved
by the Regional Director?
2. Are these job descriptions consistent with the Organizational Job descriptions are consistent with the √
Chart? Or with those used in the procedures? Organizational chart
7.2 1. Are the personnel qualified for the position in terms of Coaching and mentoring are being undertaken √
appropriate education, training, skills and experience? (Check
if Job Specification for the occupied position is met during
hiring. You may confirm this in the RO’s HR section.)
2. Whenever necessary, are they provided with trainings or Yes √
other actions to carry out their tasks?
7.3 1. Are they aware of their role and contribution to the The personnel are aware of their role and √
achievement of their functional quality objectives and targets contribution in the achievement of their functional
and customer satisfaction (you may check the results of quality objectives and targets and customer
Citizen’s Feedback survey)? satisfaction. The SO conducts meeting on the targets
2. Are they aware of the risks and their control in relation to Yes, They are aware of the risk and their control in √
their process and services? relation to their process & services.
8.1 1. Are the requirements needed for provision of products and Yes, Checklist of requirement and equipment are √
services defined and planned? provided
2. Are the requirements for products and services determined? Yes √

Tel. Nos.: (074) 424-0824|(074) 443-5338
Fax No.: (074) 443-5339
Code: Number:

Date: Number:
3. Is the criteria for processes and acceptance for products and Yes √
services determined?
4. Are the resources determined? (e.g. budget, personnel, Yes √
equipment, even vehicle)
5. Are process controls defined? Yes √
8.2.1 1. Are the processes communicated to the clients? Yes, processes were communicated thru Citizens √
Charter and IEC.
2. Are information on products/services, inquiries, clients’ Checklist and other forms are available in the area. √
complaints and handling or treatment of clients’ property, if In case of inquiries and clients complaints, Public
applicable, communicated? Assistance and Complaint Desk is available.
8.2.2 1. Are the needs of clients determined? How? (May ask the flow Yes, Thru interview and checklist. √
whenever there are inquiries of clients.)
8.2.3 1. Are these needs thoroughly reviewed to ensure that the Yes, Thru interview and checklist. √
process owner is capable to deliver the requested services?
6.1 1. Are risks that can possibly affect the achievement of intended Yes √
results, including objectives, determined?
2. Are there specific actions established to address the risks? Action plans were established for risk with significant √
ratings
3. Do the identified risks and opportunities consider any relevant Yes. Guided with the FO strategic risk assessment √
issues and requirements of interested parties? matrix
4. In determining risks, are existing risk controls considered? Yes √
9.1.3 1. Is the effectiveness of risk control measures analyzed and Existing risk controls are still being implemented. √
evaluated? Verify if subsequent improvement in risk controls Effectiveness will be analyzed/evaluated after 6
are implemented months
8.5.1 1. Are controlled conditions defined for the process? Is there a Yes, the OPMs. √
documented information describing the service/process, its
characteristics and performance?
2. Are the relevant procedures in the site audited followed? N/A - No transactions from March 2018 to
September 2018.
3. Are forms properly accomplished? (Check if records are Yes, identified through the logsheets and FQO:OPCR √
available to evidence the procedure implementation, follow

Tel. Nos.: (074) 424-0824|(074) 443-5338
Fax No.: (074) 443-5339
Code: Number:

Date: Number:
the process flow as you check.)

4. Are the process requirements (i.e. required documents from
clients, evaluation criteria specified in the checklists, if any,
etc.) were met prior to processing, approval and
release/delivery of products/services?
5. Are suitable monitoring and measuring resources identified?
8.5.2 1. If applicable to the process being audited, do the N/A – No transactions from March 2018 to
permits/licenses/registration certificates have unique September 2018.
identification? (Check if the permit/license/registration
certificate numbers are unique from one another.)
8.5.3 1. Are customer’s or external provider’s property maintained? N/A – No transactions from March 2018 to
2. Are they being identified, verified, protected, and September 2018.
safeguarded?
8.5.5 1. After the service is rendered/delivered, is customer N/A – No transactions from March 2018 to
feedback/perception monitored or surveyed using the September 2018.
Citizen’s Feedback Form? (Check records)
8.6 1. How are the products/services checked prior to N/A – No transactions from March 2018 to
release/delivery to clients? (May check who is responsible in September 2018.
checking / reviewing and approving the products/services.)
8.7 1. Ask if there are nonconforming services identified and N/A – No transactions from March 2018 to
recorded during the last 6 months. If there are, how are they September 2018.
controlled to prevent the unintended release/delivery of
products or services?
2. What disposition actions were made for those
products/services that are not conforming to requirements?
3. Were there corrections and corrective actions taken? (Check if
a CAR was used to record the correction and corrective
actions.)
4. When nonconforming product/service (for example, permits,
licenses, certificates of registration that were returned by
clients due to error) is corrected, check if it was subject to re-
Tel. Nos.: (074) 424-0824|(074) 443-5338
Fax No.: (074) 443-5339
Code: Number:

Date: Number:
verification or re-checking to demonstrate conformity to the

requirements.
5. Was there analysis of the nonconforming services to trigger
appropriate actions?
10.2 1. For the identified nonconformities (NCs) such as unmet N/A – No transactions from March 2018 to
quality objectives, check if CARs were used to record these September 2018.
NCs.
2. Check if immediate actions (corrections) were taken up to
stop the NCs from continuing.
3. Check if root causes were determined prior to formulation of
corrective action.
4. Check if the corrective actions specified in the CAR were
implemented.
5. Check if the effectiveness of the corrective actions were
evaluated and the results of evaluation were recorded in the
CAR.
6. Are pertinent risk registers reviewed and updated to reflect
new controls?
7. Are relevant documents updated to ensure changes are
sustained?
Prepared by: Approved by:
TEDDY A. SY/GRACELYN W. BARTON/MARIA KONIKO B. DE LEON TEDDY A. SY

Internal Quality Auditor IQA Team Head

Tel. Nos.: (074) 424-0824|(074) 443-5338
Fax No.: (074) 443-5339

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Document FM-SPM-04-03 Issue 02

Effective December 18, 2017 Revision 00