Beruflich Dokumente
Kultur Dokumente
Code: 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 √
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