Republic of the Philippines

Department of Labor and Employment

Cordillera Administrative Region
Cabinet Hill, Baguio City FM-SPM-04-06
REV 0 07/18/2013

Internal Audit Checklist (For Procurement and Supplies Management Processes)

Department/Section: IMSD Auditor: J. Fortunato

Process Name: Supplies Management Date of Audit: October 12, 2017

ISO 9001:2008 Evidence of Compliance
Clause Audit Particulars
Documentation Implementation

4.2.3 1. Are all available documents (procedures, forms, etc.)

approved by the relevant authority prior to distribution and
use in the area?
2. For revised documents, are they reviewed, updated and re-
approved by relevant authorities prior to use in the area?
3. Are all needed documents, for both internal and external,
readily available in the area being audited? Are they (internal
documents) the latest version?
4. Are masterlists of internal and external documents available
in the area being audited? (May sample 3 relevant external
documents if available in the site, say regulatory guidelines,
RA, EO,DO, etc.)
5. For obsolete documents that are retained in the site, are they
stamped with “OBSOLETE”?
4.2.4 1. Are records properly labeled? (Check if filing folders have
labels.)
2. Are they filed according to the defined filing system in the
Masterlist of Records?
3. Are the records easily retrievable?
4. Are records retained in accordance with the defined retention
period in the Masterlist of Records? (May check filing cabinet
if it contains records that are within their retention period.)
5. Are they disposed properly when retention period is reached?
(Check if retention period is according to Pambansang
Sinupan (National Archives) is implemented.)
 Republic of the Philippines
Department of Labor and Employment
Cordillera Administrative Region
Cabinet Hill, Baguio City FM-SPM-04-06
REV 0 07/18/2013

5.4.1 1. Are the Regional Functional Quality Objectives available in the

area approved or signed by Regional Director?
2. Check if the established objectives are related or relevant to
the function being carried out by the process owner.
3. Are they measurable or quantifiable?
4. Are they supporting the DOLE-CAR Quality Policy?
5.5.1 1. Are the responsibilities of the personnel in the audited area
defined? Or are the Job Descriptions available and approved
by the Regional Director?
6.2.1 1. For newly hired personnel, if any, are they qualified for the position
in terms of 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.)
6.2.2 1. Whenever necessary, are they provided with trainings or
other actions to carry out their tasks?
2. Are they aware of their role and contribution to the
achievement of their functional quality objectives and targets
and customer satisfaction (you may check the results of
Citizen’s Feedback survey)?
6.3/6.4 1. Are needed equipment (i.e. computers, printers, fax machine,
photocopier, air-con unit) provided in the site audited?
2. Are these properly maintained (maintenance activities were
done)?
7.5.5 1. Are the established procedures being adhered to?
(Walkthrough the procedure.)
2. Are the procured office supplies, equipment and relevant
forms properly stored and preserved? (Check the area where
they are stored, 5S maybe observed.)
3. In the storage area, are the procured supplies, equipment
and relevant forms properly labeled, secured and protected?
4. 3. Are the stock cards properly and timely updated? (You may
check the actual count versus count in the stock cards if
accurate.)
 Republic of the Philippines
Department of Labor and Employment
Cordillera Administrative Region
Cabinet Hill, Baguio City FM-SPM-04-06
REV 0 07/18/2013

8.2.3 1. Is the process monitored in terms of accuracy and timeliness?

2. Are there records of monitoring and measurement of the
quality targets in terms of timeliness and accuracy? (Check if
Process Performance Monitoring and Measurement records
are available. Check consistency of the data against your
sampled transactions.)
3. For un-met targets, are there corrections and corrective
actions taken? (Check if a CPAR was used to record the
correction and corrective actions.)
4. Is analysis of the process performance trend for the previous
8.4 and current quarters done? (May check if graphs are
available reflecting the process performance trends in 1
quarter.)
8.2.4 1. How are the procurement and supplies management services
checked during the delivery of these services? (May check
who is responsible in checking theservices.)
8.3 1. Ask if there are procured supplies, equipment and services
that are not conforming to purchasing requirements or
specifications. How are they controlled to prevent the
unintended release/delivery of procured supplies, equipment
or services to end-users?
2. What disposition actions were made for those
products/equipment/services that are not conforming to
requirements?
3. Were there corrections and corrective actions taken? (Check if
a CPAR was used to record the correction and corrective
actions.)
4. When nonconforming supplies/equipment/services (for
example, returned supplies by requesting parties) is corrected,
check if they were subject to re-verification or re-checking to
demonstrate conformity to the requirements before
acceptance.
5. Was there analysis of the procured nonconforming
8.4
supplies/equipment/services to trigger appropriate actions?
(Actions could be preventive or corrective.)
 Republic of the Philippines
Department of Labor and Employment
Cordillera Administrative Region
Cabinet Hill, Baguio City FM-SPM-04-06
REV 0 07/18/2013

8.5.2 1. For the identified nonconformities (NCs), check if CPARs were

used to record these NCs.
2. Check if immediate actions (corrections) were taken 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 CPAR were
implemented.
5. Check if the effectiveness of the corrective actions were
evaluated and the results of evaluation were recorded in the
CPAR.
8.5.3 1. For the identified potential nonconformities (PNCs), if any,
check if CPARs were used to record these PNCs.
2. Check if root causes were determined prior to formulation of
preventive action.
4. Check if the preventive actions specified in the CPAR were
implemented.
5. Check if the effectiveness of the preventive actions were
evaluated and the results of evaluation were recorded in the
CPAR.

Prepared by: Approved by:

________________________ ______________________________
Internal Quality Auditor IQA Team Head