DILG REGION 10 – NORTHEN MINDANAO

REGIONAL INTERNAL QUALITY

2020 AUDIT PLAN INTERNAL QUALITY AUDIT PLAN
1. To determine the extent of compliance of DILG R10 Quality Management System
(QMS) to ISO 9001:2015 and legal requirements;
I. OBJECTIVE/S: 2. To determine the adequacy of DILG R10’s documented QMS and confirm its readiness for the Surveillance 3rd
Party Audit; and
3. To contribute continual improvement in the QMS Processes.
Local Governance through provision of technical and administrative assistance, performance oversight, and rewards
and incentives
II. SCOPE:
Sites to Cover: Regional Office 10, Provincial Offices of Bukidnon, Camiguin, Lanao del Norte, Misamis Occidental &
Misamis Oriental and the offices of their respective Component Cities and Municipalities; Cagayan de Oro and Iligan.
III. REFERENCE ISO 9001:2015, DILG 10's Quality Manual, System Procedure Manual and Quality Operating Procedure Manual; and
STANDARD: applicable regulatory and statutory requirements to DILG RI0's implementation of programs and services.

IV. AUDIT SCHEDULE:

M M Relevant ISO 9001:2015

Process Owner Ju Ju
PROCESS/AUDIT AREA J F a A a A S O N D Clauses/ Legal
(Office) n l
r y Requirements
Context of the Organization Top Management, 4.1; 4.2; and 4.3
RQMR, and DQMRs

Leadership and Commitment Top Management, 5.1, 5.2; and 5.3

RQMR and DQMRs
Awareness Top Management, 7.3
RQMR, DQMRs,
All Process Owners
and other DILG Region
10 Personnel
Support to Operations

INTERNAL QUALITY AUDIT PLAN

DILG REGION 10
 DILG REGION 10 – NORTHEN MINDANAO
REGIONAL INTERNAL QUALITY
AUDIT PLAN M M
PROCESS/AUDIT AREA Process Owner J F Ju Ju
a A a A S O N D Relevant ISO 9001:2015
n l
(Office) r y Clauses/ Legal
Requirements
People:
Recruitment, Selection and 6.2; 61; 4.1; 4.2; 7.1.2; 7.2;
HRMO – FAD 9.1.1;9.1.3; 10.2
Promotion
Learning and Development HRMO – FAD 6.2; 61; 4.1; 4.2; 7.1.2; 7.2;
9.1.1;9.1.3; 10.2
Leave Administration HRMO – FAD 6.2; 61; 4.1; 4.2; 7.1.2;
9.1.1;9.1.3; 10.2
Maintaining and Updating of HRMO – FAD 6.2; 61; 4.1; 4.2; 7.1.2;
Database 9.1.1;9.1.3; 10.2
General:
Processing of Disbursement Accountant – FAD 6.2; 6.1; 4.1; 4.2; 8.2;
Voucher 9.1.1;9.1.3; 10.2
Processing of Liquidation for Cash Accountant – FAD 6.2; 6.1; 4.1; 4.2; 8.2;
Advances 9.1.1;9.1.3; 10.2
Cashiering Services Cashier-FAD 6.2; 6.1; 4.1; 4.2; 8.2;
9.1.1;9.1.3; 9.2; 10.2
Preparation and Release of Cashier-FAD 6.2; 6.1; 4.1; 4.2; 8.2;
LDDAP-ADA, Oncoll Checks and 9.1.1;9.1.3; 10.2
ACIC
Processing of Obligations Request Budget Officer-FAD 6.2; 6.1; 4.1; 4.2; 8.2;
and Status and Disbursement 9.1.1;9.1.3; 10.2
Vouchers
Preparation of Annual Supply Officer-FAD 6.2; 6.1; 4.1; 4.2; 8.1;
Procurement Program 9.1.1;9.1.3; 10.2
Inspection and Acceptance of Supply Officer-FAD 6.2; 6.1; 4.1; 4.2; 8.5;
Deliveries 9.1.1;9.1.3; 10.2
Preparation of the Regional Budget Budget Officer- FAD 6.2; 6.1; 4.1; 4.2; 8.1;
Proposals 9.1.1;9.1.3; 10.2
Preparation of Regional Planning Officer 6.2; 6.1; 4.1; 4.2; 8.1;
Operations Plan and Budget 9.1.1;9.1.3; 10.2

INTERNAL QUALITY AUDIT PLAN

DILG REGION 10
 DILG REGION 10 – NORTHEN MINDANAO
REGIONAL INTERNAL QUALITY
AUDIT PLAN
PROCESS/AUDIT AREA
Infrastructure:
Provision of Vehicular Support
Service
Maintenance of Assets
Inventory of Property Plant and
Equipment and Semi-Expendable
Equipment
Provision of Technical Assistance
and Website Administration
Provision of Preventive
Maintenance on ICT Equipment
Control of Externally Provided Services:
Procurement of Goods,
Infrastructure and Consulting
Services
Control of Externally Provided
Processes, Products and Services
Organizational Knowledge:
Control of Communication
Communication:
Creation of Information Materials
Digital Content Posting
Environment (Physical/Psychosocial):
INTERNAL QUALITY AUDIT PLAN
DILG REGION 10
M M
Process Owner J F Ju Ju
a A a A S O N D Relevant ISO 9001:2015
n l
(Office) r y Clauses/ Legal
Requirements
ADM AIDE-GSS – FAD 6.2; 6.1; 4.1; 4.2; 7.1.3; 7.1.4;
9.1.1;9.1.3; 10.2
ADM AIDE-GSS 6.2; 6.1; 4.1; 4.2; 7.1.3; 7.1.4;
– FAD 9.1.1;9.1.3; 10.2
Supply Officer – FAD
6.2; 6.1; 4.1; 4.2; 7.1.3; 7.1.4;
9.1.1;9.1.3; 10.2
ITO – ORD 6.2; 6.1; 4.1; 4.2; 7.1.3; 7.1.4;
9.1.1;9.1.3; 10.28.5.4; 8.5.5;
8.5.6; 8.6; 8.7; 9.1.1; 9.1.2; and
10.2
ITO – ORD 6.2; 6.1; 4.1; 4.2; 7.1.3; 7.1.4;
9.1.1;9.1.3; 10.2
Supply Officer- FAD
6.2; 6.1; 4.1; 4.2; 8.4;
9.1.1;9.1.3; 10.2
Supply Officer-FAD 6.2; 6.1; 4.1; 4.2; 8.4;
9.1.1;9.1.3; 10.2
Records Officer- FAD 6.2; 6.1; 4.1; 4.2; 7.1.5;
9.1.1;9.1.3; 10.2
Information Officer – 6.2; 6.1; 4.1; 4.2; 7.1.6; 7.
ORD 4; 9.1.1;9.1.3; 10.2
LGRC 6.2; 6.1; 4.1; 4.2; 7.1.6; 7.
4; 9.1.1;9.1.3; 10.2
 DILG REGION 10 – NORTHEN MINDANAO
REGIONAL INTERNAL QUALITY
AUDIT PLAN M M
PROCESS/AUDIT AREA Process Owner J F Ju Ju
a A a A S O N D Relevant ISO 9001:2015
n l
(Office) r y Clauses/ Legal
Requirements
5S Monitoring SAO-FAD 6.2; 6.1; 4.1; 4.2; 7.1.4;
9.1.1;9.1.3; 10.2
Provision of Technical Assistance Services
Conduct of Trainings for LGU LGCDD 6.2; 6.1; 4.1; 4.2; 7.2;
Personnel, and CSO 9.1.1;9.1.3; 9.1.2; 10.2
Review of Technical Documents PDMU Focal Person
6.2; 6.1; 4.1; 4.2; 7.2;
(DED and POW)
9.1.1;9.1.3; 9.1.2; 10.2

Provision of Administrative Services

Handling Complaints
Processing Of Indorsement Of
LGU’s Request For Issuance Of
Authority To Purchase Of Vehicle
Processing the LGU's Request for
the Issuance of Full Disclosure
Policy (FDP) Compliance
Certification
Issuance of Certificate of Services
Rendered by the Local
Official/Masterlist for CSC-CM
Eligibility
Implementation of
Orders/Decisions/Resolutions of
Tribunals (e.g. Sandiganbayan;
Comelec; Ombudsman; CSC, OP)
and regular courts
Endorsement of Application for
Scholarship Grants/ Study Leave of
Local Government Official and
ORD-Legal 6.2; 6.1; 4.1; 4.2; 8.6;
9.1.1;9.1.2; 9.1.3; 10.2
Focal Person – LGMED
6.2; 6.1; 4.1; 4.2; 8.6;
9.1.1;9.1.3; 9.1.2; 10.2
Focal Person – LGMED
6.2; 6.1; 4.1; 4.2; 8.6;
9.1.1;9.1.3; 9.1.2 10.2
Focal Person – LGMED
6.2; 6.1; 4.1; 4.2; 8.2;
9.1.1;9.1.3; 9.1.2;10.2
Legal Officer- ORD
6.2; 6.1; 4.1; 4.2; 8.6;
9.1.1;9.1.3; 10.2
Focal Person – LGMED
6.2; 6.1; 4.1; 4.2; 8.6;
9.1.1;9.1.3; 9.1.2;10.2

INTERNAL QUALITY AUDIT PLAN

DILG REGION 10
 DILG REGION 10 – NORTHEN MINDANAO
REGIONAL INTERNAL QUALITY
AUDIT PLAN M M
PROCESS/AUDIT AREA Process Owner J F Ju Ju
a A a A S O N D Relevant ISO 9001:2015
n l
(Office) r y Clauses/ Legal
Requirements
Employees
Indorsement of LGU Request for Focal Person – LGMED
Certification on the Submission of
6.2; 6.1; 4.1; 4.2; 8.6;
the Accomplishment Report 9.1.1;9.1.3; 9.1.2; 10.2
Relative to the LGUs Utilization of
Confidential Funds
Monitoring and Evaluation of Focal Person – PDMU 6.2; 6.1; 4.1; 4.2; 8.5;
Locally Funded Projects 9.1.1;9.1.3; 9.1.2; 10.2
Exercise of Oversight Functions
LGUs Gender and Development Focal Person – LGCDD 6.2; 6.1; 4.1; 4.2; 8.2;
Plan and Budget (GPB) Review 9.1.1;9.1.3; 9.1.2; 10.2
Provision of Rewards and Incentives
Provision of PCF Subsidy to Focal Person – PDMU 6.2; 6.1; 4.1; 4.2; 8.6;
Beneficiary LGUs 9.1.1;9.1.3; 9.1.2; 10.2
Management Processes
QMS Planning Top Management, 6.1;6.2;6.3; 4.1, 4.2, 4.3, 4.4
RQMR, DQMRs, and
Planning Officer
Risk Identification, Evaluation and RM & RRC, 6.1;6.2;6.3; 4.1, 4.2, 4.3, 4.4
Control RO, and FOs Process
Owners
System Procedures
Control of Maintained Documented Document Controller 7.5
Information (Internal) All Process Owners
Control of Maintained Documented Document Controller 7.5
Information (External) All Process Owners
Control of Retained Documented Document Controller 7.5
Information All Process Owners
Control of Nonconforming Service Process Owners of 8.7

INTERNAL QUALITY AUDIT PLAN

DILG REGION 10
 DILG REGION 10 – NORTHEN MINDANAO
REGIONAL INTERNAL QUALITY
AUDIT PLAN M M
PROCESS/AUDIT AREA Process Owner J F Ju Ju
a A a A S O N D Relevant ISO 9001:2015
n l
(Office) r y Clauses/ Legal
Requirements
Or Output CORE Processes
Non-conformity and Corrective Top Management, 10.2
Action RQMR, DQMRs, and all
Process Owners
Services Complaints Handling All CORE Process 8.2.1c
Owners
External Customer Satisfaction All CORE Process 9.12
Survey Owners
Management Review Management Review 9.3
Committee

V. SELECTION CRITERIA FOR INTERNAL QUALITY AUDITORS:

Education : Graduate of any 4-year degree course

Training : Have attended the following trainings:

1. ISO 9001:2015 Internal Auditing Training

Skills : Analytical Skill, Communication Skills (both in Oral and Written), and Computer Literate

INTERNAL QUALITY AUDIT PLAN

DILG REGION 10
 DILG REGION 10 – NORTHEN MINDANAO
REGIONAL INTERNAL QUALITY
AUDIT PLAN Experience : At least 6
months in service at DILG

VI. INTERNAL QUALITY AUDITORS:

1. Engr. Carmelo Enrique B. Libot – RIQA Head

2. Maria Pamela D. Benitez
3. Rezza Mae B. Tolinero
4. Villebette A.Sato
5. Atty. Princess M. Ayoma
6. Princess Mae L. Monteron
7. Richelle P. Bade
8. Elsid Pagaragan
9. Agnes Enya Ediu

VII. AUDIT METHODOLOGY:

1. Process approach
2. PDCA Cycle Method
3. Risk-based Thinking

VIII. VERIFICATION OF CORRECTIVE/ACTION PLAN

Verification of CA Plan Implementation: Two months after full implementation.

Verification of CA Plan Effectiveness : During the next IQA

IX. INTERNAL QUALITY AUDIT RETAINED DOCUMENTED INFORMATION:

INTERNAL QUALITY AUDIT PLAN

DILG REGION 10
 DILG REGION 10 – NORTHEN MINDANAO
REGIONAL INTERNAL QUALITY
AUDIT PLAN
Internal Audit Plans, Internal
Audit Checklists, Audit Reports, Conformity and Non-conformity Reports, and other relevant retained
documented information.

Prepared by: Reviewed by: Approved by:

CARMELO ENRIQUE B. LIBOT, CESO V YVETTE C. TOLENTINO-SUNGA, CESO V ARNEL M. AGABE, CESO IV
RIQA Head Regional Quality Management Representative Top Management
Date: ______________________________________ Date: ______________________________________________ Date: ___________________________

INTERNAL QUALITY AUDIT PLAN

DILG REGION 10