PROPOSED WORKING PAPER FOR COMPLIANCE AUDIT

DEPARTMENT OF HEALTH CA_WP_01

CY 2023

Subject Matter: Filling Up of Vacant Positions as of November 30, 2023

To determine whether or not the measures taken by the agency are appropriate to fill-up at least 50% of identified
Audit Objective vacant positions as of January 1, 2023 by the end of November 2023

The risk that the measures taken by the agency are not appropriate to fill-up at least 50% of identified vacant positions
Audit Risk as of January 1, 2023 by the end of November 2023
Agency: Department of Health

Audit Procedures:
1. Obtain the following:
e. List of human resources activities related to recruitment
2. Check if the Auditee’s existing guidelines or procedure for recruitment/ filling up vacant positions are in line with Department Order No. 2019-
0437 dated October 23, 2019. Note deficiencies, if any;

a. List of human resources activities related to recruitment implemented by the agency

Human Resource Activity Brief Description
1. Job Fair
2. Dissemination in social Media Platforms
3. Posting of Vacancies in public places
4. Maintenance of accounts in various recruitment websites.
5.

b. Auditee’s existing guidelines or procedure for recruitment/ filling up vacant positions

 Agency's Significant Guidelines/ Procedures for Office/Personnel Timeline Complied with the guidelines provided in Remarks
Recruitment Responsible Section VI. IMPLEMENTING
MECHANISM of Department Order No.
2019-0437 dated October 23, 2019?
(Yes/No)

1. Notice of Vacancy 3 calendar days

from occurrence of
vacancy
2. Announcement of Vacancies Through Publication
and Posting
15 days
3. Filing of Applications Depends on the
deadline set
4. Preliminary Evaluation No timeline set
5. Qualifying Examination No timeline set
6. Background Investigation No timeline set

7. Panel Interview using Targeted Selection by the

HRMPSB No timeline set
8. Selection Line-Up No timeline set
9. Submission to the HRMPSB No timeline set
10. Assessment by the HRMPSB No timeline set
11. Selection and Issuance of Appointment No timeline set

SUMMARY:

Prepared by:
Reviewed by:
PROPOSED WORKING PAPER FOR COMPLIANCE AUDIT
DEPARTMENT OF HEALTH CA_WP_02
CY 2023

Subject Matter: Filling Up of Vacant Positions as of November 30, 2023

To determine whether or not the measures taken by the agency are appropriate to fill-up at least 50% of identified
Audit Objective vacant positions as of January 1, 2023 by the end of November 2023
The risk that the measures taken by the agency are not appropriate to fill-up at least 50% of identified vacant
Audit Risk positions as of January 1, 2023 by the end of November 2023
Agency:

Audit Procedures:
3. Request for Personal Services Itemization and Plantilla of Personnel (PSIPOP) generated report as of November 30, 2023;
4. Compare the PSIPOP report as against the Monthly/Quarterly Status Report submitted by the Auditee. Note deficiencies, if any;
5. Request for copies of assumption to validate the filled up positions as reported in the Monthly/Quarterly Status Report submitted by the Auditee. Note deficiencies, if any;
6. Check if there are vacant positions identified as of January 1, 2023, which remain unfilled at the end of November 2023.;

No. Personal Services Itemization and Plantilla of Personnel (PSIPOP) as of November 30, 2023 Validated against DOH Status Report on Validated against copies of Filled? Unfilled? Remarks/
Bureau/Agency Item Number Position Title and Salary Filled? Unfilled? Date of Original Date of Last Status Filled and Unfilled Position as of November Assumption? (✓/✗) (✓/✗) Deficiencies Noted
Grade Appointment Promotion 2023? (Yes/No) (Yes/No)
a b c d e f g h i j k l m
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
Note: For agencies with significant number for plantilla positions, this working paper may be modified to reflect the vacant positions only and a separate/simplified working shall be prepared to document the validation procedures conducted on the filled-up positions.

SUMMARY:

Prepared by:

Reviewed by:
PROPOSED WORKING PAPER FOR COMPLIANCE AUDIT
DEPARTMENT OF HEALTH CA_WP_03
CY 2023

Subject Matter: Filling Up of Vacant Positions as of November 30, 2023

To determine whether or not the measures taken by the agency are appropriate to fill-up at least 50% of identified
Audit Objective vacant positions as of January 1, 2023 by the end of November 2023
The risk that the measures taken by the agency are not appropriate to fill-up at least 50% of identified vacant positions
Audit Risk as of January 1, 2023 by the end of November 2023
Agency:

Audit Procedures:
7. If there are vacant positions, validate if the existing guidelines for recruitment were implemented. Note deficiencies, if any;
8. Evaluate if the unfilled positions pertain to positions that are hard to fill e.g. (Physicians, Medical Specialist, Physicist, Psychologist, Speech Therapist, Chemist).
9. Inquire from the Management if there are other measures being taken to fill up all the vacant positions and validate the same. Note deficiencies, if any;

No. List of Unfilled Positions as of November 30, 2023 (PSIPOP) Other measures taken to fill up the vacant position Remarks/ Deficiencies
Agency's Significant Guidelines/ Procedures for Recruitment (CA_WP_01.b) Considered as positions Noted
(CA_WP_02 Col. l) (CA_WP_01.a)
that are hard to fill?
Bureau/Agency Item Number Position Title and Salary (Yes/No)
1 2 3 4 5 6 7 8 9 10 11 1 2 3 4 5
Grade
a b c d e f g h i j k l m n o p q r s t u
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20

SUMMARY:

Prepared by:
Reviewed by: