UNIT: PRO or NSU or Directorate IEP Auditor:

ELEMENT
SUB-ELEMENT: IEP QA:
FACTOR:
CRITERIA:

Measure 1:

MEASURE 1 DESCRIPTION:

AUDIT PROCEDURES: Tool:

REVIEW PERIOD:
POPULATION:
SAMPLE SELECTION CRITERIA

TESTING ATTRIBUTES: Attribute 1:

Attribute 2:

AUDIT RESULT DOCUMENTATION: Attribute 1 Attribute 2

Reference Detail 1 Detail 2 Detail 3 Detail 4 Detail 5 Detail 6 Detail 7 (Put 1 if OK) (Put 1 if OK) Comments / Error Reasons

CONCLUSION / RATING: ISSUES: EFFECT CAUSE RECOMMENDATION

1 A.
2 B.
3 C.
4 D.
5 E.
F.

Summary:
2016 2017 2018

Quality Assurance Yes / No Corrective actions or follow up

a. Were all procedures followed?
b. If there were deviations, were these justified and explained; and still ultimately led to achieving the audit objectives ?
c. Was the information or evidence gathered sufficient, useful, relevant and reilable?
d. Was the rating made properly using good judgment and exercising due professional care?
e. Was the rating linked/aligned/analyzed in relation to ratings in other measures/elements which have contributory cause or effect?
f. Were the findings and issues clearly stated, properly supported and communicated adequately?
UNIT: PRO or NSU or Directorate IEP Auditor:
ELEMENT Functionality of Strategy Partners
SUB-ELEMENT: Advisory Council IEP QA:
FACTOR: Working Organizational Structure and Systems
CRITERIA: Composition, Sufficiency Diversity

Measure 1: Number of Advisory Council Members

MEASURE 1 DESCRIPTION: The Advisory Council must be composed of a sufficient number of members for it to effectively discharge its functions.

AUDIT PROCEDURES: Document Review: AC member profiles, TOR, Memo from C, TWG re: Reiteration of Guidelines and Compliances for PSMUs, TWGs and ACs dated January 23, 2015; Report on the Functionality of PSMUs, TWGs and ACs
Interview: 1.) PSMU - verify process of selection of AC members. 2.) Optional: AC Members - Identify at least 2 AC members. Inquire on how they were selected and invited, and on their background and expertise
REVIEW PERIOD: Full year 2016, 2017, 2018
POPULATION: Based on total number of AC members; Review 100% of AC members' profiles since 2016 and related documents
SAMPLE SELECTION CRITERIA Random selection of AC members for interview

TESTING ATTRIBUTES: Attribute 1: Is the Advisory Council composed of a sufficient number of members?
Attribute 2:

AUDIT RESULT DOCUMENTATION: Attribute 1 Attribute 2

Reference Term Name Position Detail 4 Detail 5 Detail 6 Detail 7 (Put 1 if OK) (Put 1 if OK) Comments / Error Reasons
AC Member Profile 2015 - 2016 PDIR DIOSCORO E. YORO Chairman
,J
AC Member Profile 2015 - 2016 Mr. Ricky B Ileto Vice-Chairman
AC Member Profile 2015 - 2016 Dr. Alicia A. Denaya Member
AC Member Profile 2015 - 2016 Mr. Danilo P. Locquiao Member
AC Member Profile 2015 - 2016 Mr. Gaudencio Jose S. Palo Member
AC Member Profile 2015 - 2016 Fr. Reghis M. Romero II, meMember
AC Member Profile 2015 - 2016 Mrs. Soledad L. Mendoza, mMember
AC Member Profile 2015 - 2016 Mr. John Marsh Member
AC Member Profile 2015 - 2016 Ms. Joy Divinagracia Member
AC Member Profile 2015 - 2016 Mr. Arnold Galang Member
AC Member Profile 2017 - present Hon. Felizardo M Serapio Chairman
AC Member Profile 2017 - present Engr. Louie R. Sarmiento Vice-Chairman
AC Member Profile 2017 - present Mr. Reynold R. Raquel Member
AC Member Profile 2017 - present Mr. Alfred P Dalizon Member
AC Member Profile 2017 - present Pastor Arnold C. Serra Member
AC Member Profile 2017 - present Ms. Joselyn G. Jose Member
AC Member Profile 2017 - present Ms. Lady Anne P. Alfonso Member
AC Member Profile 2017 - present Mr. Michael F. Planas Member
AC Member Profile 2017 - present Engr Romeo A. Bagain Member
AC Member Profile 2017 - present Mr. Raul D. Banzon Member
AC Member Profile 2017 - present Mr. Dennis B. Ancheta Member
CONCLUSION / RATING: ISSUES: EFFECT CAUSE RECOMMENDATION
1 1 to 2 AC Members A.
2 3 to 4 AC Members B.
3 5 to 6 AC Members C.
4 7 to 9 AC Members D.
5 10 or more AC Members E.
F.

Summary:
2016 2017 2018
Number of AC Members

Rating

Quality Assurance: Yes / No Corrective actions or follow up

a. Were all procedures followed?
b. If there were deviations, were these justified and explained; and still ultimately led to achieving the audit objectives ?
c. Was the information or evidence gathered sufficient, useful, relevant and reilable?
d. Was the rating made properly using good judgment and exercising due professional care?
e. Was the rating linked/aligned/analyzed in relation to ratings in other measures/elements which have contributory cause or effect?
f. Were the findings and issues clearly stated, properly supported and communicated adequately?
UNIT: PRO or NSU or Directorate IEP Auditor:
ELEMENT Functionality of Strategy Partners
SUB-ELEMENT: Advisory Council IEP QA:
FACTOR: Working Organizational Structure and Systems
CRITERIA: Composition, Sufficiency Diversity

Measure 1: Number of Advisory Council Members

MEASURE 1 DESCRIPTION: The Advisory Council must be composed of a sufficient number of members for it to effectively discharge its functions.

AUDIT PROCEDURES: Document Review: AC member profiles, TOR, Memo from C, TWG re: Reiteration of Guidelines and Compliances for PSMUs, TWGs and ACs dated January 23, 2015; Report on the Functionality of PSMUs, TWGs and ACs
Interview: 1.) PSMU - verify process of selection of AC members. 2.) Optional: AC Members - Identify at least 2 AC members. Inquire on how they were selected and invited, and on their background and expertise
REVIEW PERIOD: Full year 2016, 2017, 2018
POPULATION: Based on total number of AC members; Review 100% of AC members' profiles since 2016 and related documents
SAMPLE SELECTION CRITERIA Random selection of AC members for interview

TESTING ATTRIBUTES: Attribute 1: Is the Advisory Council composed of a sufficient number of members?
Attribute 2:

AUDIT RESULT DOCUMENTATION: Attribute 1 Attribute 2

Reference Term Name Position Detail 4 Detail 5 Detail 6 Detail 7 (Put 1 if OK) (Put 1 if OK) Comments / Error Reasons
AC Member Profile 2015 - 2016 PDIR DIOSCORO E. YORO Chairman
,J
AC Member Profile 2015 - 2016 Mr. Ricky B Ileto Vice-Chairman
AC Member Profile 2015 - 2016 Dr. Alicia A. Denaya Member
AC Member Profile 2015 - 2016 Mr. Danilo P. Locquiao Member
AC Member Profile 2015 - 2016 Mr. Gaudencio Jose S. Palo Member
AC Member Profile 2015 - 2016 Fr. Reghis M. Romero II, meMember
AC Member Profile 2015 - 2016 Mrs. Soledad L. Mendoza, mMember
AC Member Profile 2017 - present Hon. Felizardo M Serapio Chairman
AC Member Profile 2017 - present Engr. Louie R. Sarmiento Vice-Chairman
AC Member Profile 2017 - present Mr. Reynold R. Raquel Member
AC Member Profile 2017 - present Mr. Alfred P Dalizon Member
AC Member Profile 2017 - present Pastor Arnold C. Serra Member
AC Member Profile 2017 - present Ms. Joselyn G. Jose Member
AC Member Profile 2017 - present Ms. Lady Anne P. Alfonso Member
AC Member Profile 2017 - present Mr. Michael F. Planas Member
AC Member Profile 2017 - present Engr Romeo A. Bagain Member
AC Member Profile 2017 - present Mr. Raul D. Banzon Member
AC Member Profile 2017 - present Mr. Dennis B. Ancheta Member
CONCLUSION / RATING: ISSUES: EFFECT CAUSE RECOMMENDATION
1 1 to 2 AC Members A.
2 3 to 4 AC Members B.
3 5 to 6 AC Members C.
4 7 to 9 AC Members D.
5 10 or more AC Members E.
F.

Summary:
2016 2017 2018
Number of AC Members

Rating

Quality Assurance Yes / No Corrective actions or follow up

a. Were all procedures followed?
b. If there were deviations, were these justified and explained; and still ultimately led to achieving the audit objectives ?
c. Was the information or evidence gathered sufficient, useful, relevant and reilable?
d. Was the rating made properly using good judgment and exercising due professional care?
e. Was the rating linked/aligned/analyzed in relation to ratings in other measures/elements which have contributory cause or effect?
f. Were the findings and issues clearly stated, properly supported and communicated adequately?
UNIT: PRO or NSU or Directorate IEP Auditor:
ELEMENT Functionality of Strategy Partners
SUB-ELEMENT: Advisory Council IEP QA:
FACTOR: Working Organizational Structure and Systems
CRITERIA: Composition, Sufficiency Diversity

Measure 1: Number of Advisory Council Members

MEASURE 1 DESCRIPTION: The Advisory Council must be composed of a sufficient number of members for it to effectively discharge its functions.

AUDIT PROCEDURES: Document Review: AC member profiles, TOR, Memo from C, TWG re: Reiteration of Guidelines and Compliances for PSMUs, TWGs and ACs dated January 23, 2015; Report on the Functionality of PSMUs, TWGs and ACs
Interview: 1.) PSMU - verify process of selection of AC members. 2.) Optional: AC Members - Identify at least 2 AC members. Inquire on how they were selected and invited, and on their background and expertise
REVIEW PERIOD: Full year 2016, 2017, 2018
POPULATION: Based on total number of AC members; Review 100% of AC members' profiles since 2016 and related documents
SAMPLE SELECTION CRITERIA Random selection of AC members for interview

TESTING ATTRIBUTES: Attribute 1: Is the Advisory Council composed of a sufficient number of members?
Attribute 2:

AUDIT RESULT DOCUMENTATION: Attribute 1 Attribute 2

Reference Term Name Position Detail 4 Detail 5 Detail 6 Detail 7 (Put 1 if OK) (Put 1 if OK) Comments / Error Reasons
AC Member Profile 2015 - 2016 PDIR DIOSCORO E. YORO Chairman
,J
AC Member Profile 2015 - 2016 Mr. Ricky B Ileto Vice-Chairman
AC Member Profile 2015 - 2016 Dr. Alicia A. Denaya Member
AC Member Profile 2015 - 2016 Mr. Danilo P. Locquiao Member
AC Member Profile 2015 - 2016 Mr. Gaudencio Jose S. Palo Member
AC Member Profile 2015 - 2016 Fr. Reghis M. Romero II, meMember
AC Member Profile 2015 - 2016 Mrs. Soledad L. Mendoza, mMember
AC Member Profile 2015 - 2016 Mr. John Marsh Member
AC Member Profile 2015 - 2016 Ms. Joy Divinagracia Member
AC Member Profile 2015 - 2016 Mr. Arnold Galang Member
AC Member Profile 2017 - present Engr. Louie R. Sarmiento Vice-Chairman/Acting Chairman Acting Chairman since September 2017
AC Member Profile 2017 - present Mr. Reynold R. Raquel Member
AC Member Profile 2017 - present Mr. Alfred P Dalizon Member
AC Member Profile 2017 - present Pastor Arnold C. Serra Member
AC Member Profile 2017 - present Ms. Joselyn G. Jose Member
AC Member Profile 2017 - present Ms. Lady Anne P. Alfonso Member
CONCLUSION / RATING: ISSUES: EFFECT CAUSE RECOMMENDATION
1 1 to 2 AC Members A. Insufficient number of AC Members Lack of ability to proved neededNo real support from head of unit; PSMU transferred or vacant position for most of 2017 and 2018
2 3 to 4 AC Members B. No designated Chairman Lack of permanent leadership in council will delay the achievement of the AC agenda and projects and the conduct of meetings
3 5 to 6 AC Members C.
4 7 to 9 AC Members D.
5 10 or more AC Members E.
F.

Summary:
2016 2017 2018
Number of AC Members

Rating

Quality Assurance Yes / No Corrective actions or follow up

a. Were all procedures followed?
b. If there were deviations, were these justified and explained; and still ultimately led to achieving the audit objectives ?
c. Was the information or evidence gathered sufficient, useful, relevant and reilable?
d. Was the rating made properly using good judgment and exercising due professional care?
e. Was the rating linked/aligned/analyzed in relation to ratings in other measures/elements which have contributory cause or effect?
f. Were the findings and issues clearly stated, properly supported and communicated adequately?