Republic of the Philippines

Department of Labor and Employment

Cordillera Administrative Region
FM-SPM-04-08
Cabinet Hill, Baguio City REV 0 07/18/2013

Internal Audit Checklist (For Processing of Claims)

Department/Section: IMSD Auditor: J. Fortunato

Process Name: Processing of Claims 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
FM-SPM-04-08
Cabinet Hill, Baguio City 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)?
7.5.1 1. Is the relevant procedure in Processing of Claims in the area
audited followed? (Walkthrough the procedure.)
2. Are forms properly accomplished? (Check if records are
available to evidence the procedure implementation, follow
the process flow as you check.)
3. Are the process requirements (i.e. required documents from
requestors specified in the checklists, etc.) were met prior to
processing, approval and release/delivery of cheques?
 Republic of the Philippines
Department of Labor and Employment
Cordillera Administrative Region
FM-SPM-04-08
Cabinet Hill, Baguio City 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 maintenance services checked during the
delivery of these services? (May check who is responsible in
checking the services.)
8.3 1. Ask if there are nonconforming processing of claims identified
and recorded during the last 6 months, such as wrong entries in
the cheques. If there are, how are they controlled to prevent the
unintended release/delivery of cheques?
2. What disposition actions were made for those cheques 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 is corrected, check if it was subject to re-
verification or re-checking to demonstrate conformity to the
8.4 requirements.
5. Was there analysis of the nonconforming cheques to trigger
appropriate actions? (Actions could be preventive or corrective.)
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.
 Republic of the Philippines
Department of Labor and Employment
Cordillera Administrative Region
FM-SPM-04-08
Cabinet Hill, Baguio City REV 0 07/18/2013
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