DTI CAVITE INTERNAL AUDIT 2013Team Leader : MS Arroyo

Team Members : FB Cupit

NK Manalo

AP Luce

JM Virrey

Audit of Mgm’t. – Cavite(5, 6, 8)

GOOD PRACTICES OFIs

Improvements introduced by DTI-Cavite in their implementation of the QMS :

Inclusion of the CSF analysis for other processes, incl. customer feedback on sales promo., mediation & BDD’s service processes w/c formerly focused on CSFs gathered from B/N applications.

The holding of monthly division mtgs. as well as monthly mgmt. meetings so that matters needing immediate attention can be acted upon at once.

Mgm’t. reviews are done regularly (monthly & quarterly).

Audit of Mgm’t. – Cavite(5, 6, 8)

GOOD PRACTICES OFIs

Mgm’t. reviews were effectively carried out & in accordance w/ the req’ts. (i.e. review input & output) as evidenced by minutes of meetings while division mtgs. were done monthly to regularly monitor implement- ation of the management system (agenda includes analysis of performance targets vs. accomplishments, monitoring of previous agreements/action plans and other operational concern).

Tracking Form is effectively being utilized.

To include a column for expected completion dates for easier monitoring of status of said activities.)

Availability of resources in the implementation of the QMS.

Audit of Mgm’t. – Cavite(5, 6, 8)

GOOD PRACTICES OFIs

Exceeds the expectation on the conduct of IQA vis-à-vis declared frequency to determine whether the QMS conforms to what was established by the organization & to determine if QMS is effectively implemented.

Unmet targets were properly tagged, for instance, BRCWD’s unmet targets for the months of June and July 2013.

PO to include/reflect all the possible causes (in the root-cause analysis portion) so that the problem could be better addressed, e.g., problem in the PBR system or computer hardware, etc.)

Responsibilities & authorities are well defined as evidenced in the PINAS & Dashboard accomplished at Division & individual levels. (5.5.1)

Audit of Mgm’t. – Cavite(5, 6, 8)

GOOD PRACTICES OFIs

1st sem 2013 customer satisfaction rating (above the 90% target) generally shows that customers were satisfied with the services provided by the POs & that customer reqt’s. were being addressed.

There is a need to standardize the survey respondents (i.e. Internal/external process) included in the summarized survey results of each PO for a more uniform analysis of customer perceptions/needs.

Flag raising ceremony every Monday morning and flag lowering every Friday afternoon is regularly observed in compliance to CSC rules including the observance of no noon-break policy and a public assistance/ complaints desk.

PO is ARTA-compliant (Citizens Charter conspicuously posted; maintains a Public Assistance & Complaints Desk, box for CSFs, signages to aid senior citizens, PWDs and pregnant women in transacting business). 

Audit of Mgm’t. – Cavite(5, 6, 8)

GOOD PRACTICES OFIs

Need for further collaboration with RO in the setting & reporting of some quality objective indicators example “ % of case resolved within prescribed time”. (Reg’l. Concern)

Also, some spaces in the AR Reports are blank. Blank reports may signal a wrong/misleading impression on FTL compliance target/output of the PO.

Although corresponding CCPARs were issued on a monthly basis, may consider improving the use of CCPAR only at the end of the reckoning period depending on the process/performance measure to identify the true root cause of the problem/nonconformity & implement corrective & preventive actions as the path towards improvement and effectiveness of QMS. (Reg’l. Concern).

Audit of FAU– Cavite

GOOD PRACTICES OFIs

Maintenance Plans (Vehicle & Property) are well-established and regularly monitored.

Property Maintenance Plan for 2013 was inspected & found updated as of Sept. 2013. Random verification showed achievement of the Plan per evaluation of Checklist Form FMO5-SGS-001a.

Above practice is consistent with the observed “Zero break-down” of vehicles & major equipt. (aircon).

PC maintenance c/o internal staff regularly conducted.

Audit of FAU– Cavite

GOOD PRACTICES OFIs

Planned quarterly Maintenance of Air-Con (outsourced) and regular cleaning (in-house) was noted.

Orderliness/cleanliness of the work environment conducive for office work and clients is very evident. (6.3 / 6.4)

Supplier Evaluation was evidently performed (7.4.1)

Training program is dependent on the R.O. (6.2)

ID of competency gap captured thru IPAS.

PO FAU assumes that it is RO’s mandate to process, analyse, summarize competency gap indicated in the IPAS page on training needs.

Audit of BDD– Cavite

GOOD PRACTICES OFIs

Unmet targets were properly tagged. For instance, unmet target arising out of sales generated from int’l. trade fair was properly tagged under CCPAR # VRO-13-002 (wherein target was $0.04 while actual acco. was $0.03). The root-cause of which was the higher participation fee in the export zone which prompted the seller-participants to join the retailers zone with a lower participation fee.

Business consultancies rendered include provision of brochures on starting a business, financing.

The target no. of trainings to be conducted was exceeded (target is 1 and acco. is 2). Post training evaluation showed client satisfaction.

Audit of BRCWD - Cavite

GOOD PRACTICES OFIs

All 1st sem 2013 targets were met except for the June 2013 target on % PBR transactions. Appropriate correction and corrective actions were taken per CCPAR No. RST-13-001 to address said unmet target and prevent its recurrence. A database to monitor BN transactions and the TAT is kept and regularly updated (real time).

There is a need to clearly define the indicators being monitored to standardize the measurement of accomplishments for each POs (e.g. How to count the no. of PBR transactions? Does it include unsuccessfully processed BN applications? (Reg’l. Concern)

Procedure on resolution of complaints was verified during audit. Records were properly kept and easily retrievable. Logbooks/ database maintained and updated. 1st sem 2013 target on % resolution of cases was met.

Audit of BDD– Cavite

GOOD PRACTICES OFIs

1st sem 2013 target TAT in processing sales promo permits was met and even exceeded (1 day). 1st sem targets (applications processed and permits approved) were were exceeded. Database of sales promo permits issued is maintained to monitor schedule of supervision and assignment of DTI representative.

To achieve the TAT of 5 working days, promo permits (approval letter) were immediately sent to applicants either thru email or courier once approved.

May consider having a clear measurement of the TAT (define the end of the process - whether the process ends upon issuance of promo permit no. or issuance of the approval letter) in processing sales promo permits. (Reg’l. Concern)

Although a new form (Evaluation Sheet for New Sales Promo Permit - Form F-MFO4-002) has been implemented as a result of previous IQA, corresponding changes in the documented Service Process on Sales Promotion has not be effected.

Audit of BDD– Cavite

GOOD PRACTICES OFIs

1st sem 2013 targets (new and renewal) were exceeded including the turn around time. Processing of applications for accreditation of repair and service shops was verified and found to be in accrordance with the service process (R4A-SP204). Records are kept, properly maintained and easily retrievable. Database of repair and service shops are maintained. TAT properly measured and monitored.

All new and renewal applications for accreditation of ref and aircon service shops were inspected.

Documentation – CaviteDOCUMENT CONTROL (4.2.3)

GOOD PRACTICES OFIs

Compliance to document control procedure is evident thru presented records & documents required by the process

Ensure that documents are properly distributed to the concerned copy holder/s as coded in the registry (DIRR).Noted example : distribution of document to BDD and FAD.

External documents were verified and found properly controlled and located in the area declared in the individual MEDs.

There are inconsistencies noted in the DCO’s masterlist of internal docs (MID) vs. the actual document with regards to the revision status.Noted example: R4A-SP401, R4A-SP404, R4A-SP406.

Proper filing, document access and retrieval were commended. The DCO may request copies of (doc

creation/change requests) DCCRs from the RISOC in order to easily identify any change made in a document.

Proper filling up and availability of forms as required by the document control procedure is appreciated.

Documentation – CaviteRECORDS CONTROL (4.2.4)

GOOD PRACTICES OFIs

Upon random verification of the individual quality records matrix (QRMs), controlled parameters as follows are appreciated and commended:• Accessibility• Retrieval• Filing

Not all areas verified follow the required indexing/labelling guidelines for records folders as required under R4A-G-001.Noted example: FAU records (HR)

There are controlled documents, Service Process, found in the list of records (QRM) under BDD with specific retention period. It should be noted that only records are being declared in QRMs while documents are in MIDs/MEDs.

BRCWD – CaviteProduct Realization (section 7) / Planning (clause 5) / Monitoring, Measurement & Improvement (section 8)

GOOD PRACTICES GOOD PRACTICES

Division targets are in placed, supported by individual quality objectives per key indicator

Each individual process has specific monitoring tool that make it easy to measure each individual accomplishments.

Implementation of the following processes were commended:• PETC• PMR • Monitoring / enforcement of FTLs

(CMEP)Each process indicator is supported by details of as to the number of firms, name of firms, and even scheduling of BRCWD staff for monitoring such declared firms. Such system is effective in gathering factual data and information specially for regulatory functions.

Turn-around-time on PETC processing is properly monitored which based on the average, is within the required time under the accreditation citizen’s charter.

Records retrieval, access, collection and indexing being practiced under the division are impressive and commendable.