Document Reference Code:

Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 1 of 9

Process: Office/Unit Date of Audit:

Provision of Health Services
Medical & Dental Certification
School Health Projects
Management
Medical/Dental Supply
Management
SGOD- School Health and December 10, 2019
Nutrition
References: ISO 9001:2015, RA 9155, DepEd Orders,
Regulatory and Statutory Policies and Guidelines
ISO 9001 2015, DepEd Memo No. 53, s 2008, DepEd Memo No.
277 s. 2009, DepEd Memo No. 22 s. 2015, DepEd, DepEd
Memo No. 28 s. 2018, CSC Memo Circular No. 34 s. 1997,
CSC Memo Circular No. 41 s. 1998, DepEd No. Order 43, s.
2016, DepEd Order No. 28, s. 2018 and DepEd Order No. 54,
s. 2015

No. Guide Questions Sub- Evidence and C OFI NC

Clause Findings Minor Major
Clause 4.0 Context of the Organization
1. Has the organization identified 4.1
documented and analyzed
external issues that can affect
customer satisfaction and
delivery of services?
Has the organization identified 4.1
documented and analyzed
internal issues that can affect
customer satisfaction and
delivery of quality services?
Is there an authority for the 4.1
identification, documentation
of external and internal
issues? (Review the org chart and
note name and title of key person in-
charge of this process; check any
record showing that external and
internal issues are reviewed,
approved and signed by that
authority.)
Needs and Expectations of Interested Parties
Has the organization identified 4.2
and documented its interested
parties relevant to QMS? (See
list of interested parties)
Are needs and expectations 4.2
from these interested parties
identified and documented?
Scope of the Quality Management System
Has the organization identified 4.3
the scope of QMS?
Does the scope address
external and internal issues,
services of the organization?
If applicable, is the exclusion 4.3
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 2 of 9

to the scope properly defined,

including its justification? (See
exclusion, if there’s any.)
Quality Management System and Process
Are the processes needed for 4.4
the quality management
system and their application
established and maintained?
Are required inputs and 4.4
expected outputs identified
and documented? (See
documented evidence of input and
output of processes)
Is there a documented 4.4
designation of responsibilities
and authorities to ensure
compliance of these
processes? ( See
memo/appointment)
Has the organization identified 4.4
risks and opportunities for
each process (use risk-based
thinking) in which possible
events or activities will impact
the achievement of QMS? (For
Top management and Risk
Management Committee: Check risk
management plan for risks)
Are there documented results 4.4
to evaluate the effectiveness of
these processes? Are results
reviewed in a timely manner?
(Check management review,
customers’ feedback, and review
results of this documented evidence.)
Clause 5.0 Leadership
Can the top management 5.1
demonstrate how they
promote risk-based thinking?
(Check if there’s a training on risk-
based thinking)
Can top management 5.1
demonstrate that it has
provided resources needed for
QMS? (Check if there’s enough
manpower, training, equipment to
implement the process)
Customer Focus
Does top management ensure 5.1.2
that risks and opportunities
that can affect conformity of
services and the ability to
enhance customer satisfaction
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 3 of 9

are determined and

addressed? (Check risk and
opportunities; are there risks
/opportunities in each process? How
does the top management address
risks that can affect the conformity of
processes? See action plan.)
Communicating the Quality Policy
Do staff members understand 5.2.2
the quality policy? (Interview a
few staff, see if there’s a training
record/awareness campaign or
activity.)
Organizational Roles, Responsibilities and Authorities
Are job descriptions 5.3
documented with
responsibilities to deliver
intended outputs? (Check
documented evidence)
Is there a back-up person with 5.3
the same qualification and
authority for each possible
significant position? (Review the
replacement position plan for key
people in case of absence. Ask for
documented evidence.)
Clause 6.0 Planning
Actions to Address Risks and Opportunities
Determining Risks and Opportunities
Are techniques/methods used 6.1.1
to identify risks and
opportunities? (Techniques such
as PFMEA, RPN value or SWOT
analysis)
Are risks and opportunities 6.1.1
categorized per their severity
of their impact? (Check the
documented evidence.)
Is there an established 6.1.1
plan/method detailing actions
to be taken to address risks
and opportunities? (Actions may
include avoiding the risk, taking the
risk, sharing the risk or retaining the
risk by informed decision, check if
these actions are considered in their
action plan in resolving risks.)
The Planning of Changes
Has the organization identified 6.3
and documented potential
changes? (i.e. changes in the
procedure in securing travel authority,
processing of payroll)
Is the purpose of changes 6.3
defined? (Ask for documented
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 4 of 9

evidence if there are changes in the

process, check if the purpose of
change is defined.)
Are changes communicated to 6.3
relevant people? changed
responsibilities? (Check if there’s
a coaching/mentoring/training
conducted for changes in the QMS.)

Clause 7.0 Support

Resources
Has the organization 7.1
determined and provided
persons responsible necessary
for the establishment,
maintenance and continual
improvement of QMS? (Check
pieces of evidence how the IQA and
QMR maintained the QMS.)
Has the organization 7.1
determined, provided and
maintained infrastructure for
the operation of the processes
to achieve conformity of
services? (Ask for equipment used,
maintenance program, means of
communication like email, fax)
When addressing changing 7.1
needs and trends, has the
organization considered its
current knowledge and
determined how to acquire or
access any additional
knowledge and required
updates? (Check documented
evidence of acquiring knowledge i.e.
learning from failure of
process/customer feedback,
seminars, trainings, conference.)
Competence
Is adequate manpower 7.2
provided for quality activities,
processes? (Check record of
competence evaluation, skill matrix,
portfolio)
Has the organization identified 7.2
training needs and
documented a training plan?
(Ask for documented evidence for
training plan or certificates of
trainings attended.)
Are the individual training 7.2
records well established? (Ask
for documented evidence of training
records.)
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 5 of 9

Awareness
Does employee training 7.3
include the quality policy and
the methods established to
comply with it? (Check if there’s
an employee training/awareness
plan)
Are employees informed about 7.3
their direct contribution and
benefit to meeting quality
objectives? (Ask random
employees/process owner about their
contribution on achieving the quality
objectives.)
Are the employees aware of 7.3
the impact of noncompliance?
(Interview process owner how NC can
affect the process and the
organization.)
Communication
Is critical information 7.4
identified to be shared
internally? (Ask for documented
evidence, i.e memo or policy regarding
critical information; how does the
organization implement the Data
Privacy Act?)
Is information communicated 7.4
in a timely manner? (Ask for
documented evidence i.e memo,
minutes of meetings; Is it done
monthly, quarterly, yearly?)
Is there an established 7.4
method to communicate
information relevant to the
quality management system?
(i.e. memo, official statements, email,
meetings; ask for documented
evidence)
Documented Information
Are quality systems and 7.5
manuals, procedures
documented and identified?
(Check if each document is
identifiable with document number,
revision date, publication /issue date,
author.)
Is there a documented 7.5
procedure in place that
describes approval,
distribution, and change
control for internal
documents? (Ask the audited
person to describe the process and
cross check if it matches with the
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 6 of 9

documented evidence.)
Is there evidence that 7.5
approval, distribution and
change of documents are
properly followed as describe
in the procedure? (Check if there
is a distribution list and if it includes
document number, distribution date
and signature of user who received
the copy.)
Is there a master list of all 7.5
controlled documents that
includes current revision and
distribution information? (Ask
for the copy of master list)
Is there a documented 7.5
procedure that describes
control for external documents
and is there evidence that it is
being followed? (1.Ask for the
copy of procedure for the control of
external documents, randomly ask for
an external document that is being
used and cross check it against the
declared procedure; 2. check if there
is an existing master list of
uncontrolled documents and if the
presented document is included in the
master list.)
Control of Documented Information
Is appropriate documented 7.5.3
information available at
locations where they are used?
(Select three major documents from
the distribution list and cross check if
the user on site (different office/dept.)
has same revision document.)
Are procedures in place 7.5.3
defining the type, location,
protection, retrieval, retention
period and disposal of
documented information?
(Check master list of
documents/records; see if retention
and disposal period is being observed
against the declared procedure.)
In which location is 7.5.3
documented information
stored? Are they easy to find?
(Is it protected against loss or
destruction? Where are the master
documents stored? Are the master
documents in a protected location? )
Is the retention period of each 7.5.3
record defined in the
procedure? (Check documented
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 7 of 9

evidence.)
Are records that are required 7.5.3
to a period of time identified?
(Check if there is any specific
identification such as “for disposal”
assigned to such record.)
Clause 8.0 Operation
Has the organization identified 8.1
risk and opportunities on
operational processes using
risk-based thinking? (Check risk
and opportunities, and plan to
mitigate risk.)
Is there a plan to control this 8.1
process? (Check if there are quality
metrics)
Customer Communication
Is there a plan to 8.2.1
communicate with customers
in timely manner about
services? (Ask for any documented
evidence such as memo, procedures)
Identification and Traceability
Is there a procedure/system 8.5.2
that describes how document
can be tracked? (See evidence
and cross check against the
documented procedure.)
Customer or External Provider Property
Is there a procedure in place 8.5.3
that specifies methods of
handling customer or external
provider property to avoid
damage, deterioration or other
adverse effects?
Preservation (Applicable to School Health Section)
Are there procedures that 8.5.4
specify material handling to
and from stock locations to
assure protection from mix-
ups, damage, deterioration,
contamination or other
adverse effects? (Check if
cabinets, storage locations use to
handle medicines, vaccines and
others are adequate to prevent
damage.)
Is there a procedure to control 8.5.4
materials with limited shelf life
to prevent expiration or
deterioration? (Check if storage
life limit is defined, and what is the
action plan after the period has
expired.)
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 8 of 9

Is there a procedure 8.5.4

established that describes the
methods for authorizing
receipt and dispatch from
storage locations? (Check if there
are records of IN/OUT signed by
authorized person.)
Post-delivery Activities
Has the organization 8.5.5
established a procedure to
handle potential undesired
consequences associated with
services? (Undesired consequences
includes nonconforming process,
check corrective activity, root cause
analysis technique)
Does the organization provide 8.5.5
customer feedback for future
improvement? If any, is
negative feedback reviewed
and properly assessed? Are
records maintained? (Review
feedback records and action taken to
negative feedback.)
Control of Changes
Are changes reviewed and 8.5.6
authorized by competent
personnel? (Check procedure and
document that can verify that
changes are reviewed and
authorized; ensure that the document
is signed by the authorized person.)
Release of Services
Are all personnel (performing 8.6
monitoring and measurement)
trained and competent? (Check
training records of personnel)
Can authorization records for 8.6
release of service be traced
back to person(s)? (Identify
traceability of records.)
Customer Satisfaction
Is there a procedure to 9.1.2
conduct customer satisfaction
survey? (Check customer feedback
records.)
Are there follow-up actions for 9.1.2
improvement after survey?
Analysis and Evaluation
Is there a system /procedure 9.1.3
to evaluate the effectiveness of
actions taken to address risks
and opportunities? (Check
document and note the document
 Document Reference Code:
Department of Education -
SCHOOLS DIVISION OF SANTA ROSA CITY SRC--FR-11

Effectivity
August 16, 2018
Document Title: Date:
AUDIT CHECKLIST Revision No.: 0
Page No.: 9 of 9

number and revision number.)

Has the organization identified 9.1.3
a need for improvements to
the quality management
system? (Ask for documented
evidence if there’s a plan for
improvement or an on-going
improvement of the QMS.)
Clause 10.0 Improvement
Is there a system/procedure 10.1
as a guideline for
identification of opportunities
for improvement? (Check
document number and revision
number)
Is there a responsible person 10.1
in charge to conduct this
identification? What tool is
used to identify opportunities
for improvement? (Check if any of
the techniques are used: internal
audit, process capability, data
analysis.)
Is there any list of opportunity 10.1
for improvement approved,
timeline of implementation?
Are evidence and the result of
such improvement visible?