Template #12

[Official Agency Letterhead]

BASELINE ASSESSMENT REPORT As of [Date]

In the operations level, it should be per PPA.

a.Executive Summary

b.Objectives

Scope

The assessment shall cover the period from January….

Methodology

ICC, NARRATIVE PROCEDURE

c. Findings and Recommendations

1. Inconsistent use of monitoring tool to record transaction

(What is key control point? Monitoring)

2. Unauthorized employee receiving the initiatory pleading

(What is key control point? Authority)
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d.Overall Findings

Provide the detailed findings and recommendations on each internal control component
from the conducted BAICS

Include the summary of the following:

▪Interim report, which enumerates significant and material gaps or control

deficiencies/breakdowns that require immediate action

Include topic sentence which must be 1 sentence

▪Control universe, which provides a list of all controls on key processes of

operations, support to operations, and general administration and support,
including control gaps/deficiencies/breakdowns

must be grouped by control component

▪Control gaps/deficiency/breakdowns as a result of the review of oversight

bodies and local/international development partners

1. Organizational Structure

e. Attachments Prepared by:

Name(s) of Planning Team Member(s) Date

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Reviewed by:

Name of Planning Team Leader Date

Approved by:

Head of Internal Audit Date