AUDIT REPORT

Client : DEPARTMENT OF TRADE AND INDUSTRY – REGIONAL OFFICES & BUREAUS

Client ID : 5428
Date of Audit : 06 October – 07 December 2023
Type of Audit : SECOND SURVEILLANCE AUDIT - ANNUAL

CONFIDENTIAL
This Audit Report is confidential and intended for the organization stated above. It is strictly forbidden to share any part of the report with any
third party without the consent of the organization. Unauthorized disclosures will be subject to existing laws. Should this report be inadvertently
sent to you by mistake, you are required to inform us and immediately delete it.
 AUDIT REPORT
ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL
A. AUDIT INFORMATION
Name of Organization Client ID Audit Dates
DEPARTMENT OF TRADE AND INDUSTRY 5428 06 October – 07 December 2023

Address of the Organization

Trade and Industry Building, 361 Sen. Gil J. Puyat Avenue, Makati City

Site(s) Audited (If different from address above)

Regional Office 9; Regional Office 5; Regional Office 1; Regional Office 12; Regional Office 2; Regional Office 3; Regional Office 11; Regional Office
10; Regional Office 7; Regional Office 8; Regional Office 4A; Regional Office 6; CARAGA Regional Office; Regional Office 4B; Regional Office CAR;
Regional Office NCR; Competitiveness Bureau; Bureau of Import Service; Bureau of Trade and Industrial Policy Research; Export Marketing Bureau;
Fair Trade and Enforcement Bureau.
Scope of Certification

Provision of consumer advocacy, trade and industry information, business counselling, conduct of trade fairs, conduct of training, business name
registration, issuance of sales promo permit, accreditation of service enterprise, issuance of BMBE registrations, monitoring and enforcement of Fair
Trade laws (FTLs), price monitoring, consumer complaints handling, and administrative support to operations.

Exclusion/s, if any: (Identify the exclusion/s and justification) Yes No

-
Audit Team
Team Leader Liza G. Rosal
Team Members Justo R. Batoon, Jr. Paul Timothy C. Hupanda
Aravilla G. Bukas Clarissa M. Oracion
Marlon P. Campued Carlos Isidoro I. Somera
Edgardo V. Eleria Lea C. Sarabia
Arnel D. Guevara Florante B. Zarate

Attachments

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Audit Plan Attendance Record Closing Meeting Report Action Request Report, If Applicable
Others (Please Specify) ____________________________
Guidance on audit report presentation:
1. Although audit results presented in Section C is on a per-clause basis, CIPI uses a process approach as a methodology in auditing. Further, it adopts a holistic
approach to evidence gathering in determining the level of conformity to the management system and its effectiveness in achieving the intended results.
2. The reference standard is also presented for the organization to recognize its intent, and thereby, address the requirement in a manner that is useful for the
organization.
LEGEND: Black Font – Conformity Blue Fonts – Opportunities For Improvement Red Fonts - Nonconformity

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B. AUDIT SUMMARY
B.1 Result of Audit (Recommendations) Nonconformities Raised Initial date Action Request due
Minor Major
Recommended for Continued Certification
Recommended for Continued Certification Subject to the Submission of
3 0 26 February 2024
Corrective Actions
Not Recommended for Continued Certification
B.2 Executive Summary

The organization’s implementation of its quality management system has been demonstrated and was found to be generally compliant to the
requirements of the Standard ISO 9001-2015. One DTI has shown a very good level of improvement in its QMS since it started in 2021.

However, there is a need to eliminate the causes of the three (3) minor Nonconformities identified in this surveillance audit . Out of the five (5)
previously reported nonconformities, three (3) are recommended for close-out. Two of these were raised during the Stage 2 audit. The two (2) previous
nonconformities found in the 1st surveillance audit are still open (Team-01/S1 and Team-02/S1). While most of the regional offices and bureaus that
were identified in these two (2) previous NCs were found to have effectively implemented their corrective actions, there were a few offices where
lapses to the requirements of Clause 7.2 (Competence) and Clause 9.1 (Monitoring and Measurement) were seen. Opportunities for improvement
were also offered in this audit and the organization is strongly encouraged to consider them.

Internal and external issues relevant to the strategic direction of the organization and the requirements of its relevant interested parties (stakeholders)
were reviewed and updated and the corresponding risks and opportunities were addressed thru action planning and implementation.

Leadership & commitment has been demonstrated by top management at the Central Office and the offices/bureaus through their active participation
in the QMS and management reviews, so that the QMS remains relevant and aligned/integrated with the organization’s processes.

The Scope and the organization’s Quality Policy remain unchanged.

The organization is recommended for continued certification to the Standard ISO 9001:2015 subject to acceptance by the CIP Review Board of the
adequate response to the Action Request Report submitted after the closing meeting at the Central Office last December 07, 2023.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
4 Context of the organization
4.1 Understanding the organization and its context The process of determining the internal and external issues, needs and
The organization shall determine external and internal issues expectations of interested parties including actions to address risks and
that are relevant to its purpose and its strategic direction and opportunities is documented in " ONE DTI QMS Planning Tools” (GL-PL-01
that affect its ability to achieve the intended result(s) of its Version 3, effective date 1 August 2022).
quality management system. The organization shall monitor All the Regional offices and bureaus used SWOT Analysis for the
and review information about these external and internal determination of relevant internal and external issues. Determined internal
issues. and external issues were seen documented in “Organizational SWOT
NOTE 1 Issues can include positive and negative factors or Analysis FY 2023 (FM-PL-OG-03). Strengths, Weaknesses, Opportunities
conditions for consideration. and Threats were determined per Process, where applicable. Strengths
NOTE 2 Understanding the external context can be facilitated and Weaknesses were determined in terms of the 5Ms- Man, Method,
by considering issues arising from legal, technological, Machine, Materials and Measurement, while Opportunities and Threats
competitive, market, cultural, social and economic made use of PESTLE.
environments, whether international, national, Regional or Documented information seen were as follows:
local.
NOTE 3 Understanding the internal context can be facilitated DTI – Regional Office 1.
by considering issues related to values, culture, knowledge and
performance of the organization. The organization’s determined requirements for the identification of
internal and external issues capable of affecting the intended results of the
QMS, needs and expectations of relevant interested parties to the QMS,
and action planning to address risks and opportunities were defined in the
documented guideline titled "One DTI QMS Planning Tools” (GL-PL-01;
Version 3; August 1, 2022).
An overall adequate implementation to the requirements of the One DTI
QMS Planning Tools were seen at the DTI Region 1 Office which were
presented in the prescribed forms.
The identified region-wide internal and external issues of the QMS were
seen in the “Organizational SWOT Analysis” document dated July 17,

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
2023. The internal and external issues of the QMS were derived from the
intended results of the organization that were presented in the “Strategic
Direction” document. The July 2023 Organizational SWOT Analysis
document also determined the processes of the DTI Region 1 Office where
the identified “issues” are applicable.
A corresponding process-specific identification of internal and external
issues, including the determination of potential risks and opportunities,
were seen available at the various DTI process groups which were
presented in their respective “SWOT Analysis” document (i.e., SWOT
Analysis document of the BNR process of DTI Ilocos Sur Provincial Office
dated July 20, 2023; SWOT Analysis document, as of 3rd quarter 2023, of
the Consumer Complaint process group).
The identified issues at the DTI Region 1 Office that are capable of
affecting the determined Strategic Direction of the organization includes
the following:
Strengths.
• Availability of updated/relevant trade and industry info materials.
• Competent personnel.
Weaknesses.
• Limited human resource.
• Old vehicle (only one vehicle assigned in each PO).
• Absence of plantilla items for critical functions.
Opportunities.
• Established linkages with stakeholders.
• Linkages with international government agencies.
Threats.
• Downtime and system errors in the BNR system, OPMS, PhilGEPS
website, eMDS, PCIMS.
• Bribery, harassment, political interventions.

Region 2

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Organization SWOT Analysis FY 2023 was updated last 28 September 2023.
Examples:
• Strength: (S-13) Presence and high visibility in various media
platforms/channels in LGUs
• Weakness: (W-9) Non jurisdictional products are included in rice
monitoring
• Opportunities: (O-7) Highly receptive and motivated clients
• Threat: (T-6) Lack of support from some of the local government
officials

Region 3, CAR
The internal and external issues were determined through the SWOT
analysis method and some of which were as follows:
• Strengths- knowledgeable accreditation officer; establishment of
One DTI-QMS; established BN system; maintenance of data base
• Weakness – Unavailability of Accreditation officer in certain
situation; mobility of accreditation officer to conduct inspection due
to old service vehicle; inadequate facilities; malfunction of
equipment.
• Opportunities – Acceptance of application for accreditation of SRE
• Threats – Occurrence of fortuitous events such as earthquake, flood,
pandemic, etc.

Opportunity for Improvement

The determination of issues was at the process level instead of the regional
context.

Region 4A
Its organizational SWOT analysis (FM-PL-OG-03) has been updated to
process the internal issues and concerns. This is done through session and
meetings to determine their strength, weaknesses, opportunities and
threats. Under item 5 of the 4th Mancom meeting (October 2023), updates

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
of SWOT analysis (internal and external issues), stakeholder analysis ad
feedback from relevant interested parties was discussed. Action programs
together with responsible officers were defined.

5Ms (man, method, machine, materials, and measurements) are also used
in determining or assessing both the issues and concerns of the
organization.

Regional Office 4B:

Latest review and update of the internal and external issues was conducted
06 November 2023. Frequency of update is quarterly. Evidence of review
was done during the latest Management Review conducted 17 October 2023.
Example of the issues identified are: Connection Speed, Limited Manpower
Complement, Compliance to turn around time, Availability of business
information material, established online BN registration, list of tools and
equipment needs to be updated, limited capability building programs for new
employees, insufficient/limited funds, late submission and approval of
project proposal, and strong partnership with LGUs among others. Overall,
there is a good level of review and update of issues based on the strategic
direction and intended result.

Region 5
When determining the direction and strategy that DTI-Region 05 intends to
pursue, it is guided by the Department of Trade and Industry’s “Prosperity
Plan 2022”. This Plan affects how the Regional Office addresses the
requirement Context of the Organization.
Those internal and external issues relevant to DTI-Region 05 are
determined through the One DTI QMS Planning Tools (Document Code: GL-
PL-01, Version 3, Date Effective: 01 August 2022). These internal and
external issues are based on the Strategic Direction of DTI as a whole (i.e.
its Vision, Mission, Core Values, and Quality Policy). The specific issues are
determined through the use of a SWOT analysis: internal issues are the

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Strengths and Weaknesses of the Organization while external issues are its
Opportunities and Threats.
An Organizational/Regional-level SWOT Analysis is done showing the
specific Strengths, Weaknesses, Opportunities, and Threats and the specific
Process related to each.
The consolidated Organizational SWOT Analysis (FM-PL-03, s. 2022 v1-1;
Form Code: FM-PL-OG-03, Revision: 0, Date: 01 August 2022) dated 26
September 2023 was presented those internal and external issues at the
Region level. The consolidated SWOT analysis not only enumerated those
positive and negative internal issues (Strengths and Weaknesses,
respectively) and positive and negative external issues (Opportunities and
Threats) affecting the operations of DTI-Region 05 but also identified those
Processes (12 core and four[4] support) affected by the issues. Examples
of the core and support processes enumerated in the consolidated
Organizational SWOT Analysis were Business Name Registration, Business
Counselling, Issuance of BMBE Registrations, Conduct of Trade Fairs,
Conduct of Training, Enforcement of Fair Trade Laws, Consumer Complaints
Handling (for Core Processes), Human Resource, General Administrative
Service, and IT (for Support Processes).
As seen in the presented September 2023 Organizational SWOT analysis,
the specific instruction is to identify “existing factors or conditions that can
affect the attainment of Strategic Direction, Policies, and Objectives of the
Organization [i.e. DTI-Region 05). This serves as a guide in the
determination of issues. Examples of the identification of Strengths,
Weaknesses, Opportunities, and Threat are:
• Strengths: Service-oriented and client-focused organization
Availability of organizational knowledge repository, and Availability of
innovative and relevant programs for clients.
• Weaknesses: Limited technical expertise, Limited personnel
complement, and Lack of licensed Windows operating system.
• Opportunities: Highly competitive products and MSMEs, Availability of
technologies/financing that are supportive of development and growth

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
of the digital economy, and Supportive and collaborative LGUs, NGAs,
and other stakeholders.
• Threats: Calamites (both natural and man-made), Health hazards,
and Poor regulatory compliance of the clients.
Aside from the Organizational/Region-level SWOT Analysis, SWOT Analysis
was also seen to be conducted at the Process level such as the 2023 SWOT
Analysis for the Business Counselling Process that was updated on 30
September 2023. The Business Counselling Process-level SWOT Analysis
was consistent with the September 2023 Organizational SWOT Analysis and
also identified the Potential Risk(s) and Potential Opportunity(ies) for each
Issue, including Reference Documents.
Clearly, SWOT analysis—Organizational-level and Process-level—is
conducted regularly with the lists being updated. Information identified in
the SWOT Analysis are monitored and are used in the updating.

Opportunity for Improvement

The presented Strategic Direction of the Department was its Prosperity Plan
2022. The medium-term development plan—2023-2028—is still undergoing
review at the time of this audit.

Region 6
Organization SWOT Analysis FY 2023 was updated 21 July 2023
Examples:
• Strength: experienced and highly responsible workforce
• Weakness: unprogrammed activities downloaded to the
region/provinces affecting absorptive capacities of a lean
organization
• Opportunities: new technologies (online platforms)
• Threat: legal suit/case against personnel or agency

Region 7

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Organization SWOT analysis was updated as of October 16, 2023. Examples
reviewed was those of the Fair Trade Law enforcement process:
• Strength: Strong work ethics, attune to the needs of the stakeholders
• Weakness: Extreme multi-tasking, inadequate monitoring, validation
and evaluation of PAPs.
• Opportunities: More empowered consumers
• Threats: Safety and Security of personnel, exposure to legal suits
and ARTA

Region 8
Organization SWOT Analysis FY 2023 updated 13 October 2023
• Strength: (S-8) Upgraded BNR System with continuous
enhancement
• Weakness: (W-18) Untimely updating of available information or
data
• Opportunities: (O-8) Advancement and adoption in information
communication technology, e-commerce and digitalization
• Threat: (T-3) BNR systems breakdown/downtime

Confirmed that the organization adequately determined the relevant internal

and external issues that can affect the organization ability to provide quality
services and attainment of the set quality objectives in Regional and
provincial level.

Region 9
Organization SWOT Analysis FY 2023 was updated last November 8, 2023
Examples:
• Strength: competent personnel knowledgeable in the process
• Weakness: outdated office equipment (laptop, computer, printer)
• Opportunities: strong partnership with LGUs, NGAs, NGOs, private
sector, and international
• Threat: unforeseen natural calamities

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Region 10
Organization SWOT Analysis FY 2023 was updated 26 September 2023
Examples:
• Strength: agile/strong leadership and hands on approach
• Weakness: limited mentoring/coaching for staff
• Opportunities: Region 10 strengthens its position as the preferred
Gateway, industrial core, and trade center in the South thru digital
transformation of MSMEs in the agri-business, tourism, and service
sectors
• Threat: BNR system breakdown/downtime

Region 11
Organization SWOT Analysis FY 2023 updated 30 September 2023
• Strength: (S-5) Established Knowledge Resource
• Weakness: (W-2) Limited manpower/limited number of Plantilla
positions
• Opportunities: (O-6) Strong collaboration with LGU, academe, NGAs,
NGOs, and Other Internal Program Institution.
• Threat: (T-10) Proliferation of deceptive sales act and practices

Region 12
DTI Region 12 has determined its external and internal issues that are
relevant to its purpose and strategic directions documented in its SWOT
analysis reviewed on 05 July 2023.

Potential Risks and Potential Opportunities were determined and these

were inputted in the Risk Registry updated as of the 3rd Quarter of 2023.

CARAGA
The SWOT analysis was presented with the identification code of the
issues, the identified issues, potential risk and potential opportunities

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
including the link to the risk and opportunity registers (RR and OR). Total
issues identified are:
• Strengths – 18
• Weaknesses – 14
• Opportunities – 13
• Threats – 12
For the regular monitoring and review of the information and any
other concerns with the Context of the Organization, Process Champions
involving all Provincial Offices are designated that conducts regular
Functional Team Meetings every quarter.

Opportunities for Improvement:

1. While there was reported hacking incident of Agusan del Norte
Facebook account, the issue related to cyber security was yet to be
considered.
2. For the conduct of trade fair for Agusan del Norte, the issue on related to
low sales provided action to mitigate the risks, however the measurement
of effectiveness may need to be reviewed since this is in terms of CSF results
rather than sales.

NCR
Prosperity Plan 2022, with a vison for a more inclusive and prosperous
Philippines with employment and income opportunities for all. The latest
review of the Organizational SWOT Analysis was conducted October 31,
2023 for the NCR Office. No changes so far was identified from the internal
and external issues.
Strengths – 20
Weaknesses – 11
Opportunities – 11
Threats - 8
Identification of SWOT to the relevant processes was demonstrated.

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Digital Philippines – BNRD
Organization SWOT Analysis FY 2023 was updated in the 3rd quarter of 2023.
Examples:
• Strength- Established Business Name Registration System
• Weakness- Limited budget for immediate and critical enhancement
of the system
• Opportunity – increasing confidence of the public in transacting with
the government online
• Threats – Increasing number of incidences of hacking

Export Management Bureau (EMB)

Organization SWOT Analysis FY 2023 was updated last August 29, 2023.
Examples:
• Strength- expertise: industry knowledge , institutional memory,
seasoned personal/team, 25 years of experience
• Weakness- quick turnover of key leadership position, lack of
knowledge transfer/management system or framework
• Opportunity – improvement of Quality Assurance: regionalization of
productivity (convergence of regions)
• Threats – EMB’s image as the lead export promotions agency of DTI
is not well-established

Fair Trade Enforcement Bureau (FTEB)

Organization SWOT Analysis FY 2023 was updated last October 31, 2023.
Examples:
• Strength- simplified procedure
• Weakness- inadequate support/resources (logistics, infrastructure,
manpower)
• Opportunity – linkages with other government
agencies/provincial/regional offices and industry associations
• Threats – system shutdown/hacking incident

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Bureau of Import Services (BIS)
Organization SWOT Analysis FY 2023 was updated last November 08, 2023.
Examples:
• Strength- established automated import data extraction system
• Weakness- lack of more advanced equipment and network (PCs,
internet, server)
• Opportunity – increased awareness of stakeholders about the online
data request
• Threats – security of data not guaranteed due to possible cyber
attack

Bureau of Trade & Industrial Policy Research (BTIPR)

• Strength: Competent human resource, Risk: Recruitment by
other agencies, cascade of incorrect/inaccurate information
• Weakness: Limited plantilla position. Risk: Overwork staff;
resignation of officials and staff
• Opportunities: Promotion of BTIPR products and services as well
as DTI/CIG news and events through CIG website.
Risks and opportunities from the identified issues are documented in the
Risk Register, ref. no. PL-BT-06, FY2023 dated Sep 27 2023.

Common OFI:
1. Some of the SWOT codes on the Organizational SWOT Analysis as
consolidated at the Regional Office were different from the codes in
the registers of the concerned process. For example, S14 in the
consolidated organizational SWOT is S2 in the process of Price and
Supply Monitoring (PSM); S13 in the consolidated organizational
SWOT is S5 in the process of Conduct of Training (CT).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
4.2 Understanding the needs and expectations of The organization determined the needs and expectations of Interested
interested parties Parties which can affect or be affected by the organization’s operation.
Due to their effect or potential effect on the organization’s Determination of interested parties’ requirements were evident in the One
ability to consistently provide products and services that meet DTI QMS Planning Tools (Document Code: GL-PL-01, Version 3, Date
customer and applicable statutory and regulatory Effective: 01 August 2022) as seen in the Organizational Stakeholder
requirements, the organization shall determine: a) the Analysis FY 2023 (FM-PL-0G-02).
interested parties that are relevant to the quality The Stakeholders Analysis is based on the Strategic Direction of DTI as a
management system; b) the requirements of these interested whole (i.e., its Vision, Mission, Core Values, and Quality Policy). The
parties that are relevant to the quality management system. following are samples identified:
The organization shall monitor and review information about
these interested parties and their relevant requirements. DTI – Regional Office 1.

The determined relevant interested parties to the QMS of the DTI-Region 1

Office and their corresponding needs and expectations were presented in
the July 17, 2023, updated “Organizational Stakeholders Analysis” for FY
2023. The form used is in accordance with the requirement of the "One
DTI QMS Planning Tools” (GL-PL-01).
An overall adequate inclusion to the relevant interested parties to the QMS
was seen in the July 2023 Organizational Stakeholders Analysis document
and likewise a good level of identification to stakeholder’s needs and
expectations. The needs and expectations determination were based on
the requirements of the stakeholders to the various processes of the DTI
Office, a corresponding identification on which process group/s does the
identified need/expectation is applicable was also included in the
“Organizational Stakeholders Analysis” document.
A process-specific identification to the interested parties of the QMS and
their needs and expectations were seen at the various process groups. An
example is the FY 2023 “Stakeholders Analysis” of the Sales Promo process
of the DTI La Union Provincial Office that was updated on July 21, 2023. The
potential risks and opportunities from the identified needs/expectation of
the interested party was also seen determined in the Stakeholders Analysis
document.

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Region 2
Examples of identified external stakeholders are consumers, MSMEs,
Business establishments, potential investors, NGAs, NGOs, Academe, Media,
LGUs. Internal stakeholders include the DTI Central Office, Bureaus,
employees/process owners.
Examples of the Organizational-level stakeholders and their needs and
expectations are
Interested Parties: Consumers
Needs and Expectations: efficient and timely business consultancy services;
stable internet connection for virtual trainings
Interested Parties: Employees/Process owners
Needs and Expectations: availability of competent sheriff; operational
succession planning

Region 3, CAR

The relevant needs and expectations of interested parties were determined

for the applicable processes and includes the following

• Businesses – Access to relevant, accurate and timely information,

presence of business counselors, access to training programs,
among others.
• Consumer/Buyers – Fair, timely and effective resolution of customer
complaints; easily accessible locations.

Retained and maintained documented information which was the

Organization Stakeholders Analysis were being updated at the end of each
quarter.

Region 4A

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The needs and expectations of the relevant interested parties from DTI
related to the process have been adequately identified. Some of the parties
identified are; customers, businesses/MSMEs, regulatory bodies (COA, DBM,
BIR), partner agencies (LGU, NGAs, Academe), applicant and external
service providers.

Regional Office 4B:

The updated list of relevant interested parties and their requirement is
presented during the audit. Latest review of this documented information
was done 06 November 2023. Example of these interested parties are: (1)
Clients, Regulatory Bodies, Partner Agencies, and External Service
Providers.

Region 5
Organizational/Regional level Stakeholders Analysis is reviewed quarterly
during Management Review. Inputs from Process Owners and Process
Champions are used for the review. When needed, the Analysis is
updated. The Analysis clearly identifies the interested parties and their
needs and expectations.
The Organizational Stakeholders Analysis—updated on 26 September 2023
during the Regional-level Management Review—showed the interested
parties and their needs and expectations. The changes involved a re-
statement in the needs and expectations for clarity.
Examples of the Organizational-level stakeholders and their needs and
expectations are
MSMEs: Business Development Services, Access to Market, Access
to Finance, Access to Technology, and Capacity Building,
Consumers: Quality and Safe Products/Services, Consumer
Education and Information Services, Stable supply of basic
necessities and prime commodities, and Quick Resolution of
Consumer Complaints.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Consumer Organizations: Capability Development Programs,
Collaborative Projects, and Consumer Education and Information
Services.
Business Sector: Fair Implementation of Fair Trade Laws;
Capacitated with the laws, rules, and regulations; and Timely
Processing of Licenses, Registrations, Permits, Accreditation.
External Providers: Detailed Terms of References and Prompt
Payment.

Region 6
Organization Stakeholder Analysis FY 2023 was updated 21 July 2023, in
which there was an adequate determination of the requirements of the
relevant interested parties identified by the region. Example:
Interested Parties: Consumers
Needs and Expectations: compliance of business establishments to Price
Act and FTL; Skill trainings/seminars/business consultancy; stable internet
connectivity

Region 7
The needs and expectations of interested parties were determined as
seen in the Organizational Stakeholders Analysis updated in 10/16/2023.
Example of interested parties and their needs and expectations determined
were: Consumers - Updated information on safe and quality consumer
products and services; Retailers/Manufacturer – provide timely and
updated information on products under mandatory certification.

Region 8
Organization Stakeholder Analysis FY 2023 (Regional and Provincial Level)
updated 13 October 2023.
Interested Parties: Government Agencies and LGUs
Needs and Expectations: Accurate and complete information about DTI
Programs and Services

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Interested Parties: Suppliers/Providers
Needs and Expectations: Prompt payment of procured goods and services

Confirmed that the organization adequately determined the requirements of

their interested parties both Regional and provincial level.

Region 9
Organization Stakeholder Analysis FY 2023 (Regional and Provincial Level)
updated last November 8, 2023.
Examples:
Interested Parties: Partner agencies (Government Agencies, financial
institutions)
Needs and Expectations: Business One Stop Shop with LGUs on Business
Permit renewal
Interested Parties: Private Partners (Chamber/SOPHIL/IGZI, Consumer
groups)
Needs and Expectations: regulatory improvement and ease of doing
business
Interested Parties: Consumers
Needs and Expectations: consumer protection from unethical business
practices and unfair trade acts
Other relevant stakeholders include businesses/MSMEs, academe,
regulatory bodies, employees, and suppliers

Region 10
Organization Stakeholder Analysis FY 2023 was updated 26 September 2023
Interested Parties: Consumers
Needs and Expectations: prompt and economical resolution of complaint
within the turnaround time; effective consumer welfare-related information
materials
Interested Parties: Development Partners (NGAs, LGUs, NGOs,
coaches/mentors, local chambers, Industry Associations, etc.)

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Needs and Expectations: maintenance of updated price database; proper
coordination pertaining to schedule and arrangement for conduct of
consumerism for a and webinars; updated and accurate information and
reference materials from existing database

Region 11
Organization Stakeholder Analysis FY 2023 was updated 30 September 2023
Interested Parties: Consumers
Needs and Expectations: Fair conduct of mediation
Interested Parties: Regulator Bodies: Commission on Audit (COA)
Needs and Expectations: Compliance to COA auditing rules and regulations

Region 12
The needs and expectation of interested parties have been determined as
seen in the Stakeholders Analysis which described who are the interested
parties, their needs and expectations and potential risks and potential
Opportunities.

The last review was made on 05 July 2023.

Examples of the interested parties that DTI Region 12 deemed relevant to

its QMS and their requirements are listed such as Business Persons,
Development Partners, Regulatory Partners, among others.

CARAGA
The Regional Organizational Stakeholders Analysis update last September
27, 2023 was presented with the relevant interested parties and needs
and expectations for all the processes of the DTI Caraga Region such as
BN, BM, TF, TII, BS, CT, SP, CC, PSM, FTL, CA, SA, SR, HR, GAS, FIN and
IT. Examples of identified interested parties are consumers,
businesses/MSMEs, oversight Agencies (COA, DBM, CSC, ARTA, etc),

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Employees, suppliers, central office, LGUs, Partner RLAs, organized
business groups and media.

NCR
Last October 31, 2023, the Organizational Stakeholders Analysis FY 2023
was reviewed and updated.
The relevant interested parties and their needs and expectations are still
the same as in the previous review.

Digital Philippines – BNRD

Examples of interested parties and their needs and expectations were:
• Business Name applicants – secured system; accurate and free
from errors Certificate of BN Registration, Certification and Official
Receipts
• Business Name Processors- on time and consistent provision of Hel
Desk Support
• Concerned government agencies- timely issuance of certifications
upon request

Export Management Bureau (EMB)

The needs and expectations of the ff. relevant interested parties are to
have a fast and accurate Trade and Industry Information
• OSEC-/Office of the Undersecretary for Trade Promotions Group
(OUTPG)
• Exporters/Aspiring exporters/Business Support Organizations
(BSOs)
• Office of the Senate/House of Representatives
• Academe
• Other government agencies: BSP, DFA
For the exporters/aspiring exporters, academe, and general public, their
other needs and expectations are relevant and effective information on
EMB services, overview of export procedures, export matching, trade

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
statistics, coffee exporters accreditation, market requirements, and other
export-related matters.

Fair Trade Enforcement Bureau (FTEB)

Examples:
• Consumers/general public – availability of safe and quality products;
working days in processing of complaints handling be in line with DAO
20-02.
• Businesses/MSMEs- proper decorum and impartial mediation officers
• Media- access to consistent and accurate information for press
release

Bureau of Import Services (BIS)

The relevant interested parties were identified as follows: Industries,
Embassies, Private Companies, Associations, banks.
Their needs and expectations were the same: reliable and updated import
data; timely processing based on ARTA (3, 7, 20 days); receptive,
courteous and knowledgeable staff; comfortable and convenient waiting
area for walk-in clients

Bureau of Trade & Industrial Policy Research (BTIPR)

The interested parties needs and expectations have been identified and
documented in the Stakeholders Analysis of BTIPR Sept. 2023.
Interested parties include the DTI Employees, DTI Functional Groups,
Top Management, Business Sector, Researchers, Academe/Research
Organizations/Institutions, National Government

Example of needs and expectations are:

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Business sectors expect an updated, complete and accurate trade and
industry information (e.g. trade and investment relations reports,
statistical datapack, etc).
Top management expects a timely provision of technical assistance and
trade and industry-related research outputs.)

4.3 Determining the Scope of the Quality The scope of the QMS has been validated and remains the same across
Management System the whole archipelago, as follows:
The organization shall determine the boundaries and “Provision of consumer advocacy, trade and industry information, business
applicability of the quality management system to establish counselling, conduct of trade fairs, conduct of training, business name
its scope. When determining this scope, the organization shall registration, issuance of sales promo permit, accreditation of service repair
consider: a) the external and internal issues referred to in 4.1; enterprise, issuance of BMBE registrations, monitoring and enforcement of
b) the requirements of relevant interested parties referred to fair trade laws (FTLs), price monitoring, consumer complaints handling,
in 4.2; c) the products and services of the organization. The and administrative support to operations.”
organization shall apply all the requirements of this
International Standard if they are applicable within the The specific processes were categorized per type of service as reflected in
determined scope of its quality management system. The the DTI Quality Manual under Organizational Profile with Ref. Code
scope of the organization’s quality management system shall DTIQM-01 Rev. No. 2-1 eff. August 2, 2021:
• Provision of Information Services: Consumer Advocacy, Trade and
be available and be maintained as documented information.
Industry Information
The scope shall state the types of products and services
• Provision of Business Development Services: Business Counseling,
covered, and provide justification for any requirement of this
Conduct of Trade Fair, Conduct of Training
International Standard that the organization determines is
• Issuance of Business Permits and Licenses: Accreditation of Service
not applicable to the scope of its quality management system.
and Repair Shop, Issuance of Sales Promo Permit, Registration of
Conformity to this International Standard may only be
Business Name, Issuance of BMBE Registration
claimed if the requirements determined as not being
• Resolution of Consumer Complaints: Consumer Complaints
applicable do not affect the organization’s ability or
Handling
responsibility to ensure the conformity of its products and
• Monitoring and Enforcement of Fair Trade Laws: Monitoring and
services and the enhancement of customer satisfaction.
Enforcement of FTL, Price Monitoring
The Scope also covers the support processes such as HR, Finance,
Procurement, General Services, etc.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
4.4 Quality management system and its processes
4.4.1 The organization shall establish, implement, maintain
and continually improve a quality management system,
including the processes needed and their interactions, in
accordance with the requirements of this International
Standard. The organization shall determine the processes
needed for the quality management system and their
DTI’s quality management system is diagrammed in the “DTI Process
application throughout the organization, and shall: a)
Map” of the Quality Manual. It shows the source of inputs, the inputs
determine the inputs required and the outputs expected from
(needs and expectations of business and consumers), the interactions
these processes; b) determine the sequence and interaction of
between processes (management process, performance evaluation and
these processes; c) determine and apply the criteria and
improvement processes, the core processes, and support processes), and
methods (including monitoring, measurements and related
the outputs leading to customer satisfaction. The Map was presented with
performance indicators) needed to ensure the effective
visual illustrations for clearer understanding of the QMS.
operation and control of these processes; d) determine the
resources needed for these processes and ensure their
Each process has a documented procedure that shows the process flow
availability; e) assign the responsibilities and authorities for
and defines the acceptance criteria, detailed activities, required
these processes; f) address the risks and opportunities as
competencies of personnel, authorized signatories, and the required
determined in accordance with the requirements of 6.1; g)
documented information. The relevant regulatory and statutory
evaluate these processes and implement any changes needed
requirements for each process were also reflected in the procedures as
to ensure that these processes achieve their intended results;
Reference documents.
h) improve the processes and the quality management
system.
4.4.2 To the extent necessary, the organization shall: a)
maintain documented information to support the operation
of its processes; b) retain documented information to have
confidence that the processes are being carried out as
planned.
5 Leadership Yes No
5.1 Leadership and Commitment DTI – Regional Office 1.
5.1.1 General

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Top management shall demonstrate leadership and Top management policy statement for leadership and commitment in the
commitment with respect to the quality management system implementation of the QMS were documented in section “3.2 Leadership
by: a) taking accountability for the effectiveness of the quality and Commitment” of the DTI Quality Manual.
management system; b) ensuring that the quality policy and The top management leadership and commitment were exemplified
quality objectives are established for the quality management through their direct participation in the quarterly management review
system and are compatible with the context and strategic meeting of the QMS.
direction of the organization; c) ensuring the integration of Continued top management support to the QMS was also evident through
the quality management system requirements into the the continuing provision of needed resources for the successful
organization’s business processes; d) promoting the use of the implementation of the management system.
process approach and risk-based thinking; e) ensuring that the
resources needed for the quality management system are Region 2
available; f) communicating the importance of effective Leadership and commitment have been generally demonstrated by the
quality management and of conforming to the quality region thru the active participation of the RD, ARD, Provincial Directors,
management system requirements; g) ensuring that the and Division Chiefs in strategic planning, review of issues and
quality management system achieves its intended results; h) requirements of interested parties, updating, and ensuring achievement of
engaging, directing and supporting persons to contribute to objectives and targets, ensuring adequacy of needed resources, and
the effectiveness of the quality management system; i) involvement in management reviews.
promoting improvement; j) supporting other relevant
management roles to demonstrate their leadership as it Region 3, CAR
applies to their areas of responsibility. The commitment of the top management at the regional office was evident
NOTE Reference to “business” in this International Standard and demonstrated through their active involvement in the effective
can be interpreted broadly to mean those activities that are implementation of the quality managements system requirements.
core to the purposes of the organization’s existence, whether
the organization is public, private, for profit or not for profit. The quality policy was made available and communicated to all employees
as well as the establishment of the quality objectives and planning to
achieve them as part of the risk-based management system.

Regular conduct of the management review to regularly evaluate the

performance of the QMS were being ensured and implemented as planned.

Region 4A

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
For DTI-4A, the demonstration of leadership and commitment is very
evident. The participation of the Regional Director and Directors of the
different Provinces were the auditees supported by the officers. Regular
meetings were done to ensure that all facets of the operations are taken
up with plans and programs to address issues/concerns and
needs/expectations.

Development of portals to reach out every interested party is being in the

system for many years now, to explore the DTIs’10 Flagship Programs.

Region 4B:
Leadership and Commitment of the Top Management is evident during the
second surveillance conducted. Active participation to the review and
update of the documented information for internal and external issues,
interested parties and their requirement, identification of associated risks
and opportunities. Also, the Top Management review the effectiveness of
the action plans to address the identified risks and opportunities.

Communication of the Quality Policy, Quality Objectives, and other QMS

related information is being done every management review.

Resources needed for the effective implementation and maintenance of its

QMS is being provided by the management.

Improvements to the QMS is being discussed every management review as

an output to ensure that the QMS of the organization is well maintained,
implemented and effective.
1. Review existing documented information for the identified internal
and external issues. A criterion may help the organization to
prioritize and qualify what internal and external issued needs to be
included in the documented information.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Region 5
Documents related to strategic planning, implementation of planned
activities. and review of the effectiveness of operations of the DTI-Region
05 were signed by the Regional Director. These documents were an
internal memorandum dated 27 September 2023 that announced the
updated Organizational SWOT Analysis and Organizational Stakeholders
Analysis with instructions to Process Owners to use these as their inputs in
determining their own specific internal and external issues and interested
parties and their needs and expectations, the updated (26 September
2023) Organizational SWOT Analysis and Organizational Stakeholders
Analysis, two(2) internal memoranda (dated 26 May 2023 and 04
September 2023) defining the agenda for the Management Reviews in
June 2023 and September 2023, the Management Review Record
prepared on 26 September 2023 covering August 2023; 2023 Training
Plan; Training Needs Analysis; Individual Learning and Development
Report (2023); and internal Memorandum dated 04 October 2023 calling
for the quarterly meeting of all Provincial Administrative Officers.
These showed that the Regional Director has taken accountability for
the effectiveness of operational processes and the established
quality management system.
Communication of the Quality Policy, signed on 15 September 2023 by the
current Secretary of the Department of Trade and Industry was being done
at both the National Level through the “One DTI QMS” program and at the
Regional level specifically during its QMS Planning.
Communicating to the personnel of DTI-Region 05 their impact on the
operations of the Region and meeting customer requirements is initially
done during orientation for employees.

Region 6
Leadership and commitment has been generally demonstrated by the region
thru the active participation of the RD, Provincial Directors, and Division
Chiefs in strategic planning, review of issues and requirements of interested

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
parties, updating and ensuring achievement of objectives and targets, and
management reviews.

Region 7
Office Order no. 2023-07 249 series of2023 was shared designating DTI-
Region 7 One DTI Quality Team Members with responsibilities defined to
a.) taking accountability for the effectiveness of the quality management
system; b) ensuring that the quality policy and quality objectives are
established for the quality management system and c) are compatible with
the context and strategic direction of the organization; d) promoting the use
of the process approach and risk-based thinking; e) ensuring that the
resources needed for the quality management system are available; f)
communicating the importance of effective .

Region 8 and 11
The Regional Directors (Region 11 and 8) demonstrated good leadership in
the effective implementation of Quality Management System in the
organization as evident in Quarterly Management Review.

Confirmed that through Strategic Planning Tools CY 2023, DTI Region 11

and 8 ensures that quality objectives are established and monitored with
the use of process approach and risk-based thinking.

Confirmed that the resources needed for the effective implementation of the
QMS is provided through the annual budget provided for the organization
and personnel.

Region 9 and 10
Leadership and commitment has been generally demonstrated by the region
thru the active participation of the RD, ARD (also QMR for Region 9),
Provincial Directors, and Division Chiefs in strategic planning, review of
issues and requirements of interested parties, updating and ensuring

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
achievement of objectives and targets, ensuring adequacy of needed
resources, and involvement in management reviews.

Region 12
Regional Memo order (RMO- 117A series of 2023- dated 16 August 2023) )
was issued to reconstitute DTI Region 12 QMS Team under the One DTI
ISO, to ensure the effective implementation of the Region’s QMS.

CARAGA
The Regional Top management headed by the Regional Director composed
the Regional Management Committee. This committee is responsible
among other for ensuring that the system leads to customer satisfaction
and quality products and services, promoting customer awareness,
ensuring the integrity of the QMS, and effective implementation of the One
DTI QMS in the Regional Office.

Strategic Planning Guide was established for One DTI to define the
strategic Directions, arising from its Values, Mission and Vision.

The Quality Policy as one DTI has been established. Quality objectives
were seen in its Outcomes for FY 2023 defining the Organizational
Outcomes, Measure and Target for 2023 which is based on the baseline of
2023, Quality Objectives and Plans for FY 2023 states the target and
Planning actions on how to achieve the objectives/targets. Process
Performances were also defined as well as monitoring results.

NCR
The commitment of the top management of NCRO was demonstrated from
the active participation and discussion of internal and external issues as well
as the actions to address the risk and opportunities.
The promotion of understanding of the quality policy and the individual
responsibility to achieve the QOP was also made evident.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

5.1 5.1.2 Customer focus DTI – Regional Office 1.

Top management shall demonstrate leadership and
commitment with respect to customer focus by ensuring that: Customer focus of the QMS was exemplified by the top management
a) customer and applicable statutory and regulatory through the provision of quality service to the various processes of the DTI
requirements are determined, understood and consistently office.
met; b) the risks and opportunities that can affect conformity The standard processing time for the transactions were identified in the
of products and services and the ability to enhance customer DTI Citizen’s Charter which were also seen monitored for compliance.
satisfaction are determined and addressed; c) the focus on The risks that can affect the provision of the DTI services were planned
enhancing customer satisfaction is maintained and implemented for risk mitigation action which are also monitored for its
effectiveness.
The continuing high ratings in the results of the customer satisfaction survey
provides evidence to the customer focus of the QMS.

Region 3, CAR
The customer focus was ensured through the enhancement of customer
satisfaction through the citizen charter and its discussion during the flag
ceremony as well as during the quarterly management review.

Region 4B:
Not only the top management demonstrates its leadership and
commitment with respect to customer focus but the process owners
interviewed during the conduct of the surveillance audit. The process
owners demonstrate a very good commitment toward ensuring that
customer requirement is being delivered beyond customer/client
expectation. Awareness to the identified risks associated to their services
is confirmed during the audit interview. Improvements for the services is
being provided for the enhancement of customer satisfaction.

Region 5
The presented SWOT Analyses and Stakeholder Analyses showed that the
internal and external issues and needs and expectations of the various and

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
diverse interested parties/stakeholders were consistently considered in the
fine-tuning of the services and products and programs and plans being
offered by the DTI Region 05 (at the various areas covered by the Regional
and Provincial Offices). Both the SWOT and Stakeholders Analysis are done
at the Region/Organizational level (i.e. internal and external issues and
stakeholders common across all Provinces, Municipalities, and Cities of the
Bicol Region) and at the Process level (i.e. Processes at each Provincial and
Office [for the Regional Office] level).
Examples of interested parties are MSMEs, Consumers, Consumer
Organizations, Business Sector, External Providers, Local
Government Units, Media, National Government Agencies (e.g.
COA, DBM, BIR, LBP, DBP), Non-Government
Organizations/People’s Organizations, and the Academe.
Consistency between the internal and external issues, needs and
expectations of interested parties—those relevant to the fulfilment of the
duties and responsibilities of the Department of Trade and Industry and its
“One DTI Quality Management System Quality Policy”—and the risks and
opportunities defined was established during this Second Surveillance
Audit.

Keeping the issues and needs and expectations of interested parties

current and reflective of the results of continual monitoring, measurement,
analysis, and evaluation is being achieved by the regular review and, if
necessary, updating of the SWOT and Stakeholder Analyses.

Region 7
1. As seen in the Stakeholders Analysis, customers were identified and
their needs and expectations were analyzed including the
associated risks and action plans for significant ones (first and
second priorities.
2. Customer Satisfaction – Client Satisfaction is known through the
conduct of survey with rating not less than Satisfactory.

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 AUDIT REPORT
ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Region 8 and 11
The Regional Directors (Region 11 and 8) together with the support of the
Process Owners demonstrated high commitment in meeting the customer
satisfaction and compliance to applicable statutory and regulatory
requirements to their processes.

The organization reviewed and monitored the actions taken to address risk
and opportunities evident in the Quarterly Management Review. Confirmed
that through Strategic Planning Tools CY 2023, DTI Region 11 and 8
ensures that quality objectives are established and monitored with the use
of process approach and risk-based thinking. Results of Client Satisfaction
Feedback (CSF) showed that the customers are very satisfied with the
services of DTI Region 11 and Region 8.

Region 2, 9, and 10
Customer focus at these regional offices has been demonstrated in the ff.:
- Inclusion of clients/customers/consumers in the Organizational
Stakeholders Analysis, determining their needs and expectations
and taking actions to address risks that may arise when meeting
their requirements
- setting of objectives and targets which always include the
measurement of customer satisfaction thru surveys
- setting of Complaints Desks to address issues/feedback/complaints
that may arise from clients

Region 12
Customer requirements are determined as seen in needs and expectations
of the interested parties. The risks and opportunities related to their
requirements are determined and analyzed to determine which needs are
to be prioritized.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The Strategic Directions defined External Stakeholders as the key to
achieve DTI’s vision of a more inclusive and prosperous Philippines with
employment and income opportunities for all.

CARAGA
Customer focus is assured by conducting regular customer satisfaction and
feedback survey, addressing the concerns, and promoting customer
awareness.

NCR
Processes of the NCRO are implemented based on the standard planning
tools and focus on the satisfaction of the clients. Customer Satisfaction
survey is established to determine the satisfaction rating of the clients for
the services provided by the office core and support processes.

5.2 Policy The Quality Policy of the Department of Trade and Industry, which all
5.2.1 Establishing the quality policy Bureaus/Services, Regional Offices, and Provincial Offices adhere to was
Top management shall establish, implement and maintain a presented. This is documented and controlled in the One DTI Quality
quality policy that: a) is appropriate to the purpose and Manual (DTI QM 01-07). It was reviewed and signed by the current
context of the organization and supports its strategic Secretary of the Department on 15 September 2023. The Policy indicates
direction; b) provides a framework for setting quality DTI’s commitment to develop a more prosperous Philippines.
objectives; c) includes a commitment to satisfy applicable The Quality Policy is communicated to all DTI employees and other
requirements; d) includes a commitment to continual interested parties thru the ff.:
improvement of the quality management system. - One DTI-QMS SharePoint
5.2.2 Communicating the quality policy - DTI Employees recite the Quality Policy during flag ceremony and
The quality policy shall: a) be available and be maintained as management meeting
documented information; b) be communicated, understood - Shown in the DTI website
and applied within the organization; c) be available to relevant - Displayed at the lobby of Regional and Provincial Offices; Public
interested parties, as appropriate. Assistance area
- Quality Policy is part of the awareness program of the organization
at both Regional and Provincial level

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
5.3 Organizational roles, responsibilities and authorities Organizational roles, responsibilities, and authorities for the effective
Top management shall ensure that the responsibilities and implementation of the Quality Management System (QMS) were defined in
authorities for relevant roles are assigned, communicated and the documented Quality Manual under Organizational Profile (DTIQM-01
understood within the organization. Top management shall Rev 2-1 eff. August 02, 2021). It defines the composition of DTI Top
assign the responsibility and authority for: a) ensuring that the Management at the National Level, Functional Group Level, and the
quality management system conforms to the requirements of Bureaus/Offices/Regional Office Level (referred to as Management
this International Standard; b) ensuring that the processes are Committee).
delivering their intended outputs; c) reporting on the
performance of the quality management system and on The designation of personnel handling works relevant to the overall
opportunities for improvement (see 10.1), in particular to top implementation of the QMS at the regional level is documented in
management; d) ensuring the promotion of customer focus Memorandum/Office Orders signed by the Regional Director. Documented
throughout the organization; e) ensuring that the integrity of information seen:
the quality management system is maintained when changes
to the quality management system are planned and DTI – Regional Office 1.
implemented.
Roles, responsibilities, and authorities for the effective implementation of
the QMS were identified and defined in the DTI Quality Manual.

The Regional Director is the appointed Quality Management

Representative (QMR) of the DTI Regional Office.
The DTI Provincial directors were appointed as Deputy QMRs of the DTI
Region 1 Office through the Office Order No. 119-1 series of 2023 –
“Designation of Deputy QMR of DTI Region 1”. The roles and
responsibilities of the Deputy QMR were also identified in the issued Office
Order No. 119-1.

The Job Profile of the various work positions identifies the roles and
responsibility of the specific personnel.

The organizational structure of the DTI Region 1 Office is documented in

the “DTI – Region 1 Organizational Chart” (Regional Office) while the DTI

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Provincial Office’s organizational structure were documented in their
respective Provincial Office Organizational Chart.

Region 2
• Organizational Structure of the Regional Office 2 dated August 26,
2022
• Memorandum on DTI R2 Quality Management Team (QMT)
Members dated January 12, 2023- composed of Regional QMR,
Deputy QMRs, Regional Quality Coordinator, Provincial Quality
Coordinators, Complaints Desk Officers, and Internal Quality Audit
team Head, Team Leader, and Members
• Office Order defining the roles, responsibilities, and authorities of
the Quality Management Team
• Tasks and responsibilities in Position Description Form

Region 3, CAR
Organizational roles, responsibilities and authorities were defined in the
quality manual, relevant procedures and organizational charts, and were
designated to qualified person in the organization.

Region 5
Aside from the Qualification Standard of the Civil Service Commission and
the Competency Standard of the DTI, duties, responsibilities, and
authorities are defined in the documented processes and procedures of
DTI-Region 05.

Region 6
• Organizational Structure of the Regional Office 6 and the Provincial
Offices
• Office Order No. 2023-064 dated October 31, 2023– Designation of
DTI 6 Quality Management Team (QMT)- Regional QMR, Deputy

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
QMR (per Provincial Office), Regional Quality Coordinator, Internal
Quality Auditors

Region 7
These are defined in the Office Order no. 2023-07 249 series of 2023
designating DTI-Region 7 One DTI Quality Team Members with
responsibilities and authorities.

Region 8
• Regional Office Order No. 2023-030 series of 2023 dated June 6,
2023. Re-composition of the DTI 8 QMS Team signed and approved
by RD Celerina T. Bato
• DTI 8 Regional Office Organizational Chart effective date June 2023
• DTI Samar Provincial Office Organization Chart effective date
October 24, 2023
• Competency Based Job Description-Chief Trade and Industry
Specialist

Region 9
• Organizational Charts of the Regional Office 9 and the Provincial
Office
• Regional Memorandum Order No. 46 Series of 2023- Creation of
the Expanded DTI IX Quality Management System Structure.
Composed of Advisory Board (ExCom- RD/ARD, all Provincial
Directors) and QMS IX Development Committee with the ARD as
the QMR and PDs as the Deputy QMRs, chair and members of the
Internal Quality Auditors team, Quality Coordinator, and
Complaints Desk Officers.

Region 10
• QMS Functional Charts of the Regional Office 9 and the Provincial
Office

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Region 11
• Regional Office Order No. 139 series of 2023 dated October 13,
2023. Reconstitution of the DTI 11 QMS Team signed and approved
by RD Maria Belenda Q. Ambi
• Regional Office Order No. 4084 series of 2023 dated July 3, 2023.
Updated Organizational Structure and Staff Assignment of DTI
Regional Office Personnel
• Competency Based Job Description-Administrative Officer II

Region 12
Regional Memo order (RMO- 117A series of 2023- dated 16 August 2023)
) was issued to reconstitute DTI Region 12 QMS Team under the One DTI
ISO, to ensure the effective implementation of the Region’s QMS. The
Regional Top Management constitute the QMS Team, from the Regional
Director to Provincial Directors, Division Chiefs.
The Management Review Committee responsibilities and Functions were
defined such as:
- Review of the QMS at planned intervals to ensure continuing
suitability, adequacy, and effectiveness
Required Management Inputs was part of the Memo.
The latest organizational Chart of the Region was shared with the position
and names of the position holder.

CARAGA
Regional Office Order No. 2023-07-01 dated 24 July 2023 was issued to
update the composition of the DTI-Caraga QMS Team.
The top Management of the DTI Caraga which is also the Regional
Management Committee is composed of the following:
1. Gay A. Tidaldo – Regional Director
2. Brenda B. Corvera – Asst. Regional Director

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
With the Provincial Directors and Division Chief of CPD, SDD and FAD. The
Regional Director is the Chair of the Management Review Board of the
Regional Office Caraga.
The ARD, is designated as the Regional Quality Management
Representative with the support of the Provincial Directors as Deputy
QMRs.

NCR
The QMR is responsible to oversee the effective implementation of the
QMS for the NCRO that includes processes such as:
1. Issuance of BMBE Registration
2. BNR
3. Conduct of Training

Ensures focus on the needs and expectations of customers derived from

the CSF as tools for determining the voice of the customer

6 Planning Yes No
6.1 Actions to address risks and opportunities
The determined relevant issues (internal and external) and the requirements
6.1.1 When planning for the quality management system, the
of interested parties were considered in the updated Risk Register and the
organization shall consider the issues referred to in 4.1 and
Opportunity Register of the concerned process/service. Existing controls to
the requirements referred to in 4.2 and determine the risks
address risks and actions being taken for opportunities were defined in the
and opportunities that need to be addressed to: a) give
said Registers.
assurance that the quality management system can achieve
Assessments of risks and opportunities arising from the identified relevant
its intended result(s); b) enhance desirable effects; c) prevent,
issues and requirements of interested parties were carried out in matrices
or reduce, undesired effects; d) achieve improvement.
using criteria that followed probability and impact scoring to determine
priorities in addressing them thru evaluation of priority level:
6.1.2 The organization shall plan: a) actions to address these
• Risk Assessment Rating from 1 to 3 (1-Low, 2-Medium, 3-High).
risks and opportunities; b) how to: 1) integrate and implement
Ratings 5 to 6 (1st Priority) and 3 to 4 (2nd Priority) need an action
the actions into its quality management system processes (see
plan.
4.4); 2) evaluate the effectiveness of these actions. Actions

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
taken to address risks and opportunities shall be • Opportunity Assessment Rating from 1 to 3 (1-Low, 2-Medium, 3-
proportionate to the potential impact on the conformity of High). Ratings 5 to 6 (1st Priority) and 3 to 4 (2nd Priority) need an
products and services. action plan.
NOTE 1 Options to address risks can include avoiding risk,
taking risk in order to pursue an opportunity, eliminating the DTI – Regional Office 1.
risk source, changing the likelihood or consequences, sharing
the risk, or retaining risk by informed decision. The potential risks and opportunities from the identified internal and
NOTE 2 Opportunities can lead to the adoption of new external issues were seen determined in the process specific “SWOT
practices, launching new products, opening new markets, Analysis” of the various offices of the DTI Provincial and Regional Offices
addressing new customers, building partnerships, using new (please refer to report on Clause 4.1).
technology and other desirable and viable possibilities to Relatedly, the potential risks and opportunities from the identified
address the organization’s or its customers’ needs. needs/expectations of the interested parties were determined in the
“Stakeholder Analysis” document of the various process groups of the DTI
Provincial and Regional Offices (please refer to report on Clause 4.2).
The assessment to the significance level of the identified risks and
opportunities were also conducted at the specific process group’s “Risk
Register” and “Opportunity Register” (i.e., Risk Register as of 3 rd quarter
2023 of the Sales Promo; Risk Register as of 3rd quarter 2023 for the
Processing of Claims of the AFMD of the Regional Office; Risk Register of
the Consumer Complaints group dated October 9, 2023; Risk Register as
of 3rd quarter 2023 of the BNR process of the DTI Ilocos Sur Provincial
Office; Opportunity Register as of 3rd quarter 2023 for the Processing of
Claims of the AFMD of the Regional Office; Opportunity Register as of 3 rd
quarter 2023 of the BNR process of the DTI Ilocos Sur Provincial Office).
The risk and opportunity level were evaluated following the established
criteria for the parameters on “Probability” and “Impact” that were
included in the "One DTI QMS Planning Tools”.
The evaluated significant risks and opportunities (1 st Priority and 2nd
Priority) were planned for actions in the “Risk Register” and “Opportunity
Register”.
Action implementation monitoring and action effectiveness determination
were made evident in the records of the “Risk Monitoring” and

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
“Opportunity Monitoring” of the various process groups. The 3 rd quarter
2023 risk and opportunity action effectiveness evaluation generally
showed an effective action taken to the identified risks and opportunities.

Opportunity for Improvement

OFI-01. Action planning for Priority 1 and Priority 2 risks is a requirement
in the “Risk Rating Criteria” of the "One DTI QMS Planning Tools”.
Consistent compliance to the action planning requirement needs to be
consider.

OFI-02. Risk/s are also present in positive issues and shall be determined
accordingly in the “SWOT Analysis” of the various offices of the DTI
Provincial and Regional Offices.

Region 2
Risk and Opportunities Registers were updated last September 29, 2023.
Examples:
- Price Monitoring- Isabela Provincial Office: for the risk of limited no. of
business establishments monitored, the existing control is mandatory price
monitoring workload of JBCs
- Accreditation of SRE- Nueva Vizcaya Provincial Office: for the opportunity
of good image of DTI, the action is advocate clients’ continued compliance
to accreditation.

Region 3, CAR
• The risks and opportunities were determined in consideration of the
internal and external issues as well as the needs and expectations of the
interested parties. Sampled process was the processing of claims.

• The documented information being retained were the Risk Registry which
was updated as of 3rd quarter of 2023 and consist of risk identification,

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ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
risk assessment, risk treatment and risk monitoring in which the actions
were being evaluated for its effectiveness.

• The Opportunity Registry for Sales Promotion(R03) and Consumer

Advocacy (CAR) was presented and identified opportunities such as;
acceptance of SP application documents via email for initial
investigation; existence of check and balance prior to approval; actions
to address the opportunities were evident and demonstrated.

• The action plans for the risks and opportunities which were labeled as
risk and opportunity treatment were being evaluated for its effectiveness
on quarterly frequency.

• It was indicated as YES on the effectiveness of actions to address the

risks and opportunities from Q1 to Q3

Region 4A
From the determination of the issues and concerns, plus the identification
of interested parties with their needs and expectations, customer
satisfaction surveys, complaints and from the Department’s direction,
mandate (globally competitive and innovative industry), mission/vision
(creation of business which has the objectives, goals, targets, control
program, new control program, responsibility, frequency of monitoring as
well as evaluation of performances.

Under the Planning Section, Calendar of activities/meetings were

programmed for the year. environment and ensuring customer welfare)
and policy, the organization has developed and action plan to address the
risks/opportunities and achieve their organization’s goals. These are
manifested in the Registry of Risk/Opportunity.

Opportunity/ies for Improvement

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Based on this sampled data, below are the OFIs
Risk Potential Cause Potential Impact Indicator
Adverse/negativ Non-compliance Improve Minimal number
e findings and of rules and procedure of audit finding
issuance of regulations
AOMs
The priority rank is 2nd with a rating of 4.
• The potential impact may need to be reviewed. The auditee has
mentioned that there will be a budget cut or suspension of
personnel if the unit is adversely affected.
• The indicator may need to establish what is minimal finding to
make a clearer view of what they want to accomplish.
• Being 2nd priority, an action/program to address may need to be
established.
• Another is the lack of knowledge. When this was pursued on what
program to be implemented, it is only coaching. Determining
what the personnel needs to be competent and knowledgeable,
was omitted in the action plan like a competency gap analysis.
• Filing of legal/admin complaints may have an impact to the
personnel on suspension or termination.
• For the opportunity assessment: There are no objectives or
benefits from the identified opportunities.
For the positive customer satisfaction, the effectiveness indicator, it says
only CSF survey without defining what to be achieved from the CSF.

Region 4B:
As a result of review of information to the internal and external issues, and
relevant interested and their requirement, risks and opportunities are
identified and documented in the Risk Registry and Opportunity Registry.
Taking in consideration the importance of this process to the quality
management system. The organization actions to give assurance that the
quality management system will achieve its intended result, enhance

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
desirable effect to the quality management system, prevent or reduce
undesirable effect to the quality management system, and achieve
continual improvement of the quality management system.

Examples of risks identified in the documented information are: (1) Delay

in the processing of request, (2) non-availability of concerned staff, (3)
Quality of reports not met, (4) non-availability of approving authority, and
(5) No CSF from the client.

Action plans to address risks and opportunities are identified as well. This
is being monitored and reviewed on a quarterly basis and being discussed
during the management review. Examples of these action plans are: (1)
non-availability of concerned staff; implement succession planning, (2)
quality of report not met; indicate source of data and as of date, and (3)
non-availability of approving authority; check schedule of approving
authority, and authorize use of e-signature. Evaluation of urgency for
addressing the risks and opportunities is being done using the evaluation
criteria established.

Result of monitoring of effectiveness is documented and being reported as

well to the top management during the management review.
1. Review action plans (existing and additional/new). The identified
action plans need to be aligned to the available documented
information such as office orders, administrative orders, relevant
circulars, policies, and guidelines.
2. Currently, the organization has and very good definition of action
plans. Consideration of this information needs to be taken into
account in the determination of existing and additional action plan.
3. Revisit existing risks and opportunities. Clear linkage between
internal and external issues, and the information from the relevant
interested parties and their requirement needs to be demonstrated
in the available documented information.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Region 5
The identification of risks and opportunities, based on the Stakeholders
Analysis, is done at the Process Level (i.e. Provincial Office and Divisions
[Business Development, Consumer Protection, and Administrative and
Financial Management]).
As an example of this. the risks and opportunities relevant to the process
Consumer Complaint Resolution was presented. The risks and opportunities
that were identified addressed a need and/or expectation of an interested
party.
Actions to address risks and opportunities were seen in the Risks
Registries and Opportunity Registries of the Process. For
Opportunities, the Process identified their Opportunities as First
Priority (Prioritize and Pursue Action).
The Risk Register of the Process identified risks that were traceable
to the Process-level Stakeholders Analysis. Actions to address
Risks—Existing Controls—were seen in the Register as well as the
result of the quarterly monitoring of the effectiveness of the Existing
Controls. The Process Owner identified New Actions for the Risk
“Filing of Administrative Case Against DTI Personnel” even if existing
controls were seen to be effective; this is meant to enhance the
existing control.
Like the Stakeholders Analysis the identification of risks and opportunities,
based on the SWOT Analysis, is done at the Process Level (i.e. Provincial
Office and Divisions [Business Development, Consumer Protection, and
Administrative and Financial Management])
As an example of this. the risks and opportunities relevant to the process
Business Counseling was presented. The risks and opportunities that were
identified addressed a Strength, Weakness, Opportunity, and Threat.
Actions to address risks and opportunities were seen in the Risks
Registries and Opportunity Registries of the Process.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The Risk Register of the Process identified risks that were traceable
to the Process-level Stakeholders Analysis. Actions to address
Risks—Existing Controls—were seen in the Register as well as the
result of the quarterly monitoring of the effectiveness of the Existing
Controls. The Process Owner identified New Actions for the Risk
“Filing of Administrative Case Against DTI Personnel” even if existing
controls were seen to be effective; this is meant to enhance the
existing control.

Region 6
The above-sampled issues (SWOT) of the region were traceable from the
process, in which the process owner determines the risks and opportunities
in its Risk Register and Opportunity Register. Examples are:
- Issuance of Sales Promo Permit- for the weakness of
unprogrammed activities downloaded to the region/provinces
affecting absorptive capacities of a lean organization, the risk
identified was delay in the processing of permit. Existing
controls are designation of alternate SPO, training of DMOs, and
adjustment of schedules with the alternate SPO.
- Complaints Handling- for the opportunity of new technology, the
action is the use of online platform other than Zoom for virtual
hearings and conferences.

Region 7
A guide on determining issues vs risks and opportunities was shared, Risk
identification, risk assessment, risk treatment and risks monitoring.
The Risk Register as of 2023 Quarter 4, as an example – IDD was shared.
There were determined 1st Priority – Data not available at source, inadequate
data processing capability, and 2nd Priority - Incomplete and inaccurate data,
high expectation of external clients. Existing controls were determined, new
action plans defined responsibility and timeline determined and results risk
monitoring per quarter was seen.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Opportunity/ies for Improvement

Quarters 3 and 4 results were noted even if these quarters have not yet
elapsed.

Region 8
• Risk and Opportunities Registers-Leyte Provincial Office updated
September 29 2023. Results of assessment showed that there was a total
of four (4) opportunities in 1st priority level and four (4) high risks.
• Planned action for addressing risks and opportunities were seen in “Risk
Treatment”. Action plans were combination of new and existing
operational controls.

Region 9
The above-sampled issues (SWOT) of the region were traceable from the
process, in which the process owner determines the risks and opportunities
in its Risk Register and Opportunity Register. Examples are:
- Business Counseling (Zamboanga City Office)- the risk of health
hazard from the threat of public health disasters and unforeseen
natural calamities has an existing control of conducting online
coaching.
- Price Monitoring (Zamboanga City Office)- for the opportunity of
well-regulated business environment with high compliance rate,
the action is nomination of compliant establishments for BAGWIS
Awards.

Region 10
Risk and Opportunities Registers were updated last October 31, 2023.
Examples:
- Consumer Advocacy- for the risk of delay or
postponement/cancellation in the holding of awareness-raising

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
campaign for consumer empowerment or FTL briefing, the existing
controls are coordination with other technical staff to play recorded or
show canned presentation and Plan B preparation for alternative
venue.
- HR Recruitment & Selection- for the opportunity of attracting more
eligible and competent applicants, the action is to continue to utilize
online platforms for publication of vacancies and may refer to online
CSC website for advisory and guidelines

Opportunity/ies for Improvement

For the Opportunity identified in RSP (HR), there may be a need to further
define the additional actions to be taken to ensure that there will more
applicants because DTI is a “Great Place to Work”.

Region 11
• Risk and Opportunities Registers-Davao Oriental updated September 30,
2023. Results of assessment showed that there were a total of five (5)
opportunities in 2nd priority level and zero (0) high and medium risk.
• Risk and Opportunities Registers-Davao De Oro updated September 30,
2023. Results of assessment showed that there were a total of five (5)
opportunities in 1st priority level and One (1) high risk.
• Planned action for addressing risks and opportunities were seen in “Risk
Treatment”. Action plans were a combination of new and existing
operational controls.

Opportunity/ies for Improvement

The organization needs to revisit on how the existing operational control
measures will be appropriately considered in the risk and opportunity rating
computation.

Region 12

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The risk register updated as of 3rd Quarter of 2023 was shared. It determined
the risks, the risk assessment considering the risk criteria- Probability,
Impact and Score and the risk priority level of 1 st, 2nd and last priority.
Action Plans are also defined for each of the priority rating.

Recommended actions were also defined per priority rating. Risk

Acceptance for those rated as 2.
There were seen ratings such as 2nd priority with action plans determined.

Opportunities were identified for the issues determined and criteria for rating
were likewise defined as Probability and Severity. Opportunity rated as high
is prioritized and pursued with action plans, while those rated as 2nd priority
are considered for future actions.

Opportunity/ies for Improvement

There were seen several risks identified for a determined issue, however,
ratings seen was only one. This may not ensure correct rating for each of
the risk determined.

Verification of Team 01/St2 – for FTL group - STILL OPEN

The needs and expectations of identified Interested parties were
identified, however there was no evidence that these were
considered in the determination of risks and opportunities.
(Note by the Team Leader: This is to be raised as a new minor NC;
the above-mentioned previous NC, Team 01/St2, is recommended
for CLOSE-out)

CARAGA
The identified associated risk and opportunities from the SWOT and PESTLE
were presented for relevant functions. Examples of Risk and opportunity
registers reviewed are for:
• Conduct of Trade Fair – ROG/Caraga/AGusan del Norte

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Business Counselling – Agusan del Sur
• Price and Supply Monitoring – Agusan del Sur
• Consumer Complaints Handling – Agusan del Sur
• IT Services – Regional Office
The existing controls for all the risks and new action or “what is to be
done” for 2nd and 3rd priority risk were specified for risk treatment.
Measurable effectiveness indicators that usually related to the objectives
and targets are also defined for objective quarterly assessment.
Likewise, opportunities register with traceability of identified opportunities
from the SWOT, assessment based on standard criteria, prioritization,
responsibility, timeline are seen defined. The opportunity monitoring every
quarter was also seen with the effectiveness evaluations.

NCR- Business Name Registration

From the stakeholder’s analysis that was updated October 19, 2023 the
associated risk and opportunities were identified, such
From the SWOT Analysis dated October 19, 2023, 5-Strengths, 2-
Weaknesses, 1-Opportunity, 1-Threats.
The Risk Register, that was updated October 19, 2023 was presented
with the identified risk, likewise opportunity register highlights the identified
opportunities. For the risk assessment, probability or likelihood and impact
or severity according to the risk rating criteria. For rating of 5-6 considered
as 1st priority risk, the action necessary are eliminate, mitigate, avoid and
transfer. For the rating of 3-4 or second priority risk, the action are to
mitigate, avoid and transfer. For the rating of 2 or considered last priority,
the action is to accept.
Examples of risk identified and assessed were:
1. Customer complaints due to discourteous and lack of knowledge staff
which is 1st Priotity with rating of 2 and 3 for probability and severity.

NCR- Conduct Of Training

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The stakeholder’s analysis with the needs and expectations, potential risks
and opportunities were updated as of October 17, 2023.
The SWOT Analysis was also presented dated October 17, 2023 , with 4-
strengths, 3-wekanesses, 2-opportunities and 1-threats.

From the Opportunity Register dated 17 October 2023, 1st priority was
identified on the closure of training gaps for clients. The results showed High
CSF rating with VS rating. The focus group discussion was confirmed
regularly conducted to discussion resulting to needed training determined
through the TNA.
For the Risk Register for the conduct of training, 1 first priority risk related
to delay in the implementation of training program due to procurement of
needed food, supplies, training providers was identified with corresponding
action plan.

VERIFICATION OF PREVIOUS NONCONFORMITY:

TEAM-01/ST2 – CLOSED. The issues identified from the SWOT were
confirmed considered from the risk and opportunity register.

Digital Philippines – BNRD

Examples of risks and opportunities and actions to address them:
1. Risk - compromised sensitive personal info; 1 st Priority; New action-
remediate the negative findings identified during the COA IT audit
pertaining to system security. Record shared to evidence the action
was the Information Systems Review Observation Memorandum
(ISROM) which reflects the observations, risk implication, risk
evaluation, and recommendations.
2. Opportunity – increased level of competencies and morale of BN
Processors; 2nd Priority; Action- annual conduct of webinars and
Retooling Program for processors; partner with Negosyo Center-PMU
on the evaluation and recognition initiative for the processors

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Export Management Bureau (EMB)
Examples of risks and opportunities and actions to address them:
For the process of Trade and Industry Information:
1. Risk - incomplete and inaccurate information. Existing control is
review of the requested information by the immediate superior; new
action is verification with client the correctness of the requested
information prior to transmittal via email.
2. Opportunity – increase in customer satisfaction. Action is continuous
implementation of best practices and documenting and sharing
these.

Fair Trade Enforcement Bureau (FTEB)

Examples of risks and opportunities and actions to address them:
For the process of Consumer Complaints Handling:
3. Risk - delayed resolution of complaint due to insufficient facilities.
Existing control is periodic archiving of emails with the assistance of
ISMS. New action is to request for printer/scanner and cellular phone
with teleconference capability.
4. Opportunity – strong office/agency linkages. Action is to prioritize
and ensure maintenance of relevant records and continuous
adherence to guidelines.

Bureau of Import Services (BIS)

Examples of risks and opportunities and actions to address them:
1. Risk - delay in processing the requests for import data. Existing
controls include posting of advisory for information of all stakeholders
and use of mobile data or other internet provider.
2. Opportunity – timely processing of requests, source of import data
readily available, and streamlining of process. Actions are regular
updating of import data, continuous improvement thru system
updating, capacity building of staff.

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 AUDIT REPORT
ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Bureau of Trade & Industrial Policy Research (BTIPR)
Risks and opportunities from the identified issues are documented in the
Risk Register, ref. no. PL-BT-06, FY2023 dated Sep 27 2023.
Action to address the risks and opportunities was explained and
demonstrated.
Example of risks: Loss of reliability of BTIPR as the primary research arm
of DTI; Lack of willingness/interest to provide inputs/assistance to BTIPR
activities/initiatives
Potential opportunities: Establishment of BTIPR’s reputation as a reliable
source of trade and industry data/information and services
Actions implemented:
Constant follow-up on requests for inputs/ assistance
Undertake employee engagement activities
Craft program/s to boost motivation

Common OFIs in the risk assessment and actions to address the

risks:
1. Need to revisit the risk assessments if the priority level is correctly
determined based on the criteria on probability of occurrence and
severity of impacts. It was observed that existing controls were not
considered or factored in the probability of occurrence.
2. Some Effectiveness indicators were seen as action
implementation, e.g., 100% maintenance of ICT infra (Region 6);
no. of partnerships with other government agencies, no. of
system issues/errors (Digital Phils.). Measurable
targets/indicators that will evidence effectiveness of the
implemented actions may be considered.

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 AUDIT REPORT
ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
6.2 Quality objectives and planning to achieve them. The functional quality objectives and measurable targets in each Regional
6.2.1 The organization shall establish quality objectives at Office and Bureau were documented in “Quality Objectives and Plans FY
relevant functions, levels and processes needed for the quality 2023” (QOP) - (FM-PL-05). The quality objectives were based on the
management system. The quality objectives shall: a) be organization’s Strategic directions and consistent with the current quality
consistent with the quality policy; b) be measurable; c) take policy. The QOP also showed how an office/division/functional level intends
into account applicable requirements; d) be relevant to to achieve the Objectives and Targets by defining
conformity of products and services and to enhancement of processes/activities/strategies to be implemented, when these will be
customer satisfaction; e) be monitored; f) be communicated; implemented, those responsible for the implementation and monitoring of
g) be updated as appropriate. The organization shall maintain the actions/strategies/ processes, the required budget to complete the
documented information on the quality objectives. actions/strategies/ processes, and references (documented information)
6.2.2 When planning how to achieve its quality objectives, the relevant to the completion and effectiveness of the
organization shall determine: a) what will be done; b) what actions/strategies/processes.
resources will be required; c) who will be responsible; d) when
it will be completed; e) how the results will be evaluated Examples of objectives/targets per office/bureau/process are as follows:

Regional Office 1 / Ilocos Norte / La Union

Quality objectives and planning actions were based on the processes of
CPD and BDD
Consumer Protection Division (CPD) processes include:
• Price and Supply Monitoring*
• Sales Promotion
• Consumer Advocacy
• Service and Repair Shop Accreditation
• Complaints Handling*
• Monitoring and Enforcement of Fair-Trade law
*not implemented in RO1
Business Development Division (BDD) processes include:
• Conduct of trade fair *
• Conduct of Training
• Business Counselling*
• Business Name Registration
• Barangay Microbusiness Enterprises*

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
*not implemented in RO1

Opportunity/ies for Improvement

(RO1/CPD) The targets related to % of firms monitored compliant FTLs
and No. of Enforcement plan prepared (every quarter) were not defined.

Region 2: Cagayan Provincial Office

Conduct of Training
• No. of Trainings conducted
• No. of MSME provided with training

Accreditation of Service and Repair Establishments

• Application for ASRE issued within the prescribed time ( no of
shops accredited)
• Client Satisfaction Rate ( no of respondents)

Issuance of BMBE Registrations

• Timely Process of BN Registered
• 98% client satisfaction rate

Monitoring and Enforcement of FTL

• 90% of firms monitored compliant with FTL (Priority per CMEP)

Opportunity/ies for Improvement

It was observed that data of actual performance were higher than set
targets.

Region 2: Quirino Provincial Office

Provision of Consumer Advocacy
• 100% of planned initiatives are conducted in accordance with the
timelines specified in the project proposal

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• 98% of clients rated the advocacy initiatives as satisfactory or
better

Opportunity/ies for Improvement

The previous target for outcome has been removed for August to
December 2023, and instead established objective for the output of no. of
consumer advocacy activities conducted, which is observed to be an
activity-based instead of planned result or outcome-oriented target.

Trade and Industry Information

• 95% of clients service within prescribed time: as per ARTA- 3, 7,
20 days depending on type of transaction; as per FOI- within 15
days which can be extended for another 20 working days
• 90% clients who rated the TII process as satisfactory or better

Business Counselling
• 90% of BC services rendered within 1 hour
• 98% of clients rated the BC process as satisfactory or better

Region 4A: Rizal Provincial Office

Business Counselling
• Ensure the provision of business consultancy services to client
MSMEs and Clients satisfaction

Price monitoring
• prices are reasonable, effective and efficient of handling customers
complaint under the consumers act, ensure filing of cases with an
airtight evidence.

Consumers Complaint Handling

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Ensure resolution of consumer complaints within prescribed time

Region 4A: Laguna Provincial Office

Conduct Of Training
• Enhance MSMEs productivity and competitiveness thru trainings,
seminars and workshops. The target is 90% achievement of the
processing time indicated in the proposal.
• Ensure high client satisfaction rating with target of 90% satisfactory
rating or better.
• The strategies on how to achieve the objectives, resources,
responsibilities and monitoring tools was also seen specified.

BMBE Registration
• 90% of BMBE certificate issued within prescribed time
• Zero typo error for certificate
• 90% satisfied customer or better

Accreditation of Service Repair Enterprises

• 99% of application for accreditation processed within prescribed
time

Monitoring and Enforcement of Fair Trade Laws

• 90% compliance of firms

Region 6: Iloilo Provincial Office

Conduct of Training
• 90% of Trainings conducted as scheduled/ planned for semester/
based on the approved annual work and financial plan
• 98% of MSMEs participants who rate the conduct of the training
process as satisfactory or better

Accreditation of Service and Repair Establishments

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 AUDIT REPORT
ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• 99% of Application for permits/accreditation/licenses/authorities
processed within prescribed time
• 98% of clients who rate the DTI advocacy initiatives as
satisfactory or better

Issuance of BMBE Registrations

• 99% of BMBE registration processed within 8hrs
• 98% client who rate the BMBE process as satisfactory or better

Monitoring and Enforcement of Fair-Trade Laws

• 85% of firms monitored compliant with FTL (Priority per CMEP)

Regional Office - HR
• 80% Personnel capacitated (70-20-10) learning intervention
• 80% of client who rate the Training and Development process as
satisfactory or better

Opportunity/ies for Improvement

• It was observed that data of actual performance were higher
than set targets.
• The 2022 Process Performance Monitoring sheets were not
available in the sampled area (ex. Conduct of
training/Accreditation of Service Repair/Monitoring and
enforcement of FTL/ HR)

Region 4B:
Documented quality objectives and targets are available at various
functional groups audited during the audit. Based on the reviewed
documented information these quality objectives and targets are
consistent with the quality police, measurable, taking in consideration
relevant applicable documented information, relevant to the conformity
of service being provided, being monitored based on the agreed

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
timeline, being communicated and understood within the organization,
and being updated as necessary.

Examples of these quality objectives seen and reviewed during the audit
are the following:
Consumer Advocacy: 65 consumer advocacy activities, 80% customer
satisfaction, and four (4) consumer advocacy material
produced/services provided.
Trade and Industry Information: 90% commitment to customer
satisfaction, 100% compliance to RA 11032, and 100% compliance to
quality requirement.
Business Counselling: 100% of request for business counselling
provided with assistance within the prescribe period, and 90% customer
satisfaction.
Business Name Registration: 90% of BN Registration processed
within the prescribe process cycle time.
Conduct of Trade Fair: 95 MSMEs Assisted.
Issuance of Sales Promo Permit: 99% of Sales Promo Permit issued
within the prescribe period.
Procurement: Timely submission of reportorial requirement, and 100%
accomplishment of IAR.

Action Planning to achieve these objectives and targets is established,

documented, and monitored in the documented planning tool.

1. Revisit existing quality objectives and targets for continual

improvement. Overall, consideration of the impact/outcome of
the services needs to be considered.
2. For Business Name Registration review adequacy of the criteria
defined in the documented procedure and the documented
quality objectives and targets.

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Region 5
BN Processing- Regional Office
• 99% of walk in BN applicants processed within 15 minutes –
reported 100% achieved
• Ensure Customer Satisfaction – 90% of clients rated BN process as
satisfactory or better – reported more than 90%
BN Registration Data base was shared showing transactions made per
month with transaction date, Business Name, reference code and name of
owner.
Summary of CSF ratings 1st and 2nd Quarters were shared showing actual
CSF ratings with Average 98.96%

Issuance of BMBE - Camarines Sur

• 100% of BMBE processed within prescribed cycle time of 8 hours –
reported achieved
• 100% of clients rated BMBE process satisfactory or better –
reported achieved
Records of Target versus accomplishment was shared for the 1st semester
of 2023.

Monitoring and Enforcement of FTLs - Camarines Norte

• 85% of firms monitored compliant with FTLs, - Price Tag + SRT;
DAO 2:2007) (total number of firms = 4771, target firms for
monitoring (20% = 954) per Business Classification
Results of January to June was shared showing actual vs output
with actual reported as 100%.
Monitoring and Enforcement Plan for 2023 was also shared showing
frequency of monitoring per month and Municipality.
Firms Charged Data base was also shared showing status of charges,
name of establishment and address.

Procurement (RO)

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• 100% of PRs processed on time (minimum of 15 days –PR to PO)
allowed pursuant to RA 9184
• 80% client satisfaction (based on supplier evaluation)
• 90% CSF Rating

Process - Supplier Management

Results of supplier evaluation showed from January-June 2023 only two
suppliers failed based on the given ratings on Quality, Timeliness of
Delivery and after sales service.
CSF Rating showed no rating is below 90%
Records of Procurement Monitoring and Timeline for the month of January
was shared showing turnaround time of as high as 68 days.

Opportunity/ies for Improvement

The processing time is minimum of 15 days – this may not ensure efficient
supply management.

Region 6: Capiz Provincial Office

Price Monitoring
• 100% of the target firms for price trending are monitored for
compliance to Price Act monthly (non-key city)
• 90% of Price and Supply Monitoring Reports submitted every
Friday of the week for the key cities and every last Friday of the
month for non-key cities

Opportunity/ies for Improvement

• It is not clear in the timeliness target of submission of Price and
Supply Monitoring Reports if this refers to the time these were
entered in the e-presyo or in the submission to RO. The October
Report was seen in the email dated Nov.7, 2023.
• The Guidelines in the PSM process states that there is a need to
ensure that the monitoring should be conducted within the

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
prescribed time, however, only 100% of target firms monitored
for compliance with Price Act was stated in the QOP but without
the timeliness target.
• For the August price monitoring and reporting in the e-presyo,
the complete no. of establishments monitored could not be
validated.

Business Counselling
• 90% of Business Counselling Services rendered within 1 hour
• 98% of clients rated the process as Satisfactory or better

Consumer Complaint Handling

• Mediation- 98% resolution of consumer complaints within 10
working days from receipt of complaints
• 80% of clients rated the mediation process as Satisfactory or
better

Region 7: Cebu Provincial Office

Provision of Consumer Advocacy
• 100% implementation of the PPMP – reported as achieved
• 98% of clients gave Satisfactory of better rating – reported 100%
(54/54)

Trade and Industry Information

• 95% of clients served within prescribed time:
ARTA- (3 days – simple; 7 days – substantial; 20 days highly
technical) - reported as 100%; FOI – within 15 working days - no
report was given
• 90% of clients who rated the provision as Satisfactory or better –
reported 100%

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Verification of Team 01/S1 – STILL OPEN, no monitoring for FOI
target of 15 working days

Business Counselling
• 90% of business counselling services rendered within 1 hour –
reported 100% monthly accomplishment
• 98% of clients rated Satisfactory or better – achieved

Conduct of Trade Fair

• Conduct of local physical trade fairs (OTOP Pop-ups as marketing
platforms and support for MSMEs) - 2
• Assist 20 MSMEs
• 100% of respondents rated Satisfied
• No results were reported, the target time frame was reported
revised to November 2023. Succeeding targets are dependent on
the conduct of the trade fairs.

Business Name Registration

• 99% of walk in BN applicants processed within 15 minutes –
reported 100% output
• 98% walk in clients’ certificate without error – No reported error,
100% of issued certificates were without error

Opportunity/ies for Improvement

The Process flow determined 70% (of walk an online) BN applicants
processed within 15 minutes may be reviewed, re: online application is not
yet fully used, no data was made available

• 90% of clients responded Satisfied – 99.66 Rating, with 1 rating

VD, this however has SRI raised with corrections and corrective
actions.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Opportunity/ies for Improvement
Though with SRI, not all needed information were provided.

Issuance of Sales Promo Permit

• 100% of Sales Promo Permit issued within 3 days- reported 100%
• 90% of clients rated satisfactory or better - reported no rating
below Sat.

DTI – Region 7: Negros Oriental Provincial Office

(Conduct of Training / Accreditation of Service and Repair and
Enterprises / Issuance of BMBE Registration / Monitoring and
Enforcement of Fair Trade Law)

Quality objectives for the various processes of the DTI Region 7 –

Negros Oriental Provincial Office were defined and documented in the FY
2023 “Quality Objectives and Plans” (QOP) of the respective process
groups of the Provincial Office.
Examples of the determined process objectives and targets are as
follows: - Conduct of Training.
• Build productivity and efficiency of MSMEs.
Target: No. of MSMEs created.
Target: No. of MSMEs improved.

- Accreditation of Service Repair and Enterprises.

• Timely processing of SRE Accreditation.
Target: 99% of SRE Accreditations issued within prescribed time
(Simple Transaction: 3 days / Complex Transaction: 7
days).
Target: 90% of clients rate the accreditation of SRE as
satisfactory
or better.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

- Issuance of BMBE Registrations.

• Ensure timely processing of BMBE Registration.
Target: 99% of BMBE processed within 8 hours.
• Ensure high client satisfaction rating for BMBE processing.
Target: 90% of clients rate the BMBE processing as satisfactory
or better.

- Monitoring and Enforcement of Fair Trade Laws.

• Ensure compliance of firms to the Fair Trade Law.
Target: 85% of firms monitored compliant to FTL (priority per
CMEP).

Action plans for achieving the objectives were also determined and
documented in the “Operational Plan” of the QOP of the respective
process groups.

Opportunities for Improvement:

OFI 01: The absence of measurable target on the number MSMEs created
and number of MSMEs improved for the objective of the process on
“Conduct of Training”, at the DTI – Region 7 Negros Oriental Provincial
Office, does not provide determination to the effectiveness of the process
for the Conduct of Training.

OFI 02: The target of 90% satisfied customers of the BMBE Registration
process translates that the organization is accepting that 10% of its
customers may not satisfied with the service. This runs contrary to the DTI
Quality Policy for providing quality service. The 10% unsatisfied customers
(if the rating is valid or with basis) translates to an indirect customer
complaint which is considered as a nonconformity under ISO 9001:2015.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
OFI 03: Controllability to the target of “85% of firms monitored compliant
to FTL” by the FTL Monitoring and Enforcement group needs to reviewed.

DTI – Region 8: Eastern Samar Provincial Office

(Conduct of Training / Accreditation of Service and Repair and
Enterprises / Issuance of BMBE Registration / Monitoring and
Enforcement of Fair Trade Law)

Quality objectives for the various processes of the DTI Region 8 –

Eastern Samar Provincial Office were defined and documented in the FY
2023 “Quality Objectives and Plans” (QOP) of the respective process
groups of the Provincial Office.
Examples of the determined process objectives and targets are as
follows: - Conduct of Training.
• Build productivity and efficiency of MSMEs.
Target: No. of MSMEs created.
Target: No. of MSMEs improved.

A new set of target was determined in the QOP revision for the Conduct
of Training process (Revision 2, Effectivity Date; August 1, 2023). The
new targets are as follows:
Target: 90% of trainings conducted as scheduled/planned per
semester based on the approved Annual Work and
Financial Plan.
Target: 98% of MSMEs rate the conduct of training as
satisfactory
or better.

- Accreditation of Service Repair and Enterprises.

• Timely processing of SRE Accreditation.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Target: 95% of SRE Accreditations issued within prescribed time
(Simple Transaction: 3 days / Complex Transaction: 7
days).
Target: 90% of clients rate the accreditation of SRE as
satisfactory
or better.

- Issuance of BMBE Registrations.

• Ensure timely processing of BMBE Registration.
Target: 99% of BMBE processed within 3 days.
• Ensure high client satisfaction rating for BMBE processing.
Target: 90% of clients rate the BMBE processing as satisfactory
or better.

- Monitoring and Enforcement of Fair Trade Laws.

• Ensure compliance of firms to the Fair Trade Law.
Target: 85% of firms monitored compliant to FTL (priority per
CMEP).

Action plans for achieving the objectives were also determined and
documented in the “Operational Plan” of the QOP of the respective
process groups.

Opportunities for Improvement:

OFI 01: The target of 90% satisfied customers to the process/service of

DTI translates that the organization is accepting that 10% of its
customers may not satisfied with the service. This runs contrary to the DTI
Quality Policy for providing quality service. The 10% unsatisfied customers
(if the rating is valid or with basis) translates to an indirect customer
complaint which is considered as a nonconformity under ISO 9001:2015.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
OFI 02: Controllability to the target of “85% of firms monitored
compliant to FTL” by the FTL Monitoring and Enforcement group needs to
reviewed.

Region 8: Samar Provincial Office

Business Counselling
Quality Objective: Build Productivity and efficiency of MSMEs
Target: 90% of Business Counselling Services rendered within 1 hour

Price Monitoring
Quality Objective: Ensure compliance of firms with the Price Act
Target: 95% of firms monitored compliance with Price Act

Consumer Complaint Handling

Quality Objective: To act and resolve all consumer complaints thru
alternative modes of dispute resolution within the prescribed time (10
days for mediation)
Target: 95% of firms monitored compliance with Price Act

Region 9: Zamboanga City Provincial Office

Price Monitoring
• 100% of the target firms for price trending are monitored for
compliance to Price Act monthly (non-key city)
• 90% of Price and Supply Monitoring Reports submitted every
Friday of the week for the key cities and every last Friday of the
month for non-key cities

Consumer Complaints Handling

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Mediation- 98% resolution of consumer complaints within 10
working days from receipt of complaints
• 80% of clients rated the mediation process as Satisfactory or
better

Business Counselling
• 90% of Business Counselling Services rendered within 1 hour
• 98% of clients rated the process as Satisfactory or better

Region 10: Bukidnon Provincial Office

Provision of Consumer Advocacy
• 100% of planned initiatives are conducted in accordance with the
timelines specified in the project proposal
• 98% of clients rated the advocacy initiatives as satisfactory or
better

Trade and Industry Information

• 95% of clients service within prescribed time: as per ARTA- 3, 7,
20 days depending on type of transaction; as per FOI- within 15
days which can be extended for another 20 working days
• 90% clients who rated the TII process as satisfactory or better

Business Counselling
• 90% of Business Counselling Services rendered within 1 hour
• 98% of clients rated the process as Satisfactory or better

Conduct of Trade Fair

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• 90% sales generated based on approved project proposal; Effective
August 2023, the target is 7% increase in Sales Generated (cash
and booked)
• 100% of clients (exhibitors) rated the conduct of trade fair as
satisfactory or better

Business Name Registration

• 99% of walk-in BN applicants processed within 15 minutes
• 98% of walk-in BNR applications processed without error
• 90% of clients rated the process as satisfactory or better

Issuance of Sales Promo Permit

• 99% of Sales Promo Permit issued within 3 days
• 90% of clients rated the process as satisfactory or better

Region 10: Camiguin Provincial Office

Issuance of BMBE Registration
• 100% of BMBE registration process within the PCT
• 90% customer satisfaction or better

Conduct of Training
• 90% of training conducted as scheduled/planned per semester based
approved annual work and financial plan
• 90% of participants who rate the conduct of training process
satisfactory or better.

Accreditation of Service Repair Enterprises

• 99% of SRE accreditation processed within specified time
• 90% of client rating of satisfactory or better

Monitoring and Enforcement of Fair Trade Laws

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• 85% of the firms monitored are compliant with FTL

Region 11
Consumer Protection Division
• Complaints resolved within the prescribed time target – 100%
resolution rate.
• Resolution of consumer complaints; target – 98% of decisions
rendered within 15 working days upon receipt of all pleading and
document

Consumer Advocacy Division

• Increase Consumer Awareness;
- Target #1 – 100% of planned advocacy initiatives are conducted
within the timelines specified on the project proposal.
- Target #2 – 98% of the clients who rate the DTI advocacy
initiatives are satisfactory or better.

Issuance of Sales Promo Permit

• Timely processing of sales promo permit;
- target #1 – 99% of sales promo permit issued within
3 days.
- Target #2 – 90% of clients who rate issuance of
sales promo permit process as satisfactory or better.

Business Name Registration

• Ensure timely processing of BN
- Target #1 – 100% of BN processed with the
prescribed cycle time;
- Target # 2 – 100% of the client who rathe the BNR
process as satisfactory or better.

Business Consultancy

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Build productivity and efficiency of MSME
- Target #1 - 90% of the business counselling services
are rendered within 1 hour
- Target #2 – 98% of the client who rate the business
counseling services as satisfactory or better.

CAR -Regional Office

The quality objectives were established for the following processes;
Provision of maintenance for work environment and infrastructure
• Ensure provision of safe, clean and well-maintained work
environment and infrastructure
- Target #1 – 100% maintenance of work environment
and infrastructure based on the PM plan.
- Target #2 – 90% of the clients rated the services as
satisfactory or better.

CAR – APAYAO Provincial Office

Price Monitoring (MEFTL)
• Ensure compliance of firms with Price Act;
- Target #1 = 100% of the firms with price trending
are monitored for compliance to Price Act weekly for
key cities and monthly for non-key cities.
- Target #2 = 90% of the price and supply monitoring
submitted every Friday of the week for key cities, and
every last Friday of the month for the non-key cities.

Consumer Complaints Handling

• Resolution of Customer Complaints;
- Target #1 – 98% consumer resolution rate;
- Target #2 – Resolve cases speedily; mediation - 10
working days; arbitration = 15 working days

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Business Counselling
• Build Productivity and Efficiency of MSME; target = 90% of
business counselling services rendered within 1 hour.

CAR – Abra Provincial Office

Conduct of Training
a. Quality objectives and Plans with targets of:
i. 98 training to be conducted for 2023
ii. 1570 MSMEs capacitated for 2023
b. From the performance monitoring of monthly results, the actual
training conducted as of September was 71 already, the
confidence level to achieve the remaining training based on plan
is confirmed high. The total number of MSME capacitated is
already at 1,365 already.

Accreditation of Service Repair Enterprises

c. Timely processing of SRE Accreditation, with targets:
i. 99% of SRE accreditation issued within 3 days from
receipt of complete documents post inspection and 7
days with pre-inspection)
ii. 90% of clients who rate accreditation of SRE process as
Satisfactory or better
Define also were process strategies, timeline, responsibility and
resources based on financial plan.
• Based on the process performance monitoring (FM-PL-o5a), the
actual achievement of 100% for timely accreditation for 2023,
however, the data for the customer satisfaction results was not

Issuance of BMBE Registrations

d. 99% of BMBE Registration processed within 8 hours.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
e. 90% Clients who rate the BMBE Process as Satisfactory or
better
• Based on the performance monitoring result as of September
2023, the accomplishment was 100%. For both the registration
and achievement of customer satisfaction rating.

Monitoring and Enforcement of Fair Trade Laws

f. Ensure consistent compliance of firms with FTLs with target
85% of firms monitored compliant with FTLs
g. Based from the actual performance monitoring results, the
100% monthly achievement of the target was demonstrated
January to September 2023.
Human Resources
h. The objective of the HR is related to training, i.e. percentage of
employees capacitated with a target of 80% vs. total
employees.
i. 80% of clients who rate the training and development process
as satisfactory or better.

The performance monitoring for Learning and Development process

showed 83.61% including DTI academy. Likewise the client satisfaction
rating was reported at 100%.

CARAGA
Regional Office Infrastructure
a) 100% maintenance of infrastructure and vehicles
b) 100% inspected areas
Regional Office IT
c) 100% PMS activity conducted
d) 100% resolution rate of IT concerns
e) Satisfactory or better client satisfaction rating
f) 98% system uptime

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Agusan del Sur Price and Supply Monitoring
g) 100% of the target firms for price trending are monitored for
compliance to price act.
h) 90% of price and supply monitoring reports submitted every Friday
of the week for key cities and every last Friday of the month for non
key cities
Consumer Complaints Handling
a) 98% consumer complaints resolved within 10 working days from
receipt of complaints
b) 80% of clients who rate the mediation process as satisfactory or
better.
Business Counselling
c) 90% of consulting services rendered within an hour.
d) 98% of client who rated satisfactory or better.

CARAGA: Agusan Del Norte Provincial Office & Regional Office-

Human Resource
Industry Development Division-Conduct of Training
Quality Objective: Build Productivity and efficiency of MSMEs
Target #1: 90% of trainings conducted as scheduled/planned per
semester based in the approved annual WFP.
Target #2: 98% of MSMEs (Participants) who rate as satisfactory or
better

Consumer Protection Division- Accreditation of Service Repair

and Enterprises
Quality Objective: Timely Processing of SRE Accreditation
Target: 99% of SRE issued within the prescribed time (7WD)

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Consumer Protection Division- Monitoring and Enforcement of
Fair Trade Laws
Quality Objective: Ensure compliance of firms with FTLs
Target: 85% of firms monitored compliant with FTLs

SME Development Division-Issuance of BMBE Registrations

Quality Objective: Ensure a timely processing of BMBE Registration
Target: 90% of clients who rate the BMBE process as satisfactory or
better.

Regional Office-Human Resource

Quality Objective: Ensure highly competent individuals in CARAGA
Target: 80% personnel capacitated (interventions 70/20/10)

NCR – Area 1 & Area 4

The Quality Objectives and Plans (QOP) for Area 1 (Manila) Business Name
Registration process for the year 2023 presented with relevant objectives
and targets such as:
1. Ensure Timely processing of BN, with target of 99% of walk-in BN
applicants processed within 15 minutes.
2. 90% of clients who rate the BN process as satisfactory or better
3. 98% of walk-in BNR applications processed without error
• The strategy, process or activity, responsibility, resources were
seen defined to achieved the QOP

For the BMBE registration process for Area 4, the established QOPs
presented are:
1. Ensure timely processing of BMBE registration with target of 100% of
BMBE processed within prescribed time (8 hours as per ARTA)

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
2. Ensure 90% of BMBE clients who rate DTI as satisfactory or better
3. Ensure quality of BMBE Certificate is with no typographical error

NCR – Area 3
Conduct of Training
• Build Productivity and Efficiency of MSM; Target = 90% of
trainings conducted as scheduled/planned per semester
based on Annual Work and Financial Plan.

Business Name Registration

• Ensure timely processing of BN; target – 99% of walk – in
applicants process within 15 minutes.

Issuance of BMBE Certificate

• Ensure Quality Assurance; Target = Zero typographical error

NCR – Area 4
Business Counselling
• Build productivity and efficiency of MSME; target = 100%
business counselling services rendered within 1 hour.

Trade and Industry Information

• Ensure quality and timeliness within prescribed time; target
= as per ARTA requirements 3, 6 and 20 days based on type
as simple, more substantial, highly technical.

Business Name Registration

• Ensure timely process of BN; target – 99% of walk-in
applicants processes within 15 minutes.

Region 9 – Zamboanga Sibugay Provincial Office

Conduct of Training

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 AUDIT REPORT
ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Build productivity and efficiency of MSME; Target = 90% of
trainings conducted as scheduled/planned per semester
based on the approved work and financial plan.

Accreditation of Service Repair and Enterprises

• Timely processing of SRE Accreditation; target – 99% of SRE
Accreditations issued within 3 days (post inspection and
IRegis) and 7 days with pre inspection.

Issuance of BMBE Registrations

• Ensure timely processing of BMBE registration; Target –
100% processed within 3 hours

Monitoring of FTL
• Ensure compliance of firms to FTL; Target = 85% of the
firms monitored are compliant to Fair Trade Laws.

Region 11 – Regional Office - Human Resource

• Ensure highly competent individuals in DTI; Target = 100%
personnel capacitated in DTI -IX
• Ensure timely hiring of personnel; target – 100% vacant
positions filled up.

Sampled Functions/Divisions from the Regional Office, Tarlac

Provincial Office, and Bataan Provincial Office
Regional Office 3
SME Development Division
Those results to be achieved by the SME Development Division for 2023 in
relation to its commitment to meet the requirements of its customers and
other interested parties were seen in its Quality Objectives and Plans
(QOP) for 2023. The Division’s QOP presented its Objectives and
measurable targets based on the Division’s Processes: Provision of Trade

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
and Industry Information process, Conduct of Training process, and
Conduct of Trade Fair.

For the provision of trade and industry information process, the Objective
is to provide accurate, timely, updated, and relevant trade, investment,
and industry-related knowledge, products, and services. The Targets are
providing the required information within the prescribed ARTA and FOI
turn-around-time/processing time. For requests for information, the
commitment is zero error (facts, typo, grammar, and spelling). The
objective evidence for having achieved the previous two (2) Objectives is
for the Process to achieve at least 90% of its clients rating the information
received as satisfactory or higher.

For the process on the conduct of training, the Division’s Objective is to

enhance customers’ productivity and competitiveness through training
sessions, workshops, and/or seminars. For 2023, one (1) training program
(Kapatid Mentor Micro-Enterprise, 10 modules) is planned.

For the process on the Conduct of Trade Fairs, the Objectives focused on
providing market access to MSMEs. The Targets are PhP 25 M is generated
sales through the conduct of one(1) trade fair and with the participation of
at least 146 MSME exhibitors. Additionally, the Client satisfaction target is
for at least 90% of the MSME exhibitors to rate the fair as Satisfactory or
higher.

Bataan Provincial Office

The 2023 QOP of the Consumer Protection Division showed the
commitments of the Division for its six(6) core processes: Consumer
Complaints, Service and Repair Shop Enterprise Accreditation, Issuance of
Sales Promotion Permit, Consumer Advocacy, Monitoring of Fair Trade
Laws, and Price and Supply Monitoring.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Tarlac Provincial Office
The 2023 QOP of the Business Development Division of the Tarlac
Provincial Office showed the commitments of the Division for its three(3)
core processes: Barangay Micro-Business Enterprise (BMBE) Registration,
Business Consultancy, and Business Name Registration.

Opportunity/ies for Improvement

Regional Office 3:
SME Development Division
The practice of providing assistance to Provincial Offices for
development/improvement of product design through the Design
Center of the Philippines is well established at the Regional Office.
This is not reflected in the current QOP of the Division.
For the process on provision of trade and industry information,
although a Target on compliance with the process’ Citizen’s Charter
is stated, there is no measure included that would indicate if the
Target has been achieved or not (e.g. 100% compliance with turn-
around-times based on simple, complex, and highly technical
transactions).
Bataan Provincial Office:
Consumer Protection Division
The current measurable target statement related to monitoring
compliance with Fair Trade Laws—85% of firms monitored are
compliant with FTLs—implies that the Province condones the 15%
errant enterprises. There is no additional statement related to the
actions taken by the Division on errant enterprises.
Tarlac Provincial Office
Business Development Division
The commitment to process 99% of applications for BMBE
registration is inconsistent with the Ease of Doing Business/ARTA
Law since the law requires that all applications received by front-
line services are processed within the committed processing time

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
stated in the Citizen’s Charter for as long as all necessary
documents are present.

Region 12- Sarangani Provincial Office; South Cotabato Provincial

Office
Conduct of Trade Fair (Regional Office)
1) Provide market access to MSMEs
a) 100% of client exhibitor with satisfactory rating or better
i) This is still to be determined once the November 2023 Trade
Fair is completed
b) 7% increase in sales generated for cash or booked sales (Total of
PhP 32M)
Accreditation Of Service and Repair Enterprises – Sarangani
Provincial Office
1) 99% of SRE accreditation issued within 3 days (post inspection) and 7
days with pre-inspections.
a) The performance monitoring report from January to June 2023
showed range of minimum of less than 1 day to maximum of 6 days
performance.
2) 90% of clients who rate the Accreditation of Service and Repair
Establishments Process as satisfactory or better.
a) The actual monitoring of the performance shown was with 100%
customer satisfaction rating with no rating below satisfactory
Business Counselling- Sarangani Provincial Office
The QOP for FY 2023 shown defined the objectives and target for business
counselling as:
a) 502 MSMEs created and 1,223 MSMEs improved
i) From the PPM, Process Performance Monitoring, there are
already 1,464 MSMEs created/assisted with quarterly
breakdown, however this was not aligned with the dashboard
monitoring (OFI was cited for data monitoring).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
ii) The total of MSMEs improved as of the end of Q3 was already at
731 with quarterly update.
b) 90% of customer rated satisfactory or better.
i) The monitored monthly rating for the period January to August
was 100% customer satisfaction with no rating below
satisfactory and no negative feedback.
Business Name Registration - Sarangani Provincial Office
1. Ensure timely processing of BN with the following performance targets:
a) 99% of walk-in BNR application processed within 15 minutes
i) The Process Performance Monitoring report shown was 100%
accomplishment of the objective from January to September
2023. However, OFI was cited for this area.
b) Ensure customer satisfaction with target of 90% of clients rating at
satisfactory or better. The actual accomplishment was 100% for
January to September 2023, without negative feedback or
complaint.
Business Name Registration- South Cotabato Provincial Office
Ensure timely processing of BN with the following performance targets:
c) 99% of walk-in BNR application processed within 15 minutes
i) The Process Performance Monitoring report shown was 100%
accomplishment of the objective from January to September
2023.
(1) The TAT monitoring monthly was confirmed monitored also
example seen was for June 2023 with 6 minutes average
time.
d) Ensure customer satisfaction with target of 90% of clients rating at
satisfactory or better. The actual accomplishment was 100% for
January to September 2023, without negative feedback or
complaint. The CSF tabulation monthly was presented as
monitoring and evaluation evidence.

Price Monitoring - South Cotabato Provincial Office

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
To ensure compliance of firm with price act. The target is 100% of the
target firms for price trending are monitored to price act weekly on key
cities and monthly for non-key cities. The monitoring of the results showed
that the 25 firms monitored monthly covering January to September 2023
are compliant to the price act. The firms included are 12 for Koronadal
City, 10 for Polomolok and 3 for Surallah.
1) 90% of price and supply monitoring reports are submitted every Friday
of the month for non-key cities. The price monitoring performance is
more than 100% due to special monitoring for onion prices.

Conduct of Training - South Cotabato Provincial Office

1) Total of 514 MSMEs provide training for the year 2023. The actual
monitoring presented the accomplishment at 464 MSMEs as of
September 2023, achieving 100% of the monthly target.
2) 90% of the client rated satisfactory or better. The actual consolidated
report seen was with actual performance of 100% with a 90% retrieval
rate.
Also, example of Workplan for the Negosyo Center for Norala was
presented by the Business Information and Advocacy with 19 target
trainings.

Opportunities For Improvement

1. At the business counselling, while total MSMEs assisted was presented
as 1,464, this was seen not aligned with the dashboard with only 1,241
accounted MSMEs.
2. The BNR performance of 100% accomplishment for the objective of
99% of walk-in BNR application processed within 15 minutes was not
supported by TAT-Turn Around Time monitoring to evidence the
attainment of the 15 minutes.

Digital Phils.- BNRD

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 AUDIT REPORT
ISO 9001:2015 SECOND SURVEILLANCE AUDIT - ANNUAL

C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Trade and Industry Information
• 95% of clients service within prescribed time: as per ARTA- 3, 7,
20 days depending on type of transaction; as per FOI- within 15
days which can be extended for another 20 working days

Provision of Business Name Registration

• 90% BNR application processed within 15 minutes (walk-in)
• 98% accuracy of BNR issued without error (All BN registration paid
and requests for corrections filed with date differences are treated
issued CBNR with error)
• Provide 24/7 system availability for use of online applicants and BN
Processors servicing walk-in applicants with target of 99.9% system
uptime percentage (Basis: Monthly report submitted on system
uptime by 3rd party IT Provider for AWS hosting)
• Address requests for technical support assistance of both BN
Processors and Applicants within the prescribed time, target set at
100% request responded to within 24 hours. Helpdesk for
Nationwide Queries.
• Ensure Customer Satisfaction with 90% Client Satisfaction
Feedback Rating (Satisfactory or Better)

Export Management Bureau (EMB)

Trade and Industry Information
Quality Objective: Provide accurate information to clients
Target: 100% of clients served within prescribed time
ARTA: 3Days-simple transaction, 7Days – complex transaction and 20
Days- Highly Technical Transaction
Target: 90% of clients rate the provision of trade and industry process as
satisfactory or better

Fair Trade Enforcement Bureau (FTEB)

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Consumer Complaint Handling
• 98% of received DTI-mediatable complaints processed within
prescribed time
• 80% CSF rating

Accreditation of Service Repair and Enterprises

• Ensure timely processing for application of SREs; target =
99% processed within prescribed time.

Price and Supply Monitoring

• Firms for price trending are monitored within the prescribed
time; target = 100% monitored

Monitoring and Enforcement of FTL

• Ensure that SRPs reflect reasonable prices using commodity
supply chain studies for all necessities and prime
commodities; target – 11000 firms monitored

Bureau of Import Services (BIS)

Trade and Industry Information
• Requests are served 100% on time
• 90% satisfaction rating
Action plans (monitoring of e-mails and walk-in clients, evaluate request
received, process all request received) and frequency of monitoring, are all
identified int the chart of quality objectives.
The request are categorized as simple, complex and highly technical. All
has an assigned duration to process each type of request.

Bureau of Trade & Industrial Policy Research (BTIPR)

Trade and Industry Information

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
From the Planning Tools presented, the established Quality
Objectives and Plans, with document code PL-BT-05, revision 4, updated
27 September 2023.
The objective is to provide accurate information to clients, with
targets as follows.
1. 95% of clients served within prescribed time as per ARTA:
a. Simple Transaction – 3 days
b. Complex Transaction – 7 days
c. Highly Technical – 20 days
d. FOI - 15 working days, which can be extended for another
20 working days.
2. 90% of clients who rate the Provision of Trade and Industry Process
as satisfactory or better
The activity/process and responsibility including resources were also
seen defined on the QOP.
6.3 Planning For Changes
Changes for the quality management system of DTI mainly involves
When the organization determines the need for changes to
changes in the organization such as change of personnel, promotions, and
the quality management system, the changes shall be carried
hiring. This is carried out in a planned manner and approved at top level so
out in a planned manner (see 4.4). The organization shall
that the integrity of the system is maintained. For this year, a significant
consider: a) the purpose of the changes and their potential
change is the designation of the newly appointed Undersecretary and Chief
consequences; b) the integrity of the quality management
of Staff, Ms. Ana Carolina P. Sanchez, as the Overall Quality Management
system; c) the availability of resources; d) the allocation or
Representative.
reallocation of responsibilities and authorities.
7 Support
7.1 Resources The resources needed for the effective implementation of the quality
7.1.1 General management system is provided in form of the annual budget provided for
The organization shall determine and provide the resources the organization and personnel involved in the provision of services to the
needed for the establishment, implementation, maintenance customer.
and continual improvement of the quality management Process requirement on hiring new personnel is defined in Recruitment,
system. The organization shall consider: a) the capabilities of, Selection and Placement (PR-HR-01 version 3, effective date August 31,

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
and constraints on, existing internal resources; b) what needs 2023). The HR Section of each Regional office demonstrated effective
to be obtained from external providers. implementation of the hiring process.
7.1.2 People Documented information seen:
The organization shall determine and provide the persons
necessary for the effective implementation of its quality Region 3
management system and for the operation and control of its On what it needs to be obtained from external providers were established
processes. in the Annual Procurement Plan and Project Management Procurement Plan
and on the approved purchase request (PR) and purchase orders (PO).

Personnel complement as of August 31, 2023 were; Regular = 121; CARP

= 11; NC-BC Contractual = 7; Job Order /Nego Center/SP = 176; Total =
315; Vacant (Reg) = 13; Vacant (Cont) = 1

Publication of vacancy – Internal recruitment notice of vacancy plantilla

item – September; posted at CSC and DTI website.

Region 5: Regional Office -Human Resource

The Region has a planned total of 130 personnel to fulfill its
responsibilities to the people of Bicol Region; of these 10 positions remain
unfilled at the time off this. Supplementing the 130 are 113 direct hires
(under contract).
The 113 direct hires are assigned to either technical or
administrative processes.
Additional personnel was requested in 2022 for four (4) support job
positions.; the request is still being consolidated at the Department level
prior to submission to DBM.

Region 6: Regional Office-Human Resource

• Skills and competence records
• Training Records
• Position Descriptions and Qualifications

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Organizational Structure (Oct 2023)/ per provincial office, per
Region
• Specific Position description – DBM-CSC-FM No.01 (Chief Trade
Industry-RD 28)

Region 9: Regional Office - Human Resource

• Report on Appointment Issued 2023
• Report on Status of Plantilla and Personnel Complement Summary
as of September 30, 2023.
• Status of Plantilla =82

Region 11: Regional Office-Human Resource

• Annual Regional Learning and Development Plan CY 2023-2025
• Plantilla of Position Per Assignment Distribution as of March 2023
• CS Form No. 9 (Request for Publication of Vacancy) – Chief Trade
Industry Development Specialist dated June 8, 2023.
• Job Posting- JOBSTREET, CSC Website and DTI 11 Facebook
Account dated June 9, 2023
• Human Resource Information System (HRIS) – is an online job
portal for applicant screening (RSC Interview and HRMPSB
Quantitative Assessment).
• Notice of Placement dated August 11, 2023
• CSFO Davao Appointments Processing Checklist dated August 11,
2023
• CS Form No. 33-B Personal Data Sheet dated August 11, 2023
• DMB-CSC Form No.1 Position Description Form dated August 15,
2023 – with confirmation of newly hired Chief Trade Industry
Development Specialist
• CS Form No. 32 Oath of Office dated August 15, 2023
• CS Form No. 4 Certificate of Assumption to Duty dated August 15,
2023.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Note: A total of 281 personnel were employed for DTI Region 11 at the
time of audit.

Region 12
Resources are provided, for example for the implementation of the QMS
through the provision of resources in order to achieve its objectives and
targets as seen in the planning documents.

Supply Management ensures that needed materials/equipment are

provided and a procedure for Procurement has been established.

CAR: Regional Office-Human Resource

Total employees for the whole Regional Office of CAR is 122 including
contractual of employees of 16 personnel for CARP and Negosyo Centers.

CARAGA: Regional Office-Human Resource

• Project Procurement Management Plan CY 2023
• Process requirement on hiring new personnel is defined in
Recruitment, Selection and Placement (PR-HR-01 version 3,
effective date August 31, 2023). The HR Section demonstrated
effective implementation of the hiring process. Documented
information seen:
• Personnel Requisition Form dated March 15, 2023
• CS Form No. 9 (Request for Publication of Vacancy) – Trade and
Industry Development Specialist dated March 15, 2023.
• Job Posting- JOBSTREET and DTI CARAGA Facebook Account, CSC
Website and Bulletin Board dated March 16, 2023
• Memorandum DTS No. OC-230317023 dated March 16, 2023 –
Opening of Vacant Positions.
• Notice of Meeting to HRMPSB dated April 17, 2023

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Memorandum DTS No. OC-150424004 dated April 24, 2023 –
Schedule of Activities and Assignment of Task for the Processing of
Trade Industry Development Specialist
• List of Candidates for Vacant Position dated March 27, 2023 – 32
applicants applied to Regional Office and 14 applicants applied to
Surigao Provincial Office.
• Letter to Applicants dated April 25, 2023
• Qualifying and Technical Exam dated April 28, 2023 – Online
Examination
• Letter to Passers of Technical Exam dated May 12, 2023
• Psychometric Exam Notification dated May 17, 2023 – Conducted
by VABDI
• Panel Interview Final Rating dated June 7, 2023
• Board Resolution Number 06 series of 2023 – List of Top 5
Candidates for the Vacant Position
• Posting of Final Assessment dated June 8, 2023
• CS Form No. 32 Oath of Office dated June 23, 2023
• CS Form No. 4 Certificate of Assumption to Duty dated July 24,
2023.
Note: A total of 305 personnel were employed for DTI CARAGA at the time
of audit.
7.1.3 Infrastructure Preventive Maintenance Plan for the buildings, utilities, and service
The organization shall determine, provide and maintain the vehicles has been established with scheduled frequencies (daily, weekly,
infrastructure necessary for the operation of its processes and monthly) sin the ff. regional offices audited. Implementation of
to achieve conformity of products and services. NOTE maintenance activities were generally demonstrated in the ff. sampled
Infrastructure can include: a) buildings and associated documented information:
utilities; b) equipment, including hardware and software;
c) transportation resources; d) information and Region 3
communication technology. The planning and implementation of the preventive maintenance of the
following infrastructure;

Equipment

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
➢ Air Conditioning Units – Tracking and Monitoring Maintenance
Plan for CY 2023

Building and Facilities

➢ Monthly Cleaning Checklist
➢ Annual Safety Checklist

Vehicles
➢ Schedule of Preventive Maintenance of Vehicles
➢ Repair History Report
➢ Vehicle Preventive Maintenance Log

ICT
➢ PM for Dashboard and updating of laptops

CAR
- Annual Preventive PM Plan for Equipment as evidenced by the
Inspection and Acceptance Report for the maintenance services
provided for the ACU.
- Vehicle Preventive Maintenance Log
- Annual Matrix of Task and Assignments of Janitorial Personnel as
evidenced by the Monthly Cleaning Checklist

CARAGA
The Regional Office CARAGA rent the building and the building owner is
the one responsible for the maintenance of the building including the fire
protection system / fire alarm.
There are 3 motor vehicles appropriate maintenance schedule every
5000 km. the assigned derive conducts daily checking as seen from the
log book where activities and items checked are recorded.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The annual preventive maintenance for the 17 units of ACU was also
seen, with monthly cleaning of filters and twice a year general cleaning
that is provided by external providers.
The IT maintenance plan was presented with the regular activities at
regional and provincial offices including:
• Anti-virus scanning
• Regular hardware cleaning
The logbook for the recording of IT request was presented.

Region 6
- Preventive Maintenance Checklist for Airconditioner for Year 2023:
twice every quarter for filter cleaning; once every quarter for
general cleaning, adjusting noise level, brushing of evaporator fins
and fan blower, etc.- indicates the particular months these were
done as prepared by the Supply Officer, inspected by the Work
Environment & Infrastructure Unit Head, and approved by FAD
Chief
- Certificate of Completed and Satisfactory Service for Iloilo Cooled
Air Service Center for services rendered from April to June 2023
- Purchase Request and Job Order for the airconditioner maintenance
- Vehicle Maintenance Checklist- for Toyota Rush 2019 Model Plate
No, A9-U297- indicates the particular parts for replacement/change
based on mileage, e.g., engine oil every 10K kms.; air filter every
20K kms; daily check of battery, radiator, fuel leakage, tires,
gauges, headlights, etc.
- Repair History Report of Toyota Rush 2019 Model
- Monthly Report of Official Travels- indicates the distance travelled in
kms., gasoline consumed, and odometer reading
- Weekly Janitorial Services Checklist- prepared by Utility man and
inspected by Admin Officer

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
- Monthly Cleaning Checklist – Individual Work Accomplishment per
Utility man; noted by Supply Officer and certified by the Work
Environment & Infrastructure Unit Head
- Annual Building Assessment Checklist- inspection dated September
26, 2023 on site and ground, exteriors (foundation, walls, roof,
doors, windows, gutters, downspout), and interiors (floor, ceilings,
attics), mechanical equipment, plumbing, electrical equipment-
inspected by the Work Environment & Infrastructure Unit Head and
approved by FAD Chief

Minor Nonconformity:
Compliance to the Maintenance Plan of Vehicles has not been
demonstrated as per sampled vehicle Toyota Rush which has already a
mileage of 64Kms.as of October 2023. The maintenance tasks for the ff.
parts/components were not seen:
- Air filter and fuel filter every 20K kms.
- Brake pads and transmission oil/gear oil every 40K kms.
- Coolant every 40K kms.
- Fan belt/aircon belt every 50K kms.
Moreover, the daily maintenance tasks done by the service driver has no
evidence that it was checked and inspected.

7.1.4 Environment for the operation of processes CARAGA

The organization shall determine, provide and maintain the The maintenance of the work environment is assigned to 2 janitors with
environment necessary for the operation of its processes and daily cleaning schedule from 4am to 8am and 1pm to 5pm. This includes
to achieve conformity of products and services. NOTE A general cleaning of the offices, Trash collection, segregation, sanitizing and
suitable environment can be a combination of human and disinfecting of comfort rooms.
physical factors, such as: a) social (e.g. non-discriminatory, Weekly cleaning is also scheduled every Saturday for the whole office.
calm, non-confrontational); b) psychological (e.g. stress-
reducing, burnout prevention, emotionally protective); Region 6
c) physical (e.g. temperature, heat, humidity, light, airflow, Pls. refer to Clause 7.1.3

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
hygiene, noise). These factors can differ substantially
depending on the products and services provided
7.1 7.1.5 Monitoring and measuring resources
Region 6 (Infrastructure)
7.1.5.1 General
There are no monitoring and measuring resources
The organization shall determine and provide the resources
(devices/instruments/equipment) needed to be calibrated by FAD to
needed to ensure valid and reliable results when monitoring or
ensure these are valid and fit for use in the maintenance tasks. Moreover,
measuring is used to verify the conformity of products and
maintenance is a support process and not a core service.
services to requirements. The organization shall ensure that
the resources provided: a) are suitable for the specific type of
DTI - CAR
monitoring and measurement activities being undertaken; b)
An annual calibration for weighing scales was planned through a memo
are maintained to ensure their continuing fitness for their
from the Regional Director to all Provincial Directors to submit their
purpose. The organization shall retain appropriate
weighing scales and other equipment to the Regional Office to facilitate
documented information as evidence of fitness for purpose of
the calibration.
the monitoring and measurement resources.
7.1.5.2 Measurement traceability
When measurement traceability is a requirement, or is
considered by the organization to be an essential part of
providing confidence in the validity of measurement results,
measuring equipment shall be: a) calibrated or verified, or
both, at specified intervals, or prior to use, against
measurement standards traceable to international or national
measurement standards; when no such standards exist, the DTI – CAR
basis used for calibration or verification shall be retained as The calibration certificate was evident for the Electronic Table Scale, model
documented information; b) identified in order to determine no AW-30 serial no. A21303692; Traceability to NML-ITDI.
their status; c) safeguarded from adjustments, damage or
deterioration that would invalidate the calibration status and
subsequent measurement results. The organization shall
determine if the validity of previous measurement results has
been adversely affected when measuring equipment is found
to be unfit for its intended purpose, and shall take appropriate
action as necessary.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
7.1.6 Organizational knowledge Organizational knowledge was captured, documented, and maintained in
The organization shall determine the knowledge necessary for Quality Manual and process procedures. The preservation of the
the operation of its processes and to achieve conformity of
identified organizational knowledge is generally done through the
products and services. This knowledge shall be maintained
and be made available to the extent necessary. When documentation of the process and maintained in the following online
addressing changing needs and trends, the organization shall systems and documented information:
consider its current knowledge and determine how to acquire
or access any necessary additional knowledge and required DTI – Regional Office 1 - Human Resource.
updates. NOTE 1 Organizational knowledge is knowledge
specific to the organization; it is generally gained by The organizational knowledge necessary for the operation of the DTI
experience. It is information that is used and shared to achieve processes were maintained and preserved through the documentation of
the organization’s objectives. NOTE 2 Organizational the various process procedures.
knowledge can be based on: a) internal sources (e.g. These procedures are made available to the DTI personnel through the
intellectual property; knowledge gained from experience; “One DTI QMS Share Point”.
lessons learned from failures and successful projects; A “DTI Knowledge Resource Hub” was also created for the programs of DTI
capturing and sharing undocumented knowledge and and is also accessible through the QMS Share Point.
experience; the results of improvements in processes, products
and services); b) external sources (e.g. standards; academia; A “Succession Plan” for the Consumer Protection Division of the regional
conferences; gathering knowledge from customers or external office is also in the process of finalization (draft copy developed).
providers).
Opportunity for Improvement
OFI 01: The absence of formal determination/identification to what are
considered as DTI’s organizational knowledges may not ensure that all the
vital organizational knowledges will be included in the organization’s
program for maintaining and preserving these knowledges.

OFI 02: The development of the Succession Plan may also include the
identification of the critical knowledges that needs to be transferred.

Region 5: Regional Office-Human Resource

DTI Knowledge Resource Hub and One-DTI QMS SharePoint contain those
information and knowledge required by not the Department and its

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Regional Offices but also required by interested parties for the Department
and its Regional and Provincial Offices to perform its responsibilities and
duties effectively and efficiently and to meet its performance commitments
including its commitment to provide services and products that meet
customer requirements. The DTI Knowledge Resource is maintained by
DTI’s Knowledge Management Information Services while One-DTI QMS
SharePoint is maintained by DTI’s Planning and Management Service.

Region 9
The determination and maintenance of knowledge necessary for the
operation of the processes to ensure conformity of services were ensured
through the following
➢ established work processes and procedures that each section
prepared.
➢ Integrated HR information system and learning action plan
➢ HR related trainings and conferences.

Region 11: Regional Office-Human Resource

(1) Knowledge Resource Hub – DTI 11
• DTI QMS
• Monthly CSF and NC Report
• HRIS
• Laws and Policies
• Branding and Collateral
• Office Orders
• Strategic Plans
• Standard Forms
(2) Quality Management System SharePoint
• DTI Quality Manual
• QMS Processes (Procedures)

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Planning Tools
(3) Post Travel Report –organizational knowledge from conference or
travel abroad
Good Point: DTI Region 11 has a commendable process on
organizational knowledge management.

Region 12
DTI Region 12 has a robust system of knowledge preservation necessary
for the operation of its processes and to achieve conformity of products
and services as shared in presentation materials.

DTI Region 12 also does sessions with the staff such as Monday feedback
in Sa Lunes Alamin Mo (SLAM) , Gawad Pamana - sharing of Best
Practices from those who retired, and to ensure continuity of information
sharing, a clearance needs to be approved as a turnover system. Records
of these were shared.

The Knowledge Management Information Service (KMIS) of the DTI also

has
maintained and made available information related to Trade and Industry
where employees and clients of DTI can easily access.

Export Management Bureau (EMB)

Trade and Industry Information
(1) Quality Management System SharePoint
• DTI Quality Manual
• QMS Processes (Procedures)
• Planning Tools
(2) DTI -EMB Bulletin as of October 24, 2023
• Implementation on the use of ASEAN Trade in Goods
Agreement (ATGA) electronic certificates of origin form D

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
(3) DTI-EMB SharePoint Folder
• Trade Statistics- Budget Hearing Information

Fair Trade Enforcement Bureau (FTEB)

The determination and maintenance of the knowledge necessary of the
operations were evident and demonstrated in the following;
➢ PR-SR-01 Accreditation of Service and Repair Enterprises
➢ PR-PSM-01 Price and Supply Monitoring
➢ E - Presyo 2.0 Training
➢ Price and Supply Monitoring
➢ Re-Tooling on the Laws and Regulations
➢ DO 20-86

7.2 Competence The organization has established process procedures in determining and
The organization shall: a) determine the necessary reviewing competencies of the employees as documented in Training and
competence of person(s) doing work under its control that Development (PHR-02 version 3, effective date August 31, 2023).
affects the performance and effectiveness of the quality Evaluation of actual competencies of an employee has been evidenced
management system; b) ensure that these persons are by the Development Needs Analysis. A rating scale system (1-Basic, 2-
competent on the basis of appropriate education, training, or
Intermediate and 3-Advance) was established in order to determine the
experience; c) where applicable, take actions to acquire the
necessary competence, and evaluate the effectiveness of the need for intervention (70% workplace learning, 20% social learning and
actions taken; d) retain appropriate documented information 10% structural learning) and close competency gaps.
as evidence of competence. NOTE Applicable actions can
include, for example, the provision of training to, the DTI – Regional Office 1 - Human Resource.
mentoring of, or the reassignment of currently employed
persons; or the hiring or contracting of competent persons. The needed competencies for the various personnel of the DTI Regional
Office 1 personnel were identified in the “Job Profile” document of the
various work positions. An example seen are the Job Profile of the
“Supervising Trade Industry Development Specialist” and “Senior Trade
Industry Development Specialist”.

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The needed/required competencies for the specific work position were
classified into three (3) groups which are the Core Competencies,
Leadership Competencies, and Technical Competencies.

The organizational requirements for evaluating the competency level of

each personnel and development of competencies were defined in the
procedure titled “Training and Development” (PR-HR-02; Version 3,
August 31, 2021).

The summarized competency evaluation results were evident in the on-

line TNA of the “2023 Learning and Development Interventions Tracking
Database”. The competency evaluation was individually conducted using
the prescribed “Development Needs Analysis” form. The assessment was
based on the established criteria in the “Competency Dictionary” of the
Training and Development procedure.

Intervention action for the identified competency gap/s were seen

identified in the personnel’s “Professional Development Action Plan”
(PDAP), an example seen is the PDAP of the Senior Trade Industry
Development Specialist (Mr. Joey C. De La Cruz).

The planned intervention action were monitored for implementation

through the “Learning and Development Interventions Tracking Database”
and individual records such as the “Coaching/Mentoring Report” (i.e.,
Coaching/Mentoring Report dated June 29, 2023, for Mr. Roberto
Baniqued).

The effectiveness evaluation to the intervention action

implemented/completed were seen in the records of the “Pretest and Post
Test Analysis” of the conducted trainings (i.e., Training on Mediation and
Adjudication conducted in June 2023).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
A Level 3 evaluation was also seen in the records of the “Learning Action
Plan” dated July 4, 2023 for Ms. Marissa Nonesa (Sr. Trade Industry
Development Specialist) for the Mediation and Adjudication training that
she attended in June 2023.
The Level 4 evaluation (Impact/results) is still scheduled in year 2024 (6
months after the training).

Region 3: Regional Office-Human Resource

a) The process for the conduct of training was established based on
the procedure PR-CT-01 Conduct of Training and PR-HR-02 Training
and Development

b) The competency criteria were established and being implemented

by the head office on the year 2021 – 2023 and were evident in the
following retained documented information;
➢ Summary of 2023 Individual Competency Rating
➢ Learning Pathways 2023
➢ Training Plan 2023
➢ Learning and Development Plan 2023
➢ Learning Application Plan (LAP)
➢ Professional Development Action Plan (PDAP)

c) The status of the attendance to trainings were being monitored and

at the time of the audit 65.71% was already attained as of
September 2023.

Region 5: Regional Office-Human Resource

A Competency Standard for each job position of the Department has been
developed and is used for both hiring and promotion.
The Department had identified 11 Competencies against which each job
position defined the required competency and competency level:
Integrated Industry and Globalization Outlook, Delivering Solutions,

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Yes No
Services, and Support DTI Stakeholders, Networking and Developing
Linkages, Delivering Excellent Results, Collaborating, Agility, Exemplifying
Professionalism and Integrity, Strategic and Systems Thinking, Managing
Performance, Building Capabilities, and Engaging and Inspiring Individuals
and Teams.
For hiring, in addition to the Competency Standard, the Qualification
Standard of the Civil Service Commission (Amended 2017) is also used
when determining the minimum qualifications to be met for each job
position before the applicant can be considered for hiring.
Competency Gap Assessment is done by the Training and Development
Division (under the Human Resource and Administrative Service) from
which an individual Professional Development Action Plan (PDAP) is
prepared and forwarded to the Regional Office concerned who will confirm
the PDAP. It is the Training and Development Division who will schedule
the interventions required; these are either on-line/virtual sessions or
face-to-face.
Training Needs Analysis and Training Plan are prepared by the Regional
HR Function based on the needs of the Organization. The Training Plan for
2023 was presented.

Effectiveness of the training session already conducted are seen in the

Human Resource Information System.
Human Resource Information System—a Department-wide monitoring
system—shows the effectiveness of the intervention given. Part of the
HRIS is the Individual Learning and Development Report (a sample for
Administrative Officer III was presented) that showed the Actual Training
sessions attended (10%); Actual Non-Training Interventions/Social
Learning such as Coaching, Mentoring, Behavior Modelling (20%); Special
Projects (actual implementation of leanings, 70%). Learning Application
and Effectiveness assessment is seen in the Report (the effectiveness is
given by the participant’s immediate supervisor).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
If improvement in the competency has not been achieved after the
intervention, a combination of experiential (field exposure, special job
assignments); further coaching, mentoring, collaboration, social learning;
and/or formal learning interventions are provided.

TEAM-02/S1 (Clause 7.2) is CLOSED for Region 5.

Opportunity/ies for Improvement

Although DTI-Region 05 has one(1) lawyer with the Job Position Attorney
III, the Competency Standard for the Regional Operation Group has not
identified the competency levels for that Position.
The preparation of the Training Needs Analysis does not yet include links
to the Competency Standards.

Region 6: Regional Office-Human Resource

Human Development Plan 2023 (specific for the region) was seen and
verified. These were based on the request/proposal of immediate head
of the function.
Identified training 2023:
• Leadership/Management Training
• Career Executive Service
• Capacity Building Training
• Orientation of New Employee
• FAD Conference
• Capacity Devt on Effective Presentation Skills
• Improved Critical thinking Skill
• Support to DTI academy- Project Dalubhasa
Reference documents (seen and verified)
• Training and Development/version 3/ Aug 31, 2021/PR-HR-02
• Performance Development Action Plan – used by HRAS of HO,
beginning of the year- through DTI Academy Learning Pathway
• Project/Training Proposal/FY 2023

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Opportunity/ies for Improvement

At the time of the audit, there is no evidence to show that evaluation of
training effectiveness has been implemented for employees that
participated in trainings related to “Capacity Development on Effective
Presentation Skills” conducted in Aug 2023
Note by the Team Leader- this shall form part of the STILL
OPEN “TEAM-02/S1”.
1. The form “ Staff Post Training Evaluation form” is not traceable to
the procedure, “Training and Development/V3/Aug 31, 2021/PR-
HR-02

Region 9
The individual competency record and 2023 Recommended Training Path
based on 2021 PDAP and 2023 Recommended Training Path Competency
Level based on 2021 PDAP was presented.

The procedure PR-HR-02 Training and Development was established to

ensure the controlled conditions of the process and were evident in the
Learning Action (LAP).

Opportunity/ies for Improvement

Post Training Evaluations of the training provided to region 09 were not
yet available.
Note by the Team Leader- this shall form part of the STILL OPEN
“TEAM-02/S1”.

Region 11: Regional Office-Human Resource

Those with gaps were included in the Annual Regional Learning and
Development Plan CY 2023, Project/Training Proposal.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Results of training effectiveness for the sampled trainings were available
and verified in HRIS (evaluation is based on the learning and
development evaluation model). Evaluation was conducted by the
immediate supervisor. Records seen: Employee Number XI1007,
Position: Messenger-CTI
• Development Needs Analysis – Delivering excellent results and
collaborating were identified as top 2 competency gap
• Annual Regional Learning and Development and Development
Plan CY 2023- Frontline Service Management Orientation on
Records Management attended by Employee Number XI1007 last
May 23-23, 2023.
• Project/Training Proposal dated March 27, 2023 - Frontline
Service Management Orientation on Records Management
attended by 30 DTI employees.
• Learning Application Plan (LAP) dated June 15, 2023 – initial
evaluation of training effectiveness.
• Individual Learning and Development Report CY 2023- final
evaluation on the 12th Month after the training.
Good Point: DTI Region 11 has a commendable process on the
competency determination and evaluation using HRIS and
Learning & Development Evaluation Model.

Region 12: Regional Office-Human Resource

DTI Region 12 has determined the necessary competence of person(s)
doing work under its control that affects the performance and
effectiveness of the quality management system.
An Online assessment of employees competence was conducted and a
Professional Development Action Plan (PDAP) was established which
contained the Competency Assessment with Identified competency gaps,

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
e.g. for one sample – TIDS of Cotabato Provincial Office; and for an
Administrative Aide V1.
Records of implementation were shared, such as:
- Learning and Development Interventions were determined for the
70-20-10 system. with period defined.
- Workplace Learning (70%)– Intervention – Exposure or field visits
2nd Q – done
- Social Learning (20%) – Coaching and Mentoring 3Q - done June
2023
- Structure Learning (10%) – External Training Opportunities- 4Q-

The Learning Action and Monitoring evaluation for the 2022 training
attended, i.e., Delivering Exceptional Service Standard was shared with
the results determined.

Verification of Previous Nonconformity:

Team 02/S1 – verified and closed for Region 12

CAR: Regional Office-Human Resource

The required competency of the personnel was found established through
the competency assessment from every three years’ assessment
generating ICR – Individual Competency Record. The individual PDAP,
Professional Development Plan and Learning Pathways are planned every
year.
The last assessment was conducted year 2021. The three years
leaning pathways i.e. 2022-2024 was established. The ICR include PDAP
highlighting the proficiency level for mission critical for individual
employees.
Example seen was for Mr. Jerald P. Camilo, AO III, PDAP 2023. The
2023 Learning Pathways that focus proficiency such as core competency of
delivering solutions and technical competency such as Digital skills. The
formal training was planned and attended by the employees were, Client

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Relationship Building and Partnership last March 23-24, 2023 and still to
be attended training for digital skills this November 2023.
The evaluation of the effectiveness of training is through the LAP –
Learning Application Plan accomplished on-line through the HRIS. The
Post-Training Effectiveness and Evaluation Report Form is accomplished
six month s from the completion of structured training. This is to be filled-
up by the participants and the superior. The final evaluation and
conclusion demonstrated the application of learning.
The Competency Priorities for 2023 was presented for two mission critical
competencies for all employees.

Verification of Previous NC:

TEAM-02/S1 – CLOSED for CAR.
As based on the information above for LAP and Post-Training Effectiveness
Form.

CARAGA : Regional Office-Human Resource

Those with gaps were included in the Professional Development Action
Plan (PDAP) CY 2023.
Results of training effectiveness for the sampled trainings were available
and verified. Evaluation was conducted by the immediate supervisor.
Records seen:
• Organizational and Leadership/Managerial Competency Matrices
for DTI CARAGA
• Staff Competency Gap Assessment – Administrative Aide VI and
dated January 23, 2023
Gap: Delivering solution, services and support to DTI
Stakeholders
• Professional Development Action Plan (PDAP) – includes Business
Writing and Digital Skills

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• DTI Academy – provided online training for Business Writing last
April 11-12, 2023
• Learning Application Plan dated April 13, 2023 – monitored
through HRIS
• Training Effectiveness Evaluation Report dated September 18,
2023. Results showed that Administrative Aide VI passed the
evaluation conducted by the Admin Officer and approved by
Provincial Director.

Opportunity/ies for Improvement:

1. DTI Region 11 determined competency requirements in each
functions/position, however, some competency related to QMS still not
considered in the gap assessment.
2. DTI CARAGA needs to complete information (example: date of
evaluation) in the accomplished “Training Effectiveness Evaluation
Report”.

Verification of TEAM 02/S1

Region 11
The organization demonstrated effective implementation of corrective
actions as evident in HRIS Online System, Learning Application Plan
(LAP) and Individual Learning and Development Report CY 2023.
Team 02/S1-Region 11 recommended CLOSED.

CARAGA
The organization demonstrated effective implementation of corrective
actions as evident in HRIS Online System, Learning Application Plan (LAP)
and Professional Development Action Plan CY 2023. Team 02/S1-CARAGA
recommended CLOSED.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
7.3 Awareness DTI – Regional Office 1 - Human Resource.
The organization shall ensure that persons doing work under
the organization’s control are aware of: a) the quality policy; The awareness requirement for the QMS were embodied in the following
b) relevant quality objectives; c) their contribution to the activities of the DTI Region 1 Office:
effectiveness of the quality management system, including the • Conduct of trainings related to the QMS.
benefits of improved performance; d) the implications of not • Program for the orientation of newly-hired personnel.
conforming with the quality management system The Monday morning flag raising activity of the regional office also
requirements includes a recitation of the DTI Quality Policy. The various meetings and
events held at the regional office is also started with a recitation of the
Quality Policy.
The poster of the DTI Quality Policy is also strategically posted at various
areas of the DTI offices.

The functional objectives of the various process groups and units of the
regional office were appropriately cascaded in the Individual Performance
Commitment Review (IPCR) or “Individual Dashboard” of the various
personnel.

Region 3
➢ The quality policy as newly signed were provided and communicated to
all the region and cascading to all of its employees.

➢ Awareness were being implemented during focus group discussion and

during on boarding of new employees as well as discussion of the DPCR
and IPCR.

Region 4B:
Awareness and understanding of the quality policy, objectives and targets
and processes of the quality management system is confirmed during the
audit interview.

Region 5

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The Management Review conducted quarterly is the main venue that
reinforces the strategic direction and commitment to satisfy its diverse
interested parties.

On-Boarding/One-on-One sessions are conducted to introduce the new-

hires to the Organization its duties and functions.

Region 6
Awareness through the conduct of orientation to the new employees were
seen in the documented information.

The organization keeps employees informed about the progress toward

achieving quality objectives thru regular updates during functional
meetings and organizational wide communications
Likewise, visual display of Quality Policy.

Region 8, 11, CARAGA

Compliance with the awareness clause requirements of the Standard was
included in the Annual Regional Learning and Development Plan CY
2023. The Finance and Admin Division-HR Section monitored the
implementation of awareness and training programs for the year 2023.
In addition, the organization implemented online training for the in-
house training facilitated by the Head Office through DTI Academy.

Region 11: Training Plan

• Orientation for New Employees (ONE) conducted June 8-9, 2023
• Exemplify Professionalism and Integrity conducted May 2023 –
Orientation for New Employees
• Business Communication conducted June 20223

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Engaging and Inspiring Individuals and Teams conducted August
2023.

CARAGA: Training Plan

• Knowledge about DTI and Public Service attended by New Employee
• Client Relationship Building and Partnership-March 24, 2023
• Frontline Service Management Orientation on Records Management
attended by Employee Number XI1007 last May 23-23, 2023.
• Re-orientation on Quality Management System Processes conducted
last September 15, 2022
• CESB Training - November 28-29, 2023

Region 9
The awareness of personnel was ensured through recitation of the quality
policy during the flag ceremony, while quality objectives were being
communicated based on QOP, PDCR and IPCR.

Region 12
Awareness sessions on a) the quality policy; b) relevant quality objectives;
c) their contribution to the effectiveness of the quality management
system including the benefits of improved performance; d) the implications
of not conforming with the quality management system requirements were
shared in its Share Point – One DTI QMS. All Employees can access to
this.
CAR
The program for employee’s awareness is ONE-Program that requires new
employees to attend on-line training. This include QMS orientation with
the Division Heads and QMS module.
The PMS of the Central Office also conducts QMS awareness training.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

7.4 Communication Region 6 - Regional Office-Human Resource

The organization shall determine the internal and external Policy on communication is reflected in the Section 6/ DTIQM-06/Aug 2,
communications relevant to the quality management system, 2022
including: a) on what it will communicate; b) when to Communication process is evidently established and implemented based on
communicate; c) with whom to communicate; d) how to seen documented information specifically concerning QMS-related
communicate; e) who communicates processes.
Methods of communication include: postings (i.e., Quality Policy, Citizens
Charter), emails etc.

Region 9: Regional Office-Human Resource

Communications were established to provide information to employees
from the Regional Director, example were as follows;
➢ Monetization of Leave Credits dated November 07, 2023
➢ Work from Home Assignment dated October 27, 2023

CAR: Regional Office-Human Resource

The communication both incoming and outgoing from the Regional offices
are handled by specific functions, i.e. Office of the Regional Director for all
incoming communication, while outgoing communication is through the
records officer.
The communication flow was presented covering ROPO (Within the
Regional Office), ODO (Other DTI Offices), External and Internal. The
document is logged in relevant logbooks for traceability. For External from
other than DTI, a tracking number is assigned.
Database monitoring for incoming communication, a tool for on-line
monitoring on top of the logbook was also implemented up to the
provincial offices.
Online 365 was also in use to relay other communications.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Monthly folder of communication was seen in-placed. Likewise, digital
copies of communications are also being maintained in individual monthly
folder.
The records officer sort outgoing communications whether internal or
external, scanned copy prior to release. An online database is also being
maintained for all outgoing communication. This is for effectively tracking
and retaining the records of the information. The system for on-line data
base tracker was initiated by CAR RO.

CARAGA : Regional Office-Human Resource

The organization demonstrated effective implementation of the
communication process both internal and external.

Internal communications are Trello System, Memorandum, Online

Meeting, Management Review, Teams, Email and Bulletin Board.

External communications are DTI Website (www.dti.gov.ph), DTI Caraga

Facebook Page and Office 365.

7.5 Documented Information Requirements for the control of the documented information process are
7.5.1 General established in “Control of Documents” (PR-CD-01 version 3, effective date
The organization’s quality management system shall include:
18 October 2021) and “Control of Records” (GL-CR-01 version 3 effective
a) documented information required by this International
Standard; b) documented information determined by the date 29 October 2021). This procedure covers documents of external
organization as being necessary for the effectiveness of the origin. The procedure covers the activities regarding Curation/Updating of
quality management system. NOTE The extent of documented Documents, Review and Approval of QMS Documents, and Control and
information for a quality management system can differ from Distribution of QMS Documents.
one organization to another due to: — the size of
Control of documented information was verified and trailed in the samples
organization and its type of activities, processes, products and
services; — the complexity of processes and their of the following document and records:
interactions; — the competence of persons.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
7.5.2 Creating and updating DTI – Regional Office 1.
When creating and updating documented information, the
organization shall ensure appropriate: a) identification and Determined QMS requirements for the control of documented
description (e.g. a title, date, author, or reference number); b) information is defined in the following procedure/guideline:
format (e.g. language, software version, graphics) and media
• Control of Documents (PR-CD-01; Version 3; October 18, 2021).
(e.g. paper, electronic); c) review and approval for suitability
and adequacy. • Control of Records (GL-CR-01 Version 3-1; October 29, 2021).
7.5.3 Control of documented information
7.5.3.1 Documented information required by the quality The Control of Documents procedure includes the organization’s
management system and by this International Standard shall Document Coding System which were made evident for appropriate
be controlled to ensure: a) it is available and suitable for use,
implementation through the documents (procedures and guidelines) that
where and when it is needed; b) it is adequately protected
(e.g. from loss of confidentiality, improper use, or loss of were reviewed during the audit of the various processes. These
integrity). document code assignment were also seen in the developed “Master List
7.5.3.2 For the control of documented information, the of QMS Documents”. The various forms used for the QMS were also seen
organization shall address the following activities, as as appropriately controlled through their assigned form code, revision
applicable: a) distribution, access, retrieval and use; b) storage number, and effectivity date.
and preservation, including preservation of legibility; c)
control of changes (e.g. version control); d) retention and
The copy of the latest/updated QMS procedures and forms are controlled
disposition. Documented information of external origin
and made available to the DTI personnel through the “One DTI QMS Share
determined by the organization to be necessary for the
Point”.
planning and operation of the quality management system
shall be identified as appropriate, and be controlled.
Documented information retained as evidence of conformity The requirement of the Control of Records guidelines was also seen as
shall be protected from unintended alterations. generally complied.
The required updating to the “Master List of Records” was evident in the
June 30, 2023, AFMD Master List of Records.
The planned disposition to the records, after its retention period, were
identified in the “DTI Records Disposition Schedule” that was submitted
to the National Archives of the Phils (NAP). On December 14, 2015. The
corresponding disposal to the documents that had served its retention

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
period were made evident through the “Certificate of Disposal of
Records” that was issued by the NAP on January 28, 2021; the actual
disposal though was implemented on December 14, 2021 (latest
disposal of records).

Opportunity for Improvement

OFI 01: Procedures and guidelines developed/created at the regional
level also needs to consider the “Document Creation” requirement
identified in the Control of Documents procedure (PR-CD-01).

OFI 02: Adequacy in including the vital records of the QMS in the “Master
List of Records” needs to be consider (at AFMD, records such as the SWOT
Analysis, Stakeholder Analysis, Risk Register, Opportunity Register, Job
Profile, Learning and Development Interventions Tracking Database).
Consider also reviewing whether the “DTI Records Disposition Schedule”
needs to be updated for the inclusion of these QMS records.

Region 3 : Regional Office

Control of documented information to be maintained includes the Quality
Policy dated 15 September 2023. Master lists were provided for quality
records or documented information to be retained. Access was restricted at
share point.

Region 5: Regional Office

For DTI-Region 05, the distribution of received documents, internal or
externally generated is defined by the Regional Director through the
Regional Office’s Routing Slip and monitoring of these documents through
the Integrated Document Tracking System (IDTS).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The presented Routing Slip dated 04 October 2023 showed the IDTS number
for a document of external origin that was received by the Office of the
Regional Director. The Routing Slip also identified the person to who the
document is to be distributed.

Opportunity/ies for Improvement

The current documented procedures on control of documents and control of
records do not contain specific requirements related to the distribution of
documents of external origin. The use of the Integrated Document Tracking
System (IDTS), from the Information Systems Management Service (ISMS)
is not referenced in the two(2) procedures.

Region 11: Regional Office

• Masterlist of QMS Documents (FM-CD-01) updated October 17,
2023 – includes document code, title, revision number, effective
date and author.
• Masterlist of External Documents (FM-DC-02) updated October 17,
2023 – includes document code, title, source, holder revision
number
• Masterlist of Records updated June 26, 2023
• Request for Approval of Authority to Dispose of DTI 11 Records to
NAP dated August 31, 2023 – as per requirement of RA 9470
“National Archives of the Philippines Act of 2007”
DTI Region 11 implementation of control of documents and records were
seen effective.

Region 12
DTI Region 12 has established its QMS documentation as required by the
standard. These are defined in its procedure Control of Documents, PR-CD-
01 Version 3.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Example of documented information with the necessary identification are:
Title: Strategic Planning Guide: Form Code: FM-PL-OG-01; Rev0 Aug 01
2022
Title: Risk Register: Form Code: FM-PL-06; Rev2; Date: 01 August 2022

To ensure maintenance of the documented information, the Records

Masterlist and the Masterlist of QMS Documents were shared and
reviewed.
Records Masterlist defined the retention periods, and the master list of
documents defined the revision/version number.

Opportunity/ies for Improvement

The Masterlist of Documents has not updated the Quality Policy – still 2019
revision number; latest shared was 15 September 2023.

8 OPERATION
8.1 Operational planning and control DTI – Region 7: Negros Oriental Provincial Office
The organization shall plan, implement and control the (Conduct of Training / Accreditation of Service and Repair and
processes (see 4.4) needed to meet the requirements for the Enterprises / Issuance of BMBE Registration / Monitoring and
provision of products and services, and to implement the Enforcement of Fair Trade Law)
actions determined in Clause 6, by: a) determining the
requirements for the products and services; b) establishing Determined process requirements and controls for the provision of
criteria for: 1) the processes; 2) the acceptance of products services at the DTI Negros Oriental Provincial Office were defined in the
and services; c) determining the resources needed to achieve documented process specific procedures. The various service processes is
conformity to the product and service requirements; d) also guided by the related regulatory requirements (ex. RA 7581 - Price
implementing control of the processes in accordance with the Act, RA 7394 – Price Tag Law, RA 4109 – Standards Law, etc.).
criteria; e) determining, maintaining and retaining The established procedures were developed/created at the DTI Central
documented information to the extent necessary: 1) to have Office.
confidence that the processes have been carried out as The documented process procedures are the following:
planned; 2) to demonstrate the conformity of products and • Conduct of Training (PR-CT-01; Version 1; September 30, 2021).
services to their requirements. The output of this planning

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
shall be suitable for the organization’s operations. The • Accreditation of Service and Repair Enterprises (PR-SR-01; Version
organization shall control planned changes and review the 3; December 12, 2022).
consequences of unintended changes, taking action to • Issuance of BMBE Registration (PR-BM-01; Version 1; December 3,
mitigate any adverse effects, as necessary. The organization 2021).
shall ensure that outsourced processes are controlled (see • Monitoring and Enforcement of FTLs (PR-FTL-01; Version 1;
8.4). December 3, 2021).

The quality parameters for the provision of the DTI services is expressed
through the timeliness of the service. The timeliness standard for the
various processes were established in the process cycle time that were
committed in the DTI’s Citizen’s Charter. The timeliness of the service is
monitored by the concerned process group at every transaction that it
receives.

An overall adequate implementation to the requirements of the process

procedure were seen in the sampled transaction/process records.
Evidences of the process implementation were seen in the following:
- Conduct of Training.
The planned trainings for the MSMEs were seen presented to the top
management for approval in the "Training Proposal”. An example seen is
the Training Proposal for the Food Safety Seminar, scheduled on June
19, 2023; which is intended for the Maharlika Community Entrepreneurs
Agrarian Reform Cooperative.
The required report after the conduct of the training was appropriately
seen in the corresponding June 29, 2023, “Terminal Report” of the Food
Safety Seminar. The required conduct of the customer satisfaction
measurement to the training provided was also evident in the “Customer
Satisfaction Feedback Report”. All 31 participants of the Food Safety
Seminar gave a rating of “Satisfactory” to “Very Satisfactory”.
The planned trainings were seen identified in the “List of
Trainings/Seminars” that were created for the various programs (i.e.,
Comprehensive Agrarian Reform Program).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

The letter request of the DSWD Negros Oriental, dated February 6,

2023, for resource person on “Simple Bookkeeping” training was
received at the DTI Negros Oriental Provincial Office on February 13,
2023; a corresponding reply to the request was sent on February 20,
2023.
The timeliness monitoring of the Provincial Office’s reply to the training
request received were seen monitored in the “Communications Log
Sheet”.

- Accreditation of Service Repair and Enterprises (SREs).

The sampled processing of applications for the accreditation of SREs
were seen evident for adequate implementation through the maintained
records of the transaction.
The submitted duly accomplished “Application Form” of the applicants
(ex. JVJC Refrigeration and Air-conditioning Services, application
submitted on April 17, 2023) were also reviewed for compliance to the
required supporting documents through the “Checklist of Requirements
and Evaluation Sheet”.
The required conduct of inspection to the applicant’s shop was also
appropriately documented in the “Inspection / Validation Report” (i.e.,
Inspection / Validation Report dated April 19, 2023, for the SRE
application filed by JVJC Refrigeration and Air-conditioning Services).
The corresponding “Certificate of Accreditation” issued to the applicant
was appropriately controlled and established for its traceability through
the assigned SRE Certificate of Accreditation Number (i.e., SRE CA No.
R7-NOR-274-23RA issued to JVJC Refrigeration and Air-conditioning
Services on April 19, 2023).

Timeliness of processing to the SRE Accreditation applications were seen

monitored in the “SRE Logbook”. The reviewed January 2023

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C. RESULT OF THE AUDIT

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Yes No
transactions monitoring showed an all within the following day
processing of the applications (simple transaction).

- Issuance of BMBE Registrations.

The sampled processing of applications for the BMBE Registration were
seen evident for adequate implementation through the maintained
records of the transaction.
The duly accomplished “Application for Registration as BMBE” that were
submitted by the applicants (ex. Sherbeth Enterprises and Auto Parts,
application submitted on September 22, 2023) were also supported by
valid documents required for the BMBE registration such as the Business
Permit and Certificate of Business Name Registration.
The corresponding “BMBE Certificate of Authority” issued to the applicant
was appropriately controlled and established for its traceability through
the assigned BMBE Certificate of Authority Number (i.e., BMBE CA No.
184619019-140 issued to Sherbeth Enterprises and Auto Parts, which
has a validity period up to September 22, 2025).

Timeliness of the processing of BMBE Certification applications were seen

monitored in the “BMBE Online Sheet 2023”. The August to September
2023 transaction monitoring showed an all within 1 day processing of
the applications.

- Monitoring and Enforcement of Fair Trade Laws.

The planned monitoring of FTL for year 2023 were documented in the
“2023 Comprehensive Monitoring and Enforcement Plan”. The monitoring
plan includes among others the “Matrix of Products and FTLs to be
Monitored” which identifies the number of firms per month that will be
inspected for each FTL (Price Tag, Labelling, and Standards). The “List of
Products to be Monitored” contains the information on the products that
are prioritized for the inspection.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The conduct of the FTL monitoring activities at the various
establishments were made evident through the maintained records of
the accomplished “Monitoring Form” for the eight (8) establishments that
were inspected on April 26 -27, 2023.
The summary of the inspection/monitoring conducted during the month
of April 2023 were seen accordingly reported in the “Provincial
Consolidated Monitoring and Enforcement Report”. The April 2023 report
showed a 100% compliance of the firm visited to the requirements of the
FTL.

A total of 60 firms/establishments were reported monitored (Process

Performance Monitoring) for each month from January to July 2023
which is in accordance with the planned number of firms to be monitored
identified in the “2023 Comprehensive Monitoring and Enforcement
Plan”.

DTI – Region 8: Eastern Samar Provincial Office

(Conduct of Training / Accreditation of Service and Repair and
Enterprises / Issuance of BMBE Registration / Monitoring and
Enforcement of Fair Trade Law)

Determined process requirements and controls for the provision of

services at the DTI Eastern Samar Provincial Office were defined in the
documented process specific procedures. The various service processes is
also guided by the related regulatory requirements (ex. RA 7581 - Price
Act, RA 7394 – Price Tag Law, RA 4109 – Standards Law, etc.).
The established procedures were developed/created at the DTI Central
Office.
The documented process procedures are the following:
• Conduct of Training (PR-CT-01; Version 1; September 30, 2021).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Accreditation of Service and Repair Enterprises (PR-SR-01; Version
3; December 12, 2022).
• Issuance of BMBE Registration (PR-BM-01; Version 1; December 3,
2021).
• Monitoring and Enforcement of FTLs (PR-FTL-01; Version 1;
December 3, 2021).

The quality parameters for the provision of the DTI services is expressed
through the timeliness of the service. The timeliness standard for the
various processes were established in the process cycle time that were
committed in the DTI’s Citizen’s Charter. The timeliness of the service is
monitored by the concerned process group at every transaction that it
receives.
An overall adequate implementation to the requirements of the process
procedure were seen in the sampled transaction/process records.
Evidences of the process implementation were seen in the following:

- Conduct of Training.
The planned year 2023 trainings for the MSMEs were identified in the
Annual Work and Financial Plan which includes the “Comprehensive
Agrarian Reform Program Work Plan for CY 2023”. The planned trainings
for year 2023 were also presented in the “Indicative Calendar of Events
– 2023”.
The implemented trainings for the month of August 2023 includes the
following:
• Skills Training on Banana and Root Crop Processing (August 8-9,
2023).
• Skills Training on Octopus Processing (August 10-11, 2023).
• Skills Training on Coconut Twigs handicraft with EDT on Costing
and Pricing (August 24-25, 2023).
• Skills Training on Squash Processing (August 28-29, 2023).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The required development of the “Project Proposal Evaluation Checklist”
and "Training Proposal” were seen available for the trainings conducted.

The required report after the conduct of the training was appropriately
seen in the corresponding “Training/Seminar/Workshop Post Activity
Report”.
The conduct of the customer satisfaction measurement to the training
provided was also evident in the “Customer Satisfaction Feedback
Report”. The “Customer Satisfaction Feedback Report”, for the
conducted August 2023 customer satisfaction survey, showed ratings
ranging from “Satisfactory” to “Very Satisfactory”.

- Accreditation of Service Repair and Enterprises (SREs).

The sampled processing of applications for the accreditation of SREs
were seen evident for adequate implementation through the maintained
records of the transaction.
The submitted duly accomplished “Application Form” of the applicants
(for the months of January to April 2023) were also reviewed for
compliance to the required supporting documents through the “Checklist
of Requirements and Evaluation Sheet”.
The conduct of inspection to the applicant’s shop was also appropriately
documented in the Inspection/Validation Report.
The corresponding “Certificate of Accreditation” issued to the applicant
was appropriately controlled and established for its traceability through
the assigned SRE Certificate of Accreditation Number.

Timeliness of processing to the SRE Accreditation applications were seen

monitored in the record titled “ESM-CPD-40-2023-Logbook”. The eight
(8) applications received in the month of February 2023 showed an all
within timeline processing of the applications (simple transaction).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
- Issuance of BMBE Registrations.
The sampled processing of applications for the BMBE Registration were
seen evident for adequate implementation through the maintained
records of the transaction.
The duly accomplished “Application for Registration as BMBE” that were
submitted by the applicants (ex. Amboy Cable TV, application submitted
on May 24, 2023) were also supported by valid documents required for
the BMBE registration such as the Certificate of Business Name
Registration.
The corresponding “BMBE Certificate of Authority” issued to the applicant
was appropriately controlled and established for its traceability through
the assigned BMBE Certificate of Authority Number (i.e., BMBE CA No.
082604000-224 issued to Amboy Cable TV, which has a validity period
up to May 24, 2025).

Timeliness of the processing of BMBE Certification applications were seen

monitored in the “Registry of BMBE Registrations (BMBE Database CY
2023”. The eight (8) applications received in the month of September
2023 showed an all within 1 day processing of the applications.

- Monitoring and Enforcement of Fair Trade Laws.

The total planned monthly monitoring of FTL for year 2023 were
documented in the group’s QOP document.

The conduct of the FTL monitoring activities at the various

establishments were made evident through the maintained records of
the accomplished “Monitoring Form” for the 25 establishments that were
inspected on September 26 & 29, 2023.
The summary of the inspection/monitoring conducted during the month
of September 2023 were seen accordingly reported in the “List of Firms
Monitored”. The September 2023 report showed a 100% compliance of
the firm visited to the requirements of the FTL.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

A minimum total of 25 firms/establishments were reported monitored

(Process Performance Monitoring) for each month from January to August
2023. There were a total of 32 firms monitored in May 2023 with the
highest number of 35 firms monitored was reported in June 2023.

Region 4A: Rizal Provincial Office

Price Monitoring:
• The activities for the year are tabled as can be gleaned under the
Planning Section, where the calendar of activities/meetings were
programmed for the year.
• Stores to be monitored had already targeted and new /updated SRP
are prepared for references during the inspection and monitoring.
• Issues letter of inquiry to stores selling over the SRP, example is
the RDL Grocery where letter dated Nov. 4, 2022 was issued.
• Conduct customer satisfaction survey.
• A planned target of firms to be monitored is 30, number of price
monitoring reports submitted within the prescribe time was set at
60.

Opportunity/ies for Improvement

1. A letter of inquiry was issued to RLD Grocery last Nov. 4, 2022. The
subject was selling of commodities over the SRP. There were some
inconsistencies noted in the letter, 1. It said that the findings were
based on the Feb. 8, 2023 SRP but the table below has mentioned
Feb. 8, 2022 as references. 2. The inspection was done July 27,
2022 and the action of correcting was Nov. 2022. The prompt
action is nowhere.
2. The products in question were Alaska condensada 168ml with a
retail price of 47. 75 vs. 33.50. The Php 47.75 is the price of Alaska
condensed milk 168ml, and king cup regular lid 155g at 20.75 vs.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
18.00. Validation showed that both items were not included in the
list of SRP. Errors after errors.

Consumers Complaint Handling:

• The process under handling of customer complaints are:
o Receipt of complaint
o Evaluation of complaint,
o Assignment of complain,
o Issuance of Notice of Mediation
o Conduct of mediation
o Provision and collection of CSF
o Analysis of CSF
• An online consumer complaint is in effect where, where the
complainant, respondent, schedule of mediation are all reflected.
• Riitzie Mary Jamon has complained to Consumer Care about
Rewards Credit Cards in April 2023 which was promptly approved.
The complainant has not received to 10K rewards as part of the
agreement, but it was not acted nor no update received as of Sept.
27, 2023. The complaint was acted and Moneymax concluded that
Ms. Jamon is eligible and processing progressed.

Business Counseling:
• A business counseling logsheet is being maintained to track down
the services rendered and the clients served. The logsheet has the
date, time in, client in, complete name, address, business name,
turn around, surveys and type of services required. Example is
Alejandro Gato, business name-A.G Odias Sari-sari Store,
turnaround time-11minutes and with a satisfactory remark on the
service offered.
• Type of consultancy offered are:
o Finance,
o Business permit registration,

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
o Business name registration,
o BIR registration
o Training

Region 4A: Laguna Provincial Office

The planning for the processes was confirmed adequately in-place for the
whole Laguna Provincial Office based on the presented monthly training
plan. Total of 30 trainings for all the Laguna Municipalities was seen
established as per CY 2023 Plan.
Planning for the monitoring and enforcement of fair trade laws was also
confirmed established based on the presented Monitoring Plan / Target for
2023 with total of 100 establishments.
The control for the process was confirmed adequately established and
implemented. This was seen from the presented document such as but not
limited to:
Conduct of Training:
• Training Needs Analysis, conducted by the Negosyo Center Business
Counsellor (Example by Mr. Elmer C. Sagales for Pagsanjan dated
May 4, 2023)
i) Training needs identified
ii) Rationale of training needs
iii) Expected outcome
iv) Target participants
v) Target date or period of implementation
vi) Project Training Proposal signed by the Provincial Director
vii) Post activity Report
viii) Customer Satisfaction survey results with 100% satisfactory
rating and no negative feedback
BMBE Registration:
• The system define under PR-BM-01 version 1 dated December 3,
2020 was seen as the basis for the process implementation.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Application for is process with minimal documentary requirement
such as the BNR – Business Name Registration
• Assets of Php 50,000 below the required Php3M.
• Certificate number 2966546 released within the day, July 5, 2023

Accreditation of Service Repair Enterprises:

• Process flow was seen defined under PR-SR-01, December 19, 2020
• Example of notarized application form from Motor Central Sales
Corporation of Binan dated January 27, 2023 was seen for Motor
Central Sales Corporation.
• Warranty undertaking of minimum 90 days
• Copy of the previous Accreditation Certificate CA-MV-255-2018
dated 14th January 2022 and valid until December 31, 2022.
• Organizational Chart of the company checked and confirmed
available
• TESDA certification for the technician.
• Lay-out of the Service area
• Picture of the Shop and service area
• Checklist of the available tools (This is validated during the actual
site inspection)
• Inspection validation report done March 01, 2023
• Business Registration with SEC CS200803410
• Insurance of the shop made evident from the OR and detail of
coverage
• Score Sheet for start rating
• Recommendation for accreditation
• Certificate issued January 10, 2023 with signature of the PD

Monitoring and Enforcement of Fair Trade Law:

• Monthly actual monitoring plan was seen prepared. This is for
surveillance, monitoring and enforcement plan.

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Actual monthly monitoring update as of October 2023 was seen for
product standard with no reported violator.
Samples of products monitored are battery, brake fluid and
electrical tape.

CAR- Abra Provincial Office

The controls were confirmed from the presented document for example but
not limited to:
Accreditation of Service Repair Enterprises:
a) Logbook record for the applicants for the renewal of accreditation,
there was no new applicant as of the time of the audit.
b) Other documents seen are:
i) Application for accreditation of service and repair enterprises,
downloaded from the website. Ex. Myk’s Motorcycle Repair
Shop, from Bangued Abra, dated January 11, 2023
ii) Checklist of Requirements and Evaluation sheet
(1) Star rating and other requirements required for the
application
iii) Inspection/Validation Report, January 11, 2023, reported by Mr.
Rommel B. Bustarga and Mr. Marcos Rex Hall
iv) Recommendation Sheet for renewal and for approval
v) List of employees with the technician, TESDA NCII certification
of Mr. Michael Choy and Mr. Erwin Bernal
vi) List of tools and equipment, validated by DTI
vii) Lay-out of the Shop / Location map
viii) Picture of the area
ix) Proof of insurance coverage, OR 365331 from Peoples General
Insurance
x) Last’s year certificate of accreditation
xi) New certificate of accreditation AB-023-22
Enforcement of Fair-Trade Laws:

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
c) Based on LGU data on total population of business establishment
(Universe) the firms are classified according to manufacturers,
hardware’s, retailers, wholesalers, service and repair shop, PETC
(Private Emission Testing Center)
d) 20% of the universe is determined
e) Identified 55 new firms or unique plus 28 regular firms
f) Example report for FTL monitoring report by July 2023 with firms
monitored for BN, Price Tag, Labelling and Standards
g) 28 Firms monitored for price trending, monthly.
h) Authority to conduct monitoring and surveillance and enforcement
of trade and industry laws, issued July 5, 2023. Signed by PD
i) Example Monitoring Form seen was for July 6, 2023 for PNS
License.

Opportunity For Improvement:

Incomplete date for serial number/batch, manufacturer, manufacturing
date and PS License (Cathay, North Star Steel bar, no size)

Conduct of Training:
j) Monthly planned training for the year 2023 was presented. The
identified training related to skills, entrepreneurial.
k) Consultations done with the industry and requests derived from the
CSF were seen part of the basis for the planned training.
i) Ex from the 2022 feedback.
l) Post activity report from the conducted training was presented for
examples from financial literacy training done October 6, 2023 for
Barangay Laang, Langangilang. This training was requested by the
stakeholders to the Negosyo Center Representative. Actual
participants of 15 was achieved.
m) Customer satisfaction feedback was seen with rating of VS or
equivalent of 4 and 100% achievement based on ARTA criteria.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
n) List of participants was presented.

Issuance of BMBE Registration:

o) Logbook is utilized to record the applicants
p) Monthly report on the issuances of Certificate of Authority
q) Information submitted by applicants such as BNR, application form.
r) Proof of capitalization of less than P3M, declaration of the owner,
but not including land.

Opportunity For Improvement:

The monitoring form shown dated July 6, 2023 was seen with incomplete
details, i.e. serial number/batch, manufacturer, manufacturing date and PS
License, (Cathay & North Star) and no Steel bar size for North Star.

Bureau of Trade & Industrial Policy Research (BTIPR)

Trade and Industry Information
The procedure, Provision of Trade and Industry Information, version 1,
document code, PR-TII-01, dated August 16, 2021. The process flow chart
describes with the input from the clients that are either from internal or
external, through e-mail. Designated concerned personnel, i.e. Policy
Officer to process that is established from the document, MED Work
Assignment Matrix, Revision 5 dated 13 November 2023. The matrix also
indicated the sources of information or links for statistical data.
The implementation of the process was confirmed from presented samples
as follows:
1. November 28, 2023 (9.17am) – with DTS number BTIPR-112023-232,
considered as complex transaction, that should be completed within 7
working days. The actual completion of the request was within the day at
3:20pm.
2. October 24, 2023, with DTS tracking number BTIPR-102023-181 as
recorded by Admin Officer. The Policy Officer submits the draft TII as well
as the sourced of data and data for TII to immediate supervisor for review

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
and approval. The TII is cleared by the immediate supervisor prior to
release to client. The request was released the following day.

The main identification and traceability is the DTS tracking reference

number that is unique for every request for TII.

The information provided are sourced from publicly available website. The
process does not compromise the data privacy of client.

Prior to release of the completed TII the review and approval of the
immediate supervisor is necessary.

Digital Phils.- BNRD

Business Name Registration
The process for Business Name Registration, version 1, dated November 2,
2021, document code PR-BN-01, with separate process for walk-in and
online registration. Note that the process target is 70% processed within
15 minutes and the maximum of 3 requests for correction in a year.
Moreover, the identified risk may need to be updated also. The improved
version 2 is now in-process and for implementation once approved.
The monthly monitoring of the TAT was seen based on the time stamped
on the on-line transaction.
For the capacity building of BN Processors to ensure the attainment of
process outcome, the BNRD offered and implemented training
programs/webinars such as but not limited to:
1. Business and work ethics
2. Communication training
3. Customer Orientation
4. Data Management and Analysis
5. Decision making
6. Digital Skills
7. Process Improvement

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The supervisors of the BN Processors identify and assigned
attendees depending on the assessed level of competency of the
processors.

Opportunity For Improvement:

The existing procedure presented at the time of the audit was PR-BN-01,
revision 1 dated November 2, 2021 with different process target of 70%
processed within 15 minutes and the maximum of 3 requests for correction
in a year. Moreover, the identified risk may need to be also updated.
8.2 Requirements for products and services
A system for communication was established for the purpose of reaching
8.2.1 Customer communication
out all stakeholders like:
Communications with customers shall include: a) providing
o Development of portals to reach out every interested party is
information relating to products and services; b) handling
being in the system for many years now, to explore the DTIs’10
enquiries, contracts or orders, including changes; c) obtaining
Flagship Programs.
customer feedback relating to products and services, including
Regular meetings, monthly, quarterly, semi-annual and yearly to discuss
customer complaints; d) handling or controlling customer
and cascade the new directives of One-DTI.
property; e) establishing specific requirements for contingency
actions, when relevant
8.2.2 Determining Requirements for Products and Services The needs and expectations of the stakeholders, especially the MSMEs,
When determining the requirements for the products and academe, LGUs are sources of product and services development.
services to be offered to customers, the organization shall
ensure that: The services being developed and offered based on studies conducted by
a) the requirements for the products and services are the Department are:
defined, including: • Negosyo Center
1) any applicable statutory and regulatory • CARP
requirements; 2) those considered necessary by the • Negosyo mentor me Pangkabuhayan sa Pagbangon at Ginhawa
organization; • Industry cluster enhancement program
the organization can meet the claims for the products and • OTOP
services it offers. • Negosyo serbisyo sa barangay
• Shared service facilities

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
8.2.3 Review of the requirements for products and services
8.2.3.1 The organization shall ensure that it has the ability to
meet the requirements for products and services to be offered
to customers. The organization shall conduct a review before
committing to supply products and services to a customer, to
include: a) requirements specified by the customer, including
the requirements for delivery and postdelivery activities; b)
requirements not stated by the customer, but necessary for
the specified or intended use, when known; c) requirements
specified by the organization; d) statutory and regulatory
requirements applicable to the products and services; e)
contract or order requirements differing from those previously
expressed. The organization shall ensure that contract or Series of meetings are done in the Department to review if the services
order requirements differing from those previously defined are rendered has affected the stakeholders. One of the sources is the
resolved. The customer’s requirements shall be confirmed by CSF/feedbacks which are discussed during the regular meetings, monthly,
the organization before acceptance, when the customer does quarterly, semi-annual and yearly.
not provide a documented statement of their requirements.
NOTE In some situations, such as internet sales, a formal
review is impractical for each order. Instead, the review can
cover relevant product information, such as catalogues.
8.2.3.2 The organization shall retain documented information,
as applicable: a) on the results of the review; b) on any new
requirements for the products and services 8.2.4 Changes to
requirements for products and services The organization shall
ensure that relevant documented information is amended,
and that relevant persons are made aware of the changed
requirements, when the requirements for products and
services are changed.
8.4 Control of Externally Provided Processes Products and Procurement process is defined and this is in accordance with guidelines
Services of RA 9184.
8.4.1 General Overall, this is categorized in to Shopping, Small Value Procurement or
Public Bidding.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The organization shall ensure that externally provided
processes, products and services conform to requirements. Region 1
The organization shall determine the controls to be applied to Procurement process was demonstrated on the sampled transaction
externally provided processes, products and services when: a) (Procurement of Venue)
products and services from external providers are intended for The report details the project proposal, Evaluation report, Project
incorporation into the organization’s own products and Procurement Management Plan, Certificate of availability of fund,
services; b) products and services are provided directly to the purchase request, date, category, approved budget of contract, PO date,
customer(s) by external providers on behalf of the contract amount, post qualification schedule, BAC resolution, and notice of
organization; c) a process, or part of a process, is provided by award. (and other docs as applicable)
an external provider as a result of a decision by the Selection of suppliers were also based on RA 9184
organization. The organization shall determine and apply Confirmed that procurement processes are established and effective.
criteria for the evaluation, selection, monitoring of Reference:
performance, and re-evaluation of external providers, based • Supplier Management/Version 4/Sept 15, 2022/GL-GAS-01 (applicable
on their ability to provide processes or products and services in to all Region)
accordance with requirements. The organization shall retain • RA 9184
documented information of these activities and any necessary • Resolution 07-15
actions arising from the evaluations.
Opportunity/ies for Improvement
(Procurement) Issuance of RFA to the Suppliers who got ratings below
80% will help the organization to better understand/ analyze the root
cause of poor performance and monitoring of actions taken committed by
the suppliers.

Region 2
Supplier’s performance evaluation is done per transaction. Results of
supplier performance evaluation were consolidated and communicated
semi-annually (semestral).
The latest results seen was for the 1 st Sem of 2023. Forty-Nine (49) suppliers
with transactions were evaluated and 2 suppliers received failed ratings
(Chi-ces Marketing and Dakin Hardware). Necessary actions were
implemented to suppliers not meeting the passing rate. Passing Score is
80% and above

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Criteria include: quality of product/ timeliness of delivery/ Service
Orientation
This is rated against, ex.: eligibility documents/ supply capability/ product
specifications/ qualifications of personnel.
Reference:
• RA 9184 and its IRR
• Supplier Management Procedure /Version 4/ Sept 15, 2022/ GL-GA-
01

Opportunity/ies for Improvement

Results of supplier performance evaluation done per transaction were not
immediately communicated to the suppliers. In case there were failed
ratings, these were not immediately address by suppliers. Likewise, there
is a tendency, that failed ratings will be overlooked if the succeeding
transactions within 6 months have satisfactory ratings.

Region 3
In general, the Procurement process/Section (under the Finance and
Administrative Division) is responsible for the purchase of products and
services (e.g. consultancy, maintenance, infrastructure) required by the
Regional Office.

Provincial Offices through their Sub-Committee on Procurement, as

authorized by the Bids and Awards Committee (Regional Office) and
approved by the Head of the Procuring Entity (HOPE)/Regional Director, can
directly purchase small-value products/services (i.e. PhP 1M and below).
Under RA 9184 (Government Procurement Reform Act) purchases
amounting to PhP 50,000 and below can use alternative mode for
procurement; there is no requirement for posting of the purchase details on
PhilGEPs. RA 9184 also requires government agencies to source/procure
their common office supplies from the Procurement Office of the DBM.
This difference affects the selection of external providers.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

For purchases to be posted on PhilGEPS, selection of external providers

follows the PhilGEPS requirement (i.e. all eligible suppliers shall first be
registered with PhilGEPS).

For purchases not required to be posted on PhilGEPS, it is the DTI Regional

Office and Provincial Office who defines the requirements for selection,
performance evaluation ,and re-evaluation.

For purchases to be made from the Procurement Service, selection of

external providers is not done by the procuring entity.
Supplier Management procedure (Document Code: GL-GAS-01, Version 4,
Date Effective: 15 September 2022) of the Regional Office, also followed by
the Provincial Offices, contains requirements for the selection and
evaluation of the performance of suppliers, and their disposition based on
their performance.

The Government Procurement Policy Board (GPPB), as stated during the

discussion, has the authority to blacklist external providers/ suppliers based
on feedback from procuring entities.

Opportunity for Improvement

At the time of this audit, it was not clear if the blacklisting of external
providers by the GPPB is considered by PhilGEPS so that these external
providers are automatically precluded in participating in PhilGEPS
purchases.

Region 4A
The procurement for process for the Regional Office 4A was confirmed
according to the delegated authority and allowed procurement modes such
as the Competitive Bidding and alternative move of procurement defined
under RA 9184 and its IRR.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The control for the external providers is also specified under the IRR of the
RA 9184.
The criteria for the evaluation of the performance of the external providers
was also confirmed and applied during the regular performance evaluation.

Region 4B:
External service provider for the processes, products, and services is
within the control of the organization to ensure conformance to their own
requirement. Criteria for evaluation, selection, monitoring of performance,
and re-evaluation if necessary is established and defined in the
documented procedure GI-GAS-01 revision 04 effective 15 September
2022 “Supplier Management”.

Compliance to the requirement of the documented information is

confirmed being consistently implemented based on the transactions
reviewed during the audit.

Implementation of selection criteria for the external provider is defined in

the existing law RA 9184 “Government Procurement Act/Law”. Compliance
with this requirement is confirmed based on the reviewed PR (PR: BBB-
2023-07-186 dated 06 July 2023 through Public Bidding. Process from
posting, bid submission and opening, selection, BAC Resolution, notice of
awards, notice to proceed, conduct of post-qualification, and issuance of
purchase orders. Delivery of the purchased items is done. Inspection
Acceptance Report is available and presented during the audit.

Criteria for evaluation of performance of external providers are defined as

follows: Quality of Product (40%), Timeliness of Delivery (40%), and
Service Provision (20%). Result of the evaluation of performance is being
communicated with the external providers as well. Examples of the results
of external providers are: Hi Noki Global Concepts (90%: Very Good), and
Big Prints (100%: Excellent).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
1. During the audit, the latest result of external provider evaluation is
not yet communicated.

Region 5
DTI- Region 5 has ensured that externally provided products and services
conform to requirements and has determined controls to be applied to
these externally provided products and services.
DTI Region 5 has determined and applied the criteria for the evaluation,
selection, monitoring of performance, and re-evaluation of external
providers, based on their ability to provide products and services in
accordance with requirements.
The organization has retained documented information of these activities
and any necessary actions arising from the evaluations. (see 8.4.2/8.4.3
results of audit).

DTI – Regional Office 7: Procurement

The Department of Trade and Industry, being a government institution,

subscribes to the requirements of the Government Procurement Reform
Act (RA 9184). The requirements of RA 9184 were seen used as basis in
the development of the DTI procurement process (“Supplier Management”
GL-GAS-01; Version 1; September 15, 2022).
The Bids and Awards Committee of the DTI Region 7 Office was seen
formally established through the following Office Orders:
• Office Order No. 2023-01-007, dated January 30, 2023, titled
“Reconstitution of the DTI 7 Regional Office BAC”.
• Office Order No. 2023-07-062, dated July 3, 2023, titled
“Reconstitution of the DTI VII Regional Office BAC”.
The July 2023 Office Order was issued due to the retirement of the
January 2023 designated BAC Secretariat Head (Ms. Evelyn Fabian).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
An overall adequate implementation to the procurement process
requirements were seen in the purchasing transactions that were sampled
for the small value purchases of the DTI Region 7 Office. Example seen
are as follows:
• The “Purchase Request” dated May 16, 2023 (PRR No. 2023-05-
055) was created due to the non-availability of stock at the PS-
DBM office which was supported by the stamped ‘Not Available’ (by
the PS-DBM) on the “Agency Procurement Request” that was
submitted to the PS-DBM office on May 16, 2023.
• The “Purchase Request” (PRR No. 2023-05-055) was also evident
for verification to the 2023 APP by the Chief Administrative Officer
who is the concurrent BAC Secretariat Head.
• A “Request for Quotation” (open quotation) was posted at the
PhilGEPS website on May 17, 2023, which received 3 quotations
from the PhilGEPS accredited suppliers (Charlton Trade and
Enterprise, IPI, and Metro Retail Store Group Inc.).
• The submitted quotations were accordingly documented in the
“Abstract of Canvass” dated May 18, 2023, and was consequently
approved by the BAC members.
• The corresponding “Purchase Order”, addressed to the selected
supplier, was also available (PO No. 2023-050, dated May 18,
2023).
• The inspection to the supplier delivered product was evident in the
record of the “Inspection and Acceptance Report” (IAR No. 0081)
dated May 29, 2023.

Performance evaluation to the contracted suppliers is also evident for

adequate implementation through the records of the “Supplier
Performance Evaluation”.
The May 2023 supplier evaluation was seen conducted on the following
suppliers: Sandrias Delicious Concept, Dynamic CNG Trading, AMBL Expert
Trader, Charlton Trade and Enterprise, DCNC Sales and Services, etc.

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 AUDIT REPORT
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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

The suppliers of products and services were seen accordingly sourced from
the list of PhilGEPS accredited vendors.

DTI – Regional Office 8: Procurement.

The Department of Trade and Industry, being a government institution,

subscribes to the requirements of the Government Procurement Reform
Act (RA 9184). The requirements of RA 9184 were seen used as basis in
the documented DTI procurement procedures and guidelines (“Supplier
Management” GL-GAS-01; Version 1; September 15, 2022).
The Bids and Awards Committee of the DTI Region 8 Office was seen
formally established through the Office Order No. 2023-005, dated
February 3, 2023, titled “Re-Composition of the Bids and Awards
Committee” that was issued by the DTI Region 8 Director.
The appointed BAC Chairperson was the Assistant Regional Director (Ms.
Ma. Delia M. Corsiga), with Ms. Fidelis T. Aviñon as the Vice BAC
Chairperson.
The planned procurement requirements for year 2023 were seen identified
in the “DTI-R VIII – Annual Procurement Plan for FY 2023”.

An overall adequate implementation to the procurement process

requirements were seen in the purchasing transactions that were sampled
for the small value procurement of the DTI Region 8 Office. Examples seen
are as follows:
Procured service for the maintenance of the DTI R8 Elevator Equipment.
• The needed service for the maintenance of the DTI Region 7 Office
elevator was evident for the “Pre-Repair Inspection” in the
“Request for Pre-Repair Inspection” dated February 23, 2023.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• The Pre-Repair Inspection was initiated by the “Purchase Request”
filed on January 5, 2023 (PRR No. 23-01001) for the needed
service.
• A “BAC Resolution No. 23-001” dated January 5, 2023, was issued
for the Direct Contracting of the needed service.
• A corresponding “Purchase Request” was prepared (PRR No. 2023-
05-055) which is awarded to KPI Elevators, Inc. of Cebu City.
• The performed services of the contractor were appropriately
documented in the "Elevator Maintenance Report" dated February
23, 2023.
• The inspection to the completed service of the contractor was seen
in the record of the “Post-Repair Inspection” that is included in the
“Request for Pre-Repair Inspection” document.

Procurement of UPS equipment.

• The “Purchase Request” dated September 20, 2023 (PRR No. 23-
09176) was created due for the purchase of the UPS equipment.
• The “Purchase Request” (PRR No. 2023-05-055) was also evident
for verification to the 2023 APP by the Chief Administrative Officer
who is the concurrent BAC Secretariat Head.
• A “Request for Quotation” (open quotation) was posted at the
PhilGEPS website on September 21, 2023, after the approvalof the
request. Three (3) quotations from the PhilGEPS accredited
suppliers were received (BBCS, Joebz Computer Sales,
Electrocomputer Data System).
• The submitted quotations were accordingly summarized/recorded
in the “Abstract of Canvass” dated September 25, 2023, and was
consequently approved by the BAC members.
• The corresponding “Purchase Order”, addressed to the selected
supplier, was also available (PO No. 23-09219, dated September
25, 2023).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• The inspection to the supplier delivered product (UPS) was evident
in the record of the “Inspection and Acceptance Report” (IAR No.
23-09176) dated October 3, 2023.

Performance evaluation to the contracted suppliers were generally made

evident for implementation through the records of the “Supplier
Performance Evaluation”.
The summarized results of the supplier evaluation are presented in the
“Consolidated Supplier Performance Evaluation – July to September 2023”.
The timeliness of the delivery of the suppliers were supported by the data
in the “Procurement Monitoring” record.

The suppliers of products and services were seen accordingly sourced from
the list of PhilGEPS accredited vendors.

Opportunity for Improvement

OFI 01: The PS-DBM Office is one of the supplier of office materials at
the DTI offices which should also be included in the Supplier
Performance Evaluation process.
Performance evaluation to the security service provider may also need to
be consider.

Region 10
The process is also primarily in accordance with the requirements RA9184
/ COA Rule and Regulations, DBM Rules and Regulations and GPPB.
The procurement planning was conducted with the PPMP and APP at the
output. This is an annual process where all APP is consolidated by the
Regional Office.
Mode of procurement at the Regional Office is covers competitive bidding,
while the alternative mode of procurement is applicable at the provincial
offices.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Region 11
The control for the externally providers were established through the
procedure GL-GAS-01 Supplier Management, through PHILGEPD
registration and Bids and Awards Committee and evidence of the
implementation includes the following retained documented information;
➢ Pre-Procurement Conference
➢ Invitation to Bid
➢ Invitation to COA
➢ Corporate Secretary Certificate – Board Resolution No. 2023-22
➢ Omnibus Sworn Statement
➢ Bid Securing Declaration
➢ Statement of Single Largest Completed Contracts
➢ Notice of Award to Felcris Supermarket
➢ Certificate of PHILGEPS Registration
➢ Bid Form for the Procurement of Goods
➢ Checklist of Technical and Financial Documents
➢ Opening of Bids Meeting Minutes
➢ Post Qualification Report
➢ Notice of Post Qualification
➢ BAC Resolution No, 2023-09-81
➢ Notice of Award
➢ Contract of Agreement

Region 12
The system and policies for procurement that was seen established was
Supplier Management, version 4, dated September 15, 2022 with
document code GL-GAS-01. This document is in compliance with RA 9184
and its IRR.
The process specify the controls for the procurement process as well as
the evaluation and re-evaluation of the external providers.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
8.4.2 Type and extent of control Region 1
The organization shall ensure that externally provided Registry of suppliers were available for transactions greater than and lower
processes, products and services do not adversely affect the than PhP 50, 000
organization’s ability to consistently deliver conforming Details: for >50k// 90 suppliers ( 20 suppliers of services/ 70 suppliers of
products and services to its customers. The organization shall: materials)
a) ensure that externally provided processes remain within the For <50k// 185 suppliers ( 52 suppliers of services/ 133 suppliers of
control of its quality management system; b) define both the materials)
controls that it intends to apply to an external provider and
those it intends to apply to the resulting output; c) take into Supplier’s evaluation is done every transaction and analyzed every
consideration: 1) the potential impact of the externally semester.
provided processes, products and services on the This is rated against: conformity to specifications, timeliness , and
organization’s ability to consistently meet customer and Aftersales. Scoring reference system is reflected in the actual form
applicable statutory and regulatory requirements; 2) the Results of performance evaluation of suppliers showed that all active
effectiveness of the controls applied by the external provider; suppliers passed the performance evaluation (except for OPC who failed in
d) determine the verification, or other activities, necessary to the last rating)
ensure that the externally provided processes, products and Records seen:
services meet requirements. • Registry of Suppliers ( as of Sept 30, 2023)
• Suppliers Evaluation Sheet
• Notice of Evaluation to Suppliers
Type and extent of controls also include Contracts, Purchase order, Terms
of reference, Service Level Agreement, Memorandum of agreements,
Project specifications and other similar documents.
Verification activities include checking of permits and licenses/ product
inspections/ product sampling/ equipment testing and performance review.

Region 2
Controls on suppliers can be reflected in the Contracts/Purchase
Order/Terms of Reference/ Service Level Agreement/MOA/Project
Specifications/and other similar documented information

Region 3

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The long-standing practice of the Regional Office and the Provincial Office
for the selection of suppliers for small-value purchases (PhP 1M and below)
is primarily to determine the legality of the external provider by asking for
the most recent Business Permit, their Business Name Registration or SEC
registration, Certificate of Tax Registration (BIR), and PhilGEPS
registration.
For a Purchase Request dated 23 March 2023 for the purchase of biometric
equipment.
The following documents were presented by the external provider:
Mayor’s Permit valid up to 31 December 2023 of the external
provider (Permit Number: 7032).
Business Name Registration (DTI) (Business Name No. 2760421)
with a validity period from 16 March 2021 to 16 March 2026.
Certificate of Registration (BIR, Registration Date: 03/07/2011, with
TIN number)
The Regional Office conducts an evaluation of the performance of the
external provider/supplier for every purchase/delivery.
The Supplier Evaluation shows the following criteria against which the
external provider is assessed: Conformity to Specifications (Right Product,
Right Quantity, Right Size, and/or Right Grade), Timeliness of Delivery,
Service Orientation. The evaluation form guides the person evaluating the
performance on how to score for each criterion:
normally from zero (poor performance) to three(3) that denotes
maximum performance.
The minimum passing overall average rate is 80%.
Summary of evaluated suppliers is prepared every semester. As of end-of-
July 2023, the Regional Office has a total of 51 selected external providers.
During this H1 2023 evaluation period, only one(1) external provider failed
to reach 80% overall rating. Punitive action—in the form of penalty against
their contract price—was taken along with a formal communication. The
Supplier Management procedure defines an escalation process to be
implemented against external providers with a rating/ratings of lower than

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
80%. Reference to RA 9184 is made for the disposition against poor
performing external providers.

Opportunity/ies for Improvement

Although a practice for the selection of external providers is in place, this is
not included in the documented information on Supplier Management.

Region 4A
The following established controls were confirmed adequately implemented
as seen from samples of procurement process presented.
1. Title of Project : Audio, Lighting, and LED Wall Video/Playback System
for Kalakal Calabarzon 2023.
a. Terms of Reference prepared by the Process Owner with the
rationale.
b. Philgeps posting with reference number 9787218, with ABC of
Php 365,000.00
c. Abstract of Bids as Calculated
d. Notice of Single Calculated Bid with the information for the
required document for submission such as:
i. Certificate of Philgeps Registration (Platinum
Membership) of PhilGeps Registration Number (Red
Membership)
ii. Certificate of Business Name Registration
iii. Valid Business Permit
iv. Original government issued ID
v. Other relevant documents
e. Post Qualification Report with validation of relevant document
i. Financial and Technical specifications
ii. Past Performance evaluation
iii. Post Qualification Team
iv. RCAMP resolution to award.
f. Notice of Award signed by the HOPE

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
g. Notice to Proceed
2.
The regular evaluation of the external providers was adequately
made evidenced from the Tabulation and Analysis of Supplier
Performance Evaluation for the First Semester 2023. The monitoring of
the performance of the external providers per transactions in terms of
quality/conformity to specifications, Timeliness of delivery. After sales
service was demonstrated. The copy of the semestral evaluation report
for each of the external providers with the signature of the RD are
submitted to individual external providers.
The form for the supplier evaluation was also presented with the
criteria and scoring system.

Region 5
DTI Region 5 has ensured that externally provided products and services
have the ability to consistently deliver conforming products and services
through compliance with the Procurement Act and the conduct of Supplier
Performance Evaluation.
Criteria for evaluation (only external providers listed in PHILGEPS are
considered); performance re-evaluation is conducted every delivery and
evaluated every 6 months
Criteria for re- evaluation are Quality of products/service delivered;
Timeliness of Delivery; and after Sales Service. Example shown was that
for January-June 2023.
For external sourced service providers, e.g. Security – a service contract
every 3 years; and for Janitorial services – a Job Order is issued

DTI – Regional Office 7: Procurement.

The type and extent of control to be applied to the suppliers of products

and services were established in the procedures of the DTI “Supplier
Management” guideline (GL-GAS-01; Version 1; September 15, 2022).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Determined requirements for procurement through Public Bidding and
Alternative Modes were defined which is in accordance with the
requirements of RA 9184.

The DTI Region 7 Office’s Bids and Awards Committee (BAC) is responsible
for the bidding preparation and bid review and evaluation. The
composition of the BAC is identified in the issued Office Order of the DTI
Region 7 Director.
The material/supplies requirements of the Regional Office were seen
identified in the Regional Office’s approved “Annual Procurement Plan for
2023”.

The suppliers of products and services were seen accordingly sourced from
the list of PhilGEPS accredited vendors.

The conduct of inspection to the supplier delivered product and completed

service was evident in the record of the “Inspection and Acceptance
Report” (IAR No. 0081 dated May 29, 2023, for the PO No. 2023-050; IAR
dated July 3, 2023, for the labor and materials supplied by DCNC Sales
and Services).

DTI – Regional Office 8: Procurement.

The type and extent of control to be applied to the suppliers of products

and services were established in the procedures of the DTI “Supplier
Management” guideline (GL-GAS-01; Version 1; September 15, 2022).
Determined requirements for procurement through Public Bidding and
Alternative Modes were defined which is in accordance with the
requirements of RA 9184.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The DTI Region 8 Office’s Bids and Awards Committee (BAC) is responsible
for the bidding preparation and bid review and evaluation. The
composition of the BAC is identified in the issued Office Order of the DTI
Region 8 Director (Office Order No. 2023-005, dated February 3, 2023).
The material/supplies requirements of the Regional Office were seen
identified in the Regional Office’s approved “DTI R VIII - Annual
Procurement Plan for FY 2023”.

The suppliers of products and services were seen accordingly sourced from
the list of PhilGEPS accredited vendors.

The conduct of inspection to the supplier delivered product and completed

service was evident in the record of the “Inspection and Acceptance
Report” (IAR No. 23-09176 dated October 3, 2023, for the PO No. 23-
09219; Post Repair Inspection for the completed contracted services).

Region 10
The selection of the external provider is according to their eligibility in
compliance to RA 9184. This will require providers to comply with required
legal documents. Technical and financial (Net Financial Contracting
Capacity).
The financial proposals are open only upon satisfaction of eligibility
documents.
The BAC evaluates all the submitted document and decide the
qualification of external providers that is only either passed or failed
according to the submitted technical document.
Post qualification by the TWG with the BAC follows upon confirmation
of the eligibility of the external provider.
Other document seen and review for adequacy were:
• Contracts
• PO/TOR
• SLA

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• MOA
• Project Specifications

The external providers were confirmed evaluated also per transaction

according to the established criteria such as:
• Quality – 40%
• Timeliness – 40%
• Service Orientation – 20%
The required passing rate of 80% must be satisfied for suppliers to be
qualified to the next procurement schedules. Performance evaluation
results is consolidated by the Regional Office and Notice of Performance
Evaluation Results signed by the Finance Chief and the Regional Director
and provided to each external provider for their reference and information.
Presented also was the Data Base for Supplier Evaluation containing
the monitoring per transaction of each suppliers at the Regional Office. The
Provincial Office is also maintaining separate monitoring for their own
transactions.

Region 11
Suppliers’ performances were being evaluated twice a year available records
showed for the period of January to June 2023 with two service providers
evaluated with excellent performance.
Notice of below par performance were communicated to concern external
providers for their continual improvement e.g. Cotabato EMS Pasta and Rolls

Region 12
All procurements are in accordance with the established PPMP/APP for the
year 2023. Allocation of fund to the Provincial offices is according to the
delegated authority for alternative mode of procurement.
Purchases of Php50K and above requires PhilGeps posting. There was no
recorded public bidding yet for the year 2023.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The procurement process was adequately established and implemented
based on available documented information such as but not limited to the
following:
1) PhilGeps reference RFQ – 9769703
2) Purchase Requisition with provided completed description and
specification by the end-user.
3) TOR, Terms of Reference that define the specification, responsibility of
supplier, responsibility of DTI XII, Responsibilities of beneficiaries,
Budget or ABC for the project.
4) RFQ send to previous suppliers
5) Bidding documents evaluation by RBAC
6) Abstract of Quotation
7) Notice of Award and Notice to Proceed with approval by the RD
8) Purchase Order with approval by the RD
9) Inspection and Acceptance.
The evaluation of the performance of external providers was
confirmed implemented and based on the standard criteria including:
1) Quality of Product – 40%
2) Timeliness of Delivery – 40%
3) Service Orientation – 20%
The providers not meeting the requirement of at least 80% rating will be
provided with written reminder and or delisting from registry for three
consecutive failures.
Examples of the actual Supplier Evaluations were presented indicating
traceability to specific Purchase Order/s. Also seen was the summary of
the evaluation from the Provincial Offices.
The supplier evaluation was also the basis of any future repeat orders.

8.4.3 Information for external providers Region 1

The organization shall ensure the adequacy of requirements The organization ensures the adequacy of the requirement prior to their
prior to their communication to the external provider. The communication to the suppliers, thru but not limited to the Terms of
organization shall communicate to external providers its Reference/PO/PR/ Request for Quotations/ Request for Proposal.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
requirements for: a) the processes, products and services to be
provided; b) the approval of: 1) products and services; 2) Region 2
methods, processes and equipment; 3) the release of products Sample of the key documents and records include:
and services; c) competence, including any required Purchase orders/ quality requirements/ communication arrangements
qualification of persons; d) the external providers’ interactions (Reference: Data Base management Systems 2023)
with the organization; e) control and monitoring of the
external providers’ performance to be applied by the Region 3
organization; f) verification or validation activities that the Information about the requirements of the Regional Office and Provincial
organization, or its customer, intends to perform at the Office is communicated to the external providers through Work Order,
external providers’ premises. Purchase Orders, Contract of Agreement (for public bidding), Notice of
Award, and Notice to Proceed.
A Purchase Order (PO No. 23-05-048, Dated 05 May 2023 for
biometric equipment was presented.
A Notice of Award and Notice to Proceed, both dated 05 May 2023,
for the PO were also presented.
A Canvass Sheet showing the four(4) external providers asked to
provide their quotations.

Region 4A
The accuracy of the information is provided by the user or process owner
and specified on the TOR-Terms of Reference for services as well as the
Purchase Requisition. This is also what is indicated on the corresponding
Purchase Order.

Region 5
Purchase Request is reviewed and approved prior to conduct of Canvassing
and awarding of Purchase Order.
Examples for records of Small Value Purchase was shared.
- Purchase Request No. RO2023-00176;
- Request for Quotation was to 3 prospective bidders,
- A canvas sheet showing the lowest bidder, and

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
- a Purchase Order (with required delivery date- 5 days upon receipt
of PO) and Delivery Receipt with Inspection /Verification and
Acceptance results.

DTI – Regional Office 7: Procurement

and
DTI – Regional Office 8: Procurement.

The procurement to be conducted through Public Bidding is accordingly

prepared with a Technical Specification / Scope of Works / Terms of
Reference, which is provided to the interested external providers, these
documents provide the information/specifications on the product or
services required by the organization including other terms of condition for
the product/service to be provided by the winning supplier.
The contract for the supply agreement also identifies the responsibilities of
both parties in the execution of the supply agreement.

Information to the small value procurement are provided in the details of

the “Request for Quotation” that are posted in the PhilGEPS website.

Region 10
The accuracy of the information provided to the external providers is
assured from the preparation of purchase request, Terms of Reference,
Purchase Order or Contract, Technical Specifications. Other requirements
normally defined may include the following:
• Criteria for the approval of products and services
• Competence including qualification for services to be rendered
• Arrangement for interactions, communication, and reporting
• Any other controlled to be applied by the office (DTI)
• The verification and validation activities, inspection required

Region 11

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Information provided to consumer includes; Invitation to Bid, Request for
Quotation Purchase Order (PO) and Contract Agreement among others.

Region 12
The accuracy of the information provided to the external providers is
assured from the Purchase Request, Terms of Reference, Purchase Order,
PhilGeps posting among others.
9 Performance Evaluation
9.1 Monitoring, Measurement, Analysis and Evaluation Region 1
9.1.1 General The organization determines the need in monitoring, measure, analyzing,
The organization shall determine: a) what needs to be and evaluating Quality Objectives/ Customer Satisfaction rating/ Supplier
monitored and measured; b) the methods for monitoring, Performance Evaluation and Results of Internal Audits.
measurement, analysis and evaluation needed to ensure valid
results; c) when the monitoring and measuring shall be Region 2
performed; d) when the results from monitoring and The organization has demonstrated monitoring, measurement and analysis
measurement shall be analysed and evaluated. The of the following:
organization shall evaluate the performance and the • status of the functional Quality objectives and the effectiveness of the
effectiveness of the quality management system. The documented procedures related to the processes audited. Actual
organization shall retain appropriate documented information attainment of targets were reported through “Process Performance
as evidence of the results. Monitoring” (FM-PL-08).
• Survey and feedback analysis were seen related to customer
satisfaction
• Records of measurement ( ex., QA activities, Business Counseling
Log, FOI Summary, ARTA Overall Scoring)
• Internal audit results
• Conformity to the services was monitored

Opportunity/ies for Improvement

The time in minutes or hour was not indicated in the Business Counseling
Log that will match with the prescribed time; only time of request and end
time of response were seen.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Regions 3, CAR, 9, NCR
The monitoring and measurement of the achieved results were evident and
demonstrated in the monthly Process Monitoring Report. Results
showed that the following objectives were being achieved and some of
which were as follows;
• complaints resolved within the prescribed time target – 100%
resolution rate; actual = 100%
• Resolution of consumer complaints; target – 98% of decisions rendered
within 15 working days upon receipt of all pleading and document;
actual = 100%

Documented evidences on the monitoring, measurement, analysis and

evaluation provided includes the following as presented in the processes
covered;
➢ Consumer Education and Advocacy Initiatives such as information
dissemination, press releases, seminars, among others.
➢ Consumer Advocacy Tracking Report
➢ Client Satisfaction Feedback
➢ Sales Promo Permit Issued
➢ CSF Rating Breakdown
➢ DTI Business Name Official Receipt
➢ Certificate of BN Registration
➢ BN Process Cycle Time Monitoring Report
➢ Business Counseling Form
➢ Process Performance Monitoring
➢ Firms Monitored (Price Trending)
➢ DTI – Apayao Price and Supply Monitoring – Narrative Report – July
2023
➢ FM-BC-02V1_BC Log PO Final
➢ Area 3 – Annual Work and Financial Plan
➢ Post Activity Report – Taxation 101
➢ Regular SMERA Utilization per Area

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
➢ Post Activity – Marketing cum Branding
➢ FN Process Time Monitoring Sheet
➢ Business Name Correction List
➢ BMBE_Lux Time Study
➢ Business Counseling Log Sheet
➢ Trade and Industry Information Cycle Log
➢ Proposed Work and Financial Plan – Coconut Farmers and Industry
Development Plan.
➢ List of Service and Repair Shop – Accredited
➢ PR-SR-01 Accreditation of Service and Repair Enterprises
➢ Certificate of Accreditation ZSB-00013-23MV
➢ BMBE Monitoring Log
➢ BMBE Certificate of Authority – Mega Pharmacy and General
Enterprise
➢ 2023 Enforcement Plan
➢ 2023 FTL Monitoring Report
➢ ZSP CSF Tabulation – January to October
➢ E-Presyo Monitoring and Weekly Narrative Report
➢ DTI Price and Supply Monitoring
➢ Memorandum Order No. 22-3562 Authority to Monitor Prices and
Supply of Products covered by RA 7581
➢ SMD Monitored – Brick and Mortar Firms

Region 4A
The DTI Regional Office 4A has established the monitoring, measurement,
analysis and evaluation of data relevant to its actual performance against
the QOP and the actual process versus planned arrangements. Example:
Price Monitoring:
• The Percentage of firms complying w/ SRP was regularly monitored
. As of Sept. 2023, the actual performances was 270 stores
inspected.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Opportunity/ies for Improvement
1. The percentage computed was 900%. The regular evaluation should
have corrected the error during the 2nd and 3rd quarter monitoring
and evaluation. For 9 months with an accomplishment of 270 is the
total of targeted 30x9=270. The determination of actual percentage
performance is 270 (actual)/270 (target) = 100% not 900%.
2. The submission of reports has no output indicator.

Region 4B:
Based on the presented documented information. Result of monitoring,
measurement, analysis, and evaluation of established quality objectives
and targets the various functional groups audited achieved the targets.
1. In the monthly monitoring of quality objectives at Romblon
Provincial Office, unmet target was observed for the month of
August 2023 and September 2023. However, as explained the
target for the year is achieved. Revisit this methodology if this is
align with the organization’s requirement for the issuance of
corrective action report.

Targets were defined from the quality objectives and risk/opportunity

matrix. Regular monitoring and evaluation were done where almost all
targets were achieved. Example is the 98% of consumer complaints
resolved within the prescribed time. From January 2023 to Sept. 2023, the
year-to-date achievement is about 99%.
Objectives and targets were established and regularly
monitored/evaluated. Example is the percentage of firms complying with
SRP of all necessities and prime commodities with a target of 100%. The
average result from January 2023 to the day of audit is 100%.

Region 5
As seen in the defined inputs to Management Review, results of the
monitoring of the effectiveness of actions to address risks and

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
opportunities, results of customer satisfaction data gathering activities
including received complaints/negative perceptions, actual performance of
Organizational Units, results of internal and external audits, and status of
non-conformities and their corrective actions are discussed. These
discussions and the results of the discussions are seen in the Minutes of
Management Review such as the presented Minutes of the 26 September
2023 Management Review.

Monitoring of quality objectives are determined and results evaluated as

seen in Process Performance Monitoring sheets. Quality Targets are
monitored monthly and evaluated against the actual achievements. In the
shared performance monitoring, all targets were reported achieved.
Monitoring of Supplier (products and services) Performance was conducted
every delivery and evaluated every 6 months. For outsourced services
such as security, a contract was shared. Performance evaluation is done
every 6 months.

Opportunity/ies for Improvement

For Performance Evaluation of Janitorial services taken as a whole, the
actual performance per janitor may not capture the area for improvement
of each one.

Region 6
The organization demonstrates monitoring, measurement and analysis
of the following:
• status of the functional Quality objectives and the effectiveness of
the documented procedure
• Survey and feedback analysis were seen related to customer
satisfaction
• Records of measurement were seen, such as QA activities, price
monitoring reports, Business Counseling Log, Complaints Log
• Internal audit results

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Region 7
Organizational outcomes Report Cards of the processes of DTI Cebu
Provincial Offices were seen.
Process Performance Monitoring for FY 2023 were shared showing actual
accomplishment versus target for the months January to September 2023,
for all the processes audited.

DTI – Region 7: Negros Oriental Provincial Office

(Conduct of Training / Accreditation of Service and Repair and
Enterprises / Issuance of BMBE Registration / Monitoring and
Enforcement of Fair Trade Law)

The planned monthly monitoring and measurement of actual performances

to the target of the objectives were consistently evident in the “Process
Performance Monitoring” reports of the various process groups of the DTI
– Region 7: Negros Oriental Provincial Office.
The reported accomplishments are as follows:

- Conduct of Training.
The number of MSMEs created from January to September 2023 ranges
from a low of 30 MSMEs for the month July to a high of 105 MSMEs
during the month of May 2023.
The attainment of the Provincial Office to the target of the objective is
summed-up at the DTI Region 7 Office.

- Accreditation of Service Repair and Enterprises.

The January to September 2023 performance monitoring on the timely
processing of SRE Accreditation was reported achieved at a consistent
100% (except for the month of August where no application was
received).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
- Issuance of BMBE Registrations.
The BMB registration applications from January to July were conducted
through the DTI online platform and is not considered in the timeliness
of service monitoring.
Results of the August and September 2023 at-site/onsite BMB
registration application showed a 100% on-time processing of the
application and a 99% satisfied customers of the BMBE registration
application.

- Monitoring and Enforcement of Fair Trade Laws.

The monthly Process Performance Monitoring reports from January to
September 2023 (except for the month of August where no FTL
monitoring was conducted) showed a 100% complying customers to the
requirements of the Fair Trade Law.

DTI – Region 8: Eastern Samar Provincial Office

(Conduct of Training / Accreditation of Service and Repair and
Enterprises / Issuance of BMBE Registration / Monitoring and
Enforcement of Fair Trade Law)

The planned monthly monitoring and measurement of actual performances

to the target of the objectives were consistently evident in the “Process
Performance Monitoring” reports of the various process groups of the DTI
– Region 8: Eastern Samar Office.
The reported accomplishments are as follows:

- Conduct of Training.
The revised target for the Conduct of Training process (Target of 90%
of trainings conducted as scheduled/planned per semester based on the
approved Annual Work and Financial Plan; Target of 98% of MSMEs rate
the conduct of training as satisfactory or better) were evident for

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
monitoring and measurement of actual performance level in the August
and September 2023 Process Performance Monitoring reports.

The August and September 2023 performance measurements both

showed a 100% level of implementation to the scheduled/planned
trainings, and likewise, a 100% satisfied training participants through
the conducted customer satisfaction survey.

- Accreditation of Service Repair and Enterprises.

The January to April 2023 Process Performance Monitoring reports for
the SRE Accreditation showed the total number of applications for SRE
Accreditation that were processed during the month. (???)

- Issuance of BMBE Registrations.

Results of the January to September 2023 Process Performance
Monitoring for the BMB registration application showed a consistent
100% on-time processing of the application.
The timeliness monitoring to the individual BMB registration applications
were seen in the record of the “Registry of BMBE Registrations – (BMBE
Database CY 2023)”. The reviewed monitoring data for the month of
September 2023 showed a within the day of application release/issuance
of the SRE Accreditation.

- Monitoring and Enforcement of Fair Trade Laws.

The monthly Process Performance Monitoring reports from January to
September 2023 showed a 100% complying customers to the
requirements of the Fair Trade Law. The monitoring showed that there
were a minimum of 25 firms that were inspected for each month, 32
firms were monitored during the month of May and 35 firms were
monitored during the month of June (most number of firms monitored).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Opportunity for Improvement:
OFI 01: The measurement of actual performance level in the monthly
Process Performance Monitoring report of the SRE Accreditation process
needs to be aligned to the identified target of the objective.

Region 8, Region 11
DTI Region 8 and Region 11 demonstrated effective implementation of
monitoring and review of effectiveness of actions taken to address
significant risk and opportunities.
The monthly monitoring and measurements of actual performance against
targets were carried out by DTI Region 8-Samar Provincial Office. Actual
attainment of targets were reported through “Process Performance
Monitoring” (FM-PL-08). It was noted that monitoring and measurement
of new quality objectives and targets started in August 2023.
Evaluation of results showed that consistent attainment of targets from
August to September 2023 in Business Counselling, Price Monitoring and
Customer Complaints handling.

Region 9
The monthly monitoring and measurements of actual performance against
targets were carried out by DTI Region 9- Zamboanga City Provincial
Office. Actual attainment of targets were reported through “Process
Performance Monitoring” (FM-PL-08).
Evaluation of results was reported with consistent attainment of targets
from January to October 2023 in Business Counselling, Customer
Complaints handling, and Price Monitoring (however, pls. see verification
of previous NC on monitoring and measurement below). Measurement of
timeliness targets were seen in Business Consultancy Log and Complaints
Log. Other monitoring records shared were Template Worksheet for
Tabulating Responses for FM-CSF-01 (Citizens Charter Enrolled Services),
List of Supermarket/Hardware/Convenience Stores Monitored by DTO-ZCO
2023 and Price Monitoring Reports.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Verification of previous NC, Team-01/S1: STILL OPEN

The Process Performance Monitoring sheet of the Price Monitoring process
of ZCO showed a consistent 100% actual accomplishment from January to
October, 2023 for the target on 90% of Price and Supply Monitoring
Reports every Friday for key cities. However, upon verification, there were
2 cases of delay last August and September, 2023.

Region 10
The organization has determined the relevant information/data to be
monitored that will evidence the achievement of the Quality Objectives
and Targets, the realization of the plans and strategies as well as the
measurement from the implementation of the processes and other
relevant information. Example:
The monthly monitoring and measurements of actual performance against
targets were carried out by DTI Region 10- Bukidnon Provincial Office.
Actual attainment of targets of all the processes audited were reported
through “Process Performance Monitoring” (FM-PL-08). Evaluation of
results showed consistent attainment of targets from January to October
2023.

Monitoring records shared were: List of Consumer Advocacy Initiative

conducted/coordinated (monthly); 2023 BN Directory and Transaction
Summary; Sales Promotional Permits Issued; Bukidnon Monitoring Sheet
on Provision of Trade and Industry Information; Business Counselling
Logbook.

Opportunity/ies for Improvement

Provision of Consumer Advocacy:
1. Monitoring and measurement of actual accomplishment vs the
timeliness target was found inadequate. Measurement was actually
done during the audit.

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
2. If there are advocacy initiatives or seminars not attained according
to schedule, no catch-up plan was documented. However, total no.
of advocacies as of September was attained.
Business Counselling:
3. Time Duration was erroneously inputted in the logbook as time-out.
Trade and Industry Information
4. There may be a need to qualify in the QOP and in the monitoring
sheets about the receipt of complete documentary requirements
from the client.

Region 12
The monitoring and evaluation of the actual performance against the set
QOP was demonstrated from the Quality Objectives and Plans performance
monitoring report (See Clause 6.2 for details).

The monitoring and evaluation of the processes was also demonstrated

from the presented retained document by the process owners. These are
for example but not limited to the following:
Conduct Of Trade Fair
a) The status of the planned Trade Fair for November 2023 was seen
updated with the following information presented:
i) Memo for the invitation for the trade fair for the following
participants
(1)South Cotabato – 21
(2)Sultan Kudarat – 15
(3)Sarangani – 5
(4)North Cotabato – 14
(5)General Santos – 9
ii) Venue was finalized at SM Mall GenSan
b) The monitoring of performance from the previous trade fair
conducted November 15-20, 2022 was presented
i) Post Activity Report with 52 MSME participating

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
ii) Sales of Php 29M cash and booked vs. target of Php 15M

CAR- Abra Provincial Office

SRE Accreditation logbook was made available as the retained
documented information for SREs applicants. Information available are the
name of firms, proprietor, date received of documents, date
accredited/approved, accreditation number.

Opportunity For Improvement:

For the ABRA Provincial Office, SRE, while the performance
monitoring analysis showed 100% attainment of target, the actual
monitoring of the TAT was not made evident related to issuance of
accreditation within three days.

CARAGA: Agusan Del Norte Provincial Office and Regional Office-

Human Resource
1. Confirmed that monthly monitoring and measurements of actual
performance against targets were carried out by DTI CARAGA-Agusan
Del Norte Provincial Office. Actual attainment of targets were reported
through “Process Performance Monitoring” (FM-PL-08).

Industry Development Division-Conduct of Training

The monitoring records showed that a total of three (3) trainings were
implemented from January to September 2023. The process owner
achieved the target and 100% CSF ratings.

Consumer Protection Division- Accreditation of Service Repair

and Enterprises

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The monitoring records showed that a total of 79 SRE Accreditation were
issued within the prescribed time from January to September 2023. The
process owner achieved the target and 100% CSF ratings.

Consumer Protection Division- Monitoring and Enforcement of

Fair-Trade Laws
The monitoring records showed that a total of 442 firms/establishment
were monitored compliant with FTL from January to September 2023.
The process owner achieved the target and 100% CSF ratings.

SME Development Division-Issuance of BMBE Registrations

The monitoring records showed that a total of 1,737 BMBE Registration
were processed within 8 hours from January to September 2023. The
process owner achieved the target and 100% CSF ratings.

Finance and Admin Division- Human Resource

The monitoring record showed that as of October 2023, 87.96%
personnel were trained. The process owner achieved the target for the
CY 2023.

Sampled Functions/Divisions from the Regional Office, Tarlac

Provincial Office, and Bataan Provincial Office.
The actual achievements of the Divisions are seen in their Process
Performance Monitoring reports. The data are gathered frequently,
analysed based on the concerned QOPs, and evaluated based not only on
the QOPs but also on contributing factors. The consolidated performance
and evaluation are recorded in their respective Process Performance
Monitoring reports that show their monthly actual performance.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
For the SME Development Division of the Regional Office, their
performance from January 2023 to September 2023 was positive for the
process on provision of trade and industry information. For the process on
the conduct of trade fair and conduct of training, the achievement is to be
evaluated in October 2023 or towards the end of 2023: the trade fair is to
be conducted in October 2023 but all performance data will be known after
the fair proper.

For the Bataan Provincial Office, from January 2023 to September 2023,
the performance of the Consumer Protection Division was positive overall
based on the sampled Process Performance Monitoring reports for its
six(6) core processes. The actual performance data covered the period
January 2023 to September 2023. All Processes showed 100% actual
accomplishment.
Consumer Advocacy, Resolution of Customer Complaints,
Monitoring and Enforcement of Fair-Trade Laws, Price and Supply
Monitoring, Issuance of Sales Promotion Permit, and Service and
Repair Shop Enterprise Accreditation (there were no applications
received in August and September).
For those processes with performance commitments related to customer
feedback all achieved ratings of at least Satisfactory.

For the Tarlac Provincial Office, for the period January 2023 to September
2023, their performance was positive as for all of the three(3) processes
of the Business Development Division the Objectives and their individual
Targets were consistently achieved. For the BMBE registration process, no
application for BMBE registration was received after March 2023.

Opportunity/ies for Improvement

For the Tarlac Provincial Office, the achievement report for Business
Consultancy process did not provide supporting data on the stated
performance (such as 99.75% of 202 customers in June 2023 gave ratings

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
of satisfied or higher; there was no data to show how 99.75% was
realized).

The Process Performance Monitoring report of the Consumer Protection

Division for the Consumer Advocacy process stated the actual consumer
advocacy activities conducted but not the planned number to serve as the
basis for supporting the declared percentage accomplishment.
Similarly, for performance commitments with specified processing
time to be met, raw data was not processed to provide a basis for
the stated accomplishments.

Region 12
Monitoring and Measurement of action Plans for risks and opportunities are
part of the Risk and Opportunities Register. Monitoring is done per quarter
and results were noted.

Opportunity/ies for Improvement

1. For Opportunities - Action plans were defined; however, these are not
new action plans, e.g. FTL- strengthen relationship with partners,
continuous improvement, - how these will be done are not determined. For
risks – no new action plans were noted
2. Review Effectiveness Indicators if these will address per quarter the
actions determined, e.g. number of joint activities… conducted since no
quantifiable target is defined per quarter

Digital Phils.- BNRD

Trade and Industry Information
Monitoring of the issuance of certification to government Agency (all
requests came from the Office of the Ombudsman) has been evident in the
worksheet that indicates the date of request, date checked, “thru” (hard
copy), details (names of individuals to be checked by Ombudsman, e.g.,
lifestyle check), and date released.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Fair Trade Enforcement Bureau (FTEB)

Consumer Complaints Handling
Monitoring and measurement of actual time to process mediation was
seen in the Mediation Division (MD) Report Matrix per
complainant/client.

Bureau of Import Services (BIS)

Trade and Industry Information
The monitoring and evaluation for January to October 2023 was reflected
in Process performance (FM-PL-08). For January, the request is 664 and all
were served on time (100%) with a satisfaction rating of clients at 97%.
• For the month of October 2023, Report Summary on Customer
Satisfaction Feedback was presented. Total number of respondents
was 702, ARTA overall scoring is 99.86%, ARTA SQD overall is
95.29%.
• Sample of the request is the import data of potato chipping
machine outside MAV. A data was provided from 2020 to Sept.
2023. Country sources are Germany, USA, Australia, Ghana. Duty
rate, preferential tariff, FOB value, were some of the data in the
report. Other sample request is on Import Data of Medical and
surgical devices from Mr. Romeo Quiambao, Oct. 6, 2023. The reply
to the request includes request to complete the online survey,
provided with the survey link and QR code.
• A record and tracking of request from January to October was also
presented. The details of the record are requestor, company, date
received/released, category, type of request, among others.
• Process manual on Provision of Request of Statistical Data to
Stakeholders-BI-IPM-OM-01 was established to as guidance both to
personnel, both to the incumbent and new employees.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
• Added to the trade and Industry Information is on GIP.
Corresponding procedure-BI-OM-01 was established with the
objective of ensuring the request on import procedure and other
government agencies’ import regulations are timely provided. Also,
the division entertained some like the non-releasing of Original CR
from a car loan.
• A record and tracking of request on GIP, was updated during the
time of audit. The record has the information of clients/companies,
request description, product and others.
• A series of e-mails (example-inquiry of lead batteries-BIS-IFD-LR-
2023-754/03) exchanges are done to clarify the requirements of
the request.
• Strategic Planning was done as per M.O. #23-2864 of August 29,
2023 highlighting DTI Enterprise Scorecard for 2023-2028. Results
were reported last Sept. 4, 2023 with the strategic objectives and
the strategic measure.

Bureau of Trade & Industrial Policy Research (BTIPR)

Actions to address risks and opportunities
Monitoring of Quality Objectives and Action Plans to address risk and
opportunities was performed.
The Process Performance Monitoring FY 2023, ref no. PL-BT=-7 Rev.04
was presented. The Monitoring Report – PMS. Physical Accomplishment
Oct 2023.
The target of timely updating of BTIPR pages and posts on the CIG
website/CIG Facebook page was achieved 100%.

Trade and Industry Information

The monitoring and measurement of relevant data to evidence the
attainment of the QOP through the Quality Objectives Performance

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
monitoring and the time stamped for the transactions for the request for
TII was seen established. However, pls. see opportunity for
improvement cited for this area.

Opportunity/ies for Improvement:

1. The Quality Objective Performance monitoring update was presented,
however, what was presented was the monthly output only. This does not
evidence the monitoring in relation to the objective of 95% of the client
served within the prescribed time of 3 days for simple, 7 days for complex
and 20 days for highly technical TII request.
2. While record of transactions maintained by Admin was presented, that
specify the date and time received, the client ID and category of the
request, this does not evidence the type of transaction if simple, complex
or highly technical as specified on the Quality objectives and Plans.
(Note by Team Leader: This OFI shall form part of the STILL OPEN
Team 01/S1.)

Digital Phils.- BNRD

The information needed to evidence the monitoring of the processes were
determined and demonstrated from the QOP and Quality Objectives
Performance monitoring report.
The monitoring of process performance was also confirmed established.

9.1.2 Customer satisfaction Region 1

The organization shall monitor customers’ perceptions of the Customer satisfaction survey is carried out to determine satisfaction of
degree to which their needs and expectations have been services provided for DTI Clients. The survey tool includes satisfaction
fulfilled. The organization shall determine the methods for measurement criteria for service provided to the clients. All processes of
obtaining, monitoring and reviewing this information. NOTE DTI has their own surveys of satisfaction. Appropriate analysis of the
Examples of monitoring customer perceptions can include customer survey results was in place. Monthly ratings were indication of
customer surveys, customer feedback on delivered products high level of satisfaction.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
and services, meetings with customers, market-share analysis, Survey responders are to rate if they are very satisfied, satisfied,
compliments, warranty claims and dealer reports. dissatisfied, and very dissatisfied.
Criteria for rating: Responsiveness/ integrity/ reliability/assurance/
communication/cost/access and facilities/outcome

This covers several DTI services such as Business name registration/ Sales
Promo permit/ Service and repair Shop Accreditation

Client satisfaction feedback summary report showed that DTI Regional

Office 1 have an overall satisfaction rating of 90% and above.

DTI-Regional Office I received no customer complaints, to date.

Region 2
Customer perception is measured thru the use of Customer Satisfaction
and Feedback (CSF) form, issued to client/customer
Criteria include, and may be related, but not limited to: promptness to
the following: responsiveness/ integrity/ reliability/ assurance/
communication/ costs/ access and facilities/ outcome and criteria from
Citizens’ charter
The results of the latest CSF showed respondents gave a Satisfactory-
Very Satisfactory rating. Rating is classified into Dissatisfied, Very
Dissatisfied, Satisfied, and Very Satisfied.
Shared during the audit was the CSF tabulation Sheet (consolidation) for
the month of October 2023 (99.43% = 3.98%) and Sept 2023
(99.15%= 3.97)
4. Reference documented information:
• Client Satisfaction Survey/ version 2/ Oct 1, 2023/ PR-CSF-01
• Tabulation of Monthly results
*Note: no valid complaints were received from 8888

Opportunity/ies for Improvement

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
1. During the review of the Customer Satisfaction Survey form, it is not
clear on when to give a score 4, 3, 2, 1 on each criterion.
2. Remarks of the client for not giving the organization a perfect score 4
on each criterion were not documented in the survey form

Region 3
Providing guidance and defining the requirements for the planning, data
gathering, analysis methods, and evaluation criteria related to customer
feedback: Client Satisfaction Feedback (Document Code: PR-CSF-01,
Version-2, Date Effective: 01 September 2023). This procedure also covers
the receipt, validation, and handling of negative comments/complaints
coming from the survey.
Different Customer Satisfaction Feedback forms for selected Key Processes
(e.g. Accreditation of Service and Repair Enterprises and BMBE Registration)
and Support Processes (e.g. Conduct of Training {Face-to-Face or On-line]
and processing of Financial Claims) were prepared by the management of
the Regional Office. These forms are also used at the Provincial Office level.
CSF forms are either electronic/digital or hard/printed copies. These are
retrieved based on defined requirements. Retrieval rates for CSF forms
follow a structured retrieval requirement based on the number of clients.
For validated complaints/negative comments, a Request for Improvement
(RFI) is generated. Through this RFI, the complaint/negative comment is
addressed. Ratings of Dissatisfied or Very Dissatisfied required validation.
If valid, actions are determined, this includes the preparation and issuance
of and RFI.
The Client Satisfaction Feedback form for Accreditation of Service and
Repair Enterprises was presented. The general evaluation criteria are about
the Citizen’s Charter for the service being rated; the relevant Service Quality
Dimension (there is a total of eight[8] Service Quality Dimensions) such as
responsiveness and communication, integrity/accountability, reliability and
outcome, assurance, costs, and access and facilities; overall satisfaction
rating; and comments and suggestions (an important component is the

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
client’s basis for a rating of Dissatisfied or Very Dissatisfied; this provides
a level of validity to the rating).
For the Service Quality Dimensions, ratings range from Very Dissatisfied,
Dissatisfied, Satisfied, and Very Satisfied.
A monthly customer satisfaction report is prepared showing the client
feedback for key and support processes. The September 2023 report was
presented. No rating of Dissatisfied or Very Dissatisfied was reported in
September. Similar positive ratings were seen for the period January 2023
and April 2023.

Region 4A
The Client Satisfaction rating for the whole region was confirmed
monitored for the whole Region 4A measured for all the 10 core processes
and support processes.
The monthly tabulated customer satisfaction rating was presented with
actual values recorded for Cavite, Laguna, Batangas, Rizal and Quezon.
The actual results seen was no lower than 90% except for 70.9% for the
Conduct of Trade Fair for Quezon for the month of February 2023. RFI (23-
R4A-QUE-RFI-01) was issued with correction and corrective action. The
effectiveness of action was confirmed with 100% attainment of Customer
Satisfaction rating by the month of August 2023.

Region 4B:
Customer perceptions of the degree to which their needs and expectations
have been fulfilled through customer satisfaction survey. Establish target
for customer satisfaction based on the scorecard is 98%. Revision of
process requirement is done last October 2023. In the presented result of
customer satisfaction rating is 3.96 with retrieval rate 99%. Criteria for
rating established are: access and facilities, communication,
responsiveness, reliability, integrity, cost, assurance, and outcome.
Parameters established are: very dissatisfied, dissatisfied, satisfied, and

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
very satisfied. No report of customer complaint received for the services
being offered as of the time of the audit.
1. In the presented data analysis of customer satisfaction rating. The
target being monitored is the retrieval rate and overall CSF Score.
This is not aligned to the established quality objective and target of
98%. There is a need to revisit and align this overall satisfaction
rating in the scorecard, objectives and targets, and the documented
information of monitoring.
2. There is a reported unmet target for occidental Mindoro for the
retrieval rate of customer satisfaction. Documented analysis of the
nonconformity through a corrective action report is not available
during the time of the audit.

Region 5
Customer Perception is known through the conduct of Customer Survey. A
Client Satisfaction feedback (CSF) process flow was shared, Key Services
and support processes were identified and respondents determined as well
as method of collection.
All processes audited defined the Customer Satisfaction Rating target.
Example of CSF presented were:
1) Processing of Claims – External Clients. A total of 2240 clients from
different units were given the CSF with retrieval rate of 98.41 versus
standard set rate of 90%. Standard Customer Satisfaction rating
is set at 90% with an actual rating of 97.56. The data was gathered from
January 1 to August 31, 2023.
2) Conduct of Training – January to May 2023 There was total of 10,216
clients with an average of CSF rating of 99.43%, and a retrieval rate of
100%

Region 6

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Customer perception is measured using Customer Satisfaction and
Feedback (CSF) form, issued to client/customer, for every service
rendered
Criteria include, and may be related, but not limited to: promptness to
the following: responsiveness/ integrity/ reliability/ assurance/
communication/ costs/ access and facilities/ outcome and criteria from
Citizens’ charter
The results of the latest CSF showed respondents gave a Satisfactory-
Very Satisfactory rating (3.91- consolidated to all provincial Office for
the month of October 2023, using the new form)

Rating is classified into Dissatisfied, Very Dissatisfied, Satisfied, and Very

Satisfied.
Shared during the audit was the CSF tabulation Sheet (consolidation)
from every office:
Aklan: 3.88/ Capiz: 3.53/ Antique: 3.95/ Guimaras: 3.96/Iloilo: 3.93/
Negros Occidental: 3.94)
Reference documented information:
• Client Satisfaction Survey/ version 2/ Oct 1, 2023/ PR-CSF-01
• Tabulation of Monthly results
*Note: 11 valid complaints were received from 8888

Opportunity/ies for Improvement

1. During the review of the Customer Satisfaction Survey form, it is not
clear on when to give a score 4, 3, 2, 1 on each criterion.
2. Remarks of the client for not giving the organization a perfect score 4
on each criterion were not documented in the survey form
3. The document to be used aligning to the requirements of clause 10.2
in addressing complaints were not identified in the procedure “8888
Complaints Handling process/PR-HR-03.”

DTI – Region 7 Office.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Determined organizational requirements for the conduct of the customer

perception monitoring is defined in the “Client Satisfaction Feedback”
procedure (PR-CSF-01; Version 1; April 20, 2022). A Version 2 of the
procedure was released on October 1, 2023, although the sample for its
implementation is not yet completed as of audit date.
Adequate and appropriate conduct of the customer satisfaction
measurement, using the DTI developed customer survey form – “ Client
Satisfaction Feedback Form” (CSF), were made evident in the submitted
customer accomplished CSF for the various services/processes availed.

The consolidated results of the customer satisfaction survey at the various

offices (Provincial and Regional) of the DTI Region 7 Offices were
presented in the “2023 Client Satisfaction Feedback Summary” report.
The summary of data report showed a total responder of 19, 743 which
represents a retrieval rate of 99.85%. The average ratings of the various
DTI processes ranges from 94% to 100% with the BN Registration process
having the lowest average rating of 94%.
The customer satisfaction measurement was conducted on the identified
eight (8) Quality Dimensions which are: Access and Facility,
Communication, Responsiveness, Reliability, Integrity, Cost, Assurance,
and Outcome.

DTI – Regional Office 8.

The DTI-wide determined requirements for the conduct of the customer

perception monitoring is defined in the “Client Satisfaction Feedback”
procedure (PR-CSF-01; Version 1; April 20, 2022). A Version 2 of the
procedure was released on October 1, 2023, although the sample for its
implementation is not yet completed as of audit date.
Adequate and appropriate conduct of the customer satisfaction
measurement, using the DTI developed customer survey form – “ Client

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Satisfaction Feedback Form” (CSF), were made evident in the submitted
customer accomplished CSF for the various services/processes availed.

A quarterly consolidation of the results of the customer satisfaction survey

at the various offices (Provincial and Regional) of the DTI Region 8 Offices
were presented in the “DTI-8 Client Satisfaction Results and Analysis”
report (i.e., for CY 2023 3rd quarter).
The 3rd quarter summary of data report showed an overall average rating
97.37% was achieved by the DTI Region 8, the per office average ratings
are as follows:
• Regional Office: 96.57%
• Leyte Provincial Office: 96.67%
• Southern Leyte Provincial Office: 95.55%
• Biliran Provincial Office: 99.40%
• Samar Provincial Office: 99.69%
• Eastern Samar Provincial Office: 96.92%
• Northern Samar Provincial Office: 98.58%

A review to the 2023 quarterly performance in the client satisfaction

survey is also presented in the “Comparison of Quarterly Average Client
Satisfaction Feedback Ratings” which covers the period from 1 st quarter to
3rd quarter of year 2023.
The customer satisfaction measurement was conducted on the identified
eight (8) Quality Dimensions which are: Access and Facility,
Communication, Responsiveness, Reliability, Integrity, Cost, Assurance,
and Outcome.

Region 9
Customer Feedback Tabulation Summary – ARTA Overall Scoring = 99.10%
overall average = Outstanding; ARTA Service Quality Dimension; overall
rating = 92.25% = Very Satisfied on 100%bretrieval rate.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Region 10
Customer satisfaction is measured by service and by office both for
internal and external client. The monthly CSF summary is consolidated by
the Regional Office to measure the customer satisfaction rating of the
whole region.
The performance seen for the period of January to September for the
whole Region was 93.72% with the breakdown per province as follows:
• Bukidnon – 92.8%
• Camiguin – 98.48%
• Lanao del Norte – 93.67%
• Misamis Occidental – 93.33%
• Misamis Oriental – 93.37%
• Regional Office – 92.2%
Per process CSF was also presented with the following consolidated results
for January to September 2023 using the CSF-01.
• Core Process 01 – 94.58
• Core Process 02 – 92.66
• Core Process 03 – 99.07
• Core Process 04 – 86.64 (Conduct of Trade Fair)
• Core Process 05 – 98.97
• Core Process 06 – 91.32

RFI 2023-R10-RFI-12 was issued by the Business Development Division

with the root cause analysis, correction, corrective action plan for
implementation this coming year 2023 Trade Fair. The RFI was seen
adequate.
This will close previous nonconformity TEAM-02/St2, Clause 10.2

Region 11
The level of customer satisfaction was being determined twice through a
monthly monitoring of the CSF for each process and results were as
follows;

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
➢ Consumer complaints = 96.49%
➢ CPD Training and Seminars = 100.0%
➢ Sales Promo Permit = 95.47%
➢ Business Name Registration = 99.69%

Region 12
Customers satisfaction was determined through a survey questionnaire
being responded by the recipient of services provided e.g. janitorial, driving,
maintenance property maintenance dated October 2023. The results showed
100% satisfaction rating the services provided.

Customer satisfaction rating is determined from the customer satisfaction

and survey system with established criteria based on the ARTA
requirements.
The achievement of the target customer rating was demonstrated from
the quarterly customer satisfaction rating summary as follows:
1) Q1 – 96.74%
2) Q2 – 95.88%
3) Q3 – 97.06%

NCR
The process for conducting as per version 1, Client Satisfaction Feedback,
PR-CSF-01, dated April 20, 2022.
The survey consists of administration of CSF to client, retrieval of CSF
and identification of actionable items for formulations of actions and
processing of the CSF responses by the process owners and submitted to
the NCRO. The consolidated NCRO CSF results was presented by month
and by Process with the number of respondents and average rating per
month per process. Seen was the rating for the period of January to
October 2023. The actual result per process was as follows:
1. BN –(All areas) – 98%
2. BMBE (All areas) – 99%

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
3. Business Counselling 100%– 99%
4. TII (Trade Industry Information) – 97%
5. Conduct of Training - 100%98%
6. Conduct of Trade Fair – 98%

All processes achieved the target for all the processes

For the feedback, there was also monitoring of the feedback both positive
and negative the negative feedbacks are mostly related to facilities not
within the control of DTI. However, the concerns were raised to respective
host LGUs. There was no valid negative feedback related to the DTI
services. There was also numerous positive feedback gathered. The
knowledge and competency of the staff gathered positive attention and
feedback from the clients.
The CSF process was also updated to versions 2; thus the process owners
will be trained/oriented to the new system by 2024.

CAR
The consolidated customer satisfaction results from January to September
based on the previous guideline was presented. Quarterly summary was
presented with the following results:
1) January to September 2023 quarterly report for processes such as
BMBE/BNR/Consumer Complaints Handling/ Issuance of Sales Promo
Permits/ SRE/PETC/
a) Q3 Overall = 99% (no dissatisfied
b) January –May 2023 = 98% _
c) June 2023 – 99%
The overall performance for all the processes is above the target of 97%.
There was still no recorded complaint for the whole regional office.

CARAGA

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
1. DTI CARAGA latest conduct of Customer Satisfaction Feedback was based
on the procedure documented in “Client Satisfaction Feedback”, PR-CSF-
01 version 1 effective date April 20, 2022.
2. Confirmed that DTI CARAGA has no customer complaint received from
January to October 2023.
3. The organization facilitated customer surveys through online and on site
(face to face) right after transaction or activity of walk-in or online clients.
The survey tool includes satisfaction measurement criteria for service
provided to the clients. Record seen:
• Client Satisfaction Feedback Form – Training and Development

Export Management Bureau (EMB)

Trade and Industry Information
1. DTI Export Marketing Bureau latest conduct of Customer Satisfaction
Feedback was based on the updated procedure documented in “Client
Satisfaction Feedback”, PR-CSF-01 version 2 effective date October 1,
2023.
2. Confirmed that DTI Export Marketing Bureau has no customer complaints
received from January to October 2023.
3. The organization facilitated customer surveys through online and on site
(face to face) right after transaction or activity of walk-in or online clients.
It was noted that CSF Forms were customized as per processes. Records
seen:
• Client Satisfaction Feedback Form (FM-CSF-BC/F2F-07 version 1)
– Business Counseling
• Online Client Satisfaction Feedback Form (FM-CSF-BC/F2F-07
version 1) – Business Counseling

Bureau of Import Services (BIS)

Customer Satisfaction:
The Bureau has an online and walk-in survey forms. These were revised
last October to be more user’s friendly. Criteria were defined like

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
responsiveness, integrity/reliability/assurance, communication, and
access/facilities. Every client served are requested to fill-up the customer
satisfaction survey. In online, every email response has an attached
instruction to fill up the customer satisfaction survey, while walk-in clients,
are all provided with survey form.
Total clients served from January to October was 6,730 with a response of
5,645, which resulted to 97.3% satisfaction rating. DTI staff a rating of
94.88%.
For the Management Review, IFD has a rating of 96.78% while IPDM has
97% satisfaction rating.

Bureau of Trade & Industrial Policy Research (BTIPR)

Customer Satisfaction:
The system and policies for the conduct to client satisfaction Feedback was
seen established under PR-CSF-01, version 2, dated October 01, 2023.
The data presented was for the duration of January to September 2023
following the version 1 procedure including the criteria
The result and analysis of the monthly Client Satisfaction Survey with
descriptive analysis was presented as follows:
• January – September: 100% Satisfactory to Very Satisfactory
rating, with no negative feedback or complaint was received
until the time of the audit.
The form, FM-CSF-03, with the Data Privacy Consent and specific
criteria related to 3 dimensions such Quality of Service, DTI Staff and DTI
Office. The client can rate very satisfied, satisfied, dissatisfied or very
dissatisfied.
The version 2 procedure follows the ARTA specified dimension such as:
responsiveness, integrity, reliability, assurance, communication and access
and facilities. This new survey tool was applied starting October 2023.
Feedback mechanism, comments, suggestions and complaints are also
possible.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Digital Phils.- BNRD
The customer satisfaction rating is derived from the clients that availed the
BNR application. The result covered the nationwide results.
Results from Regional surveys for the period January to June 2023 and
from the online surveys. The regional results average was 97.38% while
the online average from January to September 2023 was 89.94%. The
parameter is based on the minimum ARTA prescribed service quality
dimensions.

Opportunity for Improvement:

The QOP target is very specific to walk-in BNR application, BNRD may need
to further evaluate the appropriate target also for on-line BNR application
CSF.

FTEB
Customer Satisfaction Feedback Tabulation Summary was available for the
services; consumer complaints handling, accreditation of SRE, sales promo
and import regulation; the agency had achieved a YTD rating of 95.16% =
Very Satisfactory.
9.1.3 Analysis and evaluation Region 1
The organization shall analyse and evaluate appropriate data Analysis and evaluation were seen and verified. These help the
and information arising from monitoring and measurement. organization in decision making.
The results of analysis shall be used to evaluate: a) conformity Reference: Results of Data Analysis
of products and services; b) the degree of customer
satisfaction; c) the performance and effectiveness of the Regional Office 1 / Ilocos Norte/ La Union
quality management system; d) if planning has been Evaluation of monthly performance were sent and verified in the
implemented effectively; e) the effectiveness of actions taken Performance Governance System and QOP Performance Monitoring Sheet
to address risks and opportunities; f) the performance of Based on the documented information seen, identified objectives and
external providers; g) the need for improvements to the targets were all achieved in 2022. No unmet targets, that require Root
quality management system. NOTE Methods to analyse data cause analysis and corrective actions were noted
can include statistical techniques.
Region 2

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The degree of Customer Satisfaction to the product/s of the organization
were presented in the Monitoring reports.
The sampled survey data showed maintained 73 and above satisfied
customers (actual: 3.98 = 99.43% October 2023)
Functional Quality objectives are analyzed and evaluated monthly.
Evaluation of results showed consistent attainment of targets from
January to October 2023 in all the processes audited.

Region 3: Regional Level

Quality Objectives of the SME Development Division of the Regional Office,
Consumer Protection Division of the Bataan Provincial Office, Business
Development Division of the Tarlac Provincial Office; Client Satisfaction
and Feedback Process; Procurement Process; and Internal Audit—
gathering of relevant data, analysis of these based on specific
methodologies, and evaluation were clearly established.
Results of the evaluation are seen in the Process Performance Monitoring
reports, Client Satisfaction Feedback Summary Reports, List of Evaluated
Suppliers (i.e. Performance Evaluation); and Process IQA Report.

Region 4A- Rizal Provincial Office

Targets from quality objectives, plans and programs from the
risk/opportunity matrix and results of surveys are regularly evaluated per
defined frequency. The different meetings conducted has evidently
discussed the evaluation of the different organizational objectives and
targets. Almost all targets were achieved. Please refer to the evidences of
clause 9.1

Objectives and targets were established and regularly

monitored/evaluated. Example is the percentage of firms complying with
SRP of all necessities and prime commodities with a target of 100%. The
average result from January 2023 to the day of audit is 100%.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Customer surveys are also the tools of evaluating the performances of
each Department’s section. Part of their programs is to gather surveys and
feedback both from walk-in and web users. The 3 sections Price
monitoring, business counseling and complaints’ handling had a
satisfactory result. Criteria in the survey are: quality service, DTI staff, DTI
Office plus comments and suggestions. Cesar De Jesus rated the business
counseling process as VS last Feb. 1, 2023. The target was 90% customer
satisfied and the actual from January 2023 to Sept. 2023 has recorded
100%.

The complete process of the business consultancy was also evaluated

through the turnaround time using the logsheet which has an average of
9.14 vs. the 30 minutes targets.

Region 4A- Laguna Provincial Office

The analysis and evaluation of data relevant to the actual performance vs.
quality objectives and targets were made evident with the availability of
the following:
1. 100% achievement of the quality objectives and targets for the
following core processes:
a. Conduct of Training
b. BMBE Registration
c. Accreditation of Service Repair Enterprises
d. Monitoring and Enforcement of Fair-Trade Laws.
2. The monitoring of the results from the processes was also
demonstrated from the following retained document.
a. Conduct of Training
i. Post Activity Report with the result of the customer
satisfaction survey
b. BMBE Registration
i. Logbook for the monitoring of application and release of
BMBE Registration for each municipality.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
c. Accreditation of Service Repair Enterprises
i. Monitoring of applicants and turnaround time for
processing
d. Monitoring and Enforcement of Fair-Trade Laws
i. Monthly monitoring update of product standards
Region 4B:
Based on the reviewed data being gathered, and consolidated by the
regional office covered. Result of analysis and evaluation of the available
data is available and seen adequate. Examples of these are: the
availability of result of the evaluation of performance of external provider,
evaluation of effectiveness of action taken to address risks and
opportunities, evaluation of the performance of the established quality
management system through review of objectives and discussion during
management review, and availability of result of customer satisfaction
monitoring and measurement.

Region 5
Preparation for the quarterly Management Reviews involves the gathering
of required data, analyzing, and evaluating these gathered data, and
presenting these to top-management. These are done by the concerned
Process Owners.

Opportunity for Improvement

Though the target of 20% (954) of the total universe (4771) is being
monitored, and 85% was reported as compliant, data analysis of whether
the 100% of the total universe have been monitored over time and their
status known, have not been conducted. This may address future needs
and expectations of the services being provided

Region 6
The degree of Customer Satisfaction to the product/s of the organization
were presented in the Monitoring reports.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Consolidated survey data showed 3.91, above satisfied customers (from
the results of Provincial offices:
Aklan/Antique/Capiz/Guimaras/Iloilo/Negros Occidental)
Functional Quality objectives are analyzed and evaluated monthly, as seen
in Process Performance Monitoring sheets. Conformity to the services was
also monitored.
A consistent attainment of targets from January to October 2023 of all the
processes audited in the Provincial Offices of Region 6 was verified.

Region 7
Analysis of the degree of customer satisfaction; if planning has been
implemented effectively; and the effectiveness of actions taken to address
risks and opportunities were seen.
An example of Request for Improvement was seen as part of improvement
mechanism for the QMS.

DTI – Region 7 Office.

The consolidated results of the customer satisfaction survey at the various

offices (Provincial and Regional) of the DTI Region 7 Offices were
presented in the “2023 Client satisfaction Feedback Summary” report.
The summary of data report showed a total responder of 19, 743 which
represents a retrieval rate of 99.85%. The average ratings of the various
DTI processes ranges from 94% to 100% with the BN Registration process
getting the lowest average rating of 94%.

DTI – Regional Office 8.

The quarterly consolidation of results from the customer satisfaction

survey at the various offices, presented in the “DTI-8 Client Satisfaction
Results and Analysis” report, provides information to the level of customer
satisfaction to the services provided by the various offices of DTI Region 8.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The 3rd quarter summary of data report showed an overall average rating
97.37% was achieved by the DTI Region 8.
A review to the 2023 quarterly performance in the client satisfaction
survey is also conducted and presented in the “Comparison of Quarterly
Average Client Satisfaction Feedback Ratings” for the period 1st quarter to
3rd quarter of year 2023.

Region 8, Region 11
1. Confirmed that review and evaluation of the effectiveness of actions
taken to address high risks and opportunities were evident in Minutes
of the Meeting. A quarterly monitoring of action plans was also
conducted by the organization. Records seen:
• DTI Region 8: DTI 8 CY 2023 3rd Quarter Management Review-
Minutes of the Meeting dated 6 October 2023.
• DTI Region 11: Management Review Record (FM-MR-01) dated
30 October 2023.

Analysis and evaluation as of October 16, 2023 for the Consumer

Complaints in Region 11 showed 14 complaints were being processed
from January 2023 and showed that status that decisions were rendered
from 1 working to 14 working days.

The degree of customer satisfaction rating for the following;

➢ Consumer complaints = 96.49%
➢ CPD Training and Seminars = 100.0%
➢ Sales Promo Permit = 95.47%
➢ Business Name Registration = 99.69%

Region 9
The evaluation and analysis of the results of client satisfaction feedback
were evident in Summary and Analysis of Customer Satisfaction Feedback.
The CSF rating target was consistently achieved.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

The evaluation arising from the monitoring and measurement of

accomplishments as shown in clause 9.1.1 above showed favorable
attainment of targets from January to October 2023 for Region 9-ZCO
(However, there was a lapse found in the Price Monitoring process, as
stated above).

Region 10
The evaluation and analysis of the results of client satisfaction feedback
were evident in the in-house electronic CSF Analytics. The CSF rating
target was mostly achieved, except there was a dissatisfactory rating in
the Conduct of Trade Fair process, and this was supported/covered by RFI
for determination of correction, root cause and corrective action.
Bukidnon Provincial Office:
The evaluation arising from the monitoring and measurement of
accomplishments as shown in clause 9.1.1 above showed favorable
attainment of targets from January to October 2023 for Region 10-
Bukidnon P.O.
Actual accomplishments of the Region 10- Bukidnon Provincial Office
process owner were also seen in his PGS/Individual Dashboard.

Camiguin Provincial Office:

The Prosperity Plan 2022 was presented as the basis for the plans and
what to be achieved. The Performance Monitoring Analysis of the
established QOP were presented as evidences for the following:
BMBE Registration:
BMBE process was presented covering the period January to October 2023
covering the 5 Municipalities’ Negosyo Center. The following documented
information were being monitored:
1. QOP Performance Monitoring with the following results:
a. 100% of BMBE application processed within the PCT of 8 hours
for the period January to September 2023.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
b. 100% customer satisfaction rating was achieved for the period
of January to September 2023.
2. Shared file online with information related to the processing of BMBE
registration with the following details:
a. Application number
b. Date filed
c. Type of Registration
d. Registration/Certificate of Authority number
e. Date Registered
f. Name of Business Enterprise
g. DTI/SEC/ CDA registration
h. Name of owner
i. Business Address

Region 11– Zamboanga Sibugay Provincial Office

ARTA Overall Scoring = 99.10% overall average = Outstanding; ARTA
Service Quality Dimension; overall rating = 92.25% = Very Satisfied on
100%bretrieval rate.

Opportunity for Improvement

No consolidated list of trainings conducted at the Zamboanga Sibugay PO.

Region 12
The organization has established the performance monitoring and
measurement system. This enable them to evaluate the actual
performance of the processes against the QOP and other process
requirements.
Analysis and evaluation is conducted per quarter, and all results were seen
evaluated as Yes.
See OFIs cited above

CAR

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Customers satisfaction was determined through a survey questionnaire
being responded by the recipient of services provided e.g. janitorial,
driving, maintenance property maintenance dated October 2023. The
results showed 100% satisfaction rating the services provided.

NCR
100% customer satisfaction rating was achieved on the BN Registration
process during the first half of 2023.

Time study and analysis of processing time were evident in the following;
➢ BMBE Lux Time study
➢ Business Counseling Log Sheet
➢ Trade and Industry Information Cycle Log

Business Name Registration (Area 1 – Manila):

From the monthly Performance Monitoring and Analysis being document
maintained, the results of actual performance against the QOP were as
follows:
1. 100% for the processing to issuance of certificate within 15 minutes.
The TAT for the processing was also presented ex. For the month of May
2023 with average from processing to releasing of 8 minutes.
2. The range of 93.98% to 100% Customer satisfaction was achieved
3. 3 BNR were issued with error for January, March and May, however
range of CSF was still above 98% or 99.35 to 100%.

The other monitoring tools seen were also for the correction for the error
on the BNR during the release of certificate.
Logbook is also is also being maintained to record all applicants, and the
time out or the time the client claimed the certificate.

BMBE Registration:

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Performance Monitoring Analysis of BMBE process was presented covering
the period January to October 2023 with the monthly results as follows:
1. 100% of BMBE certificate issued within specified time. The actual TAT-
Turnaround time was also seen monitored from Monthly Process Time
Monitoring Sheet with average time of 15 minutes for example for January
2023. The process covers receipt of application, verification of data,
processing of application and printing and issuance.
2. Customer satisfaction results was found at the range of 92.42% to
100% from the monthly CSF reports. The monitoring of the monthly
customer satisfaction survey results was also seen complied and
consolidated. Example of monitoring seen was for the period January 1-31
with 32 respondents. Results of 94.94 VS and 5.06% satisfactory with
equivalent rating of 97.47%.
The Descriptive analysis of the January 2023 CSF result was also seen with
the rating on reliability of 93.75%, Assurance of 95.31%, Access and
Facilities of 95.83% and overall outcome of 93.75%.
3. There was no error reported from the monthly performance summary.

Moreover, a data base was presented with the application number,

registration number, area or location company, type of registration of new
or renewal, owner’s name or representative, address, contact number and
email and the year of the establishment of the business.

CARAGA: Regional Office and Agusan Del Sur Provincial Office

The achievement of the objectives and targets was confirmed from the
presented QOP performance monitoring for the period January to October
2023 as confirmed from the following presented individual performance.
The established controls for the processes were also confirmed
implemented and made evident from the presented documented
information.
1. Building and Facilities:

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
a. Achieved 100% of both objectives for maintenance of
infrastructure and buildings and inspection of facilities.
2. IT Service
a. Achievement of the 100% PM Activity and resolution rate. Also,
100% customer satisfaction and 99% server uptime were
achieved.
3. Price and Supply Monitoring- Agusan Del Sur Provincial Office
a. 100% achievement of the target for price monitoring and on-
time submission of the report as required.
b. The identification of the firms as per CMET with target of at least
20%. 495 firms were identified with 25 of the firms considered
with price trending monitoring. The list of firms for monitoring
was seen with 495 for monitoring and 25 for price trending.
Weekly report for key cities and monthly for municipalities were
demonstrated. The narrative analysis was show with the
observations of factors affecting the basic and prime
commodities.
c. Memorandum dated January 3, 2023 for the authority to
monitor prices and supply of products covered by Republic Act
No. 7581 or prime act as amended. This authority is to be
presented to the owners of the establishment.
d. Weekly price monitoring of the 25 firms was confirmed
maintained that covered mostly hardwares.
4. Consumer Complaints Handling- Agusan Del Sur Provincial Office
a. The objective for complaints resolution was achieved 100% and
attained 100% CSF rating also. There was no reported
complaints for the period June to October 2023. 8/8 complaints
were confirmed resolved in mediation with no arbitration.
b. The logbook for the recording of the received complaints was
seen with the reference number of the complaints.
5. Business Counselling- Agusan Del Sur Provincial Office

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
a. 100% counselling service rendered within an hour with 98.11%
customer satisfaction rating.
b. The transactions were seen from retained documented
information with the firms served and the turnaround time in
minutes.

CARAGA : Agusan Del Norte Provincial Office

1. Confirmed that evaluation and analysis of the results of client
satisfaction feedback were evident in Summary and Analysis of
Customer Satisfaction Feedback.
2. Confirmed that the CSF rating (95% of clients were very satisfied)
target was achieved in Core Processes and Support Processes from 1 st
Quarter to 3rd Quarter of 2023.
3. Overall satisfaction rating of DTI CARAGA are as follows:
1st Quarter of 2023 – 98.48%
2nd Quarter of 2023 – 98.88%
3rd Quarter of 2023 – 98.79%

Export Management Bureau (EMB)

Trade and Industry Information
1. Confirmed that evaluation and analysis of the results of client
satisfaction feedback were evident in CSF Tabulation Sheet as of
October 31, 2023 and Customer Satisfaction Feedback Report (October
1-31, 2023).
2. Confirmed that the CSF rating (90% of clients were very satisfied)
target was achieved in Business Counseling and Trade Industry
Information processes for the month of October 2023. Details:
Process: Business Counselling
Respondents: 12
Retrieval Efficiency: 100%
CSF Rating:96.13%

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Process: Trade Industry Information
Respondents: 22
Retrieval Efficiency: 100%
CSF Rating:98.67%

3. One (1) request related to improvement of tradeline was noted in the

CSF. Improvement plan was presented to upgrade tradeline with
allotted resources and timeline.

Bureau of Import Services (BIS)

Trade and Industry Information:
Meetings were regularly done (September 26, 2023) with an agenda and
corresponding actions plans to raised issues and concerns. Some of the
issues are; ensuring that all required details in the FOI are properly filled
up, implementation of centralized platform or database to manage and
track TII request and responses across divisions, enhancing transparency,
streamline communication and facilitate better coordination. Improvement
actions (3rd quarter of 2023) were also established like considering revision
of target from 95% to 100% on the provision timeliness on served
request.
Customer Satisfaction:
A monthly tabulation of surveys conducted is done. Responses versus
issued survey forms is evaluated with an average of 66% response.
For the month of January 2023, which was evaluated last Feb. 6, 2023,
very satisfactory was at 93.49%, satisfactory at 6.51%.
A descriptive analysis for every result of the monthly audit are prepared.
For the month of September 2023, the analysis says “With a total number
of accomplished CSF (5645) IPMD recorded an average score of 96.68%.
This was dissected into 2, the quality of service which has a 95.15%, and
DTI office (accessibility amenities) has a rating of 94.88%.

Bureau of Trade & Industrial Policy Research (BTIPR)

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Trade and Industry Information:
The monitoring, evaluation, and analysis of the QOP for the period January
to November 2023 was presented through the Process Performance
Monitoring, with document code PL-BT-o7 revision 4. The number of trade
and industry information provided or correspondence prepared was
monitored. However, OFI, Opportunity for Improvement was cited for this
area.
The achievement was 100% for both objectives from January to November
2023 for the provision of information and until October for customer
satisfaction rating.
The admin maintains records of the transactions with reference DTS
number, client ID and type of TII.

Digital Phils.- BNRD

Process Performance Monitoring for the period January – October 2023
with monthly performance report.
1. Processing of BNR with target of 90%t - the consolidated performance
for nationwide BNRS was 79.2% to 89.9% of both the walk-in and purely
on-line transactions. (Note: The QOP target was already discussed with the
management)
2. 98% of CBNR issued without error – 99.9% actual.
3. 99.9% uptime was achieved
4. BNRS Helpdesk response within 24 hours is at 94.1 % to 98.3%
5. Actual CSF rating of above 90%, except for March at 88.5% and July at
88.9%. The reasons behind the low rating was the possibility of not
receiving the e-mail due to various reasons.

Monitoring of the total monthly processed applications. The 100% online

BNR application effective August 2023, the relevant measure for the
service is related to uptime.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
For the uptime of BNRS system, feedback from ISMS – Information
System Management Service is in coordination with the service provider.

For the BNRS Helpdesk, the Technical Support and Operations unit
monitors the requests and resolve the concerns.

Opportunity for Improvement:

May need to provide information from ISMS related to the actual uptime
monitoring.
9.2 Internal Audit The defined requirements for the internal audit and corrective action were
9.2.1 The organization shall conduct internal audits at planned documented in Internal Quality Audit (PR-IQA-01 version 4, effectivity date
intervals to provide information on whether the quality 1 July 2022). The frequency of audit is once a year.
management system: a) conforms to: 1) the organization’s
own requirements for its quality management system; 2) the Region 1
requirements of this International Standard; b) is effectively The QMS internal audit at the DTI Regional Office 1 was carried-out by the
implemented and maintained. auditors from the DTI-R3 Office.
9.2.2 The organization shall: a) plan, establish, implement and The latest audit for the entire DTI-R1 Office was conducted on July 25 to
maintain an audit programme(s) including the frequency, 27, 2023 (rescheduled on July 25/Aug 1, 2), using the Zoom platform,
methods, responsibilities, planning requirements and which was based on the “Internal Audit Plan for CY 2023”.
reporting, which shall take into consideration the importance The results of the Final Calibrated report was shared.
of the processes concerned, changes affecting the The report showed the following summary of findings: 0 NC and various
organization, and the results of previous audits; b) define the OFIs
audit criteria and scope for each audit; c) select auditors and Reference document: Audit Program/2023
conduct audits to ensure objectivity and the impartiality of the
audit process; d) ensure that the results of the audits are Region 2
reported to relevant management; e) take appropriate In the latest Internal Audit, Region 2 was audited by Internal auditors from
correction and corrective actions without undue delay; f) Region 1. The audit was conducted in July 11-13, 2023. There were 12
retain documented information as evidence of the NCs and 20 OFIs raised by the 11 Internal auditors of Region 1.
implementation of the audit programme and the audit results.
NOTE See ISO 19011 for guidance Region 3
The Audit Programme for 2023, coming from the Internal Audit Service of
the DTI Head Office, was communicated to DTI Region 03 on 06 March

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
2023. Internal audits are done through a “Cross-Audit” methodology in
which the internal QMS auditors of a Region will audit the quality
management system of another Region.
For DTI Region 03, the internal audit was scheduled from 11-13 July 2023
with the internal QMS auditors of CAR conducting the audit.
The objectivity and impartiality of the auditors and the audit process is
practically guaranteed as auditors from CAR audited Region 03.
The Audit Plan showed the details of the audit from 11 July 2023 to 13 July
2023. Audit is by Process (Key and Support).
The Process Internal Quality Audit Report (PIQAR) are seen in the
SharePoint application.
Systemic Non-Conformities and Isolated Non-Conformities are reported for
each process.
A System NC means that the non-conformity is “system-wide”, the
auditor who detected the NC shall issue an RFI to the Process
Champion.
An Isolated NC means an NC that is detected only in the area, the
RFI is issued to the Process Owner.
A total of 12 Key Processes, around eight (8) Support Processes, and around
four(4 )QMS Processes were audited by CAR.
For Region 03, a total of five (5 non-conformities—all Isolated NCs—were
reported. The RFIs were forwarded to region 03 on 13 October 2023. Based
on the Audit Programme, Region 03 is to accomplish the RFIs, Close the
RFIs, and submit them to the concerned auditor within 15 days. The closed
RFIs are uploaded to the SharePoint application.

Region 4A
The internal audit of the Region 4A was conducted by NIQA last July 25-27,
2023. All the processes and the requirements of the standard were
confirmed covered the Internal Audit Team of Region 5.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The audit report, Audit Findings Summary (NIQA) presented showed 7
systemic NC, 17 isolated NC, 3 potential Nonconformity and 14 OFI. Lot of
conformities were cited as well.
Actions for the cited RFI are still on-going at the time of the audit.

Verification of Previous NC – TEAM-01/S1 – CLOSED for Region 4A

The internal guideline for DTI 4A ICT Technical Assistance, Requisition and
Facilitation with Office Order PB-23-002 S2023 dated 19 January 2023 was
already confirmed implemented.

Region 4B:
Approved Audit Program for CY 2023 is available and presented during the
audit. Information to the audit programs includes audit objectives, scope
and frequency, audit schedules and audit assignment, applicable clauses to
be audited, audit criteria, audit methodology, roles and responsibilities,
reporting arrangement, and verification of nonconformities among others.

Result of internal audit conducted 01-03 August 2023, covering the Regional
Office Functions, and the five (5) Provincial Offices. Approved Internal Audit
Plan is available. Adequate consideration of all process under the certified
scope were fully covered by the audit team audited the Regional Office.

Region 5
For CY 2023, Internal audit was conducted as planned, 18-20 July 2023,
with defined Audit Objective, Audit Criteria and composition of the Audit
Team, as part of the National Internal Audit. Region 5 was audited by
Auditors of DTI NCR. Calibration of findings was conducted in September
2023, Final Calibrated PIQA results was shared, showing whether findings
are “systemic” or “Isolated”. Final RFI for Region 5 has not been received
at the time of audit.
Request for Improvement (RFI) is used to document findings during
Internal Audit.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
RFI Registry of 2022 showed that an RFI issued on 05 October 2022 (22-
RO5-RFI-IQA-002) is closed.

Opportunity for Improvement

The current system for Internal Audit (national IA) may be reviewed for
risks and opportunities, to determine that opportunities outweigh the risks.

Region 6
In the latest Internal Audit, Region 6 was audited by Internal auditors from
Region 8. The audit was conducted in July 25-27, 2023.
There were 25 NCs and various OFIs raised by the 6 Internal auditors of
Region 8.
Reference:
• Corrective Action Procedure/PRC-NC-01/v3/July 1, 2022
• Internal Audit Procedure/PR-IQA-01/v4/July 1, 2022

DTI – Region 7 Office.

The organization’s procedure and requirements for the conduct of the QMS
Internal Audit were defined in the documented “Internal Quality Audit
Procedure” (PR-IQA-01; Version 4; July 1, 2022).

The latest internal audit conducted at the DTI Region 7 was held on July
11 -13, 2023, which was performed by the QMS Internal Auditors from the
DTI Region 6.
The audit findings at the various offices of the DTI (nationwide) were
reviewed and summarized by the NIQA and were consolidated in the
“Calibrated Process IQA Reports” that was issued by the Internal Audit
Service Director.
The consolidation of the audit findings for each processes of the DTI were
presented in the “Process IQA Report” (i.e., Process IQA Report for
Business Counselling, Supplier Management, etc.).

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
There were a total of five (5) nonconformities reported at the DTI Region 7
which were summarized in the “RFI Registry”.
The “Request for Improvement” report for the Internal Audit
nonconformities were submitted at the DTI Region 7 on October 16, 2023,
by the auditors from the DTI Region 6.

Opportunity for Improvement:

OFI 01: Timely submission of the RFI for the identified/reported Internal
Audit nonconformities ensures that needed action will be timely
determined and implemented to ensure the mitigation of the problem.

DTI – Regional Office 8.

The organization’s procedure and requirements for the conduct of the QMS
Internal Audit were defined in the documented “Internal Quality Audit
Procedure” (PR-IQA-01; Version 4; July 1, 2022).

The latest internal audit conducted at the DTI Region 8 was held on
August 1 -3, 2023, which was performed by the QMS Internal Auditors
from the DTI Region 7.
The audit findings at the various offices of the DTI (nationwide) were
reviewed and summarized by the NIQA and were consolidated in the
“Calibrated Process IQA Reports” that was issued by the Internal Audit
Service Director.
The consolidation of the audit findings for each processes of the DTI were
presented in the “Process IQA Report” (i.e., Process IQA Report for
Finance – processing of Claims, Conduct of training, SRE Accreditation,
etc.).
There were a total of 19 nonconformities reported at the DTI Region 8
which were summarized in the “RFI Registry”.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The “Request for Improvement” (RFI) report for the Internal Audit
nonconformities were submitted at the DTI Region 8 in October 9, 2023,
by the auditors from the DTI Region 7. Most of the nonconformities
reported at the DTI Region 8 were seen related to the requirements for
control of documented information.

Region 9
The internal audit for the region was scheduled on August 01 – 03, 2023
and conducted by the Region 10.

Seventeen nonconformities were reported and issued with Request for

Improvement.

Opportunity for Improvement

Although the auditors’ reports were evident, the summary report to provide
statistics on the audit findings as well as information on the effectiveness of
the quality management system not seen.

Region 10
The results from the last NIQA was presented with reported 5 minor
nonconformities after calibration meeting last August 9-11. 2023 and final
PCAR last September 19-22, 2023.
The following RFI were confirmed 100% with corrective action:
• 23-R10-RFI-01
• 23-R10-RFI-02
• 23-R10-RFI-03
• 23-R10-RFI-04
• 23-R10-RFI-05
The audit was conducted by NIQA audit team from Region 9 that was
confirmed independent of the audit areas.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
It was confirmed that all the processes at Regional Office was covered by
the conducted audit and in compliance with the audit program and audit
plan.

Region 11
The internal audit plan was evident and conducted on July 11 – 13, 2023
by the DTI Region XIII by virtue of remote/virtual audit.

Opportunity for Improvement

At the time of this audit, there were no objective evidences of the audit
results e.g. Audit Summary Report and Request for Improvement that
were submitted to the DTI- Region 11.

Region 12
The result of the Internal Audit for DTI Region XII submitted by the team
of auditor from Region XIII was presented including the reported RFI that
are still for confirmation at the time of the audit. The most recent audit
conducted was August 1-3, 2023.

The deadline set for the submission of the complete PIQARS is October
13, 2023. There are three RFI that are still for confirmation.

All the processes were confirmed subjected to audit in compliance with the
audit program and audit reports were presented for review.

CAR: Regional Level

The last NIQA conducted for the CAR Regional office was conducted July
25,26 and 27, 2023. Total isolated findings with RFI for CAR were 15. Still
opened RFI are 2 from third party audit.
The actions for the 15 RFIs were confirmed with actions and first
verification were conducted for the effectiveness of the action. Based on
the follow-up, the corrections were already implemented. The

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
implementation of the corrective action is still being implemented and for
monitoring of results for the next three months. The implementation of the
action will be generally completed by the first quarter of 2024 as seen
from the monitoring report.
Systemic RFI were already forwarded to process champions for
corrective action implementation.
Example of RFI seen was 23-RC-NIQA-10 for ABRA. With root cause,
correction, dealing with consequence and evaluation of the current risk
register and QMS in general especially to the strategic plan.

Verification of Team-02/St2 Procurement – CLOSED for CAR

100% attainment of the objectives for TAT of procurement process was
noted with the new lead time.

CARAGA: Regional Level

1. Confirmed that the organization has approved Internal Audit Program
for the CY 2023. The Audit Plan is available and the latest internal audit
was conducted from July 25-27, 2023.
2. The audit was conducted by appointed internal quality auditors from
DTI Region 12. Objectivity and impartiality of auditors has been evident
in the conduct of audit.
3. The internal audit checklist and Process IQA Report (PIQAR) evidently
showed that the applicable clauses of the standard were adequately
audited in all areas/functions/processes.
4. There were eleven (11) non-conformities raised in the audit.
5. Overall, the internal audit process is effective and compliant to the
requirements.

NCR

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The last audit for NCRO was conducted last July 11, 2023 by the DTI
Region IV-B audit team. The criteria applied are ISO 9001:2015, ONE DTI
QMS, Regulatory requirements.
There was no reported non-conformity reported by the Region IV-B
audit team based on the Process IQA Report (PIQAR) and declared NCRO
as 100% compliant to the requirements or with zero nonconformity. There
was also no NC reported during the previous year audit (2022). The lone
OFI was a mere suggestion to improve the BNRS process.
The final calibrated report was received and last October 5, 2023 or
before the October 13 deadline.
The NCRO audit team audited Region 5 and submitted the final audit
report to the region as per PMS’ requirement.

Verification of Previous NC
LGR-01/S1 – CLOSED. The NCRO audit team was able to submit the
audit report to Region 5 on-time.

Digital Phils.- BNRD

The internal quality audit of Digital Phils. was conducted by EMB last July
31, 2023, in accordance with the Audit Plan.

The final closing meeting was conducted last September 21, 2023, as seen
in the Process IQA Report (PIQAR), which was uploaded in SharePoint dated
October 04, 2023.

Results of the audit showed seven (7) nonconformities. No Opportunity for

Improvement was reported.

Opportunity/ies for Improvement

1. Five out of the 7 RFIs are about nonconformities against Clause
6.2.1 (quality objectives) and just differed only on the BNR
locations.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
2. The following required info in the RFI form were left bank in the
shared accomplished RFIs: dealing with consequences, determining
if similar NC can potentially occur elsewhere, updating of Risk
Register, changes to the QMS.

Export Management Bureau (EMB)

The internal quality audit of EMB was conducted by BIS last July 12, 2023,
in accordance with the Audit Plan. There were four (4) nonconformities
raised, which were issued with RFIs, as emailed to EMB last October 19,
2023.

Fair Trade Enforcement Bureau (FTEB)

The internal quality audit of FTEB was conducted by CPAB last July 12,
2023, in accordance with the Audit Plan.
Results of the audit showed compliances; some processes with good
comments. There were no reported nonconformities.

Bureau of Import Services (BIS)

There was no nonconformity raised during the BIS Audit by BSMED last
July 11, 2023. There was only one (1) OFI reported in the said audit.

Bureau of Trade & Industrial Policy Research (BTIPR)

Internal Audit was conducted on July 5, 2023.
IQA training for ISO 9001:2015, June 9-10, 2022
Internal Audit Plan dated July 5, 2022. – All areas covered.
Verified the Process IQA Report (PIQAR), Ref No. FM-IQA-PIQAR-TI dated
Sep 21, 2023.

There was no nonconformity issued in 2023.

9.3 Management Review DTI – Regional Office 1.
9.3.1 General

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
Top management shall review the organization’s quality The planned quarterly conduct of the management review process (stated
management system, at planned intervals, to ensure its in “3.6 Management Review” of the QMS Manual) was made evident for
continuing suitability, adequacy, effectiveness and alignment implementation through the records/minutes of the meeting, examples of
with the strategic direction of the organization. these are as follows:
9.3.2 Management review inputs • “2nd Management Review Meeting Record – CY 2023” for the 1st
The management review shall be planned and carried out quarter of year 2023, conducted on May 25, 2023, at the DTI
taking into consideration: a) the status of actions from Regional Office.
previous management reviews; b) changes in external and • “3rd Management Review Meeting Record – CY 2023” for the 2nd
internal issues that are relevant to the quality management quarter of year 2023, conducted on August 3, 2023, at the DTI
system; c) information on the performance and effectiveness Regional Office.
of the quality management system, including trends in: 1) • “3rd Management Review Meeting Record – CY 2023” for the 2nd
customer satisfaction and feedback from relevant interested quarter of year 2023, conducted on July 3, 2023, at the DTI
parties; 2) the extent to which quality objectives have been Ilocos Sur Provincial Office.
met; 3) process performance and conformity of products and • “Management Review Record” for the meeting conducted on
services; 4) nonconformities and corrective actions; 5) July 10, 2023, at the DTI Pangasinan Provincial Office.
monitoring and measurement results; 6) audit results; 7) the • “Management Review Record” for the meeting conducted on
performance of external providers; d) the adequacy of April 26, 2023, at the DTI Pangasinan Provincial Office.
resources; e) the effectiveness of actions taken to address risks The attendance records of the QMS Management Review Meetings at the
and opportunities (see 6.1); f) opportunities for improvement. DTI Region 1 Office showed the presence of the DTI Regional Director,
9.3.3 Management review outputs Assistant Regional Director and the various DTI Provincial Directors.
The outputs of the management review shall include decisions The QMS Management Review Meetings at the DTI Provincial Offices were
and actions related to: a) opportunities for improvement; b) also appropriately headed by their respective Provincial Director.
any need for changes to the quality management system; c) Top management directives and action plans (Outputs) for the continual
resource needs. The organization shall retain documented improvement of the QMS were seen identified in the “Agreements /
information as evidence of the results of management Activities and Action Plans” of the minutes of the meeting.
reviews.
Opportunity for Improvement
OFI 01: A mapping/scheduling on which quarterly meeting shall the
required “inputs” of the management review process will be discussed,
ensures that all inputs (required agenda items of the management review)
will be adequately covered within the year.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
OFI 02: Determining the success indicators for the implementation of the
QMS provides an objective determinant for concluding whether the QMS is
effective or otherwise. These can also guide top management in
determining where improvement actions for the QMS needs to be
implemented.

Region 2: Regional Level

The Management review is conducted quarterly with the latest meeting
held last September 28-29, 2023. The 2nd quarter review was conducted
last June 20, 2023. Reviews were participated by the Regional Director,
Provincial Directors, Division Chiefs/OICs, and key personnel.

All the review inputs and outputs as required by the Standard were
evidently tackled during meetings, as evidenced by the MR Records and
Minutes of the Meeting in which agreements and action plans are
discussed, monitored and updated. Responsibilities, timelines, and
resources needed for the action plans are defined in the Minutes of the
Meeting.
Overall conclusion in the last meeting states that the QMS of DTI-Regional
Office 2 is still suitable, adequate, and effective and aligned with the
Standard ISO 9001:2015.

Opportunity/ies for Improvement

The MR may need to indicate other resources such as manpower in
“adequacy of resources”, in addition to funds.

Region 3, CAR: Regional Level

The management review at the regional level of DTI-RO-III were being
planned and conducted every quarter and the latest was on October 11,
2023 while for the CAR the review was conducted on October 18-19, 2023.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
The organization had considered discussion on review inputs such as status
of actions from previous management review, results of internal audit,
nonconformity and corrective actions, effectiveness of actions to address
risks and opportunities as evidenced and demonstrated in the minutes of
meeting.

Region 4A: Regional Level

The DTI-4A has planned meetings to discuss all the operations,
compliances, issues/concerns arising from the organization,
needs/expectations of stakeholders, goals and objectives and other related
activities as listed under the planning section.

The Management review was done last July 7, 2023 through Zoom
Videoconferencing, participated by the Regional and provincial directors
and their officers. The letter with agenda was sent to the different
provinces to inform them on the date and method of management
meeting.

The meeting has started with the roll call, followed by the review and
approval of the previous minutes of the meeting, management review
tracking of issues and concerns from the previous management review,
updates from the division and ended up with a closing remark from the
OIC-ARD RACortes, recognizing the accomplishment for the 2nd semester.

Another Mancom meeting was done last Oct. 17, 2023, covering the 3rd
quarter performances. Memorandum to this effect was served last Oct. 11,
2023. In this meeting, agreement on action plans, responsibility, timeline
and resource needed were defined. The conclusion of the meeting is the
Provincial operations has demonstrated the adaptability, sufficiency and
effectiveness of the quality management system to the whole DTI-4A
systems and processes. It acknowledged that there are still room for

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Yes No
improvement in terms of revisiting the processes that will bring DTI closer
the goals that it has set.

Region 4B:
The Region conducts its management review at regional level quarterly.
Latest conduct of management review was 17 October 2023. In the
presented minutes of the management review, required information of the
international standard was covered in the said management review.
Overall, effective conduct of management review to measure the
continuing suitability, adequacy, effectiveness, and alignment to the
strategic direction was observed.

Region 5: Regional Level

As required, Management Review at the Regional level is done quarterly.
Aside from the Regional Director and Assistant Regional Director, all
Provincial Directors and Regional Office Division Chiefs attend this Review.
The latest Review was on 26 September 2023. Reviews are done face-to-
face or through virtual meetings.
The agenda established for the conduct of Management Reviews present
the minimum topics to be discussed:
Status of Actions from Previous Management Review,
Updates on SWOT Analysis,
Update(s) on Stakeholders Analysis (based on feedback from
relevant interested parties),
Customer Satisfaction Analysis and Results,
Achievement of Objectives, Process Performance, and Monitoring
and Measurement Results,
Audit Results,
Status of Non-conformities and Corrective Actions,
Performance of External Providers,
Adequacy of Resources,
Effectiveness of Actions to Address Risks and Opportunities,

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Yes No
Opportunities for Improvement, and
Other Matters.
The required minimum outputs of the Management Review are
Agreements/Action Plans/Decisions for each of the Review Inputs, Persons
Responsible for the implementation of these Agreements/Action Plans, the
Timeline/ Deadline for the implementation, and Resources Needed.
The Overall Conclusion seen in this September 2023 Management Review
stated that the quality management system of DTI-Region 05 was
suitable, adequate, effective, and aligned with the policies and goals of its
quality management system.

Opportunity for Improvement

The 26 September 2023 Management Review minutes of meeting did not
present all actual accomplishments for the period.

Region 6: Regional Level

The Management review is conducted quarterly with the latest meeting
held last October 17-18, 2023. This was participated by the Regional
Director, Provincial Directors, OICs, Division Chiefs, ISO Coordinator, and
key personnel.

All the review inputs and outputs as required by the Standard were
evidently tackled during meetings, as evidenced by the MR Records and
Minutes of the Meeting in which agreements and action plans are
discussed, monitored and updated. Responsibilities, timelines, and
resources needed for the action plans are defined in the Minutes of the
Meeting.

Based on the discussion, it was concluded that Regional Office 6

implements the QMS in conformance to the requirements of the Standard.
Continual improvement to address risks and corrective actions are

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Yes No
implemented to facilitate the attainment of quality objectives and high
customer satisfaction.

Region 7: Regional Level

Management review of the QMS is done during the monthly Excom
meeting and the Quarterly expanded meeting which was held on 11
October 2023.
Review inputs were seen, for example, 1) Actions from previous
management review 2) Updates on SWOT Analysis, Stakeholders Analysis
and Effectiveness of Actions taken to Address Risks and Opportunities 3)
Customer Satisfaction Results and Analysis.
The extent to which quality objectives have been met is discussed during
the semestral review done in August 2023.

Review outputs, decision and actions by Management were seen in the

Provision of Resources, and Continual Improvement, such as Travel Logs
and eCPMS.

Region 8: Regional Level

Confirmed that management review is conducted quarterly to evaluate
overall effective implementation of QMS at DTI Region 8. This was
attended by the Regional Director and Assistant Regional Director (Top
Management), Provincial Directors, Division Chief and Process Owners. The
conduct of management review was verified as being effectively
implemented. Overall, as the result of the recent review showed that the
organization has an effective implementation of QMS. Records seen:
• Memorandum of conduct of 3rd Management Review dated
September 21, 2023
• Management Review Agenda and Presentation 3 rd Quarter of 2023 –
includes input and output requirements of the standard.
• DTI Region 8 CY 2023 3rd Quarter Management Review-Minutes of
the Meeting

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Yes No
1st Quarter 2023 – April 3, 2023
2nd Quarter 2023 – July 6-7, 2023
3rd Quarter 2023 – October 6, 2023
Overall, as the result of the recent review showed that the organization
has an effective implementation of QMS.

Region 9: Regional Level

The Management review is conducted quarterly with the latest meeting
held last September 25, 2023. This was participated by the Regional
Director, ARD/QMR, Provincial Directors, OICs, Division Chiefs, and key
personnel.
All the review inputs and outputs as required by the Standard were
evidently tackled during meetings, as evidenced by the 3rd quarter
Management Committee Minutes of Meeting and PowerPoint presentation.
Agreements and action plans are discussed, monitored and updated.
Responsibilities, timelines, and resources needed for the action plans are
defined in the Minutes of the Meeting.

In the conclusion of the meeting, the ARD/QMR emphasized to the team

the importance of a culture of excellence and continually find ways to
exceed expectations.

Region 10: Regional Level

The Management review is conducted quarterly with the latest meeting
held last September 26, 2023. This was participated by the Regional
Director, ARD, Provincial Directors, Regional QMR, Regional IQA Team
Leader, QMS representatives and selected process owners.

In general, the review inputs and outputs as required by the Standard

were evidently tackled during meetings, as evidenced by the Minutes of
the Meeting and MR Records and in which agreements and action plans are
discussed, monitored and updated. Responsibilities, timelines, and

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
resources needed for the action plans are defined in the Minutes of the
Meeting.

Based on the discussion, it was concluded that the implementation of the

QMS by the Regional Office 10 is effective and is continually improved in
conformance to the requirements of the Standard.

Opportunity for Improvement

The performance of external providers did not indicate in the MR Record
the analysis of performance.

Region 11: Regional Level

Confirmed that management review is conducted quarterly to evaluate
overall effective implementation of QMS at DTI Region 11. This was
attended by the Regional Director Maria Belenda Ambi (Top Management),
Provincial Directors, Division Chief and Process Owners. The conduct of
management review was verified as being effectively implemented.
Overall, as the result of the recent review showed that the organization
has an effective implementation of QMS. Records seen:
• Management Review Agenda and Presentation 3 rd Quarter of 2023 –
includes input and output requirements of the standard.
• Management Review-Minutes of the Meeting
1st Quarter 2023 – April 9, 2023
2nd Quarter 2023 – July 25, 2023
3rd Quarter 2023 – October 30, 2023
Overall, as the result of the recent review showed that the organization
has an effective implementation of QMS.

Region 12: Regional Level

Management Reviews are conducted every quarter aside from the
expanded monthly meetings. The last management review meeting was

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
held on 05 July 2023 with minutes of meeting shared. Review inputs and
review outputs were seen complete.
Example of review inputs shared were:
- Actions from previous management review
- 2nd quarter results of Customer Satisfaction Survey
- status of performance
- performance of external providers
Review outputs were the decision and action of management were seen
were on the opportunities for improvement and resource needs.

Opportunity for Improvement

Though the action taken from previous management reviews were
discussed, the actual timeframe of implementation of actions were not
specified as instructed by Management. This may not ensure efficient
implementation of actions taken.

CARAGA
The management review board headed by the Regional Director together
with the members (i.e. ARD, Provincial Directors and Division Chiefs) is
tasks to review the performance of the QMS Regularly. Memorandum
Regional Office Order No. 2023-07-01 dated 24 July 2023, specify the
functions and responsibilities of the MRB.

The prescribed minimum input for review was also specified together with
the desired management review output.

The last management review conducted was September 26-27, 2023

presided by the Regional Director.
The minutes of the meeting was retained and evidence the adequate
discussion of the prescribed inputs.
The opportunities for improvement and direction for the issues
discussed served as the output of the Management Review.

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C. RESULT OF THE AUDIT

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Yes No

NCR
The Management Review Procedure, with document code GL-MR-01, dated
August 31, 2021, version 2. The planned review for Regional Offices is
quarterly. Annual review at the National Level is annual.
The last review for the performance of the NCRO QMS was October 24,
2023 for Q4 2023. Attended by the RD, QMR, Area Heads and Focal Person
for the programs.
Discussed were the 12 inputs required by ISO 9001:2015 standards
such as:
1. Status of actions from previous Mgt. Review, all previous were deemed
closed.
2. Updates on SWOT Analysis, internal and external issues.
3. Updates on Stakeholders Analysis
4. Customer Satisfaction
5 Internal audit result, status of RFIs
6. Performance of external Providers
7. Adequacy of Resources, no other issues related to resources. Proposed
plantilla positions was presented also.
8. Effectiveness of the actions to address risk and opportunities,
Inventory of risk and opportunities may support the evaluation of the
effectiveness of actions.
9. Opportunities for improvement considered was the Employee
Engagement Survey results that needs to be acted upon.

10 Improvement
10.1 General Region 1: Regional Level
The organization shall determine and select opportunities for Opportunities for improvement can include correction, corrective action,
improvement and implement any necessary actions to meet continual improvement, breakthrough change, innovation and re-
customer requirements and enhance customer satisfaction. organization.
These shall include: a) improving products and services to

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
meet requirements as well as to address future needs and Region 3: Regional Level
expectations; b) correcting, preventing or reducing undesired Customer Feedback and Internal Audit:
effects; c) improving the performance and effectiveness of the Results of the evaluation were seen in the Process Performance Monitoring
quality management system. reports, Client Satisfaction Feedback Summary Reports, List of Evaluated
NOTE Examples of improvement can include correction, Suppliers (i.e. Performance Evaluation); and Process IQA Report. From
corrective action, continual improvement, breakthrough these improvement opportunities are stated—such as in the Process IQA
change, innovation and re-organization. Report and are used to identify these areas for improvement.

Region 4A: Regional Level

Opportunities for improvement normally comes from the results of the
NIQA and evaluated for implementation by the Head Office. Site specific
improvement are also open for standardizations upon approval by the
Head Office.

DTI – Region 7 Office.

and
DTI – Region 8 Office.

Determined organization-wide requirements for handling nonconformities

of the QMS were defined in the documented “Nonconformity and
Corrective Action Procedure” (PR-NC-01; Version 3; July 1, 2022).
The analysis, action planning, and action effectiveness review are
planned for documentation in the developed “Request for Improvement”
(RFI) form.

CARAGA: Regional Level

Confirmed that concerned process owners prepared action plans to
address opportunities for improvements.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
10.2 Nonconformity and Corrective Action The defined requirements for the corrective action process are documented
10.2.1 When a nonconformity occurs, including any arising in Nonconformity and Corrective Action (PR-NC-01 version 3, effective date
from complaints, the organization shall: a) react to the 1 August 2023). Action planning for complaints received is also included in
nonconformity and, as applicable: 1) take action to control the corrective action procedure. Corrective actions are required to be
and correct it; 2) deal with the consequences; b) evaluate the documented in “Request for Improvement” (RFI), FM-NC-01.
need for action to eliminate the cause(s) of the nonconformity,
in order that it does not recur or occur elsewhere, by: 1) Opportunities for improvement are documented in Improvement Actions
reviewing and analyzing the nonconformity; 2) determining sheet which is a tabulation of all OFIs of the offices/bureaus and the status
the causes of the nonconformity; 3) determining if similar of actions taken. Verification of actions for the OFIs reported in the latest
nonconformities exist, or could potentially occur; c) implement audit is conducted in the next audit.
any action needed; d) review the effectiveness of any
corrective action taken; e) update risks and opportunities Region 1 and Region 2: Regional Level
determined during planning, if necessary; f) make changes to Corrective Action process is in place and provides additional measure for
the quality management system, if necessary. Corrective continual improvement.
actions shall be appropriate to the effects of the Analysis and action planning were seen documented in the prescribed RFIs.
nonconformities encountered. Seen were Correction, Root cause analysis, and Corrective action as
10.2.2 The organization shall retain documented information determined in the documented RFIs.
as evidence of: a) the nature of the nonconformities and any
subsequent actions taken; b) the results of any corrective CARAGA: Regional Level
action There were eleven (11) non-conformities raised to DTI CARAGA in the
latest internal quality audit from July 25-27, 2023. RFIs and IQA Findings
Monitoring Sheet were seen and verified during remote audit.

Region 3: Regional Level

For validated negative feedback and complaints, a Request for Improvement
(RFI, FM-NC-01, Rev. 02) is prepared by the Complaints Desk Officer (CDO).
For non-conformities detected during the monitoring of the Quality
Objectives and Plans and the conduct of the internal audit of the Region’s
quality management system, the Process Owner and the concerned internal
quality management system auditor issues also an RFI. Through the RFI the
concerned individual states the non-conformity detected following explicit
instructions, the affected organizational unit and the process concerned,

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No
how the non-conformity was detected (i.e. the source of the non-conformity
such as Internal Audit, Customer Complaint, or Unmet Target), and the
Requirement(s) that was not addressed/followed. This information are
reviewed and acknowledged by the affected Process Owner.
For the Process Owner, the RFI provides clear guidance through the process
of addressing the reported non-conformity in order for the non-conformity
to not recur or otherwise to prevent the occurrence of a similar non-
conformity in other Processes/Organizational Units. Following the RFI, the
Process Owner
reacts to the reported non-conformity by defining actions to control and
correct the non-conformity and/or deal with the consequence of the non-
conformity, whichever course(s) of action(s) is(are) applicable after an
implied analysis;
determines if the reported non-conformity exists in other areas or
potentially occur elsewhere and, if “yes”, the ensuing root-cause(s) needs
to consider these “other areas”; if “no”, the identification of the root-cause
is focused on the affected area;
determines the cause(s)/root-cause(s) using any of the stated
methodologies;
The RFI requires the identification of persons responsible for determining
actions to be taken and the conducting follow-up activities including the final
formal status of the non-conformity and dates when the actions are to be
implemented and when follow-ups are done;
identifies the action to address the cause(s)/root-cause(s) (i.e. identifies
the Corrective Action);
determines the necessity to update the Process’ current Risk Register and/or
Opportunity Register;
determines the necessity to make changes to the existing quality
management system (an example of a change to the quality management
system is given);

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Yes No
conducts follow-up activities to determine the implementation of corrections
and corrective actions and effectiveness of corrective actions; and records
a formal status of the non-conformity (i.e. Closed Out).

The RFI requires the identification of persons responsible for determining

actions to be taken and the conducting follow-up activities including the final
formal status of the non-conformity and dates when the actions are to be
implemented and when follow-ups are done.

Region 5
The system for Nonconformity used the RFI (Request for Improvement)
to document the Nonconformity as a result of Internal Audit findings,
unmet Target, and Customer Complaints among others.
An RFI Registry (FM-N-02v0) was shared to monitor status of corrections
and corrective actions and is uploaded in the google drive.
A sample of an RFA which is still open, 23—RO5-RFI-UT-020, was shared.
Root cause analysis, and corrective actions, person responsible, and
completion date of 2nd Qtr of 2023, were determined.

Opportunity for Improvement

Referring to 23—RO5-RFI-UT-020, although root causes were determined,
the final identified root cause was not among those previously
determined, and therefore corrective action was not based on the root
cause identified, but was merely correction.

DTI – Region 7 Office.

The problem analysis and correction and corrective action planning were
generally seen in the RFIs that were documented nonconformities that
were identified in the July 2023 internal audit (i.e., RFI for nonconformity
under the Business Counselling process and RFI for the nonconformity
against Clause 6.1 for the Supplier Management process).

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Yes No

Due to the delayed submission of the RFIs, the requirement for action
effectiveness evaluation was not yet available at the time of this external
audit.

Opportunity for Improvement

OFI 01: Improvement in the root cause identification provides assurance
to the appropriate determination of corrective action that can prevent the
problem from recurring.
The root-cause identified in the RFI for the nonconformity of the Business
Counselling process in the July 2023 audit is a re-statement of the
problem and not the true root-cause of the problem.

Minor Conformity
Cebu Provincial Office – Conduct of Trade Fair
No Corrective Action (use of Request for Improvement) was shared at the
time of audit, to identify the root cause, correction and corrective action
for the revision of Timeline related to the Target of Conduct of 2 Trade
Fairs.

DTI – Region 8 Office.

The problem analysis, correction action and corrective action planning

were accordingly documented in the issued RFIs for the nonconformities
that were identified in the August 2023 internal audit of DTI Region 8 (i.e.,
RFI for nonconformity under the Finance – Processing of Claims and
nonconformities reported to the SRE Accreditation process: RFI No. 23-R8-
IA-16 and RFI-23-R8-IA-02 both dated October 9, 2023).

Owing to the very recent submission of the RFIs, the requirement for
action effectiveness evaluation was not yet available at the time of this
external audit.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

Opportunity for Improvement

OFI 01: Improvement in the root cause identification provides assurance
to the appropriate determination of corrective action that can prevent the
problem from recurring.
The root-cause identified in the RFI for the nonconformities issued to the
SRE Accreditation process are “reasons” and not the true root-cause of the
problem.

Verification of action to the nonconformity TEAM-08/St.2:

The Monitoring Reports for the FTL Monitoring and Enforcement already
shows the signature of the firm/establishment owner/representative.
Overall effectiveness of the action taken to the reported nonconformity
was already evident at the DTI Region 8.
The nonconformity is considered CLOSED.

Region 10: Regional Level

The 8888 Citizens Complaints and CSF results are addressed thru RFIs, as
monitored in the RFI Monitoring sheet. It showed the client comments,
improvement actions, timetable, person responsible, resources needed,
and the status.

From the IQA findings, the following RFI were confirmed 100% with
corrective action:
• 23-R10-RFI-01
• 23-R10-RFI-02
• 23-R10-RFI-03
• 23-R10-RFI-04
• 23-R10-RFI-05
The RFIs were confirmed with correction, dealing with consequence, root
cause analysis, corrective action and evaluating if the nonconformity exist
on other areas.

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C. RESULT OF THE AUDIT

No. Requirement Conform Objective Evidence on Audited Sample
Yes No

NCR
The implementation of the corrective action system as required by One DTI
QMS was seen adequately implemented from addressing nonconformities
associated with the unmet target.
The nonconformity reported for unmet targets (RFI) were presented, total
of 5 self-issued by the head of the process. 4/5 were already confirmed
closed at the time of the audit. The root cause analysis, correction, dealing
with consequence, corrective action, evaluation of risk or any changes to
the QMS was made evident. Verification of the effectiveness of the
corrective action leading to closure of the RFI were made evident.

Digital Phils.- BNRD

Digital Phils. has accomplished the Request For Improvement (RFI) for the
identified NCs, which were issued by the Group Team Leader last October
13, 2023

Export Management Bureau (EMB)

At the time of this audit, the RFIs for the four (4) nonconformities raised in
the internal audit are still to be accomplished and due for submission on
November 24, 2023.

Bureau of Trade & Industrial Policy Research (BTIPR)

Verified the RFI Registry, FM-NC-01 Rev.01 dated July 1, 2023 – closed

FTEB
Unmet targets on the Price Monitoring last September 2023 were being
addressed through the corrective action process as evidenced by the RFI:
FTI-RFI-07.
10.3 The organization shall continually improve the suitability, In all the offices and bureaus, the results of evaluation were seen in the
adequacy and effectiveness of the quality management Process Performance Monitoring reports, Client Satisfaction Feedback
system.) The organization shall consider the results of analysis Summary Reports, List of Evaluated Suppliers (i.e., Performance

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No. Requirement Conform Objective Evidence on Audited Sample
Yes No
and evaluation, and the outputs from management review, to Evaluation), Process IQA Report, and Management Reviews. From these,
determine if there are needs or opportunities that shall be improvement opportunities were identified. Actions taken to the offered
addressed as part of continual improvement. improvement opportunities were also reviewed in succeeding internal audits
and were generally tackled during the management review meeting of the
QMS for continual improvement.

Overall, the result of the recent management reviews showed that the
organization has an adequate, suitable, and effective implementation of
QMS.

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D. OTHER AUDIT INFORMATION

D.1 COVERAGE OF AUDIT All areas indicated in the audit plan is: Covered Not Covered* (Indicate Areas Not Covered Below)

OTHER CLAUSES AUDITED:

Clause 8.1 Operational planning and control

DTI- REGION 7: CEBU Provincial Office

Operation planning and control procedures were reviewed and records of effective implementation were shared.
- Provision of Trade and Industry Information – Filled up Client Query/Request form; Filled-up CSF form ; DTI Cebu Communication Tracking
System (2023)
- Business Name Registration (PR–BN-01V01 ) – Filled up BNR Application Form
- Business Counselling (PR-BC-01 Version 2 - Filled – up Business Counselling form , Business Consultancy Log
- Issuance of Sales Promo Permit - Filled up Sales Promo Application form, Approval Letter (Raffle), Undertaking
- Consumer Advocacy – Project Proposal (Bagwis Awarding for 2022 Awardees

DTI – REGION 8: SAMAR Provincial Office

Determined requirements and controls for the services provided by the Samar Provincial Office were defined in the process procedures and applicable
regulatory requirements, examples of these are the following:
• Business Counseling, PR-BC-01 version 2, effective date 1 Feb. 2023.
• RA 10644 Go Negosyo Act
• RA 9501 Magna Carta for Small Enterprises
• Consumer Complaints Handling, PR-CC-01 version 1, effective date 1 October 2022
• DAO 20-02:2020 Revised Rules of Mediation and Adjudication of the DTI
• DAO 05:2007 Rules of Procedure on Mediation of Cases Filed with the DTI for Violations of Consumer Act of the Philippines and some Trade
and Industry Laws
• Price and Supply Monitoring, version 2, effective date 15 September 2022
• RA 7581 The Price Act of the Philippines
• RA 10623 Law Amending Certain Provisions of RA 7581
• DO 20-86 Guidelines for the Conduct of Price and Supply Monitoring of Basic Necessities and Prime Commodities Pursuant to the Mandate of
DTI.

Documented information being retained to evidence the implementation of the Procedures includes the following;
Business Counselling
• Consolidated Business Counselling Log Sheets (FM-BC-02) as of September 2023

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D. OTHER AUDIT INFORMATION

• Business Counselling Form (FM-BC-01a) dated July 26, 2023
Client: Andrew Hauling Services with address, contact number and email
Business: Sole Proprietorship, 3 Employees and with 3M and below assets.
Consulted: BN Facilitation and Business Permit Registration
Action: Endorsed to BPLO for Business Permit Registration
• Template Worksheet for Tabulating Responses (FM-CSF-01)- results showed that CSF ratings were consistently attained which is equivalent to
4 or Very Satisfactory. No complaints received from January to September 2023.
Price Monitoring
• Initial Complaint Form (FM-CC-01) dated July 17, 2023 – includes details of party complaining, details of the party complained, nature of
complaint, complaint details, narration of facts and with attachments of proof of transaction.
• Preliminary Conference dated August 7, 2023
• Mediation Tracking Form (SF-CWD-07) with reference number 23-005 dated August 8, 2023 – result showed that 1st Mediation was successful
signed by Complainant and Respondent
• The Mediation Agreement dated August 8, 2023 – complaint was settled between complainant and responded.
• Consolidated Monitoring Record for Consumer Complaint – Eight (8) consumer complaints received and facilitated by Consumer Protection
Division from January to September 2028.
• Mediation Logbook 2023
Consumer Complaints Handling
• Annual Price Monitoring Plan FY 2023
• Database of Firms Monitored as of July 2023
• Officer Order No. 2023-01 series 2023
• DTI Price and Supply Monitoring Form (FM-PSM-02) dated April 14, 2023
Business Establishment – Prince Hypermarket
• Letter of Inquiry (FM-PSM-03) dated April 14, 2023 signed by Provincial Director
• Email from Store Representative dated April 19, 2023 – replied to CBL-DTI Price Discrepancy
• Reply Evaluation Sheet (DO No. 20-86-52000) dated April 20, 2023 evaluated and signed by TIDS-PMO – the recommendation was case closed.
• E-PRESYO – online price monitoring system and weekly uploading of monitoring reports.

Opportunity/ies for Improvement:

1. Consumer Protection Division-Consumer Complaint Handling needs to revisit consistency in the defined working days of processing in QOP and
PR-CC-01 version 1.

Clause 8.2 Requirements for products and services

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D. OTHER AUDIT INFORMATION

DTI – REGION 8: SAMAR Provincial Office
Process for customer communication is established and includes providing information related to the services, handling inquiries and feedback.
Customer communication implementation through accomplishment of Business Counselling Form, Letter of Inquiry, Initial Complaint Form, and
Mediation Agreement. Also, other modes of communication are through emails and phone calls.

DTI Region 8 -Samar Provincial Office assigned coordinators in Negosyo Centers to help MSMEs scale up their business thru coaching and mentoring

The programs of DTI Region 8 are established by DTI Central Office. The DTI Regional Office is just responsible for the implementation of the programs
based on the Department Orders and other relevant reference for examples process procedures (examples: PR-BC-01, PR-CC-01, and PR-PSM-01)
and applicable statutory requirements (examples: RA 10644, DAO 20-02:2020, RA 7581 and DO 20-86).

In Business Counselling, the review of the requirements for services was evident in the accomplished Business Counselling Form (FM-BC-01a).

In Price Monitoring, the review of the requirements for services was evident in the accomplished DTI Price and Supply Monitoring Form (FM-PSM-02).

In Consumer Complaints Handling, the review of the requirements for services was evident in the accomplished Initial Complaint Form (FM-CC-01)
and Mediation Agreement.

D. OTHER AUDIT INFORMATION

Additional Conformity Findings:
Digital Phils.- BNRD
Business Name Registration
Clause 8.5.2 Identification and Traceability:
Traceability of BNRS transactions is the unique reference code assigned by the system. All relevant information for the transactions can be traceable
to the this code.
Clause 8.5.3 Property belonging to customers or external providers
The BNR information may be changed within the 5 year validity period or during the renewal to change relevant information without changes on the
BN. This is a walk-in transaction at the DTI Office with over the counter payment.
Clause 8.5.6 Control of Changes
The BNR information may be changed within the 5 year validity period or during the renewal to change relevant information without changes on the
BN. This is a walk-in transaction at the DTI Office with over the counter payment.
Clause 8.6 Release of Products and Services
Prior to the release of BNR , the BN Processor and the applicants reviews the information for accuracy. For the online BNR application, the accuracy
of the information is for the applicants to review and confirm.

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D. OTHER AUDIT INFORMATION

Clause 8.7 Control of Nonconforming Outputs
The system for handling error on the BNR for walk-in is for the processor to fill-up on-line request to BNRD to edit and correct the information.
For the BN Certificate that is already released to business owners, corrections the BN through the BNRD already with appropriate formal request
submitted though e-mail by the business owner.

* REGION 7:
Not audited due to lack of time
8.2 Requirements for products and services 8.2.1 Customer communication 8.2.2 Determining the requirements for products and services 8.2.3
Review of the requirements for products and services, 8.2.4 Changes to the requirements for products and services 8.6 Release of products and
services 8.7 Control of nonconforming outputs
D.2 Unresolved Issues, if any (otherwise indicate NONE); or Lead Auditor recommends to focus on processes or activities during the next audit.
None

D.3 Use of Certification Mark Acceptable? Yes No (Raise Nonconformity)

D.4 Any Changes Since The Last Audit
Yes None Company Number of Employees Main Address and Sites. Others Please Specify_____________________________
D.5 Distribution of the Report Original – Client Copy – Certification International
D.6 Nonconformities Verified, if any : No Yes, provide details below
No. Clause No. Minor Major Date Issued Status Remarks
December
TEAM-01/St.2 Clause 4.1, 4.2, 6.1 Closed -
2021
December
TEAM-02/St.2 Clause 10.2 Closed -
2021
December For further verification next
TEAM-01/S1 Clause 9.1 Open
2022 audit
December For further verification next
TEAM-02/S1 Clause 8.5.1/7.2 Open
2022 audit
December
LGR-01/S1 Clause 9.2 Closed -
2022
D.7 Notes

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D. OTHER AUDIT INFORMATION

1. Audit was based on limited samples and nonconformities may exist.
2. Opportunity for improvement (OFI) are reported and the organization is encouraged to take action for possible improvements in process
performance. The auditee has the freedom to do as he pleases with the OFI/’s. The OFI/’s may be noted, adopted, rejected, or used as a take-off
platform for other but similar improvement ideas that a client may choose to undertake.
3. By signing the report, the client acknowledges and accepts the outcome of the audit, including any nonconformities raised and abides with the
timetable for the submission of corrective actions.
4. Client should accomplish RP2-1 (Action Request Response) by identifying the Corrections, Determining Root Cause/s, and Corrective Actions.
Timetable for the completion of actions should be specified and documented evidence to support the action taken should also be submitted.
Signatures

Liza G. Rosal USEC Ana Carolina P. Sanchez

Original Copy Signed Name and Signature
Name and Signature
Audit Team Leader Company Representative
Date January 26, 2024 Date

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