ANNEX 1.

Enterprise Profiling Template

A. BASIC BUSINESS INFORMATION

Name of Business : Enterprise name

Type of Business : Sole Proprietorship Corporation Others
ownership Partnership Cooperative ____________
Business registration : SEC DTI
CDA Others
DOLE _________________
Date Registered :
Capitalization : Up to Php3,000,000 in assets (micro)
Php3,000,001 to Php15,000,000 (small)
Php15,000,0001 to Php100,000,000 (medium)
Php100,000,001 and above (large)

Major business activity : Farming Trading Custom servicing

Processing Retailing Others (specify)
Consolidating Wholesaling
No. of Years of
Business Operation :
Accreditation/ : FDA-LTO Halal
Certification GAP Organic
GHAP Others
GaqP ________________

Employment : No. of Employees

Function Regular Non- Remarks
Regular
Admin
Marketing
Production/Operation
Finance
Others

Gender: _______ Male ______Female ______ Total

Employment :
_____IP _____Senior ______PWD
Distribution
Citizen

Enterprise Profile Type : Supplier/Producer Trader

Processor Exporter
Consolidator Others __________________
Contact Details:
 Contact Person :
 Position :
 Telephone No. :
 Facsimile No. :
 Mobile Number :
 Email address :
 Website :

1
  Business Address :

Business Strategy : Vision

Mission
Strategic Plan
Business Model
Business Plan
Annual Plan
Operations Manual
Others _______________________

Financial Management : Journal

Ledger
Cash Book
Financial Statement
Financial Reports
Vouchers
Official Receipt
Financial Analysis
Others _______________________

B. DETAILED BUSINESS INFORMATION

As Supplier/Producer: (please provide specific details for Tables 1 & 2 below)

Table 1: Farm Production Information

Commodity Variety/Br Area Production Capacity Months Selling Price (Price
(Specify) eed/Speci Planted per Cropping / Available/Cycle Range per unit)
e (ha) Production Cycle Period
(volume per unit)
Lean Peak Lean Peak Lean Peak
Months Months Months Months Months Months

No. of farmer members/suppliers (for coop/assn only): _________________

2
 Table 2: Market/Buyer Information
Commodity Specifications Name of Location Contact Average Mode of Mode of
(Specify) Buyer(s) Details Volume Payment Delivery
(specify (unit per
name & month)
company)

As Processor: (please provide specific details for production capacity matrix below)

Table 1. Production Capacity Information

Production Volume Capacity
Product(s) Specifications Per production cycle Annual (unit)
(packaging, (unit)
weight, etc)

Table 2: Market/Buyer Information

Name of Location Contact Selling Price Average Mode of Mode of
Buyer(s) Details (Price Volume Payment Delivery
Product(s) (specify Range) Sold
name & per unit) (unit per
company) month)

As Consolidator/Trader: (please provide specific details below)

Table 1. Procurement or Local Sourcing Data

Commodity/ Specifications Weekly Supplier Buying Marketing Distribution
Product (Class, size, Volume (specify Price arrangements Location
weight, Requirement name/orgn) (Price (payment, (local/export)
variety, etc) (unit) Range/ delivery, etc)
unit)

3
 Table 2: Market/Buyer Information
Specifications Name of Location Contact Selling Average Mode of Mode of
Commodity/ Buyer(s) Details Price (Price Volume Payment Delivery
Product (specify) Range) Sold
per unit) (per month)

C. EXISTING EQUIPMENT AND FACILITIES

Equipment Quantity Condition (no. Of years

acquired, utilization rate, etc)

D. INTERVENTIONS AND ASSISTANCE INFORMATION

Problems encountered in the business (please put a check mark on the appropriate responses below)

_____ Leadership/Management _____ Operations/Production

_____ Human Resource / Personnel _____ Financial Management
_____ Marketing _____ Technology
_____ Logistics / Market Access _____ Registrations/Certifications
____ Others, please specify __________________________________________________

Assistance Received (please list down below type of support provided by any government and non-government
agencies)

Type of Assistance Date/Year Received Name of Agency/Organization Remarks

(trainings, facilities,
equipment, credit or
financial)

4
Assistance/Investment needed (please list down assistance/investment needed in order to sustain/ upgrade
business operations e.g. training, learning exchange/exposure trip, facilities, equipment, production support,
working capital, etc)

Type of Assistance/ Investment Amount/Budget Source/Provider of Assistance/

Needed Investment

Name of Interviewer: _______________________________

Date of Interview: _________________________________

Name of Respondent: _____________________________________________

Contact Information: ____________________________________________

Enterprise Maturity Level: ____________________

I hereby attest to the truthfulness of the information provided in this survey questionnaire. Furthermore, I give
permission to the Department of Agriculture to include the gathered data in the AMWISE database without
violating the Data Privacy Law .

______________________________________
Printed Name and Signature of the Respondent

5
 ANNEX 2. Enterprise Assessment Tool
(A Business Enterprise Process Review)

A. BASIC ENTERPRISE INFORMATION

Name of Enterprise :
Enterprise Address :
Contact Number(s) :
Facsimile No. :
Email address :
Website :
Contact Person :
Position :
Telephone No. :
Mobile Number :
Maturity Level : _______________________________________________________________
Major Business Activity : ______________________________________________________________

Instructions:
The evaluator shall accomplish the tool. Indicate the score or the percentage weights based on the scoring
system for the tool to indicate the level of compliance with indicators listed below. Give additional information on
the findings (if any), and come up with recommendations to address compliance issues and identify other
interventions needed by the enterprise.

RATING:

5– Excellent
4 – Very Good
3 – Good
2 – Needs Slight Improvement
1 – Needs Improvement
0 – Non Compliance

Document verification should be done, as applicable

Decision Method: Sum of the Scores/Total Number of Questions
*Result will be Round Up to the nearest Score

6
B. ASSESSMENT AREAS

1. ORGANIZATION AND ADMINISTRATION. This section will focus in evaluating the human
resources policies and enterprise management systems and processes. It also measures the
organizational direction, plans, operational systems and policies, leadership and
management, governance, compliance to legal identity and reportorial requirements, etc. all
that is related to what goes on within the organization.

SCORE
INDICATOR ( Level of Compliance) FINDINGS

A. LEADERSHIP AND GOVERNANCE

VISION , MISSION AND GOALS AND CORE VALUES AND POLICIES

1. Vision, mission, goals and core values of the

enterprise are well defined and communicated
0 1 2 3 4 5
to all (officers, members, management staff and
employees).
2. Communication system thru internal process
flow policy exists within the enterprise (among
0 1 2 3 4 5
officers, members, management staff and
employees).
3. The problem resolution is carried through
existing written conflict management policy and
0 1 2 3 4 5
a functional Grievance Redress Mechanism (it
involves the concerned individuals or groups).
4. With written, updated, adopted , applied
Enterprise Operations Manual that is being 0 1 2 3 4 5
adapted/used
5. Defined, updated and posted enterprise
0 1 2 3 4 5
structure and design.
6. Accountabilities of officers, members and
management staff are clear, written and
0 1 2 3 4 5
executed in accordance with the operation
manual
7. The enterprise has complete files (hard/printed
copy and electronic copy) of the organization
documents (i.e. minutes of all meetings,
0 1 2 3 4 5
resolutions, incoming and outgoing
communications, BP, EOM, written and updated
Operational Plan, Reports, etc.)
8. Aware of how corruption generally manifests
0 1 2 3 4 5
itself in their type of organization
9. Officers, staff and members have a clear view
0 1 2 3 4 5
on its plans and priorities
B. HUMAN RESOURCE MANAGEMENT
1 Salaries and benefits given to employees are in
accordance with the Labor Code of the 0 1 2 3 4 5
Philippines.

7
 SCORE
INDICATOR ( Level of Compliance) FINDINGS

2 The officers, members, management staff and

employees are well informed about his/her 0 1 2 3 4 5
position and remuneration.
3 The officers, members, management staff and
employees is well informed of the hiring and 0 1 2 3 4 5
firing policy of the enterprise.
4 With policy on equal opportunity for hiring
(locals, out-of-school youth, PWD, gender- 0 1 2 3 4 5
specific and religion/culture-specific individuals).
5 The enterprise has training program or
continuous education for their employees,
0 1 2 3 4 5
officers and members that will contribute to the
improvement of its business operation
6 There is sufficient (young) people available to
become executive managers or officers when 0 1 2 3 4 5
the current executives retire.
7 The organization select and appoint its
executives or officers based on their 0 1 2 3 4 5
qualifications.
8 Organization able to find and attract the right
0 1 2 3 4 5
employees that it needs.
9 Instituted regular performance assessment of its
0 1 2 3 4 5
employees
10 Keep proper records of its employees and
0 1 2 3 4 5
members of organization
FINDINGS AND RECOMMENDATIONS :

2. ENTERPRISE OPERATIONS. This section looks into the key components of enterprise operations
from processes and procedures, use of facilities and equipment and adoption of technologies.

NOTES:
For Production/Farming type of Enterprise answer only items in letter A numbers 1-9
For Processing type of Enterprise answer only items in letter B numbers 1-14
For Custom Service type of Enterprise answer only items Nos. 2.60 – 2.73
For Integrated type of Enterprise choose among letters A, B or C on the appropriate business activity that
the enterprise is undertaking. Answer all the items in the selected business activity
Letters D, E and F should be answered by all respondents regardless of type

SCORE
INDICATOR (Level of Compliance) FINDINGS

A. PRODUCTION/FARMING

8
 SCORE
INDICATOR (Level of Compliance) FINDINGS

1. All the officers, members, management staff

and employees were oriented and familiar
0 1 2 3 4 5
with the production/farming policies and
procedures
2. The operations of the enterprise are in
accordance to the approved Business Plan
0 1 2 3 4 5
or any written documents indicating the
operation of the enterprise
3. Information on the list of producers
(members and non-members) involved in the 0 1 2 3 4 5
production are complete and updated
4. Production schedule are posted, and being
0 1 2 3 4 5
followed
5. Production objectives are set and well-
defined (e.g. target volume per season or 0 1 2 3 4 5
cycle)
6. Target volume based on marketing target 0 1 2 3 4 5
7. Monthly production report submitted 0 1 2 3 4 5
8. Employed quality control system or
traceability system to ensure that all the
0 1 2 3 4 5
products meet the quality standards of the
buyers
9. Has access to information on latest
0 1 2 3 4 5
technologies and processes
FINDINGS AND RECOMMENDATIONS:

SCORE
INDICATOR FINDINGS
(Level of Compliance)

B. PROCESSING
1. All the officers, members, management staff
and employees were oriented and familiar
0 1 2 3 4 5
with the processes and procedures of the
enterprise operations.
2. The operations of the enterprise are in
accordance to the approved Business Plan
0 1 2 3 4 5
or any written documents indicating the
operation of the enterprise.
3. Production objectives are set and well-
defined (e.g. daily volume of output or 0 1 2 3 4 5
capacity)
4. Target volume based on marketing target. 0
5. Production schedule are posted, and being
0 1 2 3 4 5
followed.
9
 SCORE
INDICATOR FINDINGS
(Level of Compliance)
6. Checks quality and specifications of raw
materials before use in 0 1 2 3 4 5
production/processing
7. Employed quality control system or
Traceability system to ensure that all the
0 1 2 3 4 5
products meet the quality standards of the
buyers.
8. Available profiles of suppliers including the
volume capacity, mode of payment and 0 1 2 3 4 5
mode of delivery (supply contract).
9. Presence of Supply Agreement between the
0 1 2 3 4 5
enterprise and suppliers.
10. With continuous innovation of production
0 1 2 3 4 5
/processing methodologies
11. Has access to information on latest
0 1 2 3 4 5
technologies and processes
12. Organization aware of how to manage
0 1 2 3 4 5
incoming volumes of produce.
13. Organization use appropriate, up to date
0 1 2 3 4 5
technology for its operations.
14. Checks that the quality of the produce that is
produced meets its own standards and those 0 1 2 3 4 5
of clients/ buyers.
FINDINGS AND RECOMMENDATIONS :

SCORE
INDICATOR FINDINGS
(Level of Compliance)
C. CUSTOM SERVICE FACILITY
1. All the officers, members, management staff
and employees were oriented and familiar 0 1 2 3 4 5
with the enterprise operations.
2. The operations of the enterprise are in
accordance to the approved Business Plan
0 1 2 3 4 5
or any written documents indicating the
operation of the enterprise.
3. Has written policy on the use and scheduling
0 1 2 3 4 5
of the facilities
4. Keep records of users with complete
information on frequency of availment,
quantity served (e.g. hectarage served for 0 1 2 3 4 5
tractors, space requirement or volume stored
for storage facilities, etc)
2. Servicing schedule are posted, and being
0 1 2 3 4 5
followed.
3. Custom servicing objectives are set and
well-defined (e.g. target area to be served, 0 1 2 3 4 5
target number of users, target income, etc

10
 SCORE
INDICATOR FINDINGS
(Level of Compliance)
Target volume based on marketing target.
4. Monthly report on custom servicing prepared
0 1 2 3 4 5
and submitted to the Board
5. Has access to information on latest
technologies and processes.
0 1 2 3 4 5

FINDINGS AND RECOMMENDATIONS:

SCORE FINDINGS
INDICATOR (Level of Compliance)

D. INVENTORY MANAGEMENT AND CONTROL

1. The group has policy on the storage and
inventory of raw materials /inputs in ensuring
the sufficiency of the supply and the quality 0 1 2 3 4 5
of the products. First In-First-Out and Last-
In-First Out (FIFO & LIFO).
2. Established raw materials specifications
(volume, size, maturity, color, expiration,
0 1 2 3 4 5
packaging, mode of payment, mode of
delivery, etc.).
3. Available profiles of suppliers including the
volume capacity, mode of payment and 0 1 2 3 4 5
mode of delivery (supply contract).
4. Storage facilities for supplies and materials
0 1 2 3 4 5
are adequate and well-maintained
5. Uses digital technology for inventory
0 1 2 3 4 5
management system
6. The inventory securely and appropriately
stored, with access restricted to authorized 0 1 2 3 4 5
personnel
FINDINGS AND RECOMMENDATIONS:

SCORE FINDINGS
INDICATOR (Level of Compliance)

E. FIXED ASSETS UTILIZATION & MAINTENANCE

1. With written policies on facilities and
0 1 2 3 4 5
equipment utilization and maintenance (e.g.

11
 utilization schedule, maintenance schedule,
disposal policy, etc
2. Set aside budget for repairs and
0 1 2 3 4 5
maintenance of fixed assets
3. Keeps record of utilization of facilities and
equipment (e.g. hauling and delivery
0 1 2 3 4 5
schedule, equipment use input and output
volume, etc
4. Facilities and equipment compliant with the
minimum requirement set by the GAP,
0 1 2 3 4 5
GAHP, GAqP, PAES, PNS, and Food Safety
Standards and other standards
5. Available posters of instructions on proper
use and care of machines and equipment
0 1 2 3 4 5
(include identified load capacity and load
limits)
6. The group undertake periodic assessments
to identify underutilized, idle, redundant or 0 1 2 3 4 5
obsolete assets
FINDINGS AND RECOMMENDATIONS:

INDICATOR SCORE FINDINGS

(Level of Compliance)
F. SOCIAL AND ENVIRONMENTAL SAFEGUARDS (WASTE MANAGEMENT AND
OCCUPATIONAL SAFETY AND HEALTH PROCEDURES)

1. Implement proper solid and liquid waste

management (i.e. waste treatment facility, 0 1 2 3 4 5
IEC efforts)
2. Has written policy in disposing solid and
0 1 2 3 4 5
liquid wastes
3. Policy exists and implemented on
0 1 2 3 4 5
occupational health and safety.
4. Posted safety posters/signs/warnings in the
0 1 2 3 4 5
work place
5. Work place is well ventilated, well-lighted,
clean, free from clutter and obstruction, and 0 1 2 3 4 5
with adequate number of emergency exits.
6. Accessible fire extinguishers and other fire
0 1 2 3 4 5
control measures in strategic locations
7. Available accidents and emergency
0 1 2 3 4 5
preparedness kits and trained personnel
8. Compliant to employees’ favorable working
0 1 2 3 4 5
condition i.e. employees’ lounge, pantry
FINDINGS RECOMMENDATIONS:

12
3. FINANCIAL MANAGEMENT. This section will check on the execution of the financial
management system in place, and assess awareness level by the enterprise staff. It will look
on the organization’s performance on financial administration, financial budgeting and
planning, sourcing, financial risk management and also its record keeping and monitoring.

SCORE FINDINGS
INDICATOR
(Level of Compliance

A. ACCOUNTING RECORDS AND SOURCE DOCUMENTATION

1. With clearly established Simple Financial
Management System,
such as:
a. Policy on receipts and disbursements,
recording, reporting and implemented 0 1 2 3 4 5
strictly.
b. conduct of regular audit 0 1 2 3 4 5
c. Approval of daily revenue reconciliations
0 1 2 3 4 5
prior to deposits are made.
d. Policy on banking system. 0 1 2 3 4 5
e. policy on customer accounts (i.e. credit
limits, if there’s any, collections system 0 1 2 3 4 5
(cash or cheque payments), etc.
f. Policy for loans and advances. 0 1 2 3 4 5
g. Policy on petty cash fund. 0 1 2 3 4 5
h. Policy on profit sharing/distribution of
0 1 2 3 4 5
income.
2. Available and secured books of Accounts
a. General Journal 0 1 2 3 4 5
b. General Ledger 0 1 2 3 4 5
c. Cash Receipt journal 0 1 2 3 4 5
d. Cash disbursement journal 0 1 2 3 4 5
e. Sales Journal 0 1 2 3 4 5
f. Purchase Journal 0 1 2 3 4 5
g. Cash book 0 1 2 3 4 5
3. Issue and file pre-numbered accountable
Finance forms/Receipt
a. Official Receipt 0 1 2 3 4 5
b. Delivery Receipt 0 1 2 3 4 5
c. Purchase Order 0 1 2 3 4 5
d. Cash Voucher 0 1 2 3 4 5
e. Cash Liquidation Form 0 1 2 3 4 5
f. Purchase Request 0 1 2 3 4 5
g. Disbursement Voucher 0 1 2 3 4 5
h. Other relevant Forms 0 1 2 3 4 5
4. Keep records of updated Financial
Statements
a. Income Statement 0 1 2 3 4 5
b. Cash flow 0 1 2 3 4 5
13
 c. Balance Sheet 0 1 2 3 4 5
d. Audited Financial Report
0 1 2 3 4 5

B. FINANCIAL REPORTING
1. There is monitoring and reporting system on
0 1 2 3 4 5
the status of the enterprise.
2. Regular financial planning and budgeting are
0 1 2 3 4 5
done.
3. The reports also included non-financial
concerns like issues and concerns, including
0 1 2 3 4 5
potential risks, consequences of proposed
decisions and mitigation processes.
4. Financial report is presented to the BOD or
enterprise management team during 0 1 2 3 4 5
meetings.
5. The reports (i.e. FS, Cash Flow and Balance
Sheet) have been presented in a generally 0 1 2 3 4 5
accepted accounting format.
6. The reports have been verified/audited for the
accuracy and 0 1 2 3 4 5
quality
7. The report contents are up-to-date, relevant,
0 1 2 3 4 5
accurate and complete.
8. Quarterly submission of the cash flow
0 1 2 3 4 5
forecasts to the management for approval.

C. INTERNAL CONTROL AND CASH MANAGEMENT

1. There are appropriate internal controls over the

0 1 2 3 4 5
authorization and issuance of purchase
orders/disbursement voucher
2. Purchase orders correctly prepared and
approved by the concerned officers with the
0 1 2 3 4 5
appropriate financial allocation for the supply
of goods and services.
3. Disbursement vouchers approved by at least
two duly authorized officers’ prior release of 0 1 2 3 4 5
payments.
4. Has established payment threshold and
0 1 2 3 4 5
corresponding level of approving authorities.
5. Bank reconciliations prepared and checked at
least monthly, for each of group’s bank
0 1 2 3 4 5
accounts, by the concerned Officer separately
the cash receipt and payment processes.
6. Have processes in place to record and track
returns to suppliers and matching receipt of 0 1 2 3 4 5
credit note payments for returns.
7. Staff is well oriented on various procurement
and payment methods (e.g. purchase order or 0 1 2 3 4 5
direct invoice).
8. Has measures in tracking missing orders. 0 1 2 3 4 5
9. Conducted regular vouching of all
0 1 2 3 4 5
transactions
14
 10. The petty cash held securely, balanced and
0 1 2 3 4 5
reimbursed/replenish regularly.
11. Have developed a credit policy and debtor
0 1 2 3 4 5
management policy.
12. The invoices/statements promptly issued to
0 1 2 3 4 5
customers.
13. There is an established process to reconcile
payments received against outstanding
0 1 2 3 4 5
interest and principal payments for specific
loans.
14. There is a system to follow-up aged debtors
0 1 2 3 4 5
and manage financial risks.
15. Organization have financial reserves and a
0 1 2 3 4 5
plan to increase them.
16. Executives review and discuss them at least
once a month, using them for decision 0 1 2 3 4 5
making.
17. Financial information shared with members in
0 1 2 3 4 5
a proper manner.
FINDINGS AND RECOMMENDATIONS:

5. MARKETING. The evaluation will focus on the systemic flow of goods/products within
marketing/trading activities and determine compliance with the set guidelines/protocols.

SCORE
INDICATOR FINDINGS
(Level of Compliance)
1.Marketing objectives are set and well defined
a. Set target sales 0 1 2 3 4 5
b. Set target margins 0 1 2 3 4 5
c. Set target profit 0 1 2 3 4 5
2. With available Marketing budget 0 1 2 3 4 5
3. Marketing Plan is accessible, utilized,
0 1 2 3 4 5
communicated, and regularly updated.
4. Has dedicated Marketing Staff with knowledge
0 1 2 3 4 5
of the marketing operation.
5. Clear and consistent product/service
0 1 2 3 4 5
specifications.
7. With updated and monitored customer
0 1 2 3 4 5
profile.
8. With updated and monitored competitor
0 1 2 3 4 5
profile and competitor movement.
9. Has available facilities for logistics and
0 1 2 3 4 5
distribution
10. Point of sale and storage locations are
0 1 2 3 4 5
strategically located
11. Utilize innovative channels (e.g. online or
0 1 2 3 4 5
digital marketing)

15
 SCORE
INDICATOR FINDINGS
(Level of Compliance)
12. With Marketing Agreement between buyers
0 1 2 3 4 5
and the enterprise.
13. Marketing strategies are well presented and
discussed with the officers and employees 0 1 2 3 4 5
by the Marketing Officer.
14. Regular checks market trends and
developments and immediately adjusts 0 1 2 3 4 5
marketing strategies to recent developments
15. Feedback mechanism for
0 1 2 3 4 5
customer/consumer complaints is available
16. Established system on resolving consumer
0 1 2 3 4 5
complaints.
FINDINGS AND RECOMMENDATIONS:

6. SUSTAINABILITY. This assessment will cover growth potential (in terms of production,
product, technology, market, and network) and measures to identify and mitigate risks of the enterprise.

INDICATOR SCORE
FINDINGS
(Level of Compliance)
1. Career Development Program for its
0 1 2 3 4 5
employees
2. Training Program for employees and
0 1 2 3 4 5
members
3. The enterprise has existing good and long-
term 0 1 2 3 4 5
relationships with buyers/suppliers
4. The enterprise is able to tap and/or partner
with different government and non-government 0 1 2 3 4 5
agencies for various support services.
5. With written Sustainability Plan or Enterprise
Risk Reduction Management Plan (including
0 1 2 3 4 5
social, market, technological, climate and
political risks among others)
6. The officers/BODs, members, management
staff and employees in the enterprise are aware 0 1 2 3 4 5
of risks brought by natural resource destruction
7. The officers/BODs, members, management
staff and employees in the enterprise are aware 0 1 2 3 4 5
of peace and security risks.
8. The officers/BODs, members, management
staff and employees in the enterprise are aware
0 1 2 3 4 5
of human, political and socio-economic risks and
occupational and health hazard.
9. The officers/BODs, members, management
staff and employees in the enterprise are aware
0 1 2 3 4 5
of the marketing risks and have identified how to
mitigate these

16
 10. There is awareness on possible solutions
and strategies to mitigate the risks on market 0 1 2 3 4 5
pricing.
FINDINGS AND RECOMMENDATIONS :

6. INCLUSIVITY. This covers awareness of context of marginalization and corresponding policies, projects
and programs in response to root causes of marginalization will be reviewed. Participation of marginalized
sectors/groups are women, children, youth, indigenous peoples, and person with disabilities will be assessed
under this criterion.

SCORE
INDICATOR FINDINGS
(Level of Compliance)
1. Marginal sectors such as women, men, youth,
indigenous peoples, person with disabilities
0 1 2 3 4 5
are considered in deciding services, projects
and programs to engage with.
2. Human rights, child labor, non-discrimination
and equal opportunity policies are written and 0 1 2 3 4 5
implemented.
3. Representations of marginal sectors are
0 1 2 3 4 5
written and implemented.
4. Organization ensure non- discrimination and
0 1 2 3 4 5
equal opportunity for workers and members.
5. Women sufficiently represented in the
0 1 2 3 4 5
organization.
FINDINGS AND RECOMMENDATIONS:

17
 Annex 3. Training Needs Assessment

Name of Enterprise :
Name of Respondent :
Current Position :
Contact :
Number/Mobile
Date of :
Survey/Interview

INSTRUCTION
Please have the time to complete the survey as accurately and honestly as possible. It is a critical
step for us to assess your capacity building needs and the information will help us identify and
select the appropriate interventions to address the gaps. All your responses will be treated with
utmost confidentiality.

1. Which Unit of the Enterprise do you work in?

Marketing
Finance
Procurement
Production/Operations
Human Resource/Personnel
Leadership/Governance
Others, specify:
_____________________________________

2. What is your current position/role in the Enterprise?

Manager Procurement/Purchasing Officer
Supervisor Bookkeeper
Marketing Officer Technician/Technical Officer
Treasurer Secretary
Quality Control Officer Others, please specify:
_______________

3. Do you have supervisory responsibilities?

[ ] Yes [ ] No

3.1 If yes, how many staff/personnel do you supervise or reporting to you? ________

18
4. How long have you been in your current position/role in the enterprise? __________

5. Do you have previous work experience related to your current position?

[ ] Yes [ ] No

6. Have you attended any skills or technical training courses related to your current position?
[ ] Yes [ ] No

6.1 If yes, list the type of training courses you have attended:
Training Course Attended Date of Training Training Provider

7. Based on your knowledge, in which area do you think the enterprise is currently experiencing
difficulty or problem?
Marketing
Finance
Procurement
Production/Operations
Human Resource/Personnel
Leadership/Governance
No idea/knowledge about any difficulty/problem
Others, specify:
____________________________________

7.1 Please provide specific details of the problem area that you have identified:
Enterprise Area/Dimension Specific Difficulty/Problem
Marketing
Finance
Procurement
Production/Operations
Human Resource/Personnel
Leadership/Governance
Others, specify:
___________________

8. As part of the manpower of the enterprise, which elements or dimensions do you experience
difficulty or problem in performing your current role/task?
19
 Actual work performance Customer relations
Communication/Feedbacking Business/Enterprise
Interpersonal relationships Decision making/Problem solving
Leadership style Others, specify
___________________

9. What contributes to your difficulties in performing the specific role/task? Please check
appropriate response/s and provide specific reason/s.

Dimension Specific Reason/s

Knowledge level
Skills level
Attitude/Behavior
Others, specify
______________

10. Do you think you need to enhance your knowledge and skills to better perform your current
role/task?
[ ] Yes [ ] No

11. Which of the following competencies do you think you need to enhance in order to improve
your performance at work?
Work skills/Technical skills Customer relations skills
Communication skills Business/Enterprise skills
Interpersonal skills Analytical skills
Leadership skills Others, specify
_____________________

12. Which of the following training formats would you likely to participate in? Check the
response/s that applies to you.
Classroom training
Day long workshop
On-the-Job Training

20
 Distance education that can be completed at your own pace (web-
based courses/online)
A combination of classroom training with coaching/mentoring sessions
Others, please specify: _____________________________________

13. How many days can you devote for a training session and be away from your work?
1 day
2 days
3-4 days
5-days

14. How important is each of the following issues to you when participating in training courses?
Highly Moderately Somewhat Not
Issues
important important important important

Opportunity to interact with

instructor/facilitator/Resource
Person
Opportunity to interact with
other participants
Being part of a group that is
taking the same course at
the same time
Opportunity to start at any
time
Opportunity to complete at
your own pace

15. Please specify any additional training needs related to your enterprise that you may
recommend or suggest:

I hereby attest to the truthfulness of the information provided in this survey questionnaire. Furthermore, I am
aware that the information provided herein will be used by the Department of Agriculture solely for the purpose
21
of identifying training gaps for the preparation of the Enterprise Capacity Development Plan, as enterprise
beneficiaries and will not be used for any other purpose without violating the Data Privacy Law .

Signature of Respondent:_____________________________

Interviewed by:____________________________________
Date:________________________________

22
 ANNEX 4. Internal and External Analysis
(Strength, Weaknesses, Opportunities, Threat)

Strategic planning is done by an organization when: a) looking at new markets to enter; b) planning
growth and overall business strategy; c) dealing with competitors; d) creating action plans; e)
choosing between different strategic investments; and f) predicting uncertainty in the future.
Undertaking strategic planning before the preparation of the capacity development plan will help
the enterprise to be more realistic in setting-up plans and targets. Strategic planning will be done
using Internal and External Assessment or what is commonly called SWOT Analysis.

a) Internal Assessment (Strength and Weaknesses)

The performance of the the organization from the previous plan period, or the immediate
past five (5) years, as applicable, will be reviewed. The assessment will focus on the five
aspects namely; operations, organization and management, marketing, financial
management and sustainability and inclusivity. The assessment should highlight gaps in
capacities, competencies and change readiness of the organization. Capacities include
systems and processes that enable the organization to pursue its mandate and smoothly
undertake its day-to- day operations. Competencies are knowledge, skills and attitudes
related to the performance of functions on all levels of the organization. Change readiness
determines how prepared the enterprise is in embracing or acting on change.

b) External Assessment (Opportunities and Threats)

External realities are factors that are beyond the enterprise’s control that cannot be
influenced by its own policies and decisions. Social, Political and Policy, Economic,
Ecological and Technological or SPEET factors represent the external environment. Social
factors are services such as education, health, shelter, water and sanitation, cultural beliefs,
values, customs and traditions that affect or characterize the stakeholders the enterprise
seeks to serve. Political factors are laws, policies, strategies and program thrusts of the
national government, public sectors, other organizations, groups and individuals that have
an interest in the work of the enterprise and exert influence in varying degrees. Economic
factors are investments, productive assets, employment and livelihood, incomes, markets,
prices, goods and services produced by and for the sectors that the enterprise seeks to
serve. Ecological factors are natural, biological and physical resources and its conditions,
the sustainability and quality of the services that these resources provide, and the life forces
that it produce such as natural food, air, water, and nutrients. This also includes natural
phenomena and hazards that affect large communities which may result in disasters and
suffering. Technological factors pertain to automation, information systems, equipment and
facilities, process improvements and other developments that facilitate work and provide
opportunities for the enterprise to improve efficiency.

23
 The SWOT Analysis will use the following matrix:

Aspect Strength Weaknesses Opportunities Threats

Organization and
Management

Enterprise
Operation

Marketing

Financial
Management

Sustainability
and inclusivity

24
 ANNEX 5. Template for the Preparation of the 3-Year Capacity Development Plan

Name of Enterprise : ____________________________________________________

Date Assessed : ____________________________________________________
Enterprise Maturity Level: ____________________________________________

Aspects BP Targets Key Proposed Activities Responsibility Timeframe Support Estimated Source
(Year1-3) Findings Interventions/ to be Center Service Cost of Fund
Recommendations Undertaken Provider
Training/
Capability
Building Needs
Marketing Volume sold
150mt
Sales (P)
15m
Market:
15markets

Operations

Organization and
Management

Financial
Management

Sustainability and
inclusivity
Non-Training
Interventions

25
ANNEX 6. List of Training Modules for Capability Building Plan per Maturity Level

Stages of
Growth Start-Up Survival Success Scaling-up Maturity
Capability • How to Start Your • Records and Information • Digital Marketing • Market Info
Building Business Management • Visual Merchandising Sessions/Market
Needs • How to Prepare a • How to Secure Business • Creative and Selling Intelligence
Business Plan Loan Techniques • Product
• Integrated Business • Effective Selling and • Sales, Distribution, Development Clinics
Licensing/Registratio Negotiation Skills for Collections • Process & Product
n MSMEs • Seminar on Patent, • Standardization
• Basic Business • Effective Purchasing Trademarks, and • Packaging &
Recording Management • Copyright Labeling
• Understanding • Material Management and • Total Productive • Export Mentoring
Financial Statements Inventory Control (MMIC) Maintenance • Website
• Bookkeeping and • Problem Solving and • Lean Management Development
Basic Accounting for Decision-Making • Failure Mode and • Trainings
Non-Accountant Techniques Efficiency Analysis • Preparation of
• Basic Pricing and • Quality Customer Service • Introduction to Green • Promotional
Costing • Customer Relationship Procurement Materials
• Taxation for Small Management Requirement • National/Regional
and Medium • Proper Handling of Food • Business Expansion Trade
Enterprises and Food Safety through Franchising • Shows/ Visual
• Social Mobilization Awareness • Merchandising
• Training on • Introduction to Hazard • Business Matching
Cooperativism Analysis and Critical
• Market Awareness Control Points (HACCP)
• Market Info Skill • Basic Principles of Good
• Trade Fair Manufacturing Practice
Participation (GMP)
• Branding Your Business

26
 • Marketing and • Packaging and Labeling of
Promotion for the Food Products
Manufacturing (Value • Training on Nutrition
Chain, Food Safety, Labeling
Good manufacturing • Fundamental of 5S or
Practices Good Housekeeping
• Orientation on • How to Effectively
Philippine National Participate in Trade Fairs
Standard (based on • Awareness on Business
crop) Continuity Planning and
• Green Values (Waste Management
Materials; Climate • Greening the Business
Change Adaptation; Performance of MSMEs
Environmental • Stress Management
Friendly Strategies)
• Financial counseling

• Entrepreneurial Mind
Setting and Values
Formation
This table provides a menu of capability building interventions or training modules that are needed by the enterprise based on its level of maturity.
As part of the Department of Agricultures’ objective of developing capacity of local farmers/fisher folk and MSMEs to optimize market opportunities
through PRDP and ASPIRE Program, the menu of training modules could serve as a reference in guiding our MSMEs to attain its full potential
and help them evolve from being a startup enterprise to reach its take-off level.

27
ANNEX 7. List of Possible Partner or Cooperating Agencies

Interventions Partner or Cooperating Agency

Trainings and Department of Agriculture (AMAS, ATI, BAFS, BAR, PhilFIDA,
Seminars SRA, PCA, NDA, PCC, PhilRice, )
Department of Trade and Industry (Go Negosyo, Small and
Medium Enterprise Roving Academy)
Department of Agrarian Reform
Cooperative Development Authority
Department of Science and Technology
Technical Education and Skills Development Authority (TESDA)
State Universities and Colleges
Government Accredited Training Organizations (for on-site
learning)
Non-Government Organizations (Philippine Center for
Entrepreneurship)
Local Government Units

Financing/ Credit/ Land Bank

Insurance ACPC
Financial Institutions (Rural Banks, Commercial Banks)
Department of Trade and Industry – Small Business Corporation
Department of Labor and Employment
Micro-Financing Institutions (CARD, ASA Philippines, Negros
Women, TSKI, Mindanao Micro-Finance Council)
Non-Government Organization (Peace and Equity Foundation,
Foundation for a Sustainable Society, Inc.)
PCIC – for insurance
Market Linkage Department of Agriculture
LGUs
Department of Trade and Industry
Taytay Sa Kauswagan, Inc. (TSKI)
Postharvest, Department of Agriculture (Commodity Programs, PhilMech ,
processing and PCA, SRA, PCA, among others)
marketing Department of Agrarian Reform
facilities, Department of Trade and Industry
equipment and DOST
infrastructure DOLE
LGUs
International NGOs
Technologies and DA, DAR, PhilMech, PhilRice, IRRI, DOST, PCARRD, BPI,
Standards BAFS, LGUs, SUCs
Bureau of Animal Industry, FDA, BAFE, Seed Companies,
Feeds Manufacturers

28
 ANNEX 8. Template for the Monthly Monitoring of Enterprise Operation

Name of the Enterprise:

___________________________________________________
Monitoring Period:
__________________________________________________
Date of Interview:
__________________________________________________
Name of the Interviewer:
___________________________________________________

FINANCE
Revenue Management
A. Total Sales (per product sold)
1. Target Sales
Product 1
Product 2
Product 3
2. Actual Sales
Product 1
Product 2
Product 3
B. Gross Profit Margin
1. Target:
Product 1
Product 2
Product 3
2. Actual:
Product 1
Product 2
Product 3
C. Net Profit Margin
Target:
Actual:
D. Accounts receivable
Expense Management
A. Total of variable cost
B. Total of fixed cost
C. Top cost contributors (value)

29
 1
2
3
Amount of working capital:

OPERATIONS
Monthly Production
A. Production Volume
1. Target Volume
Product 1
Product 2
Product 3
2. Actual Volume
Product 1
Product 2
Product 3
3. No. of Rejects (damaged, spoiled,etc.)
Product 1
Product 2
Product 3
Equipment Maintenance
No. of working days
No. of Idle days (not including non-working days)
No. of Machine-breakdown
Inventory and Control
Starting Inventory of Raw Materials
No. of Processed products stored
No. of Processed products delivered
Occupational Safety and Health
No. of Accidents
No. of Near Miss

MARKETING
Volume Sold per product
Product 1
Buyer 1
Buyer 2
Product 2
Buyer 1
Buyer 2
Product 3
Buyer 1
Buyer 2

30
Market/Buyer
1. Number of market/buyer
Product 1
Product 2
Product 3
Product 4
Product 5
Channels
Means of distribution
Place of distribution

HUMAN RESOURCE AND ORGANIZATIONAL DEVELOPMENT

Human Resource
Number of personnel employed
Direct labor (male and female)
Hired/permanent (Male and Female)
Paid On-call (Male and Female)
Volunteer On-call (Male and Female)

SUSTAINABILITY AND INCLUSIVITY

Enterprise Consultative Meeting
Frequency of enterprise management meeting
Frequency of farmer consultation
meetings/reporting
Inclusiveness
Number of Farmer-members involved in the
enterprise
Disaster-preparedness/ Climate resiliency
Climate resilient technology used
Enterprise risk reduction management plan
implemented

31
ANNEX 9. Template for the Annual Monitoring of Enterprise Operation

Name of the Enterprise:

___________________________________________________
Monitoring Period:
__________________________________________________
Date of Interview:
__________________________________________________
Name of the Interviewer:
___________________________________________________

FINANCE
Revenue Management
E. Total Sales (per product sold)
3. Target Sales
Product 1
Product 2
Product 3
4. Actual Sales
Product 1
Product 2
Product 3
F. Gross Profit Margin
3. Target:
Product 1
Product 2
Product 3
4. Actual:
Product 1
Product 2
Product 3
G. Net Profit Margin
Target:
Actual:
H. Accounts receivable
Expense Management
D. Total of variable cost
E. Total of fixed cost
F. Top cost contributors (value)
1
2

32
 3
Amount of working capital:
Income Sharing Distribution
A. Distributed to members
B. Set Aside for Equipment & Facilities Repair and
Maintenance
C. Set Aside for Expansion/Re-investment
D. Set Aside for Operating Expenses

OPERATIONS
Monthly Production
B. Production Volume
4. Target Volume
Product 1
Product 2
Product 3
5. Actual Volume
Product 1
Product 2
Product 3
6. No. of Rejects (damaged, spoiled,etc.)
Product 1
Product 2
Product 3
Product Development/Diversification
New Product Launched
No. of Product Registered/Certified
Equipment Maintenance
No. of working days
No. of Idle days (not including non-working days)
No. of Machine-breakdown
Inventory and Control
Starting Inventory of Raw Materials
No. of Processed products stored
No. of Processed products delivered
Occupational Safety and Health
No. of Accidents
No. of Near Miss

MARKETING
Volume Sold per product
Product 1
Buyer 1
Buyer 2

33
 Product 2
Buyer 1
Buyer 2

Product 3
Buyer 1
Buyer 2

Market/Buyer
1. Number of market/buyer
Product 1
Product 2
Product 3
Product 4
Product 5
Channels
Means of distribution
Place of distribution

HUMAN RESOURCE AND ORGANIZATIONAL DEVELOPMENT

Human Resource
Membership (Male/Female)
Number of personnel employed
Direct labor (male and female)
Hired/permanent (Male and Female)
Paid On-call (Male and Female)
Volunteer On-call (Male and Female)
Number of farmer-members involved in the
enterprise
Number of positions filled/unfilled (Target vs.
Actual)
Number of trainings on skills development
attended
Number of trainings on leadership/management
attended

SUSTAINABILITY AND INCLUSIVITY

Enterprise Consultative Meeting
Frequency of enterprise management meeting
Frequency of farmer consultation
meetings/reporting
Inclusiveness
Number of Farmer-members involved in the
enterprise

34
Disaster-preparedness/ Climate resiliency
Climate resilient technology used
Enterprise risk reduction management plan
implemented

35
 ANNEX 10. Template for the Progress Monitoring and Evaluation Report
for the Implementation of the Capacity Development Plan

Name of Enterprise

Identified Capacity Interventions Planned Actual Assessment Notes

Building Needs/Gaps (List down the action to be (List down all planned (List down all capacity (Provide a narrative of your
(List down capacity gaps taken to address the gaps activities for capacity building activities actually observations in relation to
that have been identified in in column 1, as indicated in building. As much as undertaken. Place a check targeted changes, your
the Capacity Building Plan) the Capacity Building Plan. possible, match the mark ( ) if activity analysis of the current
Match intervention to the activities with data in conducted was as situation of the Enterprise,
identified needs/gap) columns 1 and 2) planned) your recommendations,
and other information that
might be of note to the
achievement of the
capacity building plan)

36