RR13.ISO Checklist Post Audit

REPUBLIC OF THE PHILIPPINES
DEPARTMENT OF FINANCE
BUREAU OF INTERNAL REVENUE
REVENUE REGION NO. 13, CEBU CITY
ISO 9001:2015 QUALITY MANAGEMENT SYSTEM

CHECKLIST OF COMPLIANCE
Date ISO Certified : _______________________
No Compliance DOCUMENT REMARKS/

Requirement/s
. Yes No N/A REQUIRED COMMENTS
I. Management
Commitment
1 Conduct of regular meetings Minutes of
to discuss new policies and Meeting
changes that affect the
office
2 Aware of the personnel Current Personnel
complement of the office Strength
3 Implement innovations/
improvements in the office
4 Customer complaints are Memorandum
being handled and resolved
5 Give commendations and Memorandum/
rewards to exemplary Certificate
employees
6 Conduct Management Minutes of
Review at least once a year Meeting
II Documentation
1 Roadmap Copy of Roadmap
2 Workplan Copy of Workplan
3 RRSO of Regional ISO Copy of RRSO of
Team Regional ISO
Team
4 Initial Gap Assessment Copy of Initial
Result Gap Assessment
Result
5 Final Gap Assessment Copy of Final Gap
Result Assessment Result
6 Management Review Copy of
Report Management
Review Report
7 Third-Party Audit Result Copy of Third-
Party Audit Result
III Office Layout
1 Availability of the
following:

Requirement/s
a. Comfort rooms
b. Comfort Room or
Cubicle for Senior
Citizen (SC)/Person
with Disability
(PWD)/Pregnant
Women
c. First aid kits/medicine
cabinets
d. Ramp/Access/Passage
for SC/PWD
e. Storage rooms for each
section
f. Security
Guard/Janitorial
Services House, if
applicable
g. eLounge Area/Taxpayer
Service Area
h. Public Assistance and
Complaint Desk
(PACD)/ARTA Desk
i. Survey Forms Box
i. Forms racks
j. Parking
area/Accessibility for
Taxpayers
k. Queuing System
l. Fire Extinguisher
m. CCTVs
2 Posters/Signages/Forms
a. Mission and Vision of
the BIR
b. Quality Policy
c. Citizen’s Charter
d. Emergency hotlines
e. Evacuation plan
f. Organizational Chart
g. BIR Registration
Forms
h. Label/Signage and
nameplates of personnel
manning each counter

Requirement/s
i. “Off Limits” signages
for sensitive areas
j. “Anti-Fixer” signage
k. “ No Noon Break”
signage
l. “Official Working Hours
– 8:00 AM to 5:00 PM”
signage
IV Client Support Section
1 New Business Registrants
Counter is available
2 Single Window Policy is
being observed
3 There is a dedicated lane for
taxpayers who avail of
eAppointment
If none, do RDO handle the

line for both walk-in and
eAppointment taxpayers?
What is the process?
4 There is a special lane for
SC/PWD/Pregnant Women
5 For each processor, the
following are being
maintained and properly
filled-out per application:
a. Logsheet - one
logsheet shall be
maintained per day
with note “Nothing
Follows” after the last
entry
b. Checklist of
documentary
requirements
c. Route Slip
d. Applicable BIR Form
e. Complete
documentary
requirements
6 DLN machine is available
per processor

Requirement/s
DLN is assigned per
document in the following
manner:
RDO-YYMMDD-XXXXX
where: RDO = RDO Code
YY – Year
MM – Month
DD – Day
XXXXX - series
7 Key Performance Indicator Copy of KPI
(KPI) per process is
available and posted in the
CSS area and targets are
being met.
8 Survey Form (online and/or
manual) are available
9 At least six (6) months of
records are being
maintained in the Client
Support Section
10 If storage of RDO/Section is
small, how many months of
transactions are stored?
(answer in Remarks
Column)
11 Proper labeling of records
are being observed pursuant
to RMO No. 17-2021
V Administrative Section
Janitorial and Security Services
1 Regular evaluation being Evaluation Form
conducted
2 Personnel Records of Personnel Records
janitors and security guards of janitors and
are being security guards
maintained/updated
3 Contracts are updated Copy of contract
4 For security guards, firearm Copy of license
licenses are updated
Records
1 Complete record of 201 201 file of each
files of employees (RTAO, employee

Requirement/s
PDS, Training Certificates,
Appointment, Report for
Duty)
2 Records of Attendance File of SRS/CPS
(SRS/CPS)
3 OPCR/IPCR/SALN File of
OPCR/IPCR/SAL
N
4 Compilation of pertinent
issuances
5 Records are being kept in a
secured storage place
awaiting for disposal or
transmittal pursuant to
archiving procedures
Supplies
1 Stock Cards per office Stock Cards
supplies are being
maintained/updated
2 RIS is being utilized in the

process of requesting for
supplies
Building and Equipment
1 Regular maintenance are Records of
being conducted for maintenance
equipments (e.g. aircon,
service vehicle)
2 For rented office, lease
contract agreement is
available/updated, if
necessary
3 Fire, earthquake drill and Memorandum
pest control are being
conducted regularly
(indicate the frequency of
conduct in Remarks
Column)
VI Risk Assessment
1 Risk Register is available Risk Register
2 Risks Register is being
updated regularly as the

Requirement/s
risks are being monitored
and evaluated
VII Innovations/New Process Introduced, if any
Please indicate other concern/observations/recommendations:
Prepared by: Acknowledged by:
Name of Auditor/s Revenue District Officer

Signature Over Printed Name Signature Over Printed Name

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REPUBLIC OF THE PHILIPPINES

ISO 9001:2015 QUALITY MANAGEMENT SYSTEM

Date ISO Certified : _______________________

No Compliance DOCUMENT REMARKS/

No Compliance DOCUMENT REMARKS/

No Compliance DOCUMENT REMARKS/

If none, do RDO handle the

No Compliance DOCUMENT REMARKS/

No Compliance DOCUMENT REMARKS/

2 RIS is being utilized in the

No Compliance DOCUMENT REMARKS/

Please indicate other concern/observations/recommendations:

Prepared by: Acknowledged by:

Name of Auditor/s Revenue District Officer

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