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Regional Document Controller

MASTER LIST OF MAINTAINED DOCUMENTED INFORMATION (INTERNALl

DOCUMENT CODE DOCUMENT TITLE REVISION 00 01 02 03 04 05

PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNTABILITY REPORTS (FAR 1 AND FAR 1Al QP-R13-FAD-01 Quality Procedure 10.16.17 QO-QP-R13-FAD-01 Quality Objective 10.16.17 QME-QP-R13-FAD-01 Quality Monitoring and Evaluation 10.16.17 FM-QP-R13-FAD-01-01 Process Summary Log Sheet 10.16.17

Name of Bureau/Service/Division: Finance and Administrative Division -Accounting Section

10.16.17 1of1 Page I Rev. N; Eff. Date

Republic of the Philippines DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT

DILG Region XIII (CARAGA)

.H"i!i!!ii'"IU!' LFM-R13-SP-01A-01

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MASTER LIST OF MAINTAINED DOCUMENTED INFORMATION (EXTERNAL l REVISION/EDITION

DOCUMENT CODE DOCUMENT TITLE 00 01 02 03 04 05

PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNT ABILITY REPORTS fFAR 1 AND FAR 1A) DBM COA Joint Circular 2014-001

COA Circular 2015-007 Government Accounting Manual (GAM) Disbursement Voucher Status of Funds SAOB

Name of Bureau/Service/Division: Finance and Administrative Division

Rev.No. Eff.Date Page 00 10.16.17 1of1

Republic of the Philippines DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT

DILG Region XIII (CARAGA)

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DOCUMENT FILING SYSTEM RETENTION PERIOD CODE DOCUMENT TITLE CUSTODIAN LOCATION DISPOSAL

FOLDER SCHEME ACTIVE STORAGE TOTAL PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNTABILITY REPORTS (FAR 1 AND FAR 1A)

Status of Funds Budget Section Budget Section Status of Funds Sequential 5 10 15 shredding/r Data Filer no. 3 2017 e-use

Statement of Allotments, Budget Section shredding/r Obligations and Balances Budget Section SAOB 2017 Sequential 5 10 15 (SAOB) Data Filer no. 3 e-use

FAR 1, lA - Process Accounting Data Filer, shredding/r Accounting 3.1 Sequential 1 5 6 Summary Log Sheet Section Section e-use

Soft copy

Working Paper Accounting (computer) Excel file by sheet Excel file by 1 5 6 delete file Section Accounting sheet

office Office (provided post-

Accounting Data Filer, audited,

FARl Accounting 6.1 Sequential 5 5 10 finally Section Section settled) shredding/r e-use

MASTER LIST OF RETAINED DOCUMENTED INFORMATION

Name of Bureau/Service/Division: Finance and Administrative Division

1of1 10.16.17 Page Eff. Date

Republic of the Philippines DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT

DILG Region Xlll (CARAGA)

r·l.1§1! .. !J.!1@/. FM-R13-SP-02-01

CAO/ OIC -Asst. Regional Director Process Owner

PRIMADONNA M. LINCUNA

• Re ionalQMR

• (provided post·

Accounting Data Filer, audited, FAR 1.A Accounting 6.1 Sequential 5 5 10 finally Section Section settled)

shredding/r e-use

Name of Bureau/Service/Division: Finance and Administrative Division

1of1 10.16.17 Page Eff. Date I Rev.~.

r.1.1411 .. 14.114;. FM-R13-SP-02-01 Republic of the Philippines

DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT DlLG Region XIII (CARAGA)

Step Responsible PROCESS/ ACTIVITY Details References No. Personnel 1 Budget Officer Receives the following: • Record the

Appropriation/allotment • Approved GAA • Net in the Respective • Registries of

Expenditures Registries per PPA as Allotment and Program follows: Obligation per

• Copy of • Registry of Allotment PPA (RAOPS, General and Obligation for RAO MO, Appropriation Personnel Services RAOCO) Act (GAA) (RAO PS);

• Registry of Allotment and Obligation for maintenance and other

~ Operating Expenses (RAO MO) • Registry of Allotment and Obligation for Capital Outlay (RAOCO);

2 Budget Officer Record Obligations • Summarize all Sub- from the Obligations Allotmentskeeeived-aad • Obligation Request and Status Obligations made for the Request and

(ORS) and Sub- quarter Status (ORS) allotment Receives • Sub-Allotment from Central Office

3 Budget Officer Prepare Status of • Review the Correctness of • Status of Funds Funds Per Project, Entries in the Registries of per PPA

Program and Activity Allotment and Obligations • SAOB (PPA) and Statement • Summarize the entries • Registry of

of Allotments, made in the Registries per Allotment and Obligations and Project, Program and Obligation

c- Balances (SAOB) Activity monthly

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PROCEDURE PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNTABILITY REPORTS TITLE {FAR1 & FAR1A) This Process starts from the receipt of the GAA and Sub-Allotment from Central office

SCOPE up to the generation of Financial Accountability Report (FARl, and FARl-A) for online submission to Central Office and other concerned agencies To define the standard procedure in the preparation and generation of Financial

PURPOSE Accountability Report (FARl, and FARl-A) which shall serve as basis for sound policy decisions.

PROCESS DESCRIPTION DESCRIPTIVE STATEMENT: This Process starts form the receipt of the GAA and Sub-Allotment from Central office up to the generation of Financial Accountability Report (FARl, and FARl-A) for submission to Central Office and other concerned agencies

A • Budget Section Financial Accountability Reports (Appropriation, Allotment and Obligation Fields)

1of4 10.16.17 00

P-R13-FAD-01 rgiiii!ii!Qliii!t! I •

Step Responsible PROCESS/ ACTIVITY Details References No. Personnel Reflecting year-to-date running total (as ot);

• Prepare SAOB monthly and Quarterly

4 Budget Officer Prepare Financial • Consolidated the quarterly • Registry of Accountability Reports Status of Funds per PPA allotment and (FAR No. 1 an FAR No. and per account code. Obligation

1A) • Accomplish the •Status of appropriation, allotment allotment (current year, continuing •FAR No.l and automatic) and •FAR No. 1A obligation fields of FAR1 and FAR1-A.

• Forward thru email copy FAR1 and FAR1-A to Accounting

5 Budget Officer Encoding to DBM URS • Encode data of •FAR No.1 website FAR1 and FAR 1-A •FAR No.1A

to DBM URS website

B • Accounting Section Preparation of Financial Accountability Reports (Disbursement Field)

1 Accountant III Receive copies of Received and reviewed • DVs Report of Checks copies of Report of Checks •RC! Issued (RC!) and Issued (RC!) and Report of • RADAI

Report of Advice to Advice to Debit Account Debit Account (RADAI) (RADA1) from Cash Section

from Cash Section at as to completeness of Paid the following month vouchers

2 Accountant Ill Prepare Working • Input the data Paper from RC!/RADAI • DVs

and DVs into the • RCI working paper • RADA!

3 Accountant III • Sort and Post • Sort data per PPA, Data per Fund and per • Far 1 and Far l-

Account Code A • Post sorted data

for FAR1, 1-A Forms

4 Accountant III • Generate • Encode data of •FAR 1 Reports FAR1 and FAR 1-A •FAR 1-A

to DBM URS

2of4 10.16.17 00

~giliili!§iiliifl! P-R13-FAD-01 •

website • Generate Far1 and

Farl-A and produce a hard coov.

Ste Responsible p PROCESS/ ACTIVITY Details References No. Personnel

c • Budget Sectionand Accounting Section Financial Accountability Reports and signature of concerned officials.

1 Budget Officer Review and Certify • Certified correct as to • Financial and Appropriations, Accountability Accountant Ir! Allottment and Report No.1

Obligation-Chief,Budget • Financial Section Accountability

• Certified correct as to Report No.1-A Disbursement-Chief Accountant

2 Immediate Received Generated Report • Review the totals for all • Financial Supervisors FAR1, FAR 1-A columns of FAR 1 and Accountability

FAR 1-A Report No.1 • If found correct, affix • Financial

signature and forward Accountability the Report to the Office Report No.1-A of Assistant Regional Director for initial

3 Assistant Initials and Recommends • Initials the appropriate • Financial Regional approval of FAR1, FAR 1-A fields of approval Accountability Director Report No. 1

• Financial Accountability Report No. 1-A

4 Regional Approves the report of • Sign the field for •Approved Director FAR1, FAR 1-A approval Financial

Accountability Report FAR1, FARl-A

5 Budget and Transmit the Approved • Reproduce and transmit •Approved Accounting Financial Accountability FAR1 and FAR 1-A to Financial Sections Report to Central Office and Central Office and other Accountability

other concerned agencies concerned agencies Report FAR1, FARl-A

6 Budget and Retain records • Retain file copies of • R13-SP-02 Accounting FAR1 and FAR 1-A sections

3 of4 10.16.17

rt41i.l!§ll@' P-R13-FAD-01 •

Top Management Regional QMR

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Prepared Ry Reviewed Ry Approved By

00 10.16.17 4 of 4

r8il4@1§1111MI P·R13·FAD·01 •

REGIONAL QMR CAO/ OIC-Asst. Regional Director

DO~NAY

Noted By

Acct. Ill PROCESS OWNER

BO Ill

PRIMA~CUNA

Prepared By •

Deadline of Date Submitted to Objective Results

Remarks/ FAR Title Quarter Submmision CO andCOA Particulars Met Unmet Remarks, if Unmet

FAR1 1st FAR 1-A 1st

FAR1 2nd FAR 1 ·A 2nd

FAR1 3rd FAR1-A 3rd

FAR1 4th FAR 1-A 4th

FREQUENCY OF MONITORING: QUARTERLY COVERED PERIOD: 1ST TO 4TH QUARTER DUE DATE OF SUBMISSION: on or before 15th day of month following the quarter

QUALITY OBJECTIVE: Timely submission of quarterly FAR1And FAR1A to Central Office and COA on or before 15th day of the month following each quarter

1of1 I Eff. Dllt• I

~0.16.17

~fh!liii!ll"'d!i ~ FM-QP·R13~

DILG RO XIII (CARAGA) FAR 1and1-A Process Summary Log Sheet

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Key Performance Indicators (KPI) Applicable Documents (e.g.

Frequency of Responsible Tracker, Function

Objective Indicator /Formula Monitoring for Monitoring Log Target (if applicable) Results Monitoring Sheet, Summary Log Sheet, Report,

Memo,etc.)

Preparation Timely • On or before • Expected date of Quarterly Budget • Online and online submission of 15th day of the submission Officer, submission submission of quarterly month • Actual date of submission Accountant • PSL FARl and FAR1And FARlA following FAlA to to Central Office every quarter ~ No. Of days Central Office and other Elapsed=Expected date of and other concerned submission minus Actual concerned agencies date of submission agencies

QUALITY PROCEDURE TITLE

Finance and Administrative Division

PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNTABILITY REPORTS (FAR1 AND FARt-A)

OFFICE/ DIVISION

1of2 10.16.17 1®:51 rQ!itiiil@lllllOI

QO-QP-R13-F AD-01 • • DILG - Region XIII QUALITY OBJECTIVE (QO)

LILIB

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Process Owner

ROC EL YNNE L. CUNANAN Acct. III

Prepared By: Reviewed By: Approved By:

2 of 2 10.16.17 l~I

rdiiiiiiiiliilidl I QO-QP-R13-FAD-01 • • DILG - Region XIII

QUALITY OBJECTIVE (QO)

A"JD NO TO B REP OD CJ I Ii UT U HORI TIO

LILIB

TH S 0 M T 0

Process Owner

RO HE L VNNE L. CUNANAN Acct. III

Note: For unmet targets of two (2) consecutive periods, concerned Deputy QMR initiate correction and corrective action using the Corrective Action Re ort CAR and attach it to this form.

D Gap Analysis: In case the objective is not met, put our anal sis wh it is not met

C Formula :Variance=A-B Target Result= O>

9•h day of July 2018

B Actual date of Submission

15th day of July 2018

A Expected date of submission ofFAR1 and FAR 1A to Central Office and COA on or before 15th day of the month after the end of every quarter

Objective 1: Timely submission of quarterly FAR1 and FARlAto Central Office within the 15th day of the month after the end of every quarter

Total Q3 Q2 Ql Q4 INDICATORS

OFFICE/ DIVISION Finance and Administrative Division QUALITY PROCEDURE PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNTABILITY REPORTS (FAR1 AND FAR1-A) TITLE

OBJECTIVE STATEMENT Timely submission of quarterly FAR1 and FAR1A to Central Office and COA on or before 15th day of the month after the end of every quarter

CURRENT PERIOD 2ND QUARTER 2018

DILG - Region XIII [CARAGA) PROCESS MONITORING AND EVALUATION (QME)

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LI LIB

rocess Owner Acct. III

Note: For unmet targets of two (2) consecutive periods, concerned Deputy QMR initiate correction and corrective action using the Corrective Action Re ort CAR and attach it to this form.

3rd day of October 2018

15th day of October 2018

D Gap Analysis: In case the objective is not met, put our anal sis wh it is not met

C Formula :Variance=A-8 Target Result= 0>

B Actual date of Submission

A Expected date of submission of F AR1 and FAR 1A to Central Office and COA on or before 15th day of the month after the end of every quarter

Objective 1: Timely submission of quarterly FAR1 and FAR1Ato Central Office within the 15th day of the month after the end of every quarter

Total Q4 QJ Q2 Ql INDICATORS

OFFICE/ DIVISION Finance and Administrative Division QUALITY PROCEDURE PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNTABILITY REPORTS (FAR1 AND FAR1-A) TITLE

OBJECTIVE STATEMENT Timely submission of quarterly FAR1 and FAR1A to Central Office and COA on or before 15th day of the month after the end of every quarter

CURRENT PERIOD 3RD QUARTER 2018

DILG- Region XIII (CARAGA) PROCESS MONITORING AND EVALUATION (QME)

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ROLLED ANL.. 0 v 'E ~ vuU(ED WIT - 1 n1., uOCUMENT I_

MR

DOz!i;;ONAV CAO/OIC-Asst Regional Director

Process Owner

INDICATORS Q1 Q2 Q3 Q4 Total

Objective 1: Timely submission of quarterly FAR1 and FAR1Ato Central Office within the 15th day of the month after the end of every quarter

A Expected date of submission of FAR1 and FAR1A to Central Office and COA on or before 15th day of the month after the end of every quarter

B Actual date of Submission

c Formula :Variance=A-B I Target Result = 0> D Gap Analysis: In case the objective is not met, put

your analysis why it is not met Note: For unmet targets of two (2) consecutive periods, concerned Deputy QMR initiate correction and corrective action using the Corrective

ction Report fCARl and attach it to this form.

Prepared By: Reviewed By: Approved By:

OFFICE/ DIVISION Finance and Administrative Division QUALITY PROCEDURE

PREPARATION AND SUBMISSION OF FINANCIAL ACCOUNTABILITY REPORTS (FAR1 AND FARl·A) TITLE

OBJECTIVE STATEMENT Timely submission of quarterly FAR1 and FAR1A to Central Office and COA on or before 15th day of the month after the end of every quarter

CURRENT PERIOD

QME·QP·R13-FAD·01 . .T; • •.- :t":: ~' .. :.-w

00 10.16.17 I 1of1

DILG - Region Xlll (CARAGA)

PROCESS MONITORING AND EVALUATION (QME)