OPERATING PROCEDURES

COMPLIANCE AUDIT

5.0 FORMS

5.1 Annual Audit Pan

TESDA-OP-CO-02-F01
REV. No. 00-03/08/17

5.2 TVI/Company Compliance Audit Plan

TESDA-OP-CO-02-F02
REV. No. 00-03/08/17

5.3 Audit Team Checklist

TESDA-OP-CO-02-F03
REV. No. 00-03/08/17

5.4 Compliance Audit Requirements Checklist for Institution-Based

Program
TESDA-OP-CO-02-F04-A
REV. No. 00-03/08/17

5.5 Compliance Audit Requirements Checklist for Enterprise-Based

Program
TESDA-OP-CO-02-F04-B
REV. No. 00-03/08/17

5.6 TVI/Company Compliance Audit Report

TESDA-OP-CO-02-F05
REV. No. 00-03/08/17

5.7 Compliance Audit Action Catalogue

TESDA-OP-CO-02-F05-A
REV. No. 00-03/08/17

5.8 Consolidated Provincial Report and Status of Compliance to

Correction and Corrective Action/s
TESDA-OP-CO-02-F06-PO
REV. No. 00-03/08/17

5.9 Consolidated Regional Summary of Audited Programs

TESDA-OP-CO-02-F06-RO
REV. No. 00-03/08/17

5.10 Regional Consolidated Summary of Audited Programs Per

Program Registration Requirements (Institution Based)
 OPERATING PROCEDURES

COMPLIANCE AUDIT

TESDA-OP-CO-02-F07 A
REV. No. 00-03/08/17

5.11 Regional Consolidated Summary of Audited Programs Per

Program Registration Requirements (Enterprise Based)
TESDA-OP-CO-02-F07 B
REV. No. 00-03/08/17

5.12 Report on Closure Proceedings

TESDA-OP-CO-02-F08
REV. No. 00-03/08/17
 TESDA-OP-CO-02-F02
REV. No. 00-03/08/17

TVI/COMPANY COMPLIANCE AUDIT PLAN

Objective :To determine the continuous compliance of the TVI/company on program

registration requirements and guidelines

Name of TVI/
Company :

Head/Administrator:

Address :

Programs to be :
Audited

Schedule
of Audit :

*Audit Activities and Areas Time Auditee Assigned

to be Audited* Auditor

*Audit Activities and Areas to be Audited – which include activities such as Opening Meeting,
Report Preparation, Closing Meeting and Program
Registration Requirements to be audited

Note: Completed forms and/or other information submitted by the TVI/company during the program
registration process should be made available for inspection by the audit team; TVI/company should
ensure the availability of concerned trainer and students on the actual date of audit. Otherwise, inform
PO of audit re-scheduling if concerned trainer and students are not available.
Prepared by: Approved by:

Lead Auditor Regional Director

Date: Date:

Conformed:

TVI Head/Administrator/Company Head/Representative

Date:

Note: In case of audit re-scheduling the TVI Head/Administrator/Company Head shall indicate the preferred
date of audit and reason/s for re-scheduling:

Preferred Date of Audit:

Reason/s for audit re-

scheduling:

_________________________________________________
TVI Head/Administrator/Company Head/Representative
(Signature over Printed Name)

Approved by:

Regional Director

Date:
 TESDA-OP-CO-02-F04-A
REV. No. 00-03/08/17

COMPLIANCE AUDIT REQUIREMENTS CHECKLIST FOR INSTITUTION BASED REGISTERED PROGRAM

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
PO Level

TVI’s documents filed in PO Check completeness and validity TVI’s documents submitted to Compliant
 The conduct of Examination of TVI’s documents filed in PO. PO are complete and
compliance audit of the of updated. Compliance Audit
concerned TVI shall be documentary Conducted on
deferred if no program ________.
registration documents to
evidence
be audited on-file at the No document Available.
Provincial Office.
Compliance Audit.
Deferred.

TVI had transferred to

new location.

TVI Level
A. Corporate and Administrative Documents
Letter of application/Intent Examination of Request a copy of the letter of Same copy of letter of
documentary application. application stamped received Compliant
evidence. by concerned TESDA PO. Not stamped received
by TESDA PO.
Board Resolution/ Academic Examination of Request a copy of the Board Same copy of Board Compliant
Council Resolution to offer documentary Resolution/Academic Council Resolution/Academic Council Not stamped received
the program signed by the evidence. Resolution to offer the program. Resolution to offer the by TESDA PO.
Board Secretary and  Are all the programs program stamped received by
attested by the Chairperson supported by above- concerned TESDA PO.
(SUCs, LCUs, and private mentioned Resolutions?
institutions)

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Special law creating the Examination of Request a copy the law that The law whether R.A. or local
institution (for public documentary created the institution. legislation clearly mentions N/A
institution) e.g. Republic evidence. the establishment of the
Act, Executive Order, institution.
Sangguniang Resolutions)
Securities and Exchange Examination of Request a copy of the SEC Updated SEC registration and
Commission (SEC) documentary registration. General Information Sheet Compliant
Registration for private evidence. (GIS). Not presented or
institutions (must available.
specifically cover the
training delivery site)
Articles of Incorporation Examination of Request a copy of the Articles of The Articles of Incorporation
documentary Incorporation and By-laws. mentions TVET in its primary Compliant
evidence. purpose and covers the
training delivery site and is Not presented or
valid. available.
For institutions that will
branch out, the Articles of
Incorporation and By-laws
must state reasons for
opening of the branch. The
Articles of Incorporators
signed by majority must be
notarized, received and
noted by SEC.
Registration
Requirements
Proof of building ownership
or contract of lease
(covering at least two
years) upon application for
new program. For
succeeding application a
valid contract of lease.
Current Fire Safety
Certificate
Examination of Request a copy of the Articles of The Articles of Incorporation
documentary Incorporation and By-laws. and By-laws clearly states the N/A
evidence. reasons for opening of the
branch. The majority of the
Incorporators signed the
Board Resolution which is
notarized and stamped
received by SEC.
Methodology Process/ Question Evidence Finding
Examination of Request a copy of proof of Proof of ownership is
documentary building ownership or contract of authentic and valid. Contract Compliant
evidence. lease. of lease has not expired.
 If leased, how many years? Expired Lease of
(covering at least one year Certification from the Lessor Contract
that the Contract of Lease is
renewable upon application
renewable.
for new program)
Examination of Request a copy of the Fire Fire Safety Certificate is valid/ Compliant
documentary Safety Certificate. has not expired. Expired Fire Safety
evidence.  Is the Fire Safety Certificate Certificate
current?
 Registration
Methodology Process/ Question Evidence Finding
Requirements
B. Curricular Requirements
Competency-based Examination of Does the course design include  Course title the same as or Please see report of Mr.
Curriculum indicating the curriculum the following: similar to the title of the Juan Dela Cruz.
qualification being documents.  Course description promulgated Training
addressed and the  Qualification level Regulations (TR)
competencies to be  Duration  Course design is based on Compliant
developed  Entry requirements work that must be
 Course Design  Course structure specifying units performed (course
 Modules of of competency covered by the description of modules
Instruction course and the corresponding include the scope, Compliant
module; Are the basic and coverage and delimitation
common competencies specified in the TR)
embedded in the implementation  Competency-based
of core competencies? curriculum
 Title – Learning outcomes and  Institutional assessment
nominal duration in accordance tools
with the TR and approved Compliant
Certificate of TVET Program
Registration (CTPR) Not available/presented
 Program delivery
 Assessment method
 Trainer/s qualifications
 Resource requirements
 Registration
Methodology Process/ Question Evidence Finding
Requirements
 Curriculum Design Interview of: Recite competencies to be Units of Competency stated
 TVI Academic achieved for the course in the Training Regulations
Head (TR) Compliant
 Trainer
 Selected
students/trainees

 Modules of  Examination Does the modules of instruction  The Modules of Instruction

Instruction of Modules of contain the following: are based on defined units of
 Learning Outcomes Instruction  Learning outcomes/contents competencies (i.e. elements,
(Continuous  Document (specifies what the learners will required knowledge, required Compliant
Assessment evaluation learn, acquire and apply) skills, performance criteria) Does not conform with
Results)  Demonstration  Condition for assessment and completely addresses the Training
/Observation  Assessment criteria/methods the scope of its CTPR. Regulations.
(describes how the performance
of competency is measured)
 Interview of  Check in what modules current  Results of Institutional Compliant
Trainer and past lessons you are in? Assessment Institutional
Assessment not
presented or available.
 Can you show me the results of  Presence of institutional
the institutional assessment of assessment results. Compliant
the following students/trainees?
Institutional
Assessment results not
presented or available.
 Registration
Methodology Process/ Question Evidence Finding/s
Requirements
 Interview of  What modules have you  Progress Chart
selected students completed?  Interviewed trainees are able Compliant
/trainees  What competencies can you to articulate the modules No available progress
 Document demonstrate? completed & can demonstrate/ chart posted.
review perform the competency asked.
Not updated progress
chart.

 Modular structure  Interview  How are the modules Feedback from trainees and
(according to units students/ presented? competency-based learning
specified for the trainees materials are provided to
course)  What training methodologies them.
 Demonstration are used? (e.g. lecture, demo,
 Learning materials /Observation role playing, film showing, etc.) Compliant
used
No available CBLM.
 Are there requirements needed
to advance to the next module?

 How often does the trainer

provide feedback?
Tools, equipment and Actual  Can you show me the following  Presence on site of the
materials necessary to inspection tools, equipment and materials? requested tools, equipment Compliant
deliver the program. and of sampled and materials.
tools,  How do they ensure that all (same as Program
equipment and tools and equipment borrowed Registration Lists of Tools, There are lacking tools
materials or used during classes are Equipment & Materials and and equipment. Please
returned? follows the minimum see attached list.
requirements in the TR)
 Is there a designated tool
keeper?  Actual physical count .

 Designation of a tool keeper

No designated tool
keeper.

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Testing of  Can you please show me how  The sampled equipment
sampled to operate this equipment? should be in good working Compliant
equipment  Are tools and equipment condition.
coupled with serviceable and in good
questioning. working condition? There are defective
 How often do they conduct tools and equipment.
maintenance of tools and Please see attached list
equipment? of sampled tools and
 What procedures do they equipment.
follow if tools and equipment
are out of order?  Maintenance Schedule Not presented or
(Inspection checklist for available.
maintenance of tools, etc.)

 Written procedure. Not presented or

available.
List of Physical Facilities
& Off-Campus Physical
Facilities indicating floor
area.
Actual  Can I have a tour of your
inspection of physical facilities?
physical  Can the physical facilities
facilities and accommodate the students/
its floor area. trainees per batch?
 How often do they conduct
maintenance of the physical
facilities?
 The physical facilities satisfy Compliant
the requirements in the TR. It does not conform
with the Training
Regulations.
 Provisions in the
Memorandum of Agreement
(MOA) for Off-Campus
Physical Facilities
 Maintenance Schedule
(Inspect checklist for
maintenance of physical
facilities)

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Shop layout of training Actual inspect- Can you show me the shop layout The actual layout of the Compliant
facilities indicating the ion of the trng. of your training facilities? training facilities matches the It does not conform
floor area facilities using indicated floor area and with the Training
the shop layout arrangements in the shop Regulations.
provided. layout document.
C. Faculty and Personnel
List of officials, teaching
and non-teaching staff
Comparison of  Can you show me your The list matches that of the Compliant
the list in the manning list or organizational PO list including the Not updated. No
PO file with structure? supporting documents. attached supporting
the existing Should there be changes documents.
staff  Can you show me the especially with the trainer/s, Employment Contracts
complement in contracts of employment and the replacement meets the are expired.
the institution relevant certificates of the qualification requirements
including the personnel on this list? and the changes have been
supporting informed to the PO.
documents.
 Registration
Requirements
List of teaching staff
D. Program Guidelines
Schedule and breakdown
of tuition and other fees
(duly signed by the school
head indicating the
effectivity of school year)
Methodology Process/ Question Evidence Finding/s
Comparison of  For WTR Program:  Trainer of WTR program Compliant
the list in the Does the trainer of the must be a holder of a Not updated. No
PO file with the program have a valid National National TVET Trainer attached supporting
existing staff TVET Trainer’s Certificate Certificate (NTTC) relevant documents.
complement in (NTTC)? to the registered program Trainer: Ms. Casa’s NC
the institution (must follow those II/NTTC is expired.
including the  For NTR Program: specified in the TR under Employment Contract
supporting Does the trainer of the Sec. 3.6 Trainer’s is expired.
documents. program have training Qualifications) Trainer: Ms. Casa was
certificate on Trainer’s replaced by Mr. Dela
Methodology Course Level 1  Trainer of NTR program Cruz.
(TM 1 certificate or other must have a training
training methodology certificate on Trainer’s
certificates in addition to the Methodology Course Level 1
certificate gained from other (TM 1).
certifying bodies.)?
Document Can you show me the breakdown The current fees match what
comparison of of current fees you collect from is submitted in the registration Compliant
the submitted your students/ trainees? documents on the schedule
schedule and and breakdown of tuition Not updated.
breakdown of fees. Should there be an
tuition & other increase in fees, it should
fees and the comply with the requirements
existing tuition & of TESDA Circular 32 s.1998.
other fees rate.
 Registration
Methodology Process/ Question Evidence Finding
Requirements
Documented grading  Sampling of Can you show me your grading  The existing grading
system, details of which students/ system. system matches what Compliant
are provided to trainees  In the modules that you is indicated in the
students/trainees at the grades. have completed how were program registration
start of their program you graded? documents.
 Interview of
sampled  Before the start of your  Proof of grades
students/train course have you been provided for
ees to confirm provided information on completed modules.
if their grades how you will be graded?
match what is  Student handbook or
indicated in any publication
the grading containing grading
system system.
submitted for
program
registration.

Trainees entry require- Sampling of Can you show me the files of the The qualifications of the
ments complying with the accepted following students/trainees when students/trainees as far as Compliant
relevant TR, or if students/ they were accepted to the their documentary credentials
applicable, the hiring trainees for the program? are concerned satisfies the
industry or relevant program. TR requirements or additional
industry sector may Does the trainee’s entry entry requirements aside
include additional entry requirements satisfy the those specified in the TR.
requirements for the requirement of the program?
program.
 Registration
Requirements
Rules of attendance
E. Support Services
Health services are
available to the
students/trainees (if these
services are contracted
out or out-sourced, the
contract or MOA or similar
documents must be
submitted)
Methodology Process/ Question Evidence Finding
 Sampling  Are you aware that you  The students/ trainees
of students/ have to comply with certain are informed about the Compliant
trainees. rules on attendance when rules on attendance.
you were accepted in the There is evidence of
 Compare the course? this e.g. in the student
submitted handbook or other
rules on  Have you had cases of publications.
attendance students/trainees who
with any violated the rules on  Presence of
existing case attendance? documentary evidence
of a student/ that led to the
trainee that  What did you do? resolution of the case.
violated the
rules, if any.
On site  How many students/ trainees  Existing health service
inspection of have availed of the health facility available. Compliant
health service service facility that you Expired contracts with
facility and provide?  Record of students/ physician or dentist.
interview of trainees that availed of the No available
the health  What are these health health services. documents/presented
service services? in the provision of
provider  Valid MOA with health health services.
professional.  Do you have records of this service provider if
service provision? contracted out.
 Registration
Methodology Process/ Question Evidence Finding
Requirements
Job Linkaging Interview of What career guidance service and Evidence may include any of Compliant
Services designated Career employment services do you provide? the following: No
Guidance Service  Career Profiling Results/ available/presented
Officer. Career Services documents .

 Tracking or tracer of
graduates

 List of partner companies

 Job facilitation programs

for graduates

 Documented stories of
successful graduates

F. Other Requirements
Signage in Offering On site inspection Does the signage contain the Signage in accordance with Compliant
TVET Registered of TVI Signage of following: Section 16 of TESDA Circular No available
Program/s Registered  the title and duration of the program No. 7 series of 2016 signage posted.
Programs (signage includes
 the status of registered programs the logo, name of
whether WTR or NTR with TESDA school, address and
registration/CTPR number contact numbers,
name of the
 date when the CTPR was issued qualification/progra
m, duration in
hours, COPR/CTPR
number and date of
issuance)
 Registration
Methodology Process/ Question Evidence Finding
Requirements
G. Mandatory Assessment (WTR) and submission of MIS 03-02
Assessment of Sampling of How do you implement the mandatory Sampled students/trainees Compliant
graduating students/ graduates in the assessment for graduating students? are found in the RWAC and No
trainees (for WTR Registry of MIS 03-02 taken from the PO available/presented
programs with Workers Assessed file. documents .
assessment tools) and Certified  How many enrolled and Compliant
(RWAC) and MIS graduated per program?  Employment report of No
03-02 students/trainees. available/presented
 How often do you submit the documents .
enrolment, graduate and  RWAC and the MIS 03-02
employment reports? stamped received by PO.
 Registration Requirements Methodology Process/ Question Evidence Finding
H. Program Performance Measures
NTR Program’s employment rate not Examination of MIS 03-02 Check/review accomplished  MIS 03-02 Compliant
lower than the national TESDA report for three (3) MIS 03-02 employment No
average employment rate of TESDA consecutive batches information against the Impact  Employment available/pr
graduates based on Impact Evaluation Study (IES) average report of esenteddoc
Evaluation study (IES) results, for employment rate of TESDA students/trainees. uments .
three (3) consecutive batches. graduates
Examination of RWAC and Check/review RWAC and  RWAC Compliant
MIS 03-02 report for three (3) accomplished MIS 03-02 report No
consecutive batches against the national sectoral  National Sectoral available/pr
WTR Program’s certification rate average certification rate Average esenteddoc
lower than the national sectoral Certification rate uments .
average rate for three (3)
consecutive batches  MIS 03-02

Submitted by:

Auditor Date

Auditor Date
 TESDA-OP-CO-02-F04-B
Rev. No. 00-03/08/17

COMPLIANCE AUDIT REQUIREMENTS CHECKLIST FOR ENTERPRISE-BASED REGISTERED PROGRAM

Registration
Methodology Process/ Question Evidence Finding
Requirements
PO Level
Companies/Enterprise Check completeness and Companies/ Enterprise
documents filed in PO Examination of validity of Companies/ documents submitted to PO are
 The conduct of compliance documentary Enterprise documents filed in complete and updated.
audit of the concerned evidence PO.
Companies/ Enterprise
no
shall be deferred if
program registration
documents are on-file at
the Provincial Office.
A. Corporate and Administrative Documents
Letter of application/Intent Examination of Request a copy of the letter of Same copy of letter of application
documentary application. stamped received by concerned
evidence. TESDA PO.
Securities and Exchange Examination of Request a copy of the SEC/DTI Updated SEC registration and
Commission (SEC) documentary evidence. registration. General Information Sheet (GIS).
Registration / DTI Permit
Current Fire Safety Certificate Examination of Request a copy of the Fire Fire Safety Certificate is valid/
documentary evidence. Safety Certificate. has not expired.
 Is the Fire Safety Certificate
current?
 Registration
Methodology Process/ Question Evidence Finding
Requirements
B. Curricular Requirements
 Curriculum or Training Interview of: Identify competencies to be Units of Competency/ies to be
Design  Trainer achieved for the course achieved
 Selected
trainees/workers
Tools, equipment and Actual inspection  Can you show me the  Presence on site of the
materials necessary to deliver and of sampled tools, following tools, equipment requested tools, equipment
the program. equipment and and materials? and materials.
materials (same as Program
Registration Lists of Tools,
Equipment & Materials and
follows the minimum
requirements in the TR)
Testing of sampled  Can you please show me  The sampled equipment
equipment coupled with how to operate this should be in good working
questioning. equipment? condition.
 Are tools and equipment
serviceable and in good  Maintenance Schedule
working condition? (Inspection checklist for
 How often do they conduct maintenance of tools, etc.)
maintenance of tools and
equipment?
 What procedures do they  Written procedure.
follow if tools and equipment
are out of order?
 Registration
Methodology Process/ Question Evidence Finding
Requirements
C. Trainer
Qualification of Examination of the  For WTR:
Trainer trainer’s supporting Check supporting documents
documents  Certificate on Trainers Methodology
(TM) Level I

 National Certificate (NC) relevant to

the qualification being offered

 For NTR:

 Certificate on Trainers Methodology

(TM) Level I and other training
methodology certificates in addition
to the certificate gained from other
certifying bodies

 Proof of specialization or expertise

related to the program being offered

 Proof of certification from the HR or

employment contract as trainer
relative to the program being offered
 Registration
Methodology Process/ Question Evidence Finding
Requirements
D. Mandatory Assessment (WTR) and submission of MIS 03-02
Assessment of Sampling of graduates in How do you implement the Sampled students/trainees are found in the
graduating the Registry of Workers mandatory assessment for RWAC and MIS 03-02 taken from the PO
students/ trainees Assessed and Certified graduating students? file.
(for WTR programs (RWAC) and MIS 03-02
with assessment
tools)
 How many enrolled and  Students/trainees that passed have
graduated per program? been issued their National Certificate
(NC) per verification in the website at
 How often do you submit least 1 month after assessment.
the enrolment, graduate
and employment reports?  Employment report of students/trainees.

 RWAC and the MIS 03-02 stamped

received by PO.

Submitted by:

Auditor Date

Auditor Date
 TESDA-OP-CO-02-F05
REV. No. 00-03/08/17

TVI/COMPANY COMPLIANCE AUDIT REPORT

OBJECTIVES OF AUDIT To determine the continuous compliance of the TVI/Company on the program registration
requirements and guidelines
REGION
DISTRICT/PROVINCE
NAME OF TVI/Company
ADDRESS
PROGRAM
DATE REGISTERED
LIST OF ACTUAL CONDITION
NO. OF
EQUIPMENT/
NO REQUIRED REMARKS
TOOLS AND good defective lacking
EQUIPMENT
FACILITIES
EQUIPMENT

LIST OF ACTUAL CONDITION

NO. OF
EQUIPMENT/
NO REQUIRED REMARKS
TOOLS AND good defective lacking
EQUIPMENT
FACILITIES
EQUIPMENT
TOOLS

*use additional sheet/s if necessary

LIST OF REQUIRED
FACILITIES REMARKS
FACILITIES

Total Workshop
Area
*use additional sheet/s if necessary

General Findings

Area/Process Audit Finding details

Corporate and Administrative Documents

Curricular Requirements

Faculty and Personnel

Program Guidelines

Support Services

Mandatory Assessment and Submission of MIS

03-02
Program Performance Measures

*use additional sheet/s if necessary

Conformed: Prepared by:

Signature over Printed Name (Auditee) Lead Auditor

Title/Designation Auditor
Date:
Auditor

Auditor

Date:
 TESDA-OP-CO-02-F05-A
REV. No. 00-03/08/17

Compliance Audit Action Catalogue

TVI:____________________________
Program:________________________

Non-
Comments on the Non-Conformity Conformity
Comments on the
Proposed Corrective Closed Closed
Proposed Correction
Action (If accepted, for Correction for Corrective
(If accepted, write Yes
write Yes and (Yes or No) Action
and Indicate date of
Proposed Indicate date of (Yes or No)
Proposed implementation
Area/Process Correction implementation (to be Signature
Corrective Action otherwise state
(For NCs) otherwise state accomplished (to be
(For NCs) comment/s or
comment/s or by the PO accomplished
recommendation and
recommendation within 5 by the PO
indicate date of re-
and indicate date of working days within 30
submission
re-submission after the audit) working days
after the audit)

Prepared by: Approved by:

_____________________________ ___________________________
TVI Head/Administrator/Company Head Provincial Director

Date:_______________________ Date:_______________________