TVI/Company Name : TESDA-OP-IAS-01-F04-A
Registered Program : Rev. No. 01- 05/28/2020
Date of Audit :
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 of TVI’s documents submitted to
The conduct of Examination of TVI’s documents filed in PO. PO are complete and
compliance audit of the documentary updated.
concerned TVI shall not evidence
be deferred even if no
program registration
documents to be audited
on-file at the Provincial
Office.
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
evidence. by concerned TESDA PO.
Board Resolution/ Examination of Request a copy of the Board Same copy of Board
Academic Council documentary Resolution/Academic Council Resolution/Academic Council
Resolution to offer the evidence. Resolution to offer the program. Resolution to offer the
program signed by the Are all the programs supported program filed at TESDA PO.
Board Secretary and by above-mentioned
attested by the Chairperson Resolutions?
(SUCs, LCUs, and private
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
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
Registration for private evidence. Request a copy of the updated (GIS).
institutions (must General Information Sheet (GIS).
specifically cover the When was the actual conduct of
training delivery site) annual stockholders’/members
meeting?
(All corporations shall file their GIS
within 30 calendar days from the date
of actual annual stockholders' meeting
as provided under SEC Memorandum
Circular No.1 series of 2019 item no.
II)
Articles of Incorporation Examination of Request a copy of the Articles of The Articles of Incorporation
and By-laws documentary Incorporation and By-laws. mentions TVET in its purpose
evidence. and covers the training
delivery site and is valid.
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
For institutions that will Examination of Request a copy of the Articles of The Articles of Incorporation
branch out, the Articles of documentary Incorporation and By-laws. and By-laws clearly states the
Incorporation and By-laws evidence. reasons for opening of the
must state reasons for branch. The majority of the
opening of the branch. Incorporators signed the
The Articles of Board Resolution which is
Incorporators signed by notarized and stamped
majority must be received by SEC.
notarized, received and
noted by SEC.
Proof of building Examination of Request a copy of proof of building Proof of ownership is
ownership or contract of documentary ownership, or contract of lease. authentic and valid. Contract
lease (covering at least evidence. of lease has not expired.
two years) upon If leased, how many years? Building/Facility Use
application for new (covering at least one year Agreement authentic and
program. For succeeding renewable upon application for valid.
application, a valid new program)
contract of lease. If building is owned by one (1) of Certification from the Lessor
the incorporators and is not that the Contract of Lease is
leased by the TVI, is there a renewable.
valid Building/Facility Use
Agreement of the building?
Current Fire Safety Examination of Request a copy of the Fire Safety Fire Safety Certificate is valid/
Certificate documentary Certificate. has not expired.
evidence.
Is the Fire Safety Certificate
current?
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
B. Curricular Requirements
Competency-based Examination of Does the course design include the Course title the same as or
Curriculum indicating the curriculum following: similar to the title of the
qualification being documents. Course description promulgated Training
addressed and the Qualification level Regulations (TR)
competencies to be Duration Course design is based on
developed Entry requirements work that must be
Course Design Course structure specifying units performed (course
Modules of Instruction of competency covered by the description of modules
course and the corresponding include the scope,
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
Certificate of TVET Program
Registration (CTPR)
Program delivery
Assessment method
Trainer/s qualifications
Resource requirements
Registration
Methodology Process/ Question Evidence Finding/s
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)
Trainer
Selected
students/trainees
Modules of Instruction Examination of Does the modules of instruction The Modules of Instruction
Learning Outcomes Modules of contain the following: are based on defined units of
(Continuous Instruction Learning outcomes/contents competencies (i.e. elements,
Assessment Document (specifies what the learners will required knowledge, required
Results) evaluation learn, acquire and apply) skills, performance criteria)
Demonstration/ Condition for assessment and completely addresses
Observation Assessment criteria/methods the scope of its CTPR.
(describes how the performance
of competency is measured)
Interview of Check in what modules current Results of Institutional
Trainer and past lessons you are in? Assessment
Can you show me the results of Presence of institutional
the institutional assessment of the assessment results.
following students/trainees?
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Modules of Instruction Interview of What modules have you Progress Chart
Learning selected students completed? Interviewed trainees are
Outcomes /trainees What competencies can you able to articulate the modules
(Continuous Document demonstrate? completed & can
Assessment review demonstrate/ perform the
Results) competency asked.
Program Delivery Document What instructional materials are Are the training methods
evaluation to available? How often are the enough to achieve the
Program Design show materials updated? competency?
and Session Plans congruence of
curriculum, Can you please show me the List of Instructional Materials
program design following instructional (such as reference materials,
and session materials? slides, videotapes, internet
plans access and library
Interview the: Actual checking of resources) necessary to
Trainor instructional materials. If they deliver the program.
TVI Academic are borrowed there is proof
Head (e.g. borrower’s card) of Currency of Library
such. holdings
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Modular structure Interview How are the modules Feedback from trainees and
(according to units students/ presented? competency-based learning
specified for the trainees What training methodologies are materials are provided to
course) used? (e.g. lecture, demo, role them.
Demonstration/ playing, film showing, etc.)
Learning materials Observation
used Are there requirements needed
to advance to the next module?
How often does the trainer
provide feedback?
Tools, equipment and Actual inspection Are the following forms present, Lists of Tools, equipment and
materials necessary to and of sampled properly accomplished and materials are present, properly
deliver the program. tools, equipment signed? accomplished and signed
1. List of Equipment – TESDA-OP-
and materials CO-01-F13 Presence on site of the
2. List of Tools - TESDA-OP-CO-01- requested tools, equipment
F14 and materials.
3. List of Consumables/Materials -
TESDA-OP-CO-01-F15 (same as Program
Registration Lists of Tools,
Can you show me the following Equipment & Materials and
tools, equipment and materials? follows the minimum
How do they ensure that all tools requirements in the TR)
and equipment borrowed or used Actual physical count of Tools,
during classes are returned? equipment and materials
Is there a designated tool matches the number declared
keeper? per List of Tools, equipment
and materials.
Designation of a tool keeper
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Testing of Can you please show me how to The sampled equipment
sampled operate this equipment? should be in good working
equipment Are tools and equipment condition.
coupled with serviceable and in good working
questioning. condition? Maintenance Schedule
(Inspection checklist for
How often do they conduct maintenance of tools, etc.)
maintenance of tools and
equipment? Written procedure.
What procedures do they follow
if tools and equipment are out
of order?
List of Physical Facilities & Actual inspection Are the following forms Lists of Physical Facilities and
Off-Campus Physical of physical present, properly accomplished Off-Campus Facilities are
Facilities indicating floor facilities and its and signed? present, properly
area. floor area. 1. List of Physical Facilities – accomplished and signed.
TESDA-OP-CO-01-F17 The physical facilities satisfy
2. List of Off-Campus Facilities the requirements in the TR.
- TESDA-OP-CO-01-F18 Provisions in the Memorandum
Can I have a tour of your of Agreement (MOA) for Off-
physical facilities? Campus Physical Facilities
Can the physical facilities Maintenance Schedule
accommodate the students/ (Inspect checklist for
trainees per batch? maintenance of physical
How often do they conduct facilities)
maintenance of the physical
facilities?
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Shop layout of training Actual inspect-ion Can you show me the shop layout The actual layout of the
facilities indicating the of the training. of your training facilities? training facilities matches
floor area facilities using the indicated floor area and
the shop layout arrangements in the shop
provided. layout document.
C. Faculty and Personnel
List of officials, teaching Comparison of Are the following forms Lists of Officials, Trainers and List of Trainer not updated
and non-teaching staff the list in the present, properly accomplished Non-Teaching Staff are Received Date By PO: Jan
present, properly accomplished 26, 2021
PO file with the and signed?
and signed.
existing staff 1. List of Officials – TESDA-OP- (Last training Conducted is
CO-01-F19 The list matches that of the PO
complement in list including the supporting
Jun 6, 2023 to Aug. 2023)
2. List of Trainers - TESDA-OP-
the institution CO-01-F20 documents. Should there be
including the TESDA-OP-CO-01-F20
3. List of Non-Teaching Staff - changes especially with the
Trainer: Lynn G. Niñonuevo
supporting TESDA-OP-CO-01-F21 trainer/s, the replacement (NTTC Validity is May 18,
documents. meets the qualification 2023)
Can you show me your requirements and the changes
manning list or organizational have been informed to the PO NTTC renewed on May 24,
structure? and approval of the RO 2023 no memo attached
thereafter is required. (TESDA received by PO
Can you show me the contracts Circular No. 094, s.2019 dated
of employment and relevant 09/02/2019).
certificates of the personnel on In case of change of
this list? Designated Trainer/s, presence
of Letter of Approval issued by
the RO in the program
registration documents of the
TVI and posted beside the
CTPR of the concerned
registered program.
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
List of teaching staff Comparison of For WTR Program: Trainer of WTR program List of Trainer not updated
the list in the PO Does the trainer of the program must be a holder of an Expired NTTC for Trainers
List of Trainer not updated
file with the have a valid National TVET unexpired National TVET Received Date By PO: Jan
existing staff Trainer’s Certificate (NTTC)? Trainer Certificate (NTTC) 26, 2021
complement in relevant to the registered
the institution For NTR Program: program (Last training Conducted is
including the Does the trainer of the program (must follow those
Jun 6, 2023 to Aug. 2023)
supporting have training certificate on specified in the TR under TESDA-OP-CO-01-F20
documents. Trainer’s Methodology Course Sec. 3.6 Trainer’s Trainer: Lynn G. Niñonuevo
Level 1 (TM 1 certificate or Qualifications) (NTTC Validity is May 18,
other training methodology 2023
certificates in addition to the (TM Validity is until Oct. 8,
Trainer of NTR program 2020) renewed but not
certificate gained from other must have a training updated on file
certifying bodies.)? certificate on Trainer’s
Methodology Course
Level 1 (TM 1).
D. Program Guidelines
Schedule and breakdown Document Can you show me the breakdown The current fees match what
of tuition and other fees comparison of of current fees you collect from is submitted in the registration None
(duly signed by the school the submitted your students/ trainees? documents on the schedule
head indicating the schedule and and breakdown of tuition
effectivity of school year) 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 is None
are provided to trainees grades. In the modules that you indicated in the program
students/trainees at the have completed how were registration documents.
start of their program Interview of you graded?
sampled Proof of grades provided
students/trainee Before the start of your for completed modules.
s to confirm if course have you been
their grades provided information on Student handbook or any
match what is how you will be graded? publication containing
indicated in the grading system.
grading system
submitted for
program
registration.
Trainees entry Sampling of Can you show me the files of the The qualifications of the
requirements complying accepted following students/trainees when students/trainees as far as None
with the 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
Methodology Process/ Question Evidence Finding
Requirements
Rules of attendance Sampling of Are you aware that you have to The students/ trainees are None
students/ comply with certain rules on informed about the rules
trainees. attendance when you were on attendance. There is
accepted in the course? evidence of this e.g. in the
Compare the student handbook or other
submitted Have you had cases of publications.
rules on students/trainees who violated
attendance the rules on attendance? Presence of documentary
with any evidence that led to the
existing case What did you do? resolution of the case.
of a student/
trainee that
violated the
rules, if any.
E. Support Services
Health services are On site How many students/ trainees Existing health service
available to the inspection of have availed of the health facility available.
students/trainees (if these health service service facility that you
services are contracted facility and provide? Record of students/
out or outsourced, the interview of the trainees that availed of the
contract or MOA or similar health service What are these health health services.
documents must be provider services?
submitted) professional. Valid MOA with health
Do you have records of this service provider if
service provision? contracted out.
Registration
Methodology Process/ Question Evidence Finding
Requirements
Job Linkaging Services Interview of What career guidance service Evidence may include any of
designated and employment services do the following:
Career you provide? Career Profiling Results/
Guidance Career Services
Service Officer.
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 TVET On site Does the signage contain the Signage in accordance with
Registered Program/s inspection of following: Section 16 of TESDA Circular
TVI Signage of the title and duration of the No. 7 series of 2016
Registered program
Programs the status of registered
programs whether WTR or NTR
with TESDA registration/CTPR
number
date when the CTPR was
issued
Registration
Methodology Process/ Question Evidence Finding
Requirements
Data Management and Examination of Request a copy of TVI’s transmittal Copy of the submitted
Security in Program documentary letter of its submission to the Transmittal Letter duly signed
Registration evidence. District/Provincial Office of the by the TVI officer/authorized
digitized copy of the following personnel and stamped
(Item No. 3 Section XV of students/learners credentials not received by the
TESDA Circular No. 07 later than one month after District/Provincial Office
s.2016 re: Amended completion of the program/s:
Omnibus Guidelines on 1. Transcript of Records; or
UTPRAS) 2. Diploma or certificate of
Training stating the units of
competency achieved
G. Mandatory Assessment (WTR) and submission of MIS 03-02
Assessment of graduating Sampling of How do you implement the Sampled students/trainees
students/ trainees (for graduates in the mandatory assessment for are found in the RWAC and
WTR programs with Registry of graduating students? MIS 03-02 taken from the PO
assessment tools) Workers file.
Assessed and How many enrolled and
Certified graduated per program? Employment report of
(RWAC) and students/trainees.
MIS 03-02 How often do you submit the
enrolment, graduate and RWAC and the MIS 03-02
employment reports? stamped received by PO.
H. Program Performance Measures
NTR Program’s employment Examination of Check/review accomplished MIS MIS 03-02
rate not lower than the MIS 03-02 03-02 employment information
national TESDA average report for three against the Impact Evaluation Employment report of
employment rate of TESDA (3) consecutive Study (IES) average employment students/trainees.
graduates based on Impact
batches rate of TESDA graduates
Evaluation study (IES)
results, for three (3)
consecutive batches.
WTR Program’s certification Examination of Check/review RWAC and RWAC
rate lower than the national RWAC and MIS accomplished MIS 03-02 report
sectoral average rate for National Sectoral Average
03-02 report for against the national sectoral
three (3) consecutive three (3) average certification rate Certification rate
batches
consecutive
MIS 03-02
batches
Other Observations:
Submitted by:
_________________ _________________
Auditor Date
_________________ _________________
Auditor Date
