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
 The conduct of Examination of TVI’s documents filed in PO. PO are complete and
compliance audit of the of updated.
concerned TVI shall be
deferred if no program
documentary
registration documents to evidence
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 program stamped received by
Board Secretary and supported by above- concerned TESDA PO.
attested by the Chairperson mentioned Resolutions?
(SUCs, LCUs, and private
institutions)
 Registration
Requirements
Special law creating the
institution (for public
institution) e.g. Republic
Act, Executive Order,
Sangguniang Resolutions)
Securities and Exchange
Commission (SEC)
Registration for private
institutions (must
specifically cover the
training delivery site)
Articles of Incorporation
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.
Methodology Process/ Question Evidence Finding/s
Examination of Request a copy the law that The law whether R.A. or local
documentary created the institution. legislation clearly mentions
evidence. the establishment of the
institution.
Examination of Request a copy of the SEC Updated SEC registration and
documentary registration. General Information Sheet
evidence. (GIS).
Examination of Request a copy of the Articles of The Articles of Incorporation
documentary Incorporation and By-laws. mentions TVET in its primary
evidence. purpose and covers the
training delivery site and is
valid.
Examination of Request a copy of the Articles of The Articles of Incorporation
documentary Incorporation and By-laws. and By-laws clearly states the
evidence. reasons for opening of the
branch. The majority of the
Incorporators signed the
Board Resolution which is
notarized and stamped
received 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
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
evidence. lease. of lease has not expired.
 If leased, how many years?
(covering at least one year Certification from the Lessor
renewable upon application that the Contract of Lease is
renewable.
for new program)
Examination of Request a copy of the Fire Fire Safety Certificate is valid/
documentary Safety Certificate. has not expired.
evidence.  Is the Fire Safety 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
Curriculum indicating the curriculum the 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 of competency covered by the description of modules
Instruction 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
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  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
Assessment evaluation learn, acquire and apply) skills, performance criteria)
Results)  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 assessment results.
the following students/trainees?
 Registration
Methodology Process/ Question Evidence Finding/s
Requirements
 Interview of  What modules have you  Progress Chart
selected students completed?  Interviewed trainees are able
/trainees  What competencies can you to articulate the modules
 Document demonstrate? completed & can demonstrate/
review perform the 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
 Actual checking of resources) necessary to
Interview the: instructional materials. If deliver the program.
 Trainor they are borrowed there is
 TVI Academic proof (e.g. borrower’s card)  Currency of Library
Head of 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 materials are provided to
course)  What training methodologies them.
 Demonstration are used? (e.g. lecture, demo,
 Learning materials /Observation role playing, film showing, etc.)
used
 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
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,
materials or used during classes are Equipment & Materials and
returned? follows the minimum
requirements in the TR)
 Is there a designated tool
keeper?  Actual physical count .

 Designation of a tool keeper

 Registration
Requirements
List of Physical Facilities
& Off-Campus Physical
Facilities indicating floor
area.
Methodology Process/ Question
Testing of  Can you please show me how
sampled to operate this equipment?
equipment  Are tools and equipment
coupled with serviceable and in good
questioning. working condition?
 How often do they conduct
maintenance of tools and
equipment?
 What procedures do they
follow if tools and equipment
are out of order?
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?
Evidence Finding/s
 The sampled equipment
should be in good working
condition.
 Maintenance Schedule
(Inspection checklist for
maintenance of tools, etc.)
 Written procedure.
 The physical facilities satisfy
the requirements in the TR.
 Provisions in the
Memorandum of Agreement
(MOA) for Off-Campus
Physical Facilities
 Maintenance Schedule
(Inspect checklist for
maintenance of physical
facilities)
 Registration
Requirements
Shop layout of training
facilities indicating the
floor area
C. Faculty and Personnel
List of officials, teaching
and non-teaching staff
Methodology Process/ Question Evidence Finding/s
Actual inspect- Can you show me the shop layout The actual layout of the
ion of the trng. of your training facilities? training facilities matches the
facilities using indicated floor area and
the shop layout arrangements in the shop
provided. layout document.
Comparison of  Can you show me your The list matches that of the
the list in the manning list or organizational PO list including the
PO file with the structure? supporting documents.
existing staff Should there be changes
complement in  Can you show me the especially with the trainer/s,
the institution contracts of employment and the replacement meets the
including the relevant certificates of the qualification requirements
supporting personnel on this list? and the changes have been
documents. informed to the PO.
 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
the list in the Does the trainer of the must be a holder of a
PO file with the program have a valid National National TVET Trainer
existing staff TVET Trainer’s Certificate Certificate (NTTC) relevant
complement in (NTTC)? to the registered program
the institution (must follow those
including the  For NTR Program: specified in the TR under
supporting Does the trainer of the Sec. 3.6 Trainer’s
documents. program have training Qualifications)
certificate on Trainer’s
Methodology Course Level 1  Trainer of NTR program
(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
the submitted your students/ trainees? documents on the schedule
schedule and and breakdown of tuition
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
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
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
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.
health service service facility that you
facility and provide?  Record of students/
interview of trainees that availed of the
the health  What are these health health services.
service services?
provider  Valid MOA with health
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
Services designated Career employment services do you provide? the following:
Guidance Service  Career Profiling Results/
Officer. Career Services

 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
TVET Registered of TVI Signage of following: Section 16 of TESDA Circular
Program/s Registered  the title and duration of the program No. 7 series of 2016
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
G. Mandatory Assessment (WTR) and submission of MIS 03-02
Assessment of Sampling of How do you implement the mandatory Sampled students/trainees
graduating students/ graduates in the assessment for graduating students? are found in the RWAC and
trainees (for WTR Registry of MIS 03-02 taken from the PO
programs with Workers Assessed file.
assessment tools) and Certified  How many enrolled and
(RWAC) and MIS graduated per program?  Employment report of
03-02 students/trainees.
 How often do you submit the
enrolment, graduate and  RWAC and the MIS 03-02
employment reports? stamped received by PO.
 Registration Requirements
H. Program Performance Measures
NTR Program’s employment rate not
lower than the national TESDA
average employment rate of TESDA
graduates based on Impact
Evaluation study (IES) results, for
three (3) consecutive batches.
WTR Program’s certification rate
lower than the national sectoral
average rate for three (3)
consecutive batches
Submitted by:
Auditor
Auditor
Methodology
Examination of MIS 03-02
report for three (3)
consecutive batches
Examination of RWAC and
MIS 03-02 report for three (3)
consecutive batches
Process/ Question Evidence Finding
Check/review accomplished  MIS 03-02
MIS 03-02 employment
information against the Impact  Employment
Evaluation Study (IES) average report of
employment rate of TESDA students/trainees.
graduates
Check/review RWAC and  RWAC
accomplished MIS 03-02 report
against the national sectoral  National Sectoral
average certification rate Average
Certification rate
 MIS 03-02
Date
Date