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
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
and By-laws
Registration
Requirements
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
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.  Request a copy of the updated (GIS).
General Information Sheet (GIS).
 When was the actual conduct of
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)
Examination of Request a copy of the Articles of The Articles of Incorporation
documentary Incorporation and By-laws. mentions TVET in its purpose  
evidence. and covers the training
delivery site and is valid.
Methodology Process/ Question Evidence Finding/s
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.
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
Curriculum indicating the curriculum following:
qualification being documents.  Course description
addressed and the    Qualification level
competencies to be    Duration
developed  Entry requirements
 Course Design  Course structure specifying units
 Modules of Instruction of competency covered by the
course and the corresponding
module; Are the basic and
common competencies
embedded in the implementation
of core competencies?
 Title – Learning outcomes and
nominal duration in accordance
with the TR and approved
Certificate of TVET Program
Registration (CTPR)
 Program delivery
 Assessment method
 Trainer/s qualifications
 Resource requirements
Registration
Methodology Process/ Question
Requirements
 Curriculum Design Interview of: Recite competencies to be
 TVI Academic achieved for the course
Head
 Trainer
 Selected
students/trainees
 Course title the same as or
similar to the title of the
promulgated Training
Regulations (TR)
 Course design is based on
work that must be
performed (course
description of modules
include the scope,
coverage and delimitation
specified in the TR)
 Competency-based
curriculum
 Institutional assessment
tools
Evidence Finding/s
Units of Competency stated
in the Training Regulations
(TR)
 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 materials are provided to
 What training methodologies are
course) them.
used? (e.g. lecture, demo, role
 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
 and materials 1. List of Equipment – TESDA-OP-  Presence on site of the
CO-01-F13 requested tools, equipment
2. List of Tools - TESDA-OP-CO-01- and materials.
F14
3. List of Consumables/Materials - (same as Program
TESDA-OP-CO-01-F15 Registration Lists of Tools,
 Can you show me the following Equipment & Materials and
follows the minimum
tools, equipment and materials? requirements in the TR)
 How do they ensure that all tools  Actual physical count of Tools,
and equipment borrowed or used equipment and materials
during classes are returned? matches the number declared
 Is there a designated tool per List of Tools, equipment
keeper? 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.  Maintenance Schedule
condition?
(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 &
Off-Campus Physical
Facilities indicating floor
area.
Registration
Requirements
Shop layout of training
facilities indicating the
floor area
C. Faculty and Personnel
Actual inspection  Are the following forms
of physical present, properly accomplished
facilities and its and signed?
floor area. 1. List of Physical Facilities –
TESDA-OP-CO-01-F17
2. List of Off-Campus Facilities
- TESDA-OP-CO-01-F18
 Can I have a tour of your
physical facilities?
 Can the physical facilities
accommodate the students/
trainees per batch?
 How often do they conduct
maintenance of the physical
facilities?
Methodology Process/ Question
Actual inspect-ion Can you show me the shop layout
of the training. of your training facilities?
facilities using
the shop layout
provided.
 Lists of Physical Facilities and  
Off-Campus Facilities are
present, properly
accomplished and signed.
 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)
Evidence Finding/s
The actual layout of the  
training facilities matches
the indicated floor area and
arrangements in the shop
layout document.
List of officials, teaching Comparison of  Are the following forms  Lists of Officials, Trainers and
and non-teaching staff the list in the present, properly accomplished Non-Teaching Staff are
PO file with the present, properly accomplished
and signed?
and signed.
existing staff 1. List of Officials – TESDA-OP-
CO-01-F19  The list matches that of the PO
complement in
2. List of Trainers - TESDA-OP- list including the supporting
the institution CO-01-F20 documents. Should there be
including the 3. List of Non-Teaching Staff - changes especially with the
supporting TESDA-OP-CO-01-F21 trainer/s, the replacement
documents. meets the qualification
 Can you show me your requirements and the changes
manning list or organizational have been informed to the PO
structure? and approval of the RO
thereafter is required. (TESDA
 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  
the list in the PO Does the trainer of the program must be a holder of an
file with the have a valid National TVET unexpired National TVET
existing staff Trainer’s Certificate (NTTC)? Trainer Certificate (NTTC)
complement in relevant to the registered
the institution  For NTR Program: program
including the Does the trainer of the program (must follow those
supporting have training certificate on specified in the TR under
documents. Trainer’s Methodology Course Sec. 3.6 Trainer’s
Level 1 (TM 1 certificate or Qualifications)
other training methodology
certificates in addition to the  Trainer of NTR program
certificate gained from other must have a training
certifying bodies.)? certificate on Trainer’s

D. Program Guidelines  
Schedule and breakdown
of tuition and other fees
(duly signed by the school
head indicating the
effectivity of school year)
Registration
Requirements
Documented grading
system, details of which
are provided to
students/trainees at the
start of their program
Trainees entry
requirements complying
with the relevant TR, or if
Methodology Course
Level 1 (TM 1).
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.
Methodology Process/ Question Evidence Finding
 Sampling of Can you show me your grading  The existing grading  
students/ system. system matches what is  
trainees grades.  In the modules that you indicated in the program
have completed how were registration documents.
 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.
Sampling of Can you show me the files of the The qualifications of the
accepted following students/trainees when students/trainees as far as
students/ they were accepted to the their documentary credentials
applicable, the hiring
industry or relevant
industry sector may
include additional entry
requirements for the
program.
Registration
Requirements
Rules of attendance
E. Support Services  
Health services are
available to the
students/trainees (if these
services are contracted
out or outsourced, the
contract or MOA or similar
documents must be
submitted)
trainees for the program? are concerned satisfies the
program. TR requirements or additional
Does the trainee’s entry entry requirements aside
requirements satisfy the those specified in the TR.
requirement of the program?
Methodology Process/ Question Evidence Finding
 Sampling of  Are you aware that you have to  The students/ trainees are
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.
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 the trainees that availed of the
health service  What are these health health services.
provider services?
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
s.2016 re: Amended
Omnibus Guidelines on
UTPRAS)
G. Mandatory Assessment (WTR) and submission of MIS 03-02
Assessment of graduating
students/ trainees (for
WTR programs with
assessment tools)
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
Other Observations:
later than one month after District/Provincial Office
completion of the program/s:
1. Transcript of Records; or
2. Diploma or certificate of
Training stating the units of
competency achieved
Sampling of How do you implement the Sampled students/trainees  
graduates in the mandatory assessment for are found in the RWAC and
Registry of graduating students? MIS 03-02 taken from the PO
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.
Examination of Check/review accomplished MIS  MIS 03-02
MIS 03-02 03-02 employment information
report for three against the Impact Evaluation  Employment report of
(3) consecutive Study (IES) average employment students/trainees.
batches rate of TESDA graduates
Examination of Check/review RWAC and  RWAC
RWAC and MIS accomplished MIS 03-02 report
03-02 report for against the national sectoral  National Sectoral Average
three (3) average certification rate
Certification rate
consecutive
batches  MIS 03-02
Submitted by:

_________________ _________________
Auditor Date

_________________ _________________
Auditor Date