TESDA-SOP- CO-09-F37

Rev.No.01-07/20/15
COMPLIANCE AUDIT PLAN

Objective: To determine whether the assessment centers and competency

assessors are continuously complying with TESDA’s policies and
guidelines on assessment and certification

Assessment Center

Qualification

Accreditation Number

Date of Accreditation

AC Manager

Address
Tel./Fax Email Date of
No. address Audit

AREA(S) TO BE AUDITED TIME ASSIGNED AUDITOR AUDIT METHOD

A. Administrative
Documents

B. Physical Structure
C. Assessment
Methodologies and
Procedures
D. Assessment
Documentation And
Reporting

E. Accomplishments
Note: Accomplished Self-Assessment Checklist and/or other information submitted by Assessment
Center during the Application for Accreditation shall be made available for reference of the audit team.
 TESDA-SOP-CO-09-F38
Rev.No.01-07/20/15

SCHEDULE OF ACTIVITIES

ACTIVITY SUB-ACTIVITIES DOCUMENTS NEEDED

 Set the scene

 Explain objective
Opening Meeting Audit Plan
 Confirm Audit Scope
 Confirm Time

Assessment and
Certification Audit
Conduct Audit Use Guide Questions Checklist
Audit Questions
Audit Tracking Guide

 Thank the Auditee

 Summarize strengths
and weaknesses
 Indicate Corrective
Compliance Audit
Closing Meeting Actions, including
Report Form
schedule of
implementation
 Have Compliance Audit
Report form(s) signed
 TESDA-SOP-CO-09-F39
Rev.No.01-07/20/15

COMPLIANCE AUDIT REPORT FORM

Name of Assessment Center

Address
Qualification

Accreditation Number

Date of Accreditation
Contact No. E mail address

Name of AC Manager

Name of Assessor

Date of Audit

Objectives of the Audit

FINDINGS :
 TESDA-SOP-CO-09-F39 (cont.)
Rev.No.01-07/20/15

Proposed Correction Proposed Corrective Proposed Date of

Action Action Compliance

Observations

Strength(s) Weakness(es)

Prepared by: Concurred:

___________________________________ ___________________________________
Signature over Printed Name (Auditor) Signature over Printed Name (Auditee)

Title/Designation

Date Date
 TESDA-SOP- CO-09-F40
Rev.No.01-07/20/15
ASSESSMENT AND CERTIFICATION CHECKLIST
Note that the auditors require documentary evidence to verify that the Assessment
Center and Competency Assessor comply with the provisions in the Procedures Manuals
for Accreditation of Competency Assessment Center and Competency Assessor

ASSESSMENT CENTER
ADDRESS
ASSESSMENT CENTER MANAGER
QUALIFICATION
ACCREDITATION NUMBER
NAME OF ASSESSOR
DATE OF COMPLIANCE AUDIT
TEL. /FAX NO. E MAIL ADDRESS

PROCESS ACCREDITATION OF COMPETENCY ASSESSMENT CENTERS

QUESTIONS EVIDENCE/S LOCATION OF COMPLIANT REMARKS

EVIDENCE (Complete statement of
Remarks/Observations/Findings)

A. ADMINISTRATIV Particulars RO PO AC YES NO

E
REQUIREMENTS
1. What are the List of Requirements
requirements for (TESDA-SOP-CO-05-F01) x x
accreditation?
2. Are the documents The following documents are
of the AC on file available:
complete?  Letter of Intent
 Copy of SEC
Registration
 Business permit
(current/updated)
 BIR registration
 Fire safety Certificate
(Current/updated)
 Company profile
 Organizational structure
 Staff compliment and
profile
o Manager
o Cashier
o Computer
Operator
o Liaison Officer
o Processing
Officer
 Building lay-out/floor
plan/shop lay-out
 Self-assessment
checklist (TESDA-SOP-
 CO-05--F04)
 List of equipment, tools
and materials
 Location map
 Lease of contract, when
applicable
 Inspection Report Form
(TESDA-SOP-CO-05-
F02)
 Valid Certificate of
Accreditation
 Affidavit of Undertaking
3. When did the AC Letter of Intent x x
apply for (check date in the Letter and
accreditation? date received in the PO)
4. Was the Check Letter of Notification x x
assessment center sent to the AC (TESDA-
notified of their SOP-CO-05-F10)
status of
application?
5. When was the AC Inspection Report x x
inspected? (Check date of inspection)
6. What is the date of Check Certificate of x x
accreditation? Accreditation
 Correct numbering and
coding (according to
TESDA-SOP-CO-05-
F06)
7. Does the AC issue Official Receipts (check ORs
OR? How much issued)
assessment fee is
collected from the
candidates?
PHYSICAL STRUCTURE
B.1. Location
.1 Is the AC AC is accessible to public x
accessible to transport
public transport?
.2 Is the AC easily Check area where the x
identifiable? Is signage is located
there a “signage”?
.3 Is internet Check the presence of x
connection internet facility
available?
B.2. Area

.1 Is the size of the The size of the assessment x

assessment room/ room must be in
laboratory in accordance with the
accordance requirements in the CATs
with the minimum
requirements in the
CATs?
.2 Can the room Check the actual x
accommodate at measurement of the room
least 10
 candidates?

B.3. Lighting and ventilation

.1 Is the assessment Well lighted assessment x

room or laboratory rooms
well lighted?
B.4. Auxiliary room
.1 Is storeroom Storeroom(s) available x
provided for the
materials/tools/
supplies?
.2 Are separate Bins and racks provided, x
storage bins and when applicable
racks provided for
critical materials?
.3 Can the x
assessment
room for
Demonstration
accommodate at
least 10
candidates?
.4 Are chairs and Chairs & tables available, x
tables available, where necessary
where applicable?
.5 Are clean & Clean & functional comfort x
functional comfort rooms available
rooms available at (Male & Female)
a convenient part
of the building
(separate for
male and female)
B.5. Assessment equipment, hand tools, supplies, materials

.1 Are equipment Assessment equipment, x

available according hand tools, supplies,
to the Competency materials are according to
Assessment
the list provided in the
Tools?
.2 Are the equipment Competency Assessment
x
functional? Tools or TR when none is
.3 Are hand tools provided in the CATs x
available?
.4 Are the hand tools x
functional?
.5 Are the S/M x
sufficient for the
given number of
candidates?
B.6. Safety provisions
.1 Is medicine cabinet Medicine cabinet with first x
with first aid kit aid kit is available
available?
.2 Is it located in a Med cabinet is strategically x
strategic area? located
.3 Are open floor Open floor spaces (entrance x
spaces (entrance and exits) properly marked
and exits) properly
marked?
.4 Are work stations, Work stations, tool panels x
tool panels and and equipment are
equipment laid out appropriately grouped/
according to arranged by station/ task
sequence of tasks (check floor plan/shop layout
to allow maximum from the accreditation
use of resources? documents file available in
the AC)
.5 Are fire Functional fire extinguishers x
extinguishers (A, B, C types) available
available? How
many? Are these
functional?

PROCESS COMPETENCY ASSESSMENT

LOCATION OF COMPLIANT

QUESTIONS EVIDENCE/S EVIDENCE

RO PO AC YES NO
Particulars
1. When did the AC Letter of request by AC
submit its submitted within 5 working x x
schedule of days before schedule of
assessment ?
assessment
2. When did the PO Letter to AC on the approval x x
inform the AC of of the schedule 2 working
the approved days before assessment
schedule?
3. How are Assessors are assigned on a x
assessors rotation basis (TESDA-SOP-
assigned? CO-07-6.2.5)
Ask for Matrix of assignment
of CAs
4. How many 10 candidates per batch x x
candidates were
assessed per
schedule of
assessment?
A. ASSESSMENT METHODOLOGIES AND PROCEDURES
(Observe conduct of assessment by the competency assessor)
5. Is a copy of the Copy of Letter of x x
Letter of Appointment (TESDA-SOP-
Appointment CO-07-F24)
signed by the PD
available?
(Request for the
copy of the Letter
of Appointment)
6. Is the assessor ID of Assessor x
wearing an ID? (TESDA-SOP-CO-06-F17)
7. The following STEPS are observed during the conduct of assessment
STEP 1 - Establish the assessment context and purpose of Assessment. (The assessor shall ensure that the
assessment site complies with the relevant OSH requirements, i.e., well lighted, well ventilated & risk
areas are marked)
.1 Did the assessor x
check the
assessment area,
functionality
of equipment,
completeness of
tools, materials,
supplies prior to
assessment?

STEP 2 - Plan and prepare the evidence gathering Process. The assessor: (The assessor shall check the
completeness
of documents vs. number of candidates to be assessed)
.1 What version of Version Code: x
Competency ________________
Assessment Tool is
being used by the
assessor?
.2 What parts of the  Assessor’s Guide x
assessment  Rating Sheet
package were  Specific Instruction to
given to the Candidate
competency  CARS
assessor?
STEP 3 - Prepare the candidate
.1 Are the candidates’ Application Forms and SAG x
Application Forms are properly filled-out by the
and SAG properly candidates
filled-out?
.2 Do application x
forms contain
Reference
No.? How many
digits?
.3 Did the assessor x
check the
attendance
of the candidates?
.4 How did the x
assessor establish
the identity
of the candidates?
.5 Did the assessor Attendance Sheet (TESDA- x
require the SOP-CO-07-F23) is properly
candidates to sign accomplished
in the Attendance
Sheet?
.6 Did the Assessor Contents of the orientation x
conduct orientation shall be :
before the conduct  Contexts & purpose of
of assessment? assessment
 What information  Qualification/units of
were given to the competency to be
candidates? assessed
 Tasks to be
performed/time limits
 How the evidence will be
collected/ assessment
procedures
 Allowable adjustment,
when applicable
 DOs & DONTs
 Rights and appeal
system
 Issuance of NC
 Re-assessment
procedures
STEP 4 – Collect the evidence and make the assessment decision
.1 Did the assessor Candidates are provided x
provide the with the complete set of S/M
candidate the by the Assessor
appropriate
supplies/ materials
to be used?
.2 Did the assessor Every candidate is provided x
provide the with a copy of the Specific
candidate a copy of Instruction to the Candidate.
the Specific This shall be returned to
Instruction to the the assessor after
Candidate? assessment
.3 How did the Candidates are allowed to x
Assessor ensure ask questions
that the candidate
understood the
contents of the
Instruction?
.4 Did the assessor x
explain to the
candidate safety
procedures in the
operation of the
equipment prior to
assessment?
.5 Did the assessor Tasks must be in x
allow the accordance with the
candidates provision in the CATs
to perform all
tasks as provided
in the CATs?
.6 How did the Collection of evidences must x
assessor collect be in accordance with the
evidences in the Evidence Plan
major tasks?
.7 How did the Rating Sheet is used on a x
Assessor use the per candidate basis
Rating Sheet to
record findings/
observations/
 decisions?

STEP 5 – Provide feedback on the assessment.

.1 Did the assessor Feedback is one-on-one x
provide the
candidate clear and
constructive
feedback on the
assessment
result? How?
.2 Did the assessor Information that successful x
inform successful candidates shall claim their
candidate how, NC/COC at the TESDA PO
when and where upon presentation of CARS
to claim the NC ? (5 working days after
assessment)
.3 When did the Rating Sheet is signed by x
Candidate sign the the candidate right after the
Rating Sheet? one-on-one feedback
.4 Was the Check CARS (Form TESDA- x
Competency SOP-CO-07-F28)
Assessment
Results Summary
(CARS) properly
filled out?
B. ASSESSMENT DOCUMENTATION AND REPORTING

.1 Who prepares the RWAC is prepared by the

RWAC? Processing Officer at the AC x x
.2 When did the RWAC is signed by the x x
assessor sign the assessor after comparing
RWAC? How did results in the Rating
the assessor Sheet, CARS and
ensure the Attendance Sheet
integrity of the data/
contents in the
RWAC?
.3 What documents  Application Form with
are turned over by SAG x x
the assessor to the  Rating Sheets
AC Manager?  Attendance Sheet
 CARS
.4 Is the TESDA Rep TESDA Rep must be x x
present for the present for the entire
entire duration of duration of the assessment
the assessment?
.5 Is the TESDA Rep Letter of Assignment
covered by a Letter (TESDA-SOP-CO-07-F26) x x
of Assignment
signed by the PD?
.6 What documents  Assessor Guide x x
are retrieved by the  Rating Sheets
TESDA Rep?  Attendance Sheet
 Specific Instruction to
the Candidate
.7 Did the TESDA Attendance Sheet is signed
 Rep sign the at the end of Assessment x x
Attendance Sheet? after verifying the result from
When? Rating Sheet, CARS
.8 Did the TESDA TESDA Rep administered x x
Rep administer the the Performance
Performance Evaluation Instrument
Evaluation (TESDA-SOP- CO-
Instrument 06- F19) to at least 2
(TESDA- SOP-CO- candidates and AC
06-F19) to at least Manager?
2 candidates
and AC Manager?
.9 Is the name of Name of AC must be found x x x
accredited in the Registry (TESDA-
assessment center SOP-CO-05-F07)
entered in the
Registry of
Accredited
Competency
Assessment
Centers?

Prepared by:
Auditors:
_____________________ _________________
Name & Signature Date
_____________________ _________________
Name & Signature Date
_____________________ _________________
Name & Signature Date

Lead Auditor:
_____________________ _________________
Name & Signature Date
 TESDA-SOP-CO-09-F41
Rev.No.01-07/20/15

SUMMARY OF AUDIT REPORTS

ASSESSMENT CENTER

QUALIFICATION
ACCREDITATION
NUMBER
DATE OF
ACCREDITATION
ADDRESS

NAME OF ASSESSOR
COMPONENTS
AUDITED
DATE OF AUDIT

AUDITEES

AUDITORS
PROPOSED CORRECTION/
CORRECTION/ DATE TO BE CORRECTIVE
FINDINGS REMARKS
CORRECTIVE COMPLIED ACTIONS
ACTION CARRIED OUT

Recommendation:

PREPARED BY:

Signature over Printed Name (Lead Auditor) Date

 TESDA-SOP- CO-09-F42
Rev.No.01-07/20/15
CONSOLIDATED COMPLIANCE AUDIT REPORT

REGION PROVINCE

NO ASSESSMENT QUALIFICATION ACCREDITATION ASSESSMENT AND FINDINGS ON NO CORRECTION/ DATE OF STATUS

. CENTER NUMBER CERTIFICATION AREAS NOT FINDINGS CORRECTIVE CLOSURE
REQUIREMENT COMPLIED ACTIONS AUDIT NOT
COMPLIED COMPLIED
WITH

A. Administrative Documents

B. Physical Structure

C. Assessment Methodologies
and Procedures
D. Assessment Documentation
And Reporting

E. Accomplishments

Prepared Approved
by by
PO Assessment & Cert. Focal Provincial Director

Date Date