8.
0 Forms
Annual Audit Plan
Audit Schedule
Audit Checklist
Internal Quality Audit Report
Corrective Action Request
Corrective Action Request Registry
Regional/National IQA Summary
Report
Performance Evaluation Instrument
for Internal Auditors
Inventory of Auditors
(TESDA-QP-03-F01
Rev. No. 00 - 03/01/17)
(TESDA-QP-03-F02
Rev. No. 00 - 03/01/17)
(TESDA-QP-03-F03
Rev. No. 00 - 03/01/17)
(TESDA-QP-03-F04
Rev. No. 00 - 03/01/17)
(TESDA-QP-03-F05
Rev. No. 01 - 12/05/17)
(TESDA-QP-03-F06
Rev. No. 00 - 03/01/17)
(TESDA-QP-03-F07
Rev. No. 01 - 12/05/17)
(TESDA-QP-03-F08
Rev. No. 01 - 12/05/17)
(TESDA-QP-03-F09
Rev. No. 01 - 12/05/17)
 TESDA-QP-03-F01
Rev. No. 00 - 03/01/17

ANNUAL AUDIT PLAN

For the Year: Revision:

Time Frame
Process Process Owner

Sept
May

Aug

Nov

Dec
Feb

Mar
Jan

Jun

Oct
Apr

Jul

Prepared by: Reviewed and Approved by:

____________________________________ ________________________________
National Quality Management Representative National Quality Manager
Date: Date:
 TESDA-QP-03-F02
Rev. No. 00 - 03/01/17

AUDIT SCHEDULE

FOR: From:

Purpose:

Audit Date:

Area Criteria Auditors Date/Time

Prepared by: Reviewed and Approved by:

Date: Date:
 TESDA-QP-03-F03 (page 1 of 14)
Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

ACTIVITY SUB-ACTIVITIES DOCUMENTS NEEDED

Opening Meeting  Set the scene Audit Plan
 Explain objective
 Confirm Audit Scope
and Auditee
 Confirm Time

Conduct Audit Prepare Guide Questions Quality Manual

Procedures Manual
Work Instructions
Audit Procedure

Closing Meeting  Thank the Auditee IQA Report

 Summarize Positive CARs
aspects
 Deficiencies (general)
 Indicate whether report
will be received
 Have outcome signed
 QP-03-F03 (page 2 of 14)
Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

4 Context of the organization

4.1 How to determine external and -QMS Manual

internal issues, monitor and -RRO
review info?

4.2 How to determine the interested -QMS Manual

parties relevant to the QMS and -Any policy
their requirements? issuance
- Any
How to monitor and review documentation
these information? -RRO
4.3 QMS scope determined taking Doc. Info: Scope
into account the following:
-External and internal issues?
-Interested parties?
-Organization’s products and
services?

4.4 QMS established including the Procedures manual

processes needed and their
4.4.1 sequence and interaction?

4.4.2 To the extent necessary:

-maintain doc. Info
-retain doc. Info

Other questions / notes:

TESDA-QP-03-F03 (page 3 of 14)

Rev. No. 00 - 03/01/17
AUDIT CHECKLIST
Clause Requirements / Remarks/ C NC OFI P
 Guide Questions Evidences Major Minor
NC NC

5 Leadership
5.1 How does Top management -Conduct of
5.1.1 show that it takes accountability management
for the effectiveness of the reviews
QMS? -Planning and
How is QMS integrated into the objectives
business process?
5.1.2 Are customer requirements and -Evidence of
applicable statutory and consultation with
regulatory requirements: stakeholders/
-Determined? customers
-Met? -Customer
-Communicated? feedback reports
How?
Are risks and opportunities that
can affect conformity of
products and services and the
ability to enhance customer
satisfaction..
-Determined?
-Addressed?
How?
5.2 How are policy and objectives Doc. Info: Policy
5.2.1 for the QMS
-Compatible with the context
and strategic direction of the
organization?
-Established?
5.2.2 Policy communicated and -frameables/
understood? materials/website
Available to interested parties if -proof of review/
appropriate? discussion
5.3 Does the organization establish - QMS Manual
and communicate the -TESDA Order/
responsibilities and authorities other issuances
for the effective operation of the
QMS?
Other questions / notes:

TESDA-QP-03-F03 (page 4 of 14)

Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

6 Planning
6.1 Does the organization consider -Plans and
6.1.1 4.1 and 4.2 for risks and objectives
opportunities that need to be -documentation of
addressed? discussions
6.1.2 What are the planned actions - RRO Action plans
to address these risks and - IQA Procedures
opportunities? Manual
How are these integrated into
QMS? How are these to be
evaluated?

6.2 What objectives are -OPCR/ functional

6.2.1 established at relevant objectives
functions, levels and
processes for QMS?
Are these consistent with the
policy?

6.2.2 Are quality objectives Doc. Info: Objectives

established?
What are the action plans to
achieve them?

6.3 What are the plans in place for -Minutes of

determining the need for N/RQMC meeting
changes to the QMS and
managing their
implementation?

Other questions / notes:

TESDA-QP-03-F03 (page 5 of 14)

Rev. No. 00 - 03/01/17
 AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC
7 Support (Note: follow through the implementation of actions from 4.1/4.2/6.1)

7.1 How to determine and provide -OPCRs /Plans

7.1.1 the resources needed for the -RROs
establishment, implementation,
maintenance and continual
improvement of the QMS?

Internal and external issues

considered?

7.1.2 How to determine and provide - relevant issuances

the persons necessary for the -procedures manual
implementation of its QMS and -workforce dev't plan
the operation and control of its
processes?

7.1.3 How to determine and provide -OPCR/ Plans

Infrastructure necessary for the -relevant TOR
operation of processes?

7.1.4 How to determine and provide -OPCR/ Plans

Environment necessary for the -relevant TOR
operation of processes?

7.1.5 What are the monitoring and Doc Info: Evidence

measuring resources? for fitness for
How to ensure fit? purpose, calibration
With calibration / verification? / verification
7.1.6 How to determine and - Procedures
preserve the knowledge manual
necessary for the operation of -KM initiatives
its processes and achievement
of conformity of products and
services?
Other questions / notes:
 TESDA-QP-03-F03 (page 6 of 14)
Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major NC Minor
NC

7 Support

7.2 How to ensure persons who Doc. Info: Evidence

can affect the performance and of Competence
effectiveness of the QMS are
competent on the basis of
appropriate education, training,
or experience or taken action
to ensure that those persons
can acquire the necessary
competence?
7.3 Are persons doing the work
under their control aware of
the :
-quality policy?
-quality objectives?
-their contribution to QMS?
-the implications of not
conforming?
7.4 Established system to -Control of Records
determine internal and external Procedures manual
communications relevant to the
QMS?
7.5 Are documented information -Control of
7.5.1 required by the standard and Documents
necessary for the effective Procedures manual
implementation and operation
of the QMS established?
7.5.2 Established process for
creation and updating?
7.5.3 Established process for control
7.5.3.1 of documented information?
7.5.3.2 For external generated
documented info?
Other questions / notes:
 TESDA-QP-03-F03 (page 7 of 14)
Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

8 Operation (Note: follow through the implementation of actions from 4.1/4.2/6.1)

8.1 Are there defined processes -Procedures Manual

for the provision of products -Records of QMS
and services that meet implementation
specified requirements for the
products and services?
What documented info are
maintained and retained?
How to ensure that outsourced
processes are controlled? (can
link to 8.4)
8.2 Established process for -procedures manual
8.2.1 communicating with customers -documentation of
in relation to information consultation
relating to products and meetings
services, enquiries, contracts
or order handling?
8.2.2 Established process for
determining product / service
requirements (incl. legal)?
8.2.3 Established process to review Doc. Info: Results of
8.2.3.1 conducted prior to the Review of
8.2.3.2 organizations commitment to requirements for
supply products and services? products and services
or any new
requirements
8.2.4 How to ensure that documented Doc. Info: Changes to
info. is amended, and persons requirements for
are aware of the changed products and services
requirement if any?
8.3 Design and Development Doc. Info: D&D inputs,
8.3.1 Established process? outputs, controls and
8.3.2 Planning? changes
8.3.3 Inputs?
8.3.4 Controls?
8.3.5 Outputs?
8.3.6 Changes?
Other questions / notes:

TESDA-QP-03-F03 (page 8 of 14)

Rev. No. 00 - 03/01/17
 AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

8 Operation
8.4 How to ensure that externally
8.4.1 provided processes, products
and services conform to
specified requirements?
Are there established criteria
for the evaluation, selection,
monitoring of performance and
re-evaluation of external
providers?
Doc. Info:
-Externally provided
processes, products
and services
conform to specified
requirements?
-Criteria for the
evaluation, selection,
monitoring of
performance and re-
evaluation of
external providers?

8.4.2 How to define the controls to

apply to an external provider
and those to apply to the
resulting output?
The impact and effectiveness
of control considered?

8.4.3 How to ensure the adequacy of

requirements prior to
communication to the external
provider?
What and how to communicate
to external providers?

Other questions / notes:

TESDA-QP-03-F03 (page 9 of 14)

Rev. No. 00 - 03/01/17
 AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

8 Operation
8.5 How is production / service Doc. Info:
8.5.1 provision controlled? For activities on
Control of externally
Use of controlled conditions: provided processes,
-The availability of documented products and
information that defines the services
characteristics of the products For Control of
to be produces or the services production and
to be provided? service provision:
-The availability of documented -Characteristics of
information that defines the products or services
results to be achieved? to be produced or
-Monitoring and measurement performed
activities at appropriate -Results to be
stages? achieved
-Ensuring the people carrying
out the tasks are competent?

8.5.2 What methods of ensuring Doc. Info: To enable

identification and traceability of traceability
the outputs during production
and service provision?

8.5.3 How to control property Doc Info: On

belonging to customers or property belonging
external providers? to customers or
external providers

8.5.4 How to preserve the outputs -Evidence of control

during production / service on blank CTPR/NC
provision?

Other questions / notes:

TESDA-QP-03-F03 (page 10 of 14)

Rev. No. 00 - 03/01/17
 AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

8 Operation
8.5.5 What post-delivery processes
are in place?

8.5.6 How to review and control Doc. Info: On

changes? changes

Doc. Info describing the results

of the review of changes, the
person authorizing the change,
and actions?

8.6 What are implemented to Doc. Info: On

verify planned arrangements, release
to verify that requirements
have been met before product
release?

Doc. Info on:

a) evidence of conformity?
b) traceability to the person
authorizing?

8.7 How are nonconforming Doc. Info: On NC

8.7.1 outputs managed so as to and addressing NC
8.7.2 prevent their unintended use
or delivery?

Other questions / notes:

TESDA-QP-03-F03 (page 11 of 14)

Rev. No. 00 - 03/01/17

AUDIT CHECKLIST
Clause Requirements / Remarks/ C NC OFI P
Guide Questions Evidences
Major Minor
NC NC

9 Performance evaluation
9.1 Established system on: Doc. Info: Evidence
9.1.1 -What needs to be monitored of monitoring,
and measured? measurement,
-The methods for monitoring analysis and
measurement, analysis and evaluation of QMS
needed evaluation to ensure
valid results?
-When the results from
monitoring and measurements
shall be analyzed and
evaluated?

9.1.2 What are the methods of -Customer

monitoring customer feedback forms
perceptions?

9.1.3 How to analyze and evaluate -Customer

data and info. arising from satisfaction reports
monitoring and measurement? -OPCR
-conformity of prods & servs? -Survey results
-degree of customer
satisfaction?
-performance of the QMS?
-if planning effectively?
-effectiveness of actions to
address risks and
opportunities?
-performance of external
providers?
-need for improvements?

Other questions / notes:

TESDA-QP-03-F03 (page 12 of 14)

Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions
 Evidences Major Minor
NC NC

9 Performance evaluation
9.2 Established internal audit -IQA Procedures
9.2.1 process? Manual
-IQA Plan and
Frequency? Schedules
-IQA reports
Check PDCA of audit process.

9.2.2 Established: Doc. Info: Evidence

-audit programme? of implementation
-audit criteria and scope? of the audit program
-selection of auditors? and the audit
-conduct audits? results

How to ensure that results of

audits are reported to Top
Management?

How to take correction and CA?

Retain doc. Info as evidence of

the audit program and the
audit results?

Other questions / notes:

TESDA-QP-03-F03 (page 13 of 14)

Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

9 Performance evaluation
9.3 Established management -related TESDA
9.3.1 review process? issuances
Frequency?
9.3.2 Management review -Minutes of N/RQMC
considerations: meetings
-status of actions from
previous management reviews
-changes in external and
internal issues relevant to the
QMS
-info. on the performance and
 effectiveness of the QMS:
a. customer satisfaction and
feedback
b. the extent to which quality
objectives have been met
c. process performance and
conformity of products and
services
d. NCs and CAs
e. monitoring and
measurement results
f. audit results
g. the performance of external
providers
-the adequacy of resources
-effectiveness of actions to
address risks and opportunities
(see 6.1)
-opportunities for improvement
9.3.3 Outputs: Doc. Info: Evidence
-opportunities for improvement of the results of
-any need for changes to the Management
QMS reviews
-resource needs
Other questions / notes:

TESDA-QP-03-F03 (page 14 of 14)

Rev. No. 00 - 03/01/17

AUDIT CHECKLIST

Clause Requirements / Remarks/ C NC OFI P

Guide Questions Evidences
Major Minor
NC NC

10 Improvement
10.1 How to determine opportunities -IQA reports
for improvement and -RROs
implemented the necessary
actions to meet customer
requirements and enhance
customer satisfaction?

10.2 Processes for managing -CA Procedures

10.2.1 nonconformities and the Manual
related corrective actions? -RRO/Planning
output
How to update risk and
opportunities during planning, if
 necessary?

How to make changes to QMS

if necessary?

10.2.2 Retain doc. Info on: Doc Info: NC / CA

-the nature of the NC and
actions taken
-the results of any CA

10.3 How to continually improve the -RRO

suitability adequacy and -IQA report
effectiveness of the QMS? -Minutes of N/RQMC
meeting
Consider:
-outputs of analysis and
evaluation
-outputs of Management
Review
Other questions / notes:

TESDA-QP-03-F04
Rev. No. 00 - 03/01/17
INTERNAL QUALITY AUDIT REPORT
(Note: See 6.4.7: To be submitted by the ROPODO IQA Focal to the Central Office within five (5)
working days after the conduct of audit)

Process: Audit Scope:

Date:
Purpose:

Criteria Evidence Classification

(what should be (Check appropriate
Criteria (what is actually
happening) classification of findings)
No.
Define the requirements that must be
happening)
Describe your findings and cite
satisfied. (i.e. customer, regulatory,
evidences on the extent of deviations. C Major Minor OFI
process, ISO 9001 requirements) NC NC

Positive Aspects (P)(Note down positive aspects of the management system meriting special mention.)
Opportunities For Improvement (OFI)(Note down aspects that would lead to management system
optimization with respect to a requirement of the standard. Basic requirement for the identification and recording of
OFI is that the requirements of the standard regarding the process element have been fulfilled but that there are still
areas for potential improvement of system effectiveness and efficiency. Implementation by the organization is
recommended.)

Audited by: Acknowledged by:

__________________________ _______________________
Name and Signature Name and Signature
of the Lead Auditor of the Head of Operating Unit

TESDA-QP-03-F05
Rev. No. 01 - 12/05/17

CORRECTIVE ACTION REQUEST

(CAR)

Issued to: Date:

Initiator: CAR No:
Process/Area: Degree of
Source of OFI/NC/CA:
Criticality:
OFI  Feedback from daily
Major Minor
operations
NC NC
 Audit Findings
Details of Findings/s

Issued by: Acknowledged by:/Date

(Name and Signature of Auditor/ Initiator) (Name and Signature of Head Operating Unit)
Note: A, B, and C (or just A in the case of action for adopted OFI) to be filled-up by Head of the
Operating Unit and submit to the Auditor/ Initiator within 15 working days upon receipt of CAR
A. Correction Action/ Action for adopted OFI
Completion Date Agreed:
B. Root Cause Analysis (with attached analysis)

C. Proposed Corrective Action

Completion Date Agreed:

Name and Signature: Date Accomplished:

(Name and Signature of Head Operating Unit)

D. Review and Approval of Proposed Corrective Action
Note: To be filled-up by the Auditor/Initiator approved by the Head of Operating Unit within 5 working days
upon receipt of Correction Action/Action for adopted OFI/RCA/Corrective Action as applicable.
The above non-conformance and CA has been reviewed. The following comments apply:

Name and Signature: Approved by: Date:

(Auditor/Initiator)
(Name and Signature, Head of Operating Unit)
E. Verification of Action Taken:
Results of Action(s) Taken: Remarks:
( ) Additional information/documents required
( ) Verify at next audit
( ) Follow-up Audit on_____________
( ) Others, specify

F. Non-conformity Closed? Yes No

Name and Signature: Name and Signature:

(Auditor/Initiator) Name and Signature, Head Operating Unit)

Date: Date:
 TESDA-QP-03-F06
Rev. No. 00 - 03/01/17

CORRECTIVE ACTION REQUEST (CAR) REGISTRY

Criticality Correction/ Closure

CAR
Office/ OFI Major Minor Findings Action for Root Corrective Verification Date of Yes/ No
No./ Process
Institution NC NC Adopted Cause Actions of Actions Verification Date
Date
OFI

Prepared by: Approved by:

_______________________ _______________________
Process Owner Head Operating Unit
Date: ________________________ Date: _______________________
 TESDA-QP-03-F07
Rev. No. 01 - 12/05/17

REGIONAL/NATIONAL IQA SUMMARY REPORT

I. BACKGROUND

Include here the following information in narrative form:

 Preparatory activities for the IQA such as preparation of preparation of
Audit Checklist, identification of the Auditors, and actual date of the
conduct of the IQA;
 The actual conduct of the IQA, and the reporting of such IQA to the
National/Regional Quality Management Committee (N/RQMC) meetings.
 The actual conduct of verification/closure audit and reporting the results of
the verification to the N/RQMC.

II. ANALYSIS OF AUDIT FINDINGS

 Describe here the detailed findings of the IQA, i.e. conformities, major and
minor nonconformities, corrective actions taken by the auditees,
opportunities for improvement and corresponding action items to address
recommended improvements.
 Indicate the percentages of major and minor NCs closed out.
 Summarize the IQA results in a tabular form as suggested below:

No. of No. of No. of No. of

No. of No. of
Major Major Closed Unclosed No. of
Operating Unit Major Minor Minor
NCs NCs Minor OFIs
NCs NCs NCs
Closed Unclosed NCs

TOTAL
Most Deviated
Clauses (ISO/QM/QP)
Pending Corrective
Action

No Action being taken

 Graphical presentations of the audits findings may be included in the Report.

Prepared by: Approved by:

________________________ ______________________________
COROPO IQA Focal Head, Operating Unit
Date: Date:
 TESDA-QP-03-F08
Rev. No. 01 - 12/05/17

PERFORMANCE EVALUATION INSTRUMENT

FOR INTERNAL AUDITORS

Name of auditor: _____________________________________________

Assignment: Lead Auditor / Auditor
Audit date: ______________________________________________
Audited process(es):______________________________________________

Evaluation Criteria Rating Comments

(Encircle Rating)
1. Planning Stage
 Checklist is complete and questions are 1 2 3 4 5
concise
2. Conduct of Audit
 The auditor had knowledge of the 1 2 3 4 5
process, procedures, system
 Practices the necessary traits as an 1 2 3 4 5
auditor
 Conducted as scheduled 1 2 3 4 5
 Statement of findings are accurate and 1 2 3 4 5
verifiable
 Timely preparation and distribution of 1 2 3 4 5
IQA Report and CAR
3. Verification of Corrective Action
 Evaluated the reported corrections, root 1 2 3 4 5
cause analysis, and corrective actions
OR action of adopted OFI correctly
Average Rating
Note: 1= Lowest Rating 5 = Highest Rating

Evaluated by: ____________________________________

Signature over Printed Name / Date
(NQMR/RQMR/Lead Auditor)
 TESDA- QP-03-F09
Rev. No. 01 - 12/05/17

INVENTORY OF INTERNAL QUALITY AUDITORS

(Place a check on concerned columns)
As of ________________
Rating
Qualification Checklist (in last

Lead Auditor
Name

Observer
IQA)

Auditor
With
With Most
ISO
Lead/ Recent
9001
IQA Completed
Know-
Training Audit
ledge