TESDA CIRCULAR

SUBJECT: Additional Work Instructions on Performance No. i Series 2020

Evaluation of Compliance Auditors
Page 1 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

In the interest of the service and pursuant to the Authority's effort to enhance and
improve the system on Compliance Audit, the following guidelines are hereby issued:

I. For Compliance Audit — Program Registration (TESDA-OP-IAS-01 Rev. 01)

6.19 Evaluation of Auditors and Updating of Inventory

6.19.1 After the end of the audit cycle, involved auditors shall be evaluated by
the following:
Auditor Evaluator Form No.
1. LEAD 1. Compliance Audit TESDA-OP-IAS-01-F10-A
Focal Director (of (see Attachment A)
the Auditing and
Auditee Region)
2. All member TESDA-OP-IAS-01-F10-B
auditors in a team (see Attachment B)
2. MEMBER 1. Compliance Audit TESDA-OP-IAS-01-F11-A
Focal Director (see Attachment C)
2. Lead Auditor TESDA-OP-IAS-01-F11-B
(see Attachment D)
3. Fellow member TESDA-OP-IAS-01-F11-C
auditors in a team (see Attachment E)

Passing rate is pegged at 3.5

Lead and Member Auditors will be evaluated on the actual audit he/she
has conducted. It shall be 50% or not less than three (3) audit
assignments, whichever is higher, based on the number of actual audits
conducted.

6.19.2 In cases where the Compliance Audit Focal Director is not available to
evaluate his/her lead auditors, the Regional Focal Person for
Compliance Audit shall perform the evaluation, except when he/she is
also a Lead Auditor. In case of the latter, the Compliance Audit Focal
Director may designate a competent and experienced lead auditor to
perform the evaluation for him/her.

6.19.3 Whenever possible, the updating of the Inventory of Auditors form (see
Attachment F) shall be done at the end of the year to reflect the
evaluation of auditors, or as necessary to reflect enhancement on the
training or qualification checklist.
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 121 Series 2020
Evaluation of Compliance Auditors
Page 2 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

6.19.4 A copy of the evaluation result shall be forwarded to the concerned

auditor to give him/her feedback on his/her performance.

7.0 References

7.5 Rubrics on the Performance Evaluation of Compliance Auditors (Lead and

Member Auditors) (see Attachment M)

II. For Compliance Audit — Assessment and Certification (TESDA-OP-IAS-02 Rev. 01)

6.10 Evaluation of Auditors and Updating of Inventory

6.10.1 After the end of the audit cycle, involved auditors shall be evaluated by
the following:
Auditor Evaluator Form No.
1. LEAD 1. Compliance Audit TESDA-OP-IAS-02-F09-A
Focal Director (of (see Attachment G)
the Auditing and
Auditee Region)
2. All member TESDA-OP-IAS-02-F09-B
auditors in a team (see Attachment H)
2. MEMBER 1. Compliance Audit TESDA-OP-IAS-02-F10-A
Focal Director (see Attachment I)
2. Lead Auditor TESDA-OP-IAS-02-F10-B
(see Attachment J)
3. Fellow member TESDA-OP-IAS-02-F10-C
auditors in a team (see Attachment K)

Passing rate is pegged at 3.5

Lead and Member Auditors will be evaluated on the actual audit he/she
has conducted. It shall be 50% or not less than three (3) audit
assignments, whichever is higher, based on the number of actual audits
conducted.

6.10.2 In cases where the Compliance Audit Focal Director is not available to
evaluate his/her lead auditors, the Regional Focal Person for
Compliance Audit shall perform the evaluation, except when he/she is
also a Lead Auditor. In case of the latter, the Compliance Audit Focal
Director may designate a competent and experienced lead auditor to
perform the evaluation for him/her.
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 3 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

6.10.3 Whenever possible, the updating of the Inventory of Auditors form (see
Attachment L) shall be done at the end of the year to reflect the
evaluation of auditors, or as necessary to reflect enhancement on the
training or qualification checklist.

6.10.4 A copy of the evaluation result shall be forwarded to the concerned

auditor to give him/her feedback on his/her performance.

7.0 References

7.5 Rubrics on the Performance Evaluation of Compliance Auditors (Lead and

Member Auditors) (see Attachment M)

III. EFFECTIVITY

These amendments/revisions shall take effect immediately.

SEC. ISIDRO S LAPEF1A, PhD, CSEE

Director General/ Secretary
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 4 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment A
TESDA-OP-IAS-01-F10-A
Rev. No. 00 10/21/2020

,40114‘ PERFORMANCE EVALUATION INSTRUMENT

Vlig FOR LEAD AUDITORS

Name of auditor:
Assignment: Lead Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Practices the necessary traits as Lead

1 2 3 4 5
Auditor
• Conducts opening and closing meetings,
1 2 3 4 5
other Audit Team meetings

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Compliance Audit Focal Director)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 0 Series 2020
Evaluation of Compliance Auditors
Page 5of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment B
TESDA-OP-IAS-01-F10-B
Rev. No. 00 10/21/2020

Zfri.1, PERFORMANCE EVALUATION INSTRUMENT

VIA FOR LEAD AUDITORS

Name of auditor:
Assignment: Lead Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Practices the necessary traits as Lead

1 2 3 4 5
Auditor
• Conducts opening and closing meetings,
1 2 3 4 5
other Audit Team meetings
• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Member Auditor)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 6 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment C
TESDA-OP-IAS-01-F11-A
Rev. No. 00 10/21/2020

10S5 PERFORMANCE EVALUATION INSTRUMENT

Vjg FOR MEMBER AUDITORS

Name of auditor:
Assignment: Member Auditor
Audit period:
Audited process(es):

Rating
(Enc i rcl e Ra ti ng]
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Compliance Audit Focal Director)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 1/2 Series 2020
Evaluation of Compliance Auditors
Page 7 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment D
TESDA-OP-IAS-01-F11-B
Rev. No. 00 10/21/2020

401•444* PERFORMANCE EVALUATION INSTRUMENT

WO FOR MEMBER AUDITORS

Name of auditor:
Assignment: Member Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Lead Auditor)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 8 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment E
TESDA-OP-IAS-01-F11-C
Rev. No. 00 10/21/2020

41444• PERFORMANCE EVALUATION INSTRUMENT

WO FOR MEMBER AUDITORS

Name of auditor:
Assignment: Member Auditor
Audit period:
Audited process(es):

Rating
R ti ]
(Encircle Rating
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Member Auditor/Team Member)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 9 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment E
PERFORMANCE EVALUATION INSTRUMENT
FOR LEAD AUDITORS and MEMBER AUDITORS

INSTRUCTIONS

A. This Performance Evaluation Instrument shall be accomplished by the following personnel

every after end of the audit cycle:

Auditor Evaluator Form No.

1. LEAD 1. Compliance Audit Focal Director TESDA-OP-IAS-01 -F1 O-A
(of the Auditing and Auditee Region)
2. All member auditors in a team TESDA-OP-IAS-01 -F1 0-8
2. MEMBER 1. Compliance Audit Focal Director TESDA-OP-IAS-01 -F11-A
2. Lead Auditor TESDA-OP-IAS-01-F11-B
3. Fellow member auditors in a team TESDA-OP-IAS-01-F1 1-C

The number of evaluation instruments to be accomplished will depend on the actual audit
conducted by the auditor being evaluated. It shall be 50% or not less than three (3) audit
assignments, whichever is higher, based on the number of actual audits conducted.

B. This form shall be accomplished as follows:

1. Name of Auditor — name of the concerned auditor being evaluated

2. Audit period — (mm/dd-dd/yyyy) the inclusive dates of the actual conduct of audit during
which the performance of the auditor is being evaluated
3. Audited process(es) — area/process among the program registration requirements where
the auditor being evaluated was assigned to audit
4. Below columns shall reflect the following information:
Evaluation Criteria Performance criteria where the compliance auditor is being
evaluated
Rating The score assigned by the evaluator based on the performance of
the compliance auditor is being evaluated. Rating scale is from 1
to 5, 1 being the lowest and 5 being the highest.
Comments i This section should be used to: support performance rating/score,H
indicate problem areas and provide guidance to auditors on how
to improve performance. Comments MUST be provided for
average ratings below 3.5 and are highly recommended for all
other ratings.

5. Average Rating — computed by dividing the sum of ratings assigned per criteria (the
"Rating" column) over the total number of criteria (8 for Lead Auditors
and 6 for Member Auditors)
6. Other Comments — additional observations noted for which does not fall to any evaluation
criteria that has been provided
7. Evaluated by — name and signature of the Focal Director/Lead Auditor/Member Auditor
who accomplishes the form and the date it was signed
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. la Series 2020
Evaluation of Compliance Auditors
Page 10 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment F
TESDA-OP-IAS-01-F09
Rev. No. 00 10/21/2020

.frtik._ INVENTORY OF COMPLIANCE AUDITORS

Writ (Place a check on concerned columns)
As of

Qualification Checklist
Lead Auditor

Observer
Auditor

Participated in the With Rating

With With implementation of a Auditors
(in last
knowledge on knowledge quality management Course Most
Regular CA)
Program on current system and Training/ Recent
employee
Registration ISO observed at least Calibration Completed
of TESDA
requirements standard on one (1) on Audit
and guidelines QMS compliancefintemal Compliance
audit Audit

Prepared by: Reviewed by:

ROD Chief Compliance Audit Focal Director

Approved by:

Regional Director
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 11 of N pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment G
TESDA-OP-IAS-02-F09-A
Rev. No. 00 10/21/2020

WI PERFORMANCE EVALUATION INSTRUMENT

FOR LEAD AUDITORS

Name of auditor:
Assignment: Lead Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Practices the necessary traits as Lead

1 2 3 4 5
Auditor
• Conducts opening and closing meetings,
1 2 3 4 5
other Audit Team meetings

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Compliance Audit Focal Director)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 121 Series 2020
Evaluation of Compliance Auditors
Page 12 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment H
TESDA-OP-IAS-02-F09-B
Rev. No. 00 10/21/2020

e,
PERFORMANCE EVALUATION INSTRUMENT
FOR LEAD AUDITORS

Name of auditor:
Assignment: Lead Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Practices the necessary traits as Lead

1 2 3 4 5
Auditor
• Conducts opening and closing meetings,
1 2 3 4 5
other Audit Team meetings

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Member Auditor)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. La Series 2020
Evaluation of Compliance Auditors
Page 13 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment I
TESDA-OP-IAS-02-F10-A
Rev. No. 00 10/21/2020
littkit.
PERFORMANCE EVALUATION INSTRUMENT
WI FOR MEMBER AUDITORS

Name of auditor:
Assignment: Member Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Lead Auditor)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. /22 Series 2020
Evaluation of Compliance Auditors
Page 14 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment J
TESDA-OP-IAS-02-F10-B
Rev. No. 00 10/21/2020

Y PERFORMANCE EVALUATION INSTRUMENT

)TO FOR MEMBER AUDITORS

Name of auditor:
Assignment: Member Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system

• Practices the necessary traits as an auditor 1 2 3 4 5

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Lead Auditor)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 15 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment K
TESDA-OP-IAS-02-F10-C
Rev. No. 00 10/21/2020

Z40141 ,
PERFORMANCE EVALUATION INSTRUMENT
Wirt t FOR MEMBER AUDITORS

Name of auditor:
Assignment: Member Auditor
Audit period:
Audited process(es):

Rating
(Encircle Rating)
Evaluation Criteria Comments
(1 = Lowest Rating
5 = Highest Rating)
1. Planning Stage
• Compliance Audit Forms and Checklists are
1 2 3 4 5
prepared and complete
2. Conduct of Audit
• The auditor had knowledge of the process,
1 2 3 4 5
procedures, system
• Practices the necessary traits as an auditor 1 2 3 4 5

• Audit conducted as scheduled 1 2 3 4 5

• Statement of findings are accurate and

1 2 3 4 5
verifiable
• Timely preparation and submission of Audit
1 2 3 4 5
Report to PO/DO concerned

Average Rating

Other Comments:

Evaluated by:
Signature over Printed Name Date:
(Member Auditor/Team Member)
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. In Series 2020
Evaluation of Compliance Auditors
Page 16 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment K
PERFORMANCE EVALUATION INSTRUMENT
FOR LEAD AUDITORS and MEMBER AUDITORS

INSTRUCTIONS

A. This Performance Evaluation Instrument shall be accomplished by the following personnel

every after end of the audit cycle:

Auditor Evaluator Form No.

1. LEAD 1. Compliance Audit Focal Director TESDA-OP-IAS-02-F09-A
(of the Auditing and Auditee Region)
2. All member auditors in a team TESDA-OP-IAS-02-F09-B
2. MEMBER 1. Compliance Audit Focal Director TESDA-OP-IAS-02-F10-A
2. Lead Auditor TESDA-OP-IAS-02-F10-B
3. Fellow member auditors in a team TESDA-OP-IAS-02-F 10-C

The number of evaluation instruments to be accomplished will depend on the actual audit
conducted by the auditor being evaluated. It shall be 50% or not less than three (3) audit
assignments, whichever is higher, based on the number of actual audits conducted.

B. This form shall be accomplished as follows:

1. Name of Auditor — name of the concerned auditor being evaluated

2. Audit period — (mm/dd-dd/yyyy) the inclusive dates of the actual conduct of audit during
which the performance of the auditor is being evaluated
3. Audited process(es) — area/process among the Assessment and Certification
requirements where the auditor being evaluated was assigned to audit
4. Below columns shall reflect the following information:
Evaluation Criteria Performance criteria where the compliance auditor is being
evaluated
Rating The score assigned by the evaluator based on the performance of
the compliance auditor is being evaluated. Rating scale is from 1
to 5, 1 being the lowest and 5 being the highest.
Comments This section should be used to: support performance rating/score,
indicate problem areas and provide guidance to auditors on how
to improve performance. Comments MUST be provided for
average ratings below 3.5 and are highly recommended for all
other ratings.

5. Average Rating — computed by dividing the sum of ratings assigned per criteria (the
"Rating" column) over the total number of criteria (8 for Lead Auditors
and 6 for Member Auditors)
6. Other Comments — additional observations noted for which does not fall to any evaluation
criteria that has been provided
7. Evaluated by — name and signature of the Focal Director/Lead Auditor/Member Auditor
who accomplishes the form and the date it was signed
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Performance No. 122 Series 2020
Evaluation of Compliance Auditors
Page 17 of 24 pages
Date Issued: Effectivity: Supersedes:
October 21, 2020 As Indicated

Attachment L
TESDA-OP-IAS-02-F08
Rev. No. 00 10/21/2020

INVENTORY OF COMPLIANCE AUDITORS

tail I (Place a check on concerned columns)
As of

Qualification Checklist
LeadAuditor

Observer
Auditor

Participated in the With Rating

With
1,01Ath implementation of a Auditors
Name knowledge on
knowledge quality management Course Most
(in last
Regular Assessment CA)
on current system and Training/ Recent
employee and
ISO observed at least Calibration Completed
of TESDA Certification
standard on one (1) on Audit
requirements
QMS compliance/internal Compliance
and guidelines
audit Audit

Prepared by: Reviewed by:

ROD Chief Compliance Audit Focal Director

Approved by:

Regional Director

SUBJECT: Additional Work Instructions on Compliance Audit — Program Registration and
Compliance Audit — Assessment and Certification
Date Issued:
Evaluation Criteria
1. Planning Stage
• Compliance Audit Forms and
Checklists are prepared and
complete
2. Conduct of Audit
• The auditor had knowledge
of the process, procedures,
system
TESDA CIRCULAR
No. 112 Series 2020
Page 18 of 24 pages
Effectivity: Supersedes:
As Indicated
PERFORMANCE EVALUATION INSTRUMENT
FOR MEMBER AUDITORS
Attachment M
(RUBRICS -for reference in evaluating Member Auditors)
1 2 3 4 5
Compliance Audit N/A N/A N/A Compliance Audit Checklist
Checklist used is not in used is in accordance the OP.
accordance the OP.
Line of questioning Line of questioning Line of questioning Checklist and line of Line of questioning
demonstrates limited demonstrates general demonstrates adequate questioning demonstrates comprehensive
knowledge of TESDA knowledge of TESDA knowledge of TESDA demonstrates broad knowledge of all relevant
requirements for requirements for requirements for knowledge of all statutory requirements,
UTPRAS/PTCACS UTPRAS/PTCACS and/or UTPRAS/PTCACS and relevant TESDA relevant TESDA requirements
and/or QMS QMS procedures. QMS procedures. requirements for for UTPRAS/PTCACS, QMS
procedures. UTPRAS/PTCACS and procedures, including internal
relevant QMS and external audit findings.
procedures.
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Compliance Audit — Program Registration and No. al Series 2020
Compliance Audit — Assessment and Certification
Page 19 of 24 pages
Date Issued: Effectivity: Supersedes:
As Indicated

Evaluation Criteria 1 2 3 4 5
• Practices the necessary traits Demonstrates very few Demonstrates few Demonstrates some of Demonstrates most of Demonstrates all of the traits
as an auditor traits of an auditor. traits of an auditor. the traits of an auditor. the traits of an auditor. of an auditor.
o Ethical/Professional
✓ Open-minded
✓ Tactful and Diplomatic
✓ Observant
✓ Perceptive
✓ Analytical
✓ Versatile
✓ Firm and Tenacious
✓ Decisive
✓ Self-reliant
✓ Good listener
✓ Good communicator

• Conducted as scheduled
Audit conducted Audit conducted beyond Audit conducted in Audit conducted in Audit conducted in
beyond approved approved schedule (date accordance with accordance with accordance with approved
schedule (date and and time) with valid approved schedule (date approved schedule schedule (date and time);
time) without valid reason explained and/or and time). (date and time); reference filled-up audit
reason explained documented. reference filled- up checklist, efficiency and
and/or documented. audit checklist, optimized use of audit time
efficiency in use of observed.
audit time observed.
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Compliance Audit — Program Registration and No. 121 Series 2020
Compliance Audit — Assessment and Certification
Page 20 of 24 pages
Date Issued: Effectivity: Supersedes:
As Indicated

Evaluation Criteria 1 2 3 4 5
• Statement of findings are All statement of Some statement of Statement of findings Statement of findings Statement of findings include
accurate and verifiable findings is unclear and findings is unclear and include concerned include concerned concerned UTPRAS/PTCACS
do not contain CIP. do not contain CIP. UTPRAS/PTCACS UTPRAS/PTCACS requirement, criteria
requirement, criteria requirement, criteria statement and/ or provision(s)
AND AND/OR statement and/ or statement and/ or in the OP, and multiple CIPs
provision(s) in the OP, provision(s) in the OP, are given with complete
Classification of Classification of and at least one CIP is and at least one CIP is description
nonconformities are nonconformities are given given with complete
incorrect. incorrect. description AND
AND
AND Classification of
Classification of nonconformities are correct.
nonconformities are Classification of
correct. nonconformities are
correct.

• Timely preparation and Three (3) or more WDs Less than three (3) WDs Timely submission of N/A Submitted Compliance Audit
submission of Compliance delayed submission of delayed submission of Compliance Audit Report Report prior to closing
Audit Report Compliance Audit Compliance Audit Report to Lead Auditor. meeting.
Report to Lead to Lead Auditor.
Auditor.

SUBJECT: Additional Work Instructions on Compliance Audit — Program Registration and
Compliance Audit — Assessment and Certification
Date Issued:
Evaluation Criteria
1. Planning Stage
Compliance Audit Forms and
Checklists are prepared and
complete
2. Conduct of Audit
• The auditor had knowledge of
the process, procedures,
system
TESDA CIRCULAR
No. DI Series 2020
Page 21 of 24 pages
Effectivity: Supersedes:
As Indicated
PERFORMANCE EVALUATION INSTRUMENT
FOR LEAD AUDITORS Attachment M
(RUBRICS - for reference in evaluating Lead Auditors)
1 2
Compliance Audit N/A N/A N/A Compliance Audit
Checklist used is not in Checklist used is in
accordance the OP. accordance the OP.
Line of questioning Line of questioning Line of questioning Checklist and line of Line of questioning
demonstrates limited demonstrates general demonstrates adequate questioning demonstrates
knowledge of TESDA knowledge of TESDA knowledge of TESDA demonstrates broad comprehensive knowledge
requirements for requirements for requirements for knowledge of all of all relevant statutory
UTPRAS/PTCACS and/or UTPRAS/PTCACS and/or UTPRAS/PTCACS and QMS relevant TESDA requirements, relevant
QMS procedures. QMS procedures. procedures. requirements for TESDA requirements for
UTPRAS/PTCACS and UTPRAS/PTCACS, QMS
relevant QMS procedures, including
procedures. internal and external audit
findings.
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Compliance Audit — Program Registration and No. 122 Series 2020
Compliance Audit — Assessment and Certification
Page 22 of 24 pages
Date Issued: Effectivity: Supersedes:
As Indicated

Evaluation Criteria 1 2 3 4 5
• Practices the necessary traits Demonstrates very few Demonstrates few traits Demonstrates some of the Demonstrates most of Demonstrates all of the
as an auditor traits of an auditor. of an auditor. traits of an auditor. the traits of an auditor. traits of an auditor.
o Ethical/Professional
✓ Open-minded
✓ Tactful and Diplomatic
✓ Observant
✓ Perceptive
✓ Analytical
✓ Versatile
✓ Firm and Tenacious
✓ Decisive
✓ Self-reliant
✓ Good listener
✓ Good communicator

• Practices necessary traits as
Lead Auditor
Generally, not capable to
manage the audit team
(i.e. Conflict arising from
audit is not resolved by
the Lead Auditor)
Not fully capable to
manage the audit team
(i.e. Conflict arising from
audit is resolved by the
Lead Auditor but with
delays)
Basically, capable to Generally, capable to Generally, capable to
manage the audit team. manage the audit manage the audit team,
team, no conflict and good relationship with
good relationship with audit team observed,
audit team observed. compliments from audit
team confirmed.

SUBJECT: Additional Work Instructions on Compliance Audit — Program Registration and
Compliance Audit — Assessment and Certification
Date Issued:
Evaluation Criteria
• Conduct of opening and
closing meetings, other Audit
Team meetings
• Conducted as scheduled
TESDA CIRCULAR
No. 122 Series 2020
Page 23 of 24 pages
Effectivity: Supersedes:
As Indicated
1 2 3 4 5
Not all meetings initiated Opening and closing Opening and closing Opening and closing Opening and closing
and conducted. meetings (mandatory) meetings (mandatory) meetings (mandatory) meetings (mandatory)
initiated but not initiated and completely initiated and initiated and completely
completely conducted. conducted. completely conducted. conducted.
Additional 1-2 audit Additional 3 or more audit
team meeting (value- team meetings (value-
adding, ex. Audit adding, ex. Audit
preparation, Post- preparation, Post-audit)
audit) initiated and initiated and conducted.
conducted.
Audit conducted beyond Audit conducted beyond Audit conducted in Audit conducted in Audit conducted in
approved schedule (date approved schedule (date accordance with approved accordance with accordance with approved
and time) without valid and time) with valid schedule (date and time). approved schedule schedule (date and time);
reason explained and/or reason explained and/or (date and time); reference filled-up audit
documented. documented. reference filled- up checklist, efficiency and
audit checklist, optimized use of audit
efficiency in use of time observed.
audit time observed.
 TESDA CIRCULAR
SUBJECT: Additional Work Instructions on Compliance Audit — Program Registration and No. 122 Series 2020
Compliance Audit — Assessment and Certification
Page 24 of 24 pages
Date Issued: Effectivity: Supersedes:
As Indicated

Evaluation Criteria 1 2 3 4 5
• Statement of findings are All statement of findings Some statement of Statement of findings Statement of findings Statement of findings
accurate and verifiable is unclear and do not findings is unclear and include concerned include concerned include concerned
contain CIP. do not contain CIP. UTPRAS/PTCACS UTPRAS/PTCACS UTPRAS/PTCACS
requirement, criteria requirement, criteria requirement, criteria
AND AND/OR statement and/ or statement and/ or statement and/ or
provision(s) in the OP, and provision(s) in the OP, provision(s) in the OP, and
Classification of Classification of at least one CIP is given and at least one CIP is multiple CIPs are given
nonconformities are nonconformities are given with complete with complete description
incorrect. incorrect. AND description
AND
Classification of AND
nonconformities are Classification of
correct. Classification of nonconformities are
nonconformities are correct.
correct.

• Timely preparation and Submitted Compliance Submitted Compliance Submitted Compliance Submitted Compliance Submitted Compliance
submission of Compliance Audit Report to PO/DO Audit Report to PO/DO Audit Report to PO/DO Audit Report to PO/DO Audit Report to PO/DO
Audit Report concerned 16 WDs or concerned 11-15 WDs concerned 7-10 WDs after concerned 4-6 WDs concerned 1-3 WD after
more after the conduct after the conduct of the conduct of audit. after the conduct of the conduct of audit.
of audit. audit. audit.