TESDA Circular No. 048-2022

TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. DLI? Series of 2022
Procedure No. TESDA-OP-IAS-01
Page 1 of 22 pages
Date Issued: Effectivity: Supersedes:
July 05, 2022 As Indicated Pertinent sections of TESDA-OP-IAS-01 Rev. No.
01 05/28/2020; Section VI of TESDA Circular No. 71
series 2020; TESDA Circular No. 022 series of 2021
In the interest of the service and pursuant to the Authority's effort to enhance and improve
the system of compliance audit on registered TVET programs, the following guidelines are
hereby issued:
I. Operating Procedure Title is hereby revised to: Compliance Audit for Registered
TVET Programs
II. Section 4.0 is updated to include the following terms and definitions:
Blended Audit Refers to the audit method combining the procedures employed in
Method remote and face-to-face audit methods. In this method, one or more
compliance auditor conducts the audit on-site while the others
conduct it remotely.
F Face-to-face Refers to the audit method with face-to-face interaction between I

Audit Method auditors and auditees, and audits are conducted on site. Records of
the TVI are physically examined to obtain audit evidence and
evaluate it objectively to determine the extent of conformity to the
audit criteria.
Inter-Regional -Refers to an audit approach wherein the compliance audit will be

Audit performed by the compliance auditors from TESDA Offices of other
Approach regions.
Inter-Province Refers to an audit approach wherein the compliance audit will be

Audit performed by the compliance auditors from TESDA Offices of other
Approach provinces within a region.
PO ▪ Refers to compliance auditors from the auditee-region designated

Representative and authorized as member auditor who shall perform the audit on-
site for Compliance Audits conducted through Blended Audit
Method. They shall also form part of the composite audit team from
the auditor-region.
Remote Audit Refers to the audit method wherein audits are conducted remotely
Method (off-site), using electronic methods to obtain and evaluate
objectively audit evidence to determine the extent of conformity to
the audit criteria. It requires tools such as videoconferencing
platforms (Zoom, Microsoft Teams, Google Meet, etc.), email,
telephone, and file and screen sharing applications.
Under this method, the auditor may conduct the audit in a manner
"either synchronous or combination of synchronous_ and
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. 01-I? Series of 2022
Procedure No. TESDA-OP-lAS-01
Page 2 of 22 pages
asynchronous. Synchronous refers to document examination,

evidence gathering, and interview during an active/live video
conferencing call. On the other hand, asynchronous pertains to
examining evidence through records, procedures, documents-1
except video recordings—submitted in advance by the auditee.
Regular Refers to Compliance Audits conducted by TESDA Regional

Compliance Offices.
Audit
Special Refers to Compliance Audits conducted if the Director General,
Compliance NQMC, and/or ROPODO has reason to believe that there is
Audit noncompliance by a TVI with TESDA policies/guidelines based on
any of the following:
1. Customer complaints;
2. Recurring quality problems; or
3. Report of anomalous activities.
Special Compliance Audits shall be performed by the:

i. TESDA Regional Offices concerned; or
ii. IAS, as authorized by the Director General and/or the
NQMC.
Ill. Section 6.1 is revised as follows:
6.1.2 The compliance audit to TVIs may be simultaneous with the conduct of
compliance audit on assessment and certification on a per institution basis in
the province/district where it is located, as applicable.
6.1.3 The Compliance Audits shall be conducted thru any of the following methods:
a) Face-to-Face Audit Method;
b) Remote Audit Method; and
c) Blended Audit Method.
6.1.4 As a general rule, the conduct of inter-regional compliance audits shall be

conducted through Face-to-Face Audit Method.
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. O Series of 2022
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Compliance audits may be performed through Remote Audit Method or Blended

Audit in cases where Face-to-Face audit is not possible due to any of the
following reasons:
a) Safety/security conditions;
b) State of Calamity; or
c) Other conditions which would lead to travel restrictions and/or prohibition
on movement of personnel.
6.1.5 For Compliance Audits conducted through Remote or Blended Audit Methods,
compliance auditors perform the audit in either synchronous or combination of
synchronous and asynchronous.
6.1.6 In Remote and Blended Audit Methods, the following audit activities shall be
followed:
PROCESS/AREA REQUIREMENTS TO AUDIT

Personnel
Remote Audit Method Blended Audit Method
1 — Corporate and Administrative
Documents
2 — Curricular and Faculty & 1 — Corporate and Administrative
Personnel Requirements Documents
Compliance 3 — Tools and Equipment 2 — Curricular and Faculty &
Auditors of the 4 — Physical Facilities and Off- Personnel Requirements
Auditor-Region Campus Physical Facilities 6 — Program Guidelines, Support
5 — Shop Layout Services and Other
6 — Program Guidelines, Support Requirements
Services and Other
Requirements
On-site 3 — Tools and Equipment

Compliance 4 — Physical Facilities and Off-
Not Applicable (N/A)
Auditors Campus Physical Facilities
5 — Shop Layout
6.1.7 Personnel from the auditee-regions designated as PO Representatives shall

form part of the composite audit teams from the auditor regions. The PO
Representatives shall conduct the audit on site with utmost due diligence to
ensure that TVIs comply with the minimum requirements per TR and UTPRAS
guidelines. On site audit by the PO Representatives shall be within one (1) day
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SUBJECT: Amendment to the Compliance Audit Operating No. 01-18 Series of 2022
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and shall be simultaneous with the remote audit activities by the compliance
auditors of the Auditor-Region.
IV. Sections No. 6.3.1 and 6.3.4 are revised and added, respectively:
6.3.1 All registered TVET programs shall be subjected to Compliance Audit one (1)
year after the approval of the program registration and every two (2) years
thereafter.
6.3.1.a TVET programs registered from January 1 to September 30 of the
current year shall be audited the following year.
6.3.1.b TVET programs registered from October 1 to December 31 of the
current year shall be audited on the quarter after the following year.
6.3.1.c Registered TVET programs due to expire shall be audited two (2)
months prior to expiration.
6.3.1.d The registered TVET programs of the TVI, which is a STAR awardee or
an APACC1 Accredited Institution, are exempted from the compliance
audit during the validity period of the said award.
6.3.1.e The annual compliance audit targets of Regional Offices shall be based
on Sections 6.3.1.a to 6.3.1.d above and/or compliance audit target
parameters approved by the Director General.
Based on justifiable reasons, auditee-regions may request for exclusion
from their approved Compliance Audit Targets of registered TVET
programs that cannot be audited subject to the submission of the
following to IAS:
i. Memorandum request duly endorsed and signed by the
Regional Director; and
ii. Pertinent supporting documents.
1
Asia Pacific Accreditation and Certification Commission
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. ()la Series of 2022
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V. Section No. 6.4 is revised as follows:
6.4 Creation of Composite Compliance Audit Teams
6.4.1 The RO shall organize the composite Compliance Audit Team, identifies the
Lead Auditors, Member Auditors and Observer/s—as may deemed necessary,
and submit the following to IAS:
a) Memorandum endorsing the List of personnel composing the

Compliance Audit Team; and
b) Duly accomplished and signed Inventory of Compliance Auditors
(TESDA-OP-IAS-01-F09).
ROs shall identify and organize Audit Teams, minimum of two (2) members in
each team. Each audit team shall have a Lead Auditor.
6.4.2 Based on the RO-endorsed personnel in 6.4.1, the Director General, through
the IAS, issues TESDA Order creating the national composition of the
Compliance Auditors and granting them the authority to conduct the compliance
audit to registered TVET programs of TVIs through inter-regional audit
approach.
VI. Section No. 6.5 is revised as follows:
6.5 Preparation for Conduct of Compliance Audit
6.5.1 The RO or IAS conducts calibration of Audit Teams, as needed, to discuss with
the Audit Team Members the standard procedures in the conduct of the audit,
providing a common shared understanding of the audit criteria, procedures,
forms, evidence gathering, and reporting process.
6.5.2 To ensure 100% accomplishment of targets for Compliance Audit of Registered

TVET Programs, audit rescheduling is DISCOURAGED. For justifiable reasons,
conduct of compliance audit may be rescheduled subject to the following:
Requests for audit rescheduling from TVIs

TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. O4 Series of 2022
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6.5.2.a In case there is a request for audit rescheduling, the TVI Authorized
Representative shall indicate in TESDA-OP-IAS-01-F02 the preferred
date of audit and reason(s) for rescheduling subject to the approval of
the Regional Director of the auditee-region. Rescheduling shall be
allowed in the following circumstances:
a) Calamities;
b) Fortuitous event;
c) Declaration of special non-working holidays; or
d) Other analogous circumstances.
Requests for audit rescheduling from Compliance Auditors

6.5.2.b Requests for audit rescheduling from Compliance Auditors shall be
mutually approved by the Regional Compliance Audit Focal Persons
of the Auditee- and Auditor-Regions.
6.5.2.c The new schedule of audit shall not be more than seven (7) working
days from the original schedule.
6.5.2.d The ROPOs may use any available online platforms to facilitate
collaboration and coordination.
VII. Section 6.6 is revised as follows:
6.6 Preparation of the WI Compliance Audit Plan (TESDA-OP-IAS-01-F02)
6.6.1 The RO Compliance Audit Focal Person of the Auditee-Region shall:

6.6.1.a Prepare TVI Compliance Audit Plan (TESDA-OP-IAS-01-F02) based
on the approved Annual Compliance Audit Plan (TESDA-OP-IAS-01-
F01);
6.6.1.b Send the accomplished TESDA-OP-IAS-01-F02, at least five (5)
working days before the conduct of audit, to the TVI informing them of
the compliance audit schedule, copy furnished the DO/PO concerned;
and
6.6.1.c Provide copies of the accomplished TESDA-OP-IAS-01-F02 to the
Auditor Region for reference at least five (5) working days before the
conduct of audit.
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. 0418 Series of 2022
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6.6.2 The TVI Authorized Representative confirms the compliance audit schedule and
submits to the RO the duly signed TESDA-OP-IAS-01-F02.
6.6.3 In case there is no confirmation received from the concerned TVI within two (2)
working days from the TVI's receipt of TESDA-OP-IAS-01-F02, the RO shall
inform the Compliance Audit Team of the TVI's nonconfirmation, and the latter
proceeds with the conduct of audit as scheduled.
VIII. Section 6.7 is revised as follows:
6.7 Conduct of Compliance Audit
6.7.1 The Audit Team Members shall check completeness and validity of the
TVI program application documents filed in the DO/PO.
6.7.2 The Audit Team Members shall meet with the Auditees for the Opening
Meeting. The Auditees may include the following TVI representatives:
a) TVI Officials;
b) Trainers (mandatory whenever there is an ongoing training);
c) Registrar; and
d) TVI Non-Teaching Personnel.
6.7.3 The Lead Auditor shall explain the following during the Opening Meeting:
a) Audit objectives;
b) Areas to be audited and assigned auditor;
c) Audit criteria; and
d) Time per area to be audited.
6.7.4 The Auditors shall use the Compliance Audit Checklists (TESDA-OP-IAS-
01-F04-A, TESDA-OP-IAS-01-F04-B, TESDA-OP-IAS-01-F04-C or
TESDA-OP-IAS-01-F04-D) in conducting the following activities:
6.7.4.a Verify Records. Records that should be in the DO/PO and/or TVI
may include Corporate and Administrative Documents,
Curricular Requirement, Faculty and Personnel, Program
Guidelines, and Support Services. The Auditors verify the
availability of the Records in the DO/PO and/or in the TVI.
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. On Series of 2022
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_I I _ IMI/I•111,
6.7.4.b Examine documents which may include but are not limited to the
documents indicated in the Compliance Audit Checklists.
Documents are examined in the DO/PO and/or in the TVI.
6.7.4.c Conduct interview to collect and verify information based on
specific samples. The Auditor may interview any or all of the
Auditees and trainees present during the audit schedule. Audit
trail interviews may extend beyond the audit schedule to further
verify information.
6.7.4.d Check availability, completeness and functionality of facilities,
tools and equipment used for the conduct of training program.
The Auditors bring copy of the List of Equipment (TESDA-OP-
CO-01-F13), List of Tools (TESDA-OP-CO-01-F14), List of
Consumables/Materials (TESDA-OP-00-01-F15), List of
Physical Facilities (TESDA-OP-CO-01-F16) and/or List of Off-
Campus Physical Facilities (TESDA-OP-CO-01-F17) as basis
for checking and recording.
6.7.4.e Validate procedures against documented Operating Procedure
(OP), UTPRAS and other TESDA issuances related to conduct
and delivery of TVET programs.
6.7.4.f Record observations and information gathered. Observations
and information gathered are recorded in the Compliance Audit
Checklists (TESDA-OP-IAS-01-F04-A, TESDA-OP-IAS-01-F04-
B, TESDA-OP-IAS-01-F04-C or TESDA-OP-IAS-01-F04-D).
Auditors may use additional sheets if necessary.
6.7.4.g Analyze information and documents to identify conformity,
nonconformity, and degree of criticality of audit findings—either
NC or OFI.
6.7.5 The Member Auditors shall submit to the Lead Auditor their duly
accomplished and signed Audit Checklist (TESDA-OP-IAS-01-F04-A,
TESDA-OP-IAS-01-F04-B, TESDA-OP-IAS-01-F04-C or TESDA-OP-IAS-
01-F04-D).
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IX. Section 6.8 is revised as follows:
6.8 Preparation of Audit Reports
6.8.1 For Face-to-face Audit Method

6.8.1.a The Lead Auditor shall consolidate the audit findings from the
Audit Checklists (TESDA-OP-IAS-01-F04-A, -F04-B, -F04-C or -
F04-D) and finalize the TVI Compliance Audit Report (TESDA-
OP-IAS-01-F05). Compliance Auditors shall write the TESDA-
OP-IAS-01-F05 on the day of audit.
6.8.1.b Compliance Auditors shall accomplish the TESDA-OP-IAS-01-

F05 in two (2) copies (TVI Copy and TESDA DO/PO Copy). The
audit report must provide a complete, accurate, concise, and
clear record of the audit.
Example:
Requirement: All learners completing registered VVTR
I programs shall be required to take the
Institutional Assessment conducted by the
TVI.
[Basis: Section VIII item 5 of the Omnibus
Guidelines on Technical Vocational Education and i
Training (TVET) Program Registration (TESDA1
Circular No. 107 series of 2021)]
Nonconformity No document was presented by the TVI
(Finding and evidencing conduct of Institutional
Evidence): Assessment to all learners of Domestic Work
NCII for the training period January 3, 2022 to
February 10, 2022.
6.8.1.c The Lead Auditor shall conduct closing meeting and discuss the
following with the auditees:
a) Audit findings;
b) Nonconformity/ies, if any;
c) Submission by the TVI of the Compliance Audit Action
Catalogue (TESDA-OP-IAS-01-F05-A) for any
nonconformity/ies; and
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d) Completion date of Correction and Corrective Actions.

Correction and corrective actions are to be carried out
within thirty (30) working days from the DO/PO's
acceptance of the stated correction and corrective actions.
6.8.1.d After the closing meeting, the TVI Authorized Representative

concurs with the results of the audit and signs the TVI
Compliance Audit Report (TESDA-OP-IAS-01-F05). The Lead
and Member auditors shall likewise sign the TESDA-OP-IAS-01-
F05.
6.8.1.e The Lead Auditor shall provide the TVI-copy of the signed
TESDA-OP-IAS-01-F05 to the TVI. The TVI Authorized
Representative shall stamp "received" the TESDA DO/PO-copy
of the signed report as proof of receipt.
6.8.2 For Remote Audit Method and Blended Audit Method

6.8.2.a The Audit Team Leader shall initiate temporary adjournment of
videoconferencing with the auditees to prepare the audit report.
6.8.2.b The Lead Auditor shall consolidate the audit findings from the
Audit Checklists (TESDA-OP-IAS-01-F04-A, -F04-B, -F04-C or -
F04-D) and finalize the TVI Compliance Audit Report (TESDA-
OP-IAS-01-F05). The auditors shall prepare the audit report
within one (1) day after the temporary adjournment.
The Lead Auditor shall save audit reports in a Portable

Document Format (PDF) for data integrity.
6.8.2.c The audit report must provide a complete, accurate, concise, and
clear record of the audit.
Example:
Requirement: All learners completing registered WTR
programs shall be required to take the
Institutional Assessment conducted by the
TVI.
[Basis: Section VIII item 5 of the Omnibus
Guidelines on Technical Vocational Education and
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Training (TVET) Program Registration (TESDA

Circular No. 107 series of 2021))
Nonconformity No document was presented by the TVI
(Finding and evidencing conduct of Institutional
Evidence): Assessment to all learners of Domestic Work
NCII for the training period January 3, 2022 to
February 10, 2022.
6.8.2.d The Lead Auditor shall send notification to the TVI-auditee on the
schedule of the closing meeting and provides the meeting link of
the chosen video conferencing platform. The Lead Auditor shall
conduct the online closing meeting not later than one (1) day
after the preparation of the audit report.
6.8.2.e The Lead Auditor shall conduct closing meeting and discuss the
following with the auditees:
a) Audit findings;
b) Nonconformity/ies, if any;
c) Submission by the TVI of the Compliance Audit Action
Catalogue (TESDA-OP-IAS-01-F05-A) for any
nonconformity/ies;
d) Completion date of Correction and Corrective Actions.
Correction and corrective actions are to be carried out
within thirty (30) working days from the DO/PO's
acceptance of the stated correction and corrective
actions.
6.8.2.f After the closing meeting, the TVI Authorized Representative

concurs with the results of the audit. The Lead Auditor shall then
provide the TVI on the same day of the closing meeting, via
email, the PDF copy of TESDA-OP-IAS-01-F05 duly signed
electronically by the auditors.
For e-signature, each party may adopt features of Adobe

Acrobat, PDFelement software, or Philippine National Public Key
Infrastructure (PNPKI) of the DICT.
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SUBJECT: Amendment to the Compliance Audit Operating No. O4 Series of 2022
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6.8.2.g The TVI Authorized Representative affixes his/her e-signature

on the TESDA-OP-IAS-01-F05. After which, the TVI Authorized
Representative shall submit back the signed TESDA-OP-IAS-
01-F05 to the Lead Auditor within one (1) working day after the
closing meeting.
6.8.3 For Face-to-face, Remote, and Blended Audit Methods

6.8.3.a The Lead Auditor shall consolidate the audit findings pertaining
to nonconformities of the DO/PO from the Audit Checklists
(TESDA-OP-IAS-01-F04-A, -F04-B, -F04-C or -F04-D) and
prepare the Compliance Audit Report (TESDA-OP-IAS-01-F05-
C)
6.8.3.b The Lead Auditor shall only prepare and issue the TESDA-OP-
IAS-01-F05-C to the DO/P0 concerned whenever
nonconformities exist at the time of audit.
X. Section 6.9 is revised as follows:
6.9 Submission of Audit Reports, Monitoring of Correction and Corrective

Actions, Closure of Audit Findings, and Revocation of Certificate of TVET
Program Registration
6.9.1 Submission of Audit Report

For Face-to-face Audit Method
6.9.1.a The Lead and Member Auditors shall submit the following within
one (1) working day after the conduct of audit to the DO/PO of
the auditee-region:
1) Duly accomplished audit checklists (TESDA-OP-IAS-01-
F04-A, -F04-B, -F04-C or -F04-D); and
2) TVI-signed TVI Compliance Audit Report (TESDA-OP-
IAS-01-F05).
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For Remote Audit Method and Blended Audit Method

6.9.1.b The Lead Auditor shall submit the TVI-signed TESDA-OP-IAS-
01-F05 to the District/Provincial Office of the auditee-region
within one (1) working day after receipt.
Failure of the auditee-TVI to submit the signed TESDA-OP-IAS-

01-F05 to the Lead Auditor on the prescribed timeline (6.8.2.g),
the auditor-signed TESDA-OP-IAS-01-F05 shall be deemed final
and be forwarded to the District/Provincial Office of the auditee-
region for reporting.
6.9.1.c The Lead and Member Auditors shall submit the duly
accomplished audit checklists (TESDA-OP-IAS-01-F04-A, -F04-
B, -F04-C or -F04-D) to the DO/PO within one (1) working day
after receipt of TESDA-OP-IAS-01-F05 subject to 6.9.1.b.
For Face-to-face, Remote, and Blended Audit Methods

6.9.1.d The Lead Auditor shall submit to the DO/PO the accomplished
TESDA-OP-IAS-01-F05-C, copy furnished the IAS via email,
within one (1) day after the conduct of audit.
The Lead Auditor shall save audit reports in a Portable
Document Format (PDF) for data integrity.
6.9.2 Monitoring of Correction and Corrective Actions and Closure of Audit

Findings (for ALL audit methods)
6.9.2.a To correct Audit Findings, the TVI shall:
1) Identify the root cause and provide correction and/or
corrective action(s) to address the nonconformities/audit
findings and accomplish the Compliance Audit Action
Catalogue (TESDA-OP-IAS-01-F05-A);
2) Submit to the DO/PO concerned the duly accomplished
TESDA-OP-IAS-01-F05-A within three (3) working days
from receipt of the signed TESDA-OP-IAS-01-F05; and
3) Execute the correction and/or corrective action(s) and
provide the DO/PO the corresponding supporting
documents/pieces of evidence as proof of compliance
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within thirty (30) working days from receipt of DO/PO's

actions in TESDA-OP-IAS-01-F05-A.
6.9.2.b To monitor TVI's Correction and Corrective Action, the DO/PO

shall:
1) Review and accept/request revision (by accomplishing
columns I and J of TESDA-OP-IAS-01-F05-A), within
two (2) working days after receipt, the identified root
cause, correction action, and/or corrective action
submitted by the TVI in addressing its
nonconformities/findings;
2) Provide the TVI of the accepted TESDA-OP-IAS-01-
F05-A in 6.9.2.b.1; and
3) Monitor and validate TVI compliance to stated correction
and/or corrective action in the submitted action
catalogue vis-a-vis the submitted supporting
documents/pieces of evidence.
6.9.2.c To declare TVI's closure of its Audit Findings, the DO/PO shall:
1) Review/evaluate (by accomplishing columns K and L of
TESDA-OP-IAS-01-F05-A) within three (3) working days
from the date of receipt of acceptable (based on
review/evaluation) supporting documents/pieces of
evidence on its compliance vis-a-vis the accepted
TESDA-OP-IAS-01-F05-A in 6.9.2.b.1. Otherwise, the
DO/P0 returns the report to the TVI for compliance
within the unelapsed days of the original thirty (30)
working days compliance period;
2) Approve the TESDA-OP-IAS-01-F05-A in 6.9.2.b.1 (by
accomplishing column M and affixing the signature of the
DD/PD) and provide copy of the same to the TVI within
one (1) working day after approval; and
3) Submit to RO the DD/PD-signed TESDA-OP-IAS-01-
F05-A, together with the supporting documents/pieces of
evidence, within two (2) working days from the closure
of audit findings (photocopies only).
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The DO/PO may conduct inspection at the TVI to validate further

its compliance and ensure closure of audit findings/
nonconformities.
6.9.2.d To correct Audit Findings of the DO/PO, the DO/PO UTPRAS

Focal person shall:
1) Identify the root cause and provides correction and/or
corrective action to address the nonconformities/audit
findings and accomplish the Compliance Audit Action
Catalogue (TESDA-OP-IAS-01-F05-B),
2) Submit to the RO the duly accomplished TESDA-OP-
IAS-01-F05-B not later than three (3) working days from
receipt of the signed TESDA-OP-IAS-01-F05-C; and
3) Execute the correction and/or corrective action and
provide the RO the corresponding supporting
documents/pieces of evidence as proof of compliance
within twenty (20) working days from receipt of RO's
actions in TESDA-OP-IAS-01-F05-B.
6.9.2.e To monitor DO/PO's Corrective and Correction Action and

declare DO/PO's closure of its Nonconformities/Audit Findings,
the RO shall:
1) Review and accept/request revision (by accomplishing
columns I and J of TESDA-OP-IAS-01-F05-B), within
two (2) working days from receipt, the identified root
cause, correction action, and/or corrective action
submitted by the DO/PO in addressing its
nonconformities/findings;
2) Monitor and validate DO/PO compliance to stated
correction and/or corrective action in the submitted
action catalogue vis-a-vis the submitted supporting
documents/pieces of evidence;
3) Review/evaluate (by accomplishing columns K and L)
and approve (by accomplishing column M and affixing
the signature of the RD) the Compliance Audit Action
Catalogue (TESDA-OP-IAS-01-F05-B) submitted by the
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SUBJECT: Amendment to the Compliance Audit Operating No. '043 Series of 2022
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DO/PO within three (3) working days from the date of

receipt of acceptable (based on review/evaluation)
supporting documents/pieces of evidence on their
compliance. Otherwise, RO returns the TESDA-OP-IAS-
01-F05-B to the DO/PO for compliance within the
unelapsed days of the original twenty (20) working
days compliance period.
6.9.3 DO/PO shall initiate the revocation of TVI's Certificate of TVET Program
Registration (CTPR) for the non-closure of audit findings within the
prescribed period.
6.9.3.a In case the TVI fails to address the deficiencies/nonconformities
within the prescribed period of thirty (30) working days, the
DO/PO shall notify the TVI in writing of the existence of probable
cause to warrant the revocation of TVI's CTPR for the
noncompliant TVET program(s) and require submission of
explanation within five (5) working days why its CTPR should not
be revoked.
6.9.3.b Within five (5) working days from receipt of the written notice, the
TVI must explain in writing why the CTPR for the noncompliant
TVET program(s) should not be revoked. If the TVI fails to
respond within the prescribed period, it is incumbent upon the
concerned DO/PO to undergo the process of revoking the
CTPR(s) of the TVI within five (5) working days after the lapse of
the period to respond.
6.9.3.c The DO/PO shall act within two (2) working days on the
explanation letter and decide on either of the following:
1) If merit is found in the explanation of the TVI, DO/PO
notifies the TVI Authorized Representative in writing of
the ten (10) working day period to correct its
deficiencies/nonconformities, unless a longer period is
determined by the DO/PO and is reasonably justified; or
2) If otherwise, DO/PO effects the revocation of the
CTPR(s) for noncompliant TVET program(s). The
DO/PO sends its recommendation to the RO within one
(1) working day of the revocation of the CTPR.
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. ()(42 Series of 2022
Page 17 of 22 pages
6.9.3.d The Regional Office shall act on the recommendation of the

DO/PO within three (3) working days and issue the Notice of
TVET Program Closure.
6.9.3.e Upon receipt of the Notice of TVET Program Closure, DO/PO

shall send the same to the TVI and copy furnished to the Office
of the Mayor for information. It shall require the TVI to surrender
the CTPR within five (5) working days.
6.9.3.f The TVI is prohibited to accept enrollees/trainees while

revocation proceedings are ongoing for noncompliant TVET
program(s).
6.9.4 DO/PO shall also initiate the Revocation of TVI's CTPR due to the
following reasons occurred prior or at the time of audit:
6.9.4.a Cannot be located TVIs in the given address per TVI Profile
Sheet;
6.9.4.b Voluntary closure of registered TVET program/s; or
6.9.4.c TVI's closure or TVI had ceased its operation.
Cases falling under 6.9.4.b and 6.9.4.c for which prior notice was given,
the DO/PO shall revoke and request for the delisting of the TVI's CTPR
through submission to the Certification Office of the duly accomplished
Status of TVET Program Registration Report (MIS 02-04) together with
the TVI's Notice of Closure.
6.9.5 In cases falling under 6.9.4.a and 6.9.4.c for which no notice was given,
the DO/PO shall revoke and request for the delisting of the TVI's CTPR
through submission to the Certification Office of the duly accomplished
Status of TVET Program Registration Report (MIS 02-04) together with
any of the following supporting documents:
a) Signed Compliance Audit Reports;
b) Written Report signed by the DD/PD; or
c) Compliance Audit Reports signed by IAS Auditors.
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. 0(1$ Series of 2022
Page 18 of 22 pages
6.9.6 In all cases, DO/PO shall exhaust all means to require the TVI to surrender
its CTPR(s) to the concerned DO/PO within a period of seven (7) working
days after the revocation of CTPR(s).
XI. Section 6.10 is revised as follows:
6.10 Submission of Consolidated Audit Reports
6.10.1 DO/PO shall prepare and submit the following reports to RO every end of
the month:
1) Consolidated Provincial/District Report on Audited and Closed
Programs and Status of Compliance to Correction and Corrective
Action/s (TESDA-OP-IAS-01-F06-PO);
2) Compliance Audit Non-Conformities Tracking Sheet — Registered
TVET Programs (TESDA-OP-IAS-01-F06-PO-A); and
3) Consolidated Provincial/District Summary of Audited Programs per
Program Registration Requirements for Institution-based programs
(TESDA-OP-IAS-01-F07A-PO) or Enterprise-based programs
(TESDA-OP-IAS-01-F07B-P0).
6.10.2 The RO shall review the DO/PO-approved Compliance Audit Action

Catalogue (TESDA-OP-IAS-01-F05-A) together with the supporting
documents within three (3) working days after receipt. Any incongruity
between the audit findings and the compliance of the TVI, the RO notifies
the concerned TVI in writing for the latter to submit the appropriate
corrective action to completely address the audit findings.
The TVI shall submit to the RO, via email copy furnished the DO/PO,
pieces of evidence of its implementation to the revised corrective action/s
to completely address the audit findings.
The TVI shall comply within five (5) working days after receipt of
notification from the RO.
6.10.3 The RO shall review and process the audit reports stated in 6.10.1 and
submits the following Consolidated Regional Compliance Audit Reports to
Internal Audit Service (IAS) and RQMC every 3rd working day of the
month following the reference month:
TESDA CIRCULAR
SUBJECT: Amendment to the Compliance Audit Operating No. 04? Series of 2022
Page 19 of 22 pages
1) Compliance Audit Report (TESDA-OP-IAS-01-F05-C), as applicable;

2) Compliance Audit Action Catalogue (TESDA-OP-IAS-01-F05-B), as
applicable;
3) Consolidated Regional Summary of Compliance Audit Results —
Registered TVET Programs (TESDA-OP-IAS-01-F06-R0);
4) Consolidated Compliance Audit Non-Conformities Tracking Sheet —
Registered TVET Programs (TESDA-OP-IAS-01-F06-RO-A); and
5) Consolidated Regional Summary of Audited Programs per Program
Registration Requirements for Institution-based programs (TESDA-
OP-IAS-01-F07A) or Enterprise-based programs (TESDA-OP-IAS-
01-F07B).
6.10.4 Submission of Reports on Revocation of TVI's CTPR

6.10.4.a DO/PO shall prepare and submit to RO the Report on
Revocation Proceedings (TESDA-OP-IAS-01-F08) within three
(3) working days after TVI's receipt of Notice of TVET Program
Closure.
6.10.4.b RO shall review, accomplish, and submit to IAS the TESDA-

OP-IAS-01-F08 within two (2) working days after RO's
notification to the Certification Office for the deletion in the
database of the revoked TVI's CTPR(s).
XII. Section 6.11 is revised as follows:
6.11 Conduct of Special Compliance Audit
6.11.1 The Director General and/or the National Quality Management

Committee directs the conduct of Special Compliance Audit by the IAS.
The Regional Director directs the conduct of Special Compliance Audit

by the ROs. Likewise, the Regional Director shall issue the
corresponding Office Order creating the composition of the Compliance
Auditors and granting them the authority to conduct the special
compliance audit. The audit team shall be composed of RO personnel
only—to establish, if not ensure, auditor independence.
TESDA CIRCULAR
Page 20 of 22 pages
6.11.2 The IAS prepares Special Compliance Audit Plan using the Annual
Compliance Audit Plan (TESDA-OP-IAS-01-F01).
6.11.3 The IAS conducts calibration of IAS Audit Teams to discuss with the
Audit Team Members the standard procedures in the conduct of the
audit, providing a common shared understanding of the audit criteria,
procedures, forms, evidence gathering, and reporting process.
6.11.4 The IAS or ROs conducts the Special Compliance Audit following the
activities provided in Sections 6.5 to 6.8, as applicable.
6.11.5 The IAS' special compliance audit is either announced or spot. Spot
compliance audits occur when prior notice is not given to both TVI and
DO/PO.
6.11.6 The IAS Lead Auditor, based on the Compliance Audit Checklists
(TESDA-OP-IAS-01-F04-A, -F04-B, -F04-C or -F04-D), consolidates the
audit findings and nonconformities of both the TVI and the DO/PO.
6.11.7 The IAS may develop a separate Audit Checklist and/or Compliance
Audit Report for a specific engagement when deemed necessary.
6.11.8 The IAS Lead Auditor shall read and discuss with the TVI-auditee during
the closing meeting the TVI Compliance Audit Report (TESDA-OP-IAS-
01-F05) relative to the noted audit findings and nonconformities. After
which, the IAS Lead Auditor shall provide the TESDA-OP-IAS-01-F05) to
the TVI-auditee.
The TVI Authorized Representative shall stamp "received" the IAS copy
of the signed report as proof of receipt.
6.11.9 The IAS consolidates the results of the Special Compliance Audit
Findings based on the accomplished Compliance Audit Reports
(TESDA-OP-IAS-01-F05).
6.11.10 The IAS analyzes the special compliance audit results and provides the
Consolidated Audit Report to the Director General. The Consolidated
Audit Report and the stated recommendation(s) shall be approved by the
Director General.
TESDA CIRCULAR
Page 21 of 22 pages
6.11.11 The IAS transmits the Consolidated Audit Report to the concerned RO
and DO/PO subject to clearance from the Director General.
XIII. Sections 6.12 and 6.13 are superseded and hereby deleted.
XIV. The following OP Forms are revised/added:

Form Nos. revised Amendments ANNEX
TESDA-OP-IAS-01-F02 • Updated form title A
• Updated several row and column headings
• Provided additional sections to fill-up
• Provided Instructions page on how the form
shall be accomplished
TESDA-OP-IAS-01-F05-A • Updated several column headings B
• Provided additional columns to fill-up
• Provided Instructions on how the form shall be
accomplished
TESDA-OP-IAS-01-F05-B • Updated several column headings C
• Provided Instructions on how the form shall be
accomplished
TESDA-OP-IAS-01-F06-RO • Updated form title D
• Updated several column headings
• Updated Instructions page on how the form
• Updated additional descriptors relative to
closed programs
TESDA-OP-IAS-01-F06-PO • Provided additional columns to fill-up E
• Updated Instructions page on how the form
• Updated additional descriptors relative to
closed programs
TESDA-OP-IAS-01-F06-RO-A • Updated form title F
TESDA CIRCULAR
Page 22 of 22 pages
Form Nos. revised Amendments ANNEX

TESDA-OP-IAS-01-F06-PO-A • Provided additional columns to fill-up G
TESDA-OP-IAS-01-F07-A • Updated Instructions page on how the form H
TESDA-OP-IAS-01-F07-B shall be accomplished I
• Provided additional section and columns to fill-
TESDA-OP-IAS-01-F07A-P0
up
TESDA-OP-IAS-01-F07B-P0 K
TESDA-OP-IAS-01-F08 • Updated several row and column headings L
• Provided additional sections to fill-up
Form No. added Form Title ANNEX

TESDA-OP-IAS-01-F05-C Compliance Audit Report (Provincial Office / District M
Office)
Form Title ANNEX

Suggested Notice of TVET Program Closure N
XV. EFFECTIVITY
These Circular shall take effect immediately and supersedes any other issuances
inconsistent herewith.
, ....
L
DDG R SANNA A. UR ANETA, CESO II
fficer-in-Charge, TESDA
(Deputy Director General for Policies and Planning)
ANNEX "A" Page 1 of 4
TESDA-OP-IAS-01-F02
Rev. No. 02 — 07/05/2022
[DATE]
[Name of Institution Head/Authorized Representative]

[Designation]
[Name of TVI]
[TVI Address]
Dear Mr./Ms.
Greetings from TESDA!
Please be informed that a Team from TESDA [AUDITOR REGION] shall conduct a compliance audit
to the following TESDA-registered TVET program(s) of your Institution:
Qualification Title CTPR Number Date Registered
This is pursuant to Section XVI of TESDA Circular No. 107, s. 2021 or the Omnibus Guidelines on
Technical Vocational Education and Training (TVET) Program Registration which states that "xxx
TESDA shall conduct compliance audit of registered programs offered by TVIs to ensure adherence
with updated laws, regulations, policies, and other guidelines relevant to TVET program registration.
The conduct of compliance audit shall be done one (1) year after the approval of the program
registration and every two (2) years thereafter for succeeding audits."
The scope and coverage of the compliance audit shall include all guidelines and requirements
pertaining to program registration, such as corporate and administrative documentary requirements,
faculty and personnel, curricular requirements, training delivery standards and arrangements, support
services, and other relevant matters that are acceptable as evaluation of the strengths and
weaknesses of the institution to support improvement.
In this connection, please be reminded of the following responsibilities as the auditee-TVI:

1. Disclosure of all documents that may be required in the performance of the audit;
2. Ensure that all necessary facilities and devices required in the performance of the audit are
open and accessible to the Auditors; and
3. Provide soft or hard copies to the Auditors prior or during the conduct of the actual audit.
For further reference of the scheduled compliance audit, attached is the TVI COMPLIANCE AUDIT
PLAN (TESDA-OP-IAS-01-F02).
Kindly return the attached TESDA-OP-IAS-01-F02, duly accomplished and signed, within two (2)
working days after receipt of this letter. In case there is no confirmation received within the said
timeframe, the Compliance Audit Team shall proceed with the conduct of the audit as scheduled.
Should you have inquiries, our Regional Compliance Audit Focal, Mr./Ms. , can be reached
through these numbers: [contact number 1] or [contact number 2].
Thank you for your usual cooperation.
Very truly yours,
Regional Director
TESDA-OP-IAS-01-F02
Rev. No. 02 — 07/05/2022
TVI COMPLIANCE AUDIT PLAN
To determine the continuous compliance of the TVI on program

Objective registration requirements and guidelines
Name of TVI
Head/Administrator
Address
Tel./Fax No./Email
address
Qualification Title Program Registration No. Date Registered
Program/s to be Audited
Date of Audit
Audit Method
*Audit Activities and Areas to

Time Auditee Assigned Auditor
be Audited*
*Audit Activities and Areas to be Audited — which include activities such as Opening Meeting,
Report Preparation, Closing Meeting and Program
Registration Requirements to be audited
Note: Completed forms and/or other information submitted by the TVI during the program registration process
should be made available for inspection by the audit team; TVI should ensure the availability of concerned trainer
on the actual date of audit.
Page 1 of 2
TESDA-OP-IAS-01-F02
Rev. No. 02 — 07/05/2022
Prepared by: Approved by:
RO Compliance Audit Focal Regional Director
Date: Date:
Conformed:
WI Head/Administrator/Representative
Date:
Note: In case of audit re-scheduling the TVI Head/Administrator/Representative shall indicate the preferred date
of audit and reason(s) for rescheduling subject to the approval of the Regional Director.
Preferred Date of
Audit:
Reason(s) for audit
rescheduling:
(Signature over Printed name of the TVI

Head/Administrator/Representative)
Date:
Recommending Approval: Approved by:
Provincial/District Director Regional Director
Date: Date:
Page 2 of 2
TESDA-OP-IAS-01-F02
Rev. No. 02 — 07/05/2022
TVI COMPLIANCE AUDIT PLAN
INSTRUCTIONS
A. This form shall be accomplished by the RO Compliance Audit Focal and approved by the
Regional Director.
B. This form shall be accomplished as follows:
1. Name of TVI — Name of the TVI to be audited

2. Head/Administrator — Name of the TVI Head/Administrator as indicated in the latest
Compendium of Registered Programs
3. Address — Address of the AC to be audited
4. Tel./Fax No. , Email address — Contact details of the TVI to be audited
5. Program/s to be Audited — Title of program(s) to be audited together with its
corresponding Program Registration Number and Date of Registration
6. Date of Audit — Date of the scheduled compliance audit
7. Audit Method — audit method to be used during the conduct of compliance audit
8. Audit Activities and Areas to be Audited; Time; Auditee; Assigned Auditor —
Indicate information regarding the areas to be audited, time, auditee-TVI personnel
and auditor region
9. Prepared by — name and signature of the RO UTPRAS Focal/Compliance Audit
Focal who prepares the plan and the date it was signed.
10.Approved by — name and signature of the Regional Director who approves the plan
and the date it was signed.
11.Conformed — name and signature of the WI Head/Administrator/Authorized
Representative who conforms to the details on the audit plan and the date it was
signed.
C. Entries to this form shall be made based on the duly approved Annual Compliance Audit
Plan (TESDA-OP-IAS-01-F01).
ANNEX "B" Page 1 of 1
TESDA-OP-IAS-01-F05-A
Rev. 03 - 07/05/2022
COMPLIANCE AUDIT ACTION CATALOGUE

For Technical Vocational Institutions (TVIs)
Name of Institution District/Provincial Office

Address Date Audit Conducted
To be accomplished by Auditee TVI To be accomplished by Provincial Office/District Office
Comments Comments
Date Nonconformity
Target Target on the on the Date
Identified Proposed Proposed Corrective (ies) closed
Areal Findings/ Implementation Implementation Proposed Proposed Correction
Qualification Root Correction Corrective Action
Process Description Date of Proposed Date of Proposed Correction Corrective Action
(a) Cause Action Action implemented "Indicate
(b) (c) Correction Action Corrective Action Action Action implemented
(d) (e) (g) (I) Yes or No"
(f) (h) (i) 0) (k)
(m)
Other Observation/s:
(These are audit observations that cannot be considered as non-conformities)
Instructions:
1. Column (I) — This column shall refer to the proposed correction action as submitted by TVI, if not applicable, indicate "N/A". If said correction is approved, indicate in "Yes". Otherwise, indicate its "comments or recommendation
and the date of re-submission".
2. Column (j) - This column shall refer to the proposed corrective action as submitted by TVI. If said corrective action is accepted, indicate in "Yes". Otherwise, indicate its "comments or recommendation and the date of re-
submission".
3. Column (k) - This column shall refer to the TVI's actual date of implementation of the PO/DO accepted correction action/s based on the submitted compliance documents/pieces of evidence.
4. Column (I) - This column shall refer to the TVI's actual date of implementation of the PO/DO accepted corrective action/s based on the submitted compliance documents/pieces of evidence.
TVI Head/Administrator/Company District/Provincial Director

Head/Representative
Date: Date:
ANNEX "C" Page 1 of 1
TESDA-OP-IAS-01-F05-B
Rev. No. 02 - 07/05/2022
COMPLIANCE AUDIT ACTION CATALOGUE

for Nonconformities of District Office / Provincial Office
District/Provincial Office
Name of TVI Audited Date Audit Conducted
To be accomplished by the District Office / Provincial Office To be accomplished by the Regional Office
Comments Comments
Date Nonconformity
Target Target on the on the Date
Identified Proposed Proposed Corrective (ies) closed
Areal Findings/ Implementation Implementation Proposed Proposed Correction
Qualification Root Correction Corrective Action
Process Description Date of Proposed Date of Proposed Correction Corrective Action
(a) Cause Action Action implemented "Indicate
(b) (c) Correction Action Corrective Action Action Action implemented
(d) (e) (g) (I) Yes or No"
(f) (h) (i) 0) (k)
(m)
Other Observation/s:
(These are audit observations that cannot be considered as non-conformities)
Instructions:
1. Column (I) — This column shall refer to the proposed correction action as submitted by DO/PO, if not applicable, indicate "N/A". If said correction is approved, indicate in "Yes". Otherwise, indicate its "comments or
recommendation and the date of re-submission".
2. Column (j) - This column shall refer to the proposed corrective action as submitted by DO/P0. If said corrective action is accepted, indicate in "Yes". Otherwise, indicate its "comments or recommendation and the date of re-
submission".
3. Column (k) - This column shall refer to the DO/PO's actual date of implementation of the RO accepted correction action/s based on the submitted compliance documents/pieces of evidence.
4. Column (I) - This column shall refer to the DO/PO's actual date of implementation of the RO accepted corrective action/s based on the submitted compliance documents/pieces of evidence.
Prepared by: Concurred by: Approved by:
DO/PO Compliance Audit Focal District/Provincial Director Regional Director

Date: Date: Date:
ANNEX "D" Page 1 of 2
TESDA-OP-IAS-01-F06-R0
Rev. No. 03 - 07/05/2022
CONSOLIDATED REGIONAL SUMMARY OF COMPLIANCE AUDIT RESULTS —

REGISTERED TVET PROGRAMS
For the year:
As of
Region:
Status (Place a check mark on columns G, H or J as applicable)

Registration
Migration Non-compliant
Date of
Seq. District I Name of TVET Findings Date Non-
Audit/ FOR NOT Date of
No. Province institution Program Compliant Closed, on Areas Conformities Remarks
Closure Migration Migrated Correction Corrective Implementation
Date Number (within the (period of Not Closed
Action Action (Correction and
migration migration Complied Corrective Actions) (Date of
period) already lapsed)
with Compliance)
(A) (B) __kg (D) (E.1) (E.2) (F) (G) (H.1) (H.2) (I) (J) (K) (L) in (N) (0) (P)

Date: Date:
1
Indicate either: 1— for Closed TVI/Company; 2 — for TVET programs Closed due to Certificate of TVET Program Registration (CTPR) voluntarily surrendered to PO/DO prior the conduct of audit; or 3 — for TVET programs closed due to
unsettled nonconformities.
ANNEX "D" Page 2 of 2
CONSOLIDATED REGIONAL SUMMARY OF COMPLIANCE AUDIT RESULTS -
REGISTERED NET PROGRAMS
INSTRUCTIONS
A. This Summary shall be accomplished and be submitted by the Regional Office to the Internal Audit Service (IAS) and RQMC every 3rd day of the month

1. For the year — the applicable year where compliance audit was conducted
2. As of — period covered of the report
3. Region — name of the region
4. Columns A to P shall reflect the following information:
Column A Seq. No. Sequence number
Column B District / Province District / Province where the WI is located
Column C Name of Institution Name of the TVI audited
Column D WET Program Title of program audited
Column E.1 Registration Date Registration Date of the WET programs audited
Column E.2 Registration Number CTPR Number of the WET programs audited
Column F Date of Audit / Closure Actual date of audit; date of TVI closure; or the date when the TVI's CTPR was voluntarily surrendered to PO/DO
Column G Compliant Put a check "v" mark to indicate status based on the duly accomplished and submitted Consolidated Provincial/District Report on
Audited and Closed Programs and Status of Compliance to Correction and Corrective Action/s (TESDA-OP-IAS-01-F06-P0) from
the District/Provincial Offices
Column H.1 For Migration [FOR Migration (within the WET Programs needing migration due to either from NTR to WTR or Old WTR to Updated WTR. Audited WET programs under
migration period)] this category are found compliant at the time of audit. TVIs have the responsibility to migrate the program prior to the lapse of the
migration period. Put a check "v" mark to indicate status
Column H.2 For Migration [NOT Migrated (period of Audited WET programs under this category FAILED to migrate the program within the migration period. These WET programs
mutation. aireadylep§eg are considered NONCOMPLIANT and shall be subjected to Revocation Proceedings.. Put a check "v" mark to indicate status
Column I Closed Indicate either: 1 — for Closed TVI/Company; 2 — for Programs Closed due to Certificate of WET Program Registration (CTPR)
voluntarily surrendered to PO/DO prior the conduct of audit; or 3 — for WET programs closed due to unsettled nonconformities, as
of reporting date
Column J on-Compliant Put a check "V" mark to indicate status based on the duly accomplished and submitted Consolidated Provincial/District Report on
Audited and Closed Programs and Status of Compliance to Correction and Corrective Action's (TESDA-OP-IAS-01-F06-P0) from
the District/Provincial Offices
Columns K — Findings on Areas Not Complied Detailed audit findings and responses of the WI based on duly accomplished and submitted Consolidated Provincial/ District Report
K to N with per Program Registration on Audited and Closed Programs and Status of Compliance to Correction and Corrective Action/s (TESDA-OP-IAS-01-F06-PO)
Requirement from the District/Provincial Offices
L — Correction Action
M — Corrective Action
N — Date of Implementation (Correction
and Corrective Actions)
Column N Date Non-Conformities Closed Actual date of WI's closure of ALL audit findings based on the updated TESDA-OP-IAS-01-F05-A
. (Date of Compliance)
Column P Remarks Other details/information on the status of the audited TVET programs for which no specific column has been provided
5. Prepared by — name and signature of the RO Compliance Audit Focal who prepares the report and the date it was signed.
6. Approved by — name and signature of the Regional Director who approves the report and the date it was signed.
C. Entries to the report shall be made only based on duly submitted Consolidated Provincial/District Report on Audited and Closed Programs and Status of Compliance to Correction
and Corrective Action/s (TESDA-OP-IAS-01-F06-P0) from the District/Provincial Offices.
ANNEX "E" Page 1 of 2
TESDA-OP-IAS-01-F06-P0
Rev. No. 03 - 07/05/2022
CONSOLIDATED PROVINCIAL/DISTRICT REPORT ON AUDITED AND CLOSED PROGRAMS

AND STATUS OF COMPLIANCE TO CORRECTION AND CORRECTIVE ACTION/S
For the year:
As of
Province:
Status (Place a check mark on columns F, G or I as applicable)

Registration
Migration Non-compliant
Date of
Seq. Name of TVET Date Non-
Audit/ FOR NOT Findings on Date of
No. Institution Program Compliant Closed,
Cl Conformities Remarks
Closure Migration Migrated Areas Not Correction Corrective Implementation
Date Number (within the (period of Action (Correction and Closed
Complied Action
migration migration
Corrective Actions) (Date of
period) already lapsed) With Compliance)
(A) _1131_____ (C) (D.1) (D.2) (E) (F) (G.1) (G.2) (H) (I) (J) (K) (L) (M) (N) (0)
DO/PO Compliance Audit Focal District/Provincial Director

Date: Date:
1
Indicate either: 1— for Closed TVI/Company; 2— for TVET programs Closed due to Certificate of TVET Program Registration (CTPR) voluntarily surrendered to PO/DO prior the conduct of audit; or 3— for TVET programs closed due
to unsettled nonconformities.
ANNEX "E" Page 2 of 2
CONSOLIDATED PROVINCIAL/DISTRICT REPORT ON AUDITED AND CLOSED PROGRAMS
AND STATUS OF COMPLIANCE TO CORRECTION AND CORRECTIVE ACTION/S
INSTRUCTIONS
A. This Summary shall be accomplished and be submitted by the District/Provincial Office to the Regional Office every end of the month.

3. Province — name of the province/district
4. Columns A to 0 shall reflect the following information:
Column A Seq. No. Sequence number
Column B Name of Institution i Name of the TVI audited
Column C TVET Program ! Title of program audited
Column D.1 Registration Date Registration Date of the NET programs audited
Column D.2 Registration Number CTPR Number of the TVET programs audited
Column E Date of Audit/Closure Actual date of audit; date of TVI closure; or the date when the TVI's CTPR was voluntarily surrendered to PO/DO
Column F Compliant Put a check "v" mark to indicate status based on the duly accomplished TVI Compliance Audit Report (TESDA-OP-IAS-01-F05) and/or
Compliance Audit Action Catalogue (TESDA-OP-IAS-01 -FOS-A) as of reporting date
Column G.1 For Migration [FOR Migration TVET Programs needing migration due to either from NTR to VVTR or Old WTR to Updated WTR. Audited TVET programs under this category
(within the migration period)] are found compliant at the time of audit. TVls have the responsibility to migrate the program prior to the lapse of the migration period. Put a
check "v" mark to indicate status
Column G.2 For Migration [NOT Migrated Audited TVET programs under this category FAILED to migrate the program within the migration period. These TVET programs are
(period of migration already considered NONCOMPLIANT and shall be subjected to Revocation Proceedings. Put a check "v" mark to indicate status
lapsed)]
Column H Closed Indicate either: 1 — for Closed TVI/Company; 2 — for Programs Closed due to Certificate of TVET Program Registration (CTPR) voluntarily
surrendered to PO/DO prior the conduct of audit; or 3 — for TVET programs closed due to unsettled nonconformities, as of reporting date
Column I Non-Compliant Put a check 'V" mark to indicate status based on the duly accomplished TESDA-OP-IAS-01-F05 at the time of audit OR TESDA-OP-IAS-01-
F05-A as of reporting date
Columns J — Findings on Areas Not Detailed audit findings based on TESDA-OP-IAS-01-F05 and responses of the TVI indicated in the submitted Compliance Audit Action
J to M Complied with Catalogue (TESDA-OP-IAS-01-F05-A) as of reporting date
K — Correction Action
L — Corrective Action
M — Date of Implementation
(Correction and Corrective
Actions)
Column N Date Non-Conformities Closed Actual date of TVI's closure of ALL audit findings based on the updated TESDA-OP-IAS-01-F05-A
(Date of Compliance)
Column 0 Remarks Other details/information on the status of the audited TVET programs for which no specific column has been provided
5. Prepared by — name and signature of the DO/PO Compliance Audit Focal who prepares the report and the date it was signed.
6. Approved by — name and signature of the District/Provincial Director who approves the report and the date it was signed.
C. Entries to the report shall be made only based on duly submitted TVI/Company Compliance Audit Report (TESDA-OP-IAS-01-F05) and/or Compliance Audit
Action Catalogue (TESDA-OP-IAS-01-F05-A).
ANNEX "F" Page 1 of 1
TESDA-OP-IAS-01-F06-RO-A
Rev. No. 01 - 07/05/2022
CONSOLIDATED COMPLIANCE AUDIT NON-CONFORMITIES TRACKING SHEET — REGISTERED WET PROGRAMS
For the year:

As of
Regional Office
DO/PO reviews
TVI's Compliance the RO reviews the
with Correction and accomplished
accomplished CA
Receipt of DO/PO reviews Corrective Action CA Action
Acon Action Catalogue
DO/PO of Auditee TVI and accepts the Catalogue together with the
the prepares and accomplished together with supporting
Submits
Receipt of Compliance submits to CA Action the supporting documents.
documents/pieces
the Audit Report DO/P0 the Action Catalogue documents.
of evidence as If found
Compliance from Lead Catalogue If disapproved'
Seq Name of TVET Areal Audit proof of inaccurate, RO
. Province Audit Report Auditor [2 WDs after receipt DO/PO returns
No. Institution Program Process Findings [3 VVDs after receipt of of the TVI
compliance/ notifies the TVI
by the TVI of the report to the
[1 WD after the the Compliance Audit accomplished for compliance
conduct of Report] Compliance Audit the TVI's TVI for within 5 WDs
audit] Action Catalogue] Correction and/or compliance [within 3 WDs after
Corrective Actions receipt of documents
[3 WDs after receipt from DO/PO]
approved by the of documents/
DO/P0 pieces of evidence]
1 WD 3 WDs 2 WDs 30 WDs 3 WDs
Date Date
Date Date Date Date Date Date Date Date Date Date
Started Finished
Received Received Started Finished Started Finished Started Finished Started Finished
Note: A total number of 39 working days of compliance and monitoring period of the non-conformity/les reckoned on the day of receipt by DO/PO of the Compliance Audit Report from
Lead Auditor.

Date: Date:
ANNEX "G" Page 1 of 1
TESDA-OP-IAS-01-F06-PO-A
Rev. No. 01 - 07/05/2022
COMPLIANCE AUDIT NON-CONFORMITIES TRACKING SHEET — REGISTERED WET PROGRAMS
For the year:

As of
District/Provincial Office
TVI's Compliance with DO/PO reviews the

Receipt of DO/PO Auditee TVI DO/PO reviews Correction and Corrective accomplished CA Action
of the prepares and and accepts the Action Catalogue together with
Receipt of Compliance Audit submits to accomplished CA the supporting documents.
Submits documents/pieces of
the Report from Lead DO/PO the Action Action Catalogue If disapproved, DO/PO
Name of Compliance Catalogue evidence as proof of
TVET Area/ Audit Auditor returns the report to the
Institution Audit Report [2 WDs after receipt of compliance/implementation of
Program Process Findings TVI for compliance
by the TVI [3 WDs after receipt of the TVI-accomplished the TVI's Correction and/or
[1 WD after the Compliance Audit
the Compliance Audit
conduct of audit] Action Catalogue] Corrective Actions approved by [3 WDs after receipt of
Report]
the DO/PO documents/ pieces of evidence]
1 WD 3 WDs 2 WDs 30 WDs 3 WDs
Date Date Date Date
Date Received Date Received Started Finished Started Finished
Date Started Date Finished Date Started Date Finished
Note. A total number of 39 working days of compliance and monitoring period of the non-conformity/les reckoned on the day of receipt by DO/PO of the Compliance Audit Report from
Lead Auditor.

Date: Date:
ANNEX "H" Page 1 of 3
TESDA-OP-IAS-01-F07-A
Rev. No. 03 — 07/05/2022
CONSOLIDATED REGIONAL SUMMARY OF AUDITED PROGRAMS PER

PROGRAM REGISTRATION REQUIREMENTS (INSTITUTION-BASED PROGRAMS)
For the year:
As of
No. of No. of No. of audited
Total No. of
Compliant Non-Compliant Programs Closed'
Program Registration Requirements Programs
Programs Programs after the conduct
Audited
Audited Audited of audit
(A) (B) (C) (D)
A. Corporate and Administrative Documents
Letter of Application
Special Law creating the institution (for
public institution)
SEC Registration and General
Information Sheet (GIS)
Articles of Incorporation
Proof of building ownership or Contract
of lease
Current Fire Safety Certificate
B. Curricular Requirements
Competency-based Curriculum
Curriculum Design
Progress Chart
Modules of Instruction
Program Design
Session Plan
List of Instructional Materials
Competency-based Learning Materials
Tools and Equipment
Maintenance Schedule
List of Physical Facilities and Off-
Campus Physical Facilities
Shop Lay-out
C. Faculty and Personnel
List of officials, teaching and non-
teaching staff
D. Program Guidelines
Schedule and Breakdown of Tuition
and other fees
Entry Requirement
Rules of Attendance
E. Support Services
Health Service Facility
Record of students/trainees that
availed of the health services
1 Refers to TVET programs closed or Voluntarily surrendered CTPRs AFTER the conduct of audit due to unsettled nonconformities.
ANNEX "II" Page 2 of 3
Total No. of
Audited
(A) (B) (C) (D)
MOA with Health Service Provider
Career Guidance Services
F. Other Requirements
Signage
Data Management and Security in
G. Mandatory Assessment and Submission of MIS 03-02
Assessment of students/trainees 1 I
H. Program Performance Measures
NTR Program's employment not lower
than the national TESDA average
employment rate
WTR Program's certification rate not
lower than the national sectoral
average rate
TOTAL
Total number of TVET programs closed:
Date: Date:
2
Refers to Closed TVI/Company and Programs Closed due to Certificate of TVET Program Registration (CTPR) voluntarily surrendered to PO/DO
prior the conduct of audit
ANNEX "I-1" Page 3 of 3

INSTRUCTIONS
A. This Summary shall be accomplished and be submitted by the Regional Office to the Internal Audit Service
(IAS) and RQMC every 3rd day of the month

3. Total No. of Programs Audited — cumulative number of TVET programs audited as of reporting date
NOTE: The Total No. of Programs Audited shall tally with the sum of the total number of TVET
programs identified under columns G to J of the Consolidated Regional Summary of Compliance
Audit Results — Program Registration (TESDA-OP-IAS-01-F06-R0). Provided, that only those
TVET programs falling under column I and categorized as "3" shall be counted in computing the
sum
4. No. of Compliant Programs Audited — cumulative number of audited NET programs found
compliant per program registration requirements at the time of audit or having achieved the compliant
status3 as of reporting date. The number shall tally with the sum of the total number of NET programs
identified under columns G and H.1 of TESDA-OP-IAS-01-F06-R0
5. No. of Non-Compliant Programs Audited — cumulative number of audited NET programs found
non-compliant per program registration requirement at the time of audit and as of reporting date. The
number shall tally with the sum of the total number of qualifications identified under columns J and H.2
of TESDA-OP-IAS-01-F06-R0
6. No. of audited Programs Closed after the conduct of audit — cumulative number of audited NET
programs closed as of reporting date either due to non-closure of audit findings within the prescribed
period or TVI's decision not to comply and voluntarily close the program [CTPR(s) surrendered to the
DO/PO]. The number shall tally with the sum of the total number of NET programs categorized as "3"
under column I of TESDA-OP-IAS-01-F06-R0
NOTE: The sum per row of No. of Compliant Programs Audited column, No. of Non-Compliant
Programs Audited column, and No. of audited Programs Closed after the conduct of audit shall be
equal to the column on Total No. of Programs Audited
7. TOTAL — cumulative total number of audited WET programs
8. Total number of WET programs closed — cumulative total number of (1) Closed NI/Company and
(2) Programs Closed due to Certificate of NET Program Registration (CTPR) voluntarily surrendered
to PO/DO prior the conduct of audit
9. Prepared by — name and signature of the RO UTPRAS Focal/Compliance Audit Focal who prepares
the report and the date it was signed
10. Approved by — name and signature of the Regional Director who approves the report and the date it
was signed
C. Entries to the report shall be made only based on the duly submitted form nos. TESDA-OP-IAS-01-F06-
PO and TESDA-OP-IAS-01-F07-A by the respective district/provincial offices.
3 Refers to those programs previously reported as non-compliant but have successfully complied all its audit findings based on the
District/Provincial Director approved TESDA-OP-IAS- 01-F05-A (Compliance Audit Action Catalogue)
ANNEX "I" Page I of 2
TESDA-OP-IAS-01-F07-B
Rev. No. 03 - 07/05/2022

PROGRAM REGISTRATION REQUIREMENTS (ENTERPRISE-BASED PROGRAMS)
For the year:
As of
Total No. of
Compliant Non-Compliant Programs Closed,
Programs Programs ! after the conduct
Audited
(A) (B) (C) (D)

public institution)
SEC Registration and General Information
Sheet (GIS)/
DTI Registration
Curriculum or Training Plan
Tools and Equipment
Qualification of Trainer
C. Mandatory Assessment and submission of MIS 03.02
MIS 03-02
RWAC
Total number of Programs closed2:
Date: Date:
2 Refers to Closed TVI/Company and Programs Closed due to Certificate of NET Program Registration (CTPR) voluntarily surrendered to PO/DO
ANNEX "I" Page 2 of 2

PROGRAM REGISTRATION REQUIREMENTS FOR ENTERPRISE -BASED PROGRAMS
INSTRUCTIONS
A. This Summary shall be accomplished and be submitted by the Regional Office to the Internal Audit
Service (IAS) and RQMC every 3rd day of the month

3. Total No. of Programs Audited — cumulative number of NET programs audited as of reporting
date
programs identified under columns G to J of the Consolidated Regional Summary of Compliance
Audit Results — Program Registration (TESDA-OP-IAS-01-F06-R0). Provided, that only those
NET programs falling under column I and categorized as "3" shall be counted in computing the
SUM
4. No. of Compliant Programs Audited — cumulative number of audited NET programs found
compliant per program registration requirements at the time of audit or having achieved the
compliant status3 as of reporting date. The number shall tally with the sum of the total number of
NET programs identified under columns G and H.1 of TESDA-OP-IAS-01-F06-RO
5. No. of Non-Compliant Programs Audited — cumulative number of audited NET programs found
non-compliant per program registration requirement at the time of audit and as of reporting date.
The number shall tally with the sum of the total number of qualifications identified under columns J
and H.2 of TESDA-OP-IAS-01-F06-RO
6. No. of audited Programs Closed after the conduct of audit — cumulative number of audited
TVET programs closed as of reporting date either due to non-closure of audit findings within the
prescribed period or WI's decision not to comply and voluntarily close the program [CTPR(s)
surrendered to the DO/PO]. The number shall tally with the sum of the total number of NET
programs categorized as "3" under column I of TESDA-OP-IAS-01-F06-R0
7. TOTAL — cumulative total number of audited NET programs
8. Total number of WET programs closed — cumulative total number of (1) Closed NI/Company
and (2) Programs Closed due to Certificate of NET Program Registration (CTPR) voluntarily
surrendered to PO/DO prior the conduct of audit
9. Prepared by — name and signature of the RO UTPRAS Focal/Compliance Audit Focal who
prepares the report and the date it was signed
10. Approved by — name and signature of the Regional Director who approves the report and the date
it was signed
C. Entries to the report shall be made only based on the duly submitted form nos. TESDA-OP-IAS-01-
F06-P0 and TESDA-OP-IAS-01-F07-B by the respective district/provincial offices.
3
Refers to those programs previously reported as non-compliant but have successfully complied all its audit findings based on the
ANNEX "J" Page 1 of 3
TESDA-OP-IAS-01-F07A-P0
Rev. No. 01 — 07/05/2022
CONSOLIDATED PROVINCIAL/DISTRICT SUMMARY OF AUDITED PROGRAMS PER

For the year:
As of
Total No. of
Audited
(A) (B) (C) (D)
public institution)
SEC Registration and General
Information Sheet (GIS)
Articles of Incorporation
Proof of building ownership or Contract
of lease
Competency-based Curriculum
Curriculum Design
Progress Chart
Modules of Instruction
Program Design
Session Plan
List of Instructional Materials
Competency-based Learning Materials
Tools and Equipment
List of Physical Facilities and Off-
Campus Physical Facilities
Shop Lay-out
C. Faculty and Personnel
List of officials, teaching and non-
teaching staff
D. Program Guidelines
Schedule and Breakdown of Tuition
and other fees
Entry Requirement
Rules of Attendance
E. Support Services
Health Service Facility
Record of students/trainees that
availed of the health services
MOA with Health Service Provider
Total No. of
Audited
(A) (B) (C) (D)
Career Guidance Services
F. Other Requirements
Signage
Data Management and Security in
G. Mandatory Assessment and Submission of MIS 03-02
Assessment of students/trainees
H. Program Performance Measures
NTR Program's employment not lower
than the national TESDA average
employment rate
WTR Program's certification rate not
lower than the national sectoral
average rate
TOTAL
Total number of TVET programs closecf:
Date: Date:
2
Refers to Closed TVI/Company and Programs Closed due to Certificate of TVET Program Registration (CTPR) voluntarily surrendered to PO/DO

INSTRUCTIONS
A. This Summary shall be accomplished and be submitted by the District/Provincial Office to the Regional
Office every end of the month.

3. Total No. of Programs Audited — cumulative number of TVET programs audited as of reporting date
programs identified under columns F to I of the Consolidated Provincial/District Report on Audited
and Closed Programs and Status of Compliance to Correction and Corrective Action/s (TESDA-
OP-IAS-01-F06-P0). Provided, that only those TVET programs falling under column H and
categorized as "3" shall be counted in computing the sum
4. No. of Compliant Programs Audited — cumulative number of audited TVET programs found
compliant per program registration requirements at the time of audit or having achieved the compliant
status3 as of reporting date. The number shall tally with the sum of the total number of TVET programs
identified under columns F and G.1 of TESDA-OP-IAS-01-F06-P0
5. No. of Non-Compliant Programs Audited — cumulative number of audited TVET programs found
non-compliant per program registration requirement at the time of audit and as of reporting date. The
number shall tally with the sum of the total number of qualifications identified under columns I and G.2
of TESDA-OP-IAS-01-F06-P0
6. No. of audited Programs Closed after the conduct of audit — cumulative number of audited NET
programs closed as of reporting date either due to non-closure of audit findings within the prescribed
period or TVI's decision not to comply and voluntarily close the program [CTPR(s) surrendered to the
DO/PO]. The number shall tally with the sum of the total number of NET programs categorized as "3"
under column H of TESDA-OP-IAS-01-F06-P0
7. TOTAL — cumulative total number of audited WET programs
8. Total number of TVET programs closed — cumulative total number of (1) Closed NI/Company and
(2) Programs Closed due to Certificate of WET Program Registration (CTPR) voluntarily surrendered
to PO/DO prior the conduct of audit
9. Prepared by — name and signature of the DO/PO Compliance Audit Focal who prepares the report
and the date it was signed
10. Approved by — name and signature of the Regional Director who approves the report and the date it
was signed
C. Entries to the report shall be made only based on the duly submitted NI/Company Compliance Audit
Report (TESDA-OP-IAS-01-F05). Said entries shall be posted individually to form no. TESDA-OP-IAS-
01-F06-PO.
3 Refers to those programs previously reported as non-compliant but have successfully complied all its audit findings based on the
ANNEX "K" Page 1 of 2
TESDA-OP-IAS-01-F07B-P0
Rev. No. 01 — 07/05/2022

PROGRAM REGISTRATION REQUIREMENTS (ENTERPRISE-BASED PROGRAMS)
For the year:
As of
Total No. of
Programs
Program Registration Requirements Programs Programs after the conduct
Audited
(A) (B) (C) (D)

public institution)
SEC Registration and General Information
Sheet (GIS)/
DTI Registration
Curriculum or Training Plan
Tools and Equipment
Qualification of Trainer
C. Mandatory Assessment and submission of MIS 03.02
MIS 03-02
RWAC
Total number of Programs closed:
Date: Date:
2 Refers to Closed TVI/Company and Programs Closed due to Certificate of TVET Program Registration (CTPR) voluntarily surrendered to PO/DO
ANNEX "K" Page 2 of 2

PROGRAM REGISTRATION REQUIREMENTS FOR ENTERPRISE -BASED PROGRAMS
INSTRUCTIONS
A. This Summary shall be accomplished and be submitted by the District/Provincial Office to the Regional
Office every end of the month.

3. Total No. of Programs Audited — cumulative number of TVET programs audited as of reporting
date
programs identified under columns F to I of the Consolidated Provincial/District Report on
Audited and Closed Programs and Status of Compliance to Correction and Corrective Action/s
(TESDA-OP-IAS-01-F06-PO). Provided, that only those TVET programs falling under column H
and categorized as "3" shall be counted in computing the sum
4. No. of Compliant Programs Audited — cumulative number of audited TVET programs found
compliant per program registration requirements at the time of audit or having achieved the
compliant status' as of reporting date. The number shall tally with the sum of the total number of
TVET programs identified under columns F and G.1 of TESDA-OP-IAS-01-F06-P0
5. No. of Non-Compliant Programs Audited — cumulative number of audited TVET programs found
non-compliant per program registration requirement at the time of audit and as of reporting date.
The number shall tally with the sum of the total number of qualifications identified under columns I
and G.2 of TESDA-OP-IAS-01-F06-PO
6. No. of audited Programs Closed after the conduct of audit — cumulative number of audited
TVET programs closed as of reporting date either due to non-closure of audit findings within the
prescribed period or TVI's decision not to comply and voluntarily close the program [CTPR(s)
surrendered to the DO/PO]. The number shall tally with the sum of the total number of TVET
programs categorized as "3" under column H of TESDA-OP-IAS-01-F06-P0
Programs Audited column, and No. of audited Programs Closed after the conduct of audit shall
be equal to the column on Total No. of Programs Audited
7. TOTAL — cumulative total number of audited TVET programs
8. Total number of NET programs closed — cumulative total number of (1) Closed TVI/Company
and (2) Programs Closed due to Certificate of TVET Program Registration (CTPR) voluntarily
surrendered to PO/DO prior the conduct of audit
Prepared by — name and signature of the DO/PO Compliance Audit Focal who prepares the report
and the date it was signed
10. Approved by — name and signature of the Regional Director who approves the report and the date
it was signed
C. Entries to the report shall be made only based on the duly submitted TVI/Company Compliance Audit
Report (TESDA-OP-IAS-01-F05). Said entries shall be posted individually to form no. TESDA-OP-IAS-
01-F06-PO
3
Refers to those programs previously reported as non-compliant but have successfully complied all its audit findings based on the
ANNEX "L" Page 1 of 1
TESDA-OP-IAS-01-F08
Rev. No. 02 — 07/05/2022
REPORT ON REVOCATION PROCEEDINGS
Region
Province
Name of Institution
TVET Program(s)
Date of Audit
Date Audit Report received by TVI
Date compliance period lapsed
Procedure on Revocation Proceedings
To be accomplished by the DO/PO DATE

1. DO/PO issues written communication to TVI of the After the lapse of 6.9.3.a
the period to
probable cause in the revocation of TVI's CTPR for the comply
noncompliant TVET program/s
2. AC writes reply, within prescribed period, why the Within five (5) 6.9.3.b
Forking days from
accreditation for the noncompliant TVET programs receipt of written
should not be cancelled notice
(If the TVI fails to respond within the prescribed period,

proceed to Number s)
3. DO/P0 acts on the explanation letter and decides on Within two (2) 6.9.3.c
working days from
the merit of TVI's explanation receipt of TVI's
explanation letter
If merit is found, DO/P0 notifies the TVI Authorized
Representative in writing of the ten (10) working day
period or to correct its deficiencies/non-
conformities.
(If longer period was determined by the DO/PO and is reasonably
justified, indicate in the space provided the period given)
4. Date compliance period lapsed in relation to Number 3

above. The TVI failed to correct its deficiencies/non-
conformities within the extended compliance period.
Within one (1) 6.9.3.c
5. working day after
DO/P0 sends its recommendation to the RO of the
DOPO sreview of
revocation of the TVI's CTPR(s) TVI's explanation
e
letter
Within three (3) 6.9.3.d
6. RO acts on the recommendation of the DO/P0 and working days from
issues the Notice of Program Closure receipt of DOPO's
recommendation
7. DO/P0 sends the Notice of TVET Program Closure Upon receipt of the 6.9.3.e
NTPC
(NTPC) to the TVI
Within five (5) 6.9.3.e
8. TVI surrenders the CTPR(s) working days from
receipt of NTPC
Within three (3) 6.10.4.a
9. DO/P0 submits to RO the Report on Revocation working days after
Proceedings (TESDA-OP-IAS-01-F08) TVI's receipt of
NTPC
To be accomplished by the RO
Within two (2) 6.10.4.b
10. RO submits to IAS the TESDA-OP-IAS-01-F08 after working days after
RO's notification to the Certification Office for the RO's notification to
deletion in the database of the revoked TVI's CTPR(s) Certification Office
Prepared by: Approved by: Endorsed by:
UTPRAS Focal person District/Provincial Director Regional Director
Date: Date: Date:

ANNEX "M" Page 1 of 2
TESDA-OP-IAS-01-F05-C
Rev. No. 00 — 07/05/2022
COMPLIANCE AUDIT REPORT

for Nonconformities of District Office / Provincial Office
District Office/Provincial Office CTPR Number

Name of TVI Audited Qualification
Audit Method
Degree of
Details of Audit Findings
Process Area Criticality
(to be accomplished by the Auditor)
NC OFI
Requirement:
Non-conformity:
Requirement:
Non-conformity:
Requirement:
Program Non-conformity:
Registration Requirement:
Non-conformity:
Requirement:
Non-conformity:
Requirement:
Non-conformity .
Other
Observations
Prepared by:
Name of Lead Auditor Name of Member Auditor Name of Member Auditor Name of Member Auditor
Date:
ANNEX "M" Page 2 of 2
COMPLIANCE AUDIT REPORT
for Nonconformities of District Office/Provincial Office
INSTRUCTIONS
A. This Report shall be accomplished by the Lead and Member Auditors and shall be provided to the District Office/Provincial Office within one (1)
working day after the conduct of audit.
1. District Office/Provincial Office — Name of DO/PO where the TVET program of the TVI is registered
2. Name of WI Audited — Name of Technical Vocational Institution (TVI) audited
3. CTPR Number — Certificate of TVET Program Registration (CTPR) Number of registered TVET program audited
4. Qualification — Qualification title audited
5. Audit Method — Audit method employed during actual conduct of compliance audit
6. AREA — specify the Program Registration Area which the audit findings relate to
7. Details of Audit Findings — detailed description or information of the audit findings in relation to the complete, accurate, concise, and clear
record of the audit conducted consistent with the format provided under section 6.8.1.b and 6.8.2.c of the Operating Procedure'. Audit
findings are lifted from the Compliance Audit Checklists (TESDA-OP-IAS-01-F04-A, -F04-B, -F04-C or -F04D) duly accomplished by the
lead and member auditors. Indicate "COMPLIANT" to those Process having no nonconformity at the time of audit.
8. Degree of Criticality — Put a check "✓" mark on the applicable row to indicate the criticality2 of individual audit findings.
9. Other Observations — Details/information of observations noted for which no specific Process/Question has been provided in the Compliance
Audit Checklists.
10. Prepared by — names and signatures of the Lead and Member Auditors who prepare the report and the date it was signed.
C. Original copy of this report will be submitted to the Provincial/District Office concerned, through the Lead Auditor, together with the pieces of
evidence gathered and other supporting documents, if any.
1Operating Procedure on Compliance Audit for Registered WET Programs (TESDA-0P-IAS-01)

2 NC (Nonconformity) refers to a failure to comply with the requirements while OFI (Opportunity for Improvement) refers to an observed situation which is not nonconformity, but where the results achieved are not optimal, less than well-organized,
or over complicated.
ANNEX "N" Page 1 of 1
Suggested Notice of TVET Program Closure (NTPC)
Notice of TVET Program Closure (NTPC)
Date:
NAME OF TVI REPRESENTATIVE

Designation
Name of TVI
Address
Dear
We regret to inform you that the Certificate(s) of WET Program Registration for
the following qualification(s) has/have been revoked due to non-closure of all audit
findings:
• [insert Name of qualification]

• [insert Name of qualification]
This is pursuant to the Memorandum issued by the District/Provincial Director of

TESDA District/Provincial Office dated (mm/dd/yyyy) recommending
the revocation of the TVI's Certificate(s) of TVET Program Registration for failure to
address all audit findings within the compliance period granted by the
District/Provincial Office.
Hence, you are directed to surrender the original copy of the Certificate(s) of
WET Program Registration of the abovementioned qualification(s) to the
District/Provincial Office within five (5) working days from receipt of this notice.
Very truly yours,
[Name of Regional Director]

Regional Director
TESDA Region

TESDA Circular No. 048-2022

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TESDA Circular No. 048-2022

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TESDA CIRCULAR

F Face-to-face Refers to the audit method with face-to-face interaction between I

Inter-Regional -Refers to an audit approach wherein the compliance audit will be

Inter-Province Refers to an audit approach wherein the compliance audit will be

PO ▪ Refers to compliance auditors from the auditee-region designated

asynchronous. Synchronous refers to document examination,

Regular Refers to Compliance Audits conducted by TESDA Regional

Special Compliance Audits shall be performed by the:

Ill. Section 6.1 is revised as follows:

6.1.4 As a general rule, the conduct of inter-regional compliance audits shall be

Compliance audits may be performed through Remote Audit Method or Blended

PROCESS/AREA REQUIREMENTS TO AUDIT

On-site 3 — Tools and Equipment

6.1.7 Personnel from the auditee-regions designated as PO Representatives shall

V. Section No. 6.4 is revised as follows:

6.4 Creation of Composite Compliance Audit Teams

a) Memorandum endorsing the List of personnel composing the

VI. Section No. 6.5 is revised as follows:

6.5 Preparation for Conduct of Compliance Audit

6.5.2 To ensure 100% accomplishment of targets for Compliance Audit of Registered

Requests for audit rescheduling from TVIs

Requests for audit rescheduling from Compliance Auditors

VII. Section 6.6 is revised as follows:

6.6 Preparation of the WI Compliance Audit Plan (TESDA-OP-IAS-01-F02)

6.6.1 The RO Compliance Audit Focal Person of the Auditee-Region shall:

VIII. Section 6.7 is revised as follows:

6.7 Conduct of Compliance Audit

IX. Section 6.8 is revised as follows:

6.8 Preparation of Audit Reports

6.8.1 For Face-to-face Audit Method

6.8.1.b Compliance Auditors shall accomplish the TESDA-OP-IAS-01-

d) Completion date of Correction and Corrective Actions.

6.8.1.d After the closing meeting, the TVI Authorized Representative

6.8.2 For Remote Audit Method and Blended Audit Method

The Lead Auditor shall save audit reports in a Portable

Training (TVET) Program Registration (TESDA

6.8.2.f After the closing meeting, the TVI Authorized Representative

For e-signature, each party may adopt features of Adobe

6.8.2.g The TVI Authorized Representative affixes his/her e-signature

6.8.3 For Face-to-face, Remote, and Blended Audit Methods

X. Section 6.9 is revised as follows:

6.9 Submission of Audit Reports, Monitoring of Correction and Corrective

6.9.1 Submission of Audit Report

For Remote Audit Method and Blended Audit Method

Failure of the auditee-TVI to submit the signed TESDA-OP-IAS-

For Face-to-face, Remote, and Blended Audit Methods

6.9.2 Monitoring of Correction and Corrective Actions and Closure of Audit

within thirty (30) working days from receipt of DO/PO's

6.9.2.b To monitor TVI's Correction and Corrective Action, the DO/PO

The DO/PO may conduct inspection at the TVI to validate further

6.9.2.d To correct Audit Findings of the DO/PO, the DO/PO UTPRAS

6.9.2.e To monitor DO/PO's Corrective and Correction Action and

DO/PO within three (3) working days from the date of

6.9.3.d The Regional Office shall act on the recommendation of the

6.9.3.e Upon receipt of the Notice of TVET Program Closure, DO/PO

6.9.3.f The TVI is prohibited to accept enrollees/trainees while

XI. Section 6.10 is revised as follows:

6.10 Submission of Consolidated Audit Reports

6.10.2 The RO shall review the DO/PO-approved Compliance Audit Action

1) Compliance Audit Report (TESDA-OP-IAS-01-F05-C), as applicable;

6.10.4 Submission of Reports on Revocation of TVI's CTPR

6.10.4.b RO shall review, accomplish, and submit to IAS the TESDA-

XII. Section 6.11 is revised as follows:

6.11 Conduct of Special Compliance Audit