TVI/Company Name : TESDA-OP-IAS-01-F04-A

Registered Program : Rev. No. 01- 05/28/2020

Date of Audit :

COMPLIANCE AUDIT REQUIREMENTS CHECKLIST FOR INSTITUTION BASED REGISTERED PROGRAM

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
PO Level
TVI’s documents filed in PO Check completeness and validity TVI’s documents submitted
● The conduct of Examination of of TVI’s documents filed in PO. to PO are complete and
compliance audit of documentary updated.
the concerned TVI evidence
shall not be deferred
even if no program
registration
documents to be
audited on-file at the
Provincial Office.
TVI Level
A. Corporate and Administrative Documents / Ms. Valdehueza
Letter of Examination of Request a copy of the letter of Same copy of letter of
application/Intent documentary application. application stamped
evidence. received by concerned
TESDA PO.
Board Resolution/ Examination of Request a copy of the Board Same copy of Board  
Academic Council documentary Resolution/Academic Council Resolution/Academic
Resolution to offer the evidence. Resolution to offer the program. Council Resolution to offer
program signed by the ● Are all the programs supported the program filed at TESDA
Board Secretary and by above-mentioned PO.
attested by the Resolutions?
Chairperson (SUCs,
LCUs, and private
institutions)
 Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Special law creating Examination of Request a copy of the law that The law whether R.A. or
the institution (for documentary created the institution. local legislation clearly
public institution) e.g. evidence. mentions the establishment  
Republic Act, of the institution.
Executive Order,
Sangguniang
Resolutions)
Securities and Examination of ● Request a copy of the SEC Updated SEC registration
Exchange documentary registration. and General Information
Commission (SEC) evidence. ● Request a copy of the updated Sheet (GIS).
Registration for private General Information Sheet
institutions (must (GIS).
specifically cover the ● When was the actual conduct
training delivery site) of the annual
stockholders’/members
meeting?

(All corporations shall file their GIS

within 30 calendar days from the
date of actual annual stockholders'
meeting as provided under SEC
Memorandum Circular No.1 series of
2019 item no. II)
Articles of Examination of Request a copy of the Articles of The Articles of Incorporation
Incorporation and documentary Incorporation and By-laws. mentions TVET in its
By-laws evidence. purpose and covers the
training delivery site and is
valid.

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
For institutions that Examination of Request a copy of the Articles of The Articles of Incorporation
will branch out, the documentary Incorporation and By-laws. and By-laws clearly states
Articles of evidence. the reasons for opening of
Incorporation and the branch. The majority of
By-laws must state the Incorporators signed the
reasons for opening of Board Resolution which is
the branch. The notarized and stamped
Articles of received by SEC.
Incorporators signed
by majority must be
notarized, received
and noted by SEC.

Proof of building Examination of Request a copy of proof of Proof of ownership is  

ownership or contract documentary building ownership, or contract authentic and valid. The
of lease (covering at evidence. of lease. lease has not expired.
least two years) upon Building/Facility Use
application for new ● If leased, how many years? Agreement authentic and
program. For (covering at least one year valid.
succeeding renewable upon application for
application, a valid new program) Certification from the Lessor
contract of lease. ● If building is owned by one (1) that the Contract of Lease is
of the incorporators and is not renewable.
leased by the TVI, is there a
valid Building/Facility Use
Agreement of the building?
Current Fire Safety Examination of Request a copy of the Fire Safety Fire Safety Certificate is
Certificate documentary Certificate. valid/ has not expired.
evidence.
● Is the Fire Safety Certificate
current?

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
B. Curricular Requirements
Competency-based Examination of Does the course design include
Curriculum indicating curriculum the following:
the qualification being documents. ● Course description
addressed and the   ● Qualification level
competencies to be   ● Duration
developed ● Entry requirements
● Course Design ● Course structure specifying
● Modules of units of competency covered by
Instruction the course and the
corresponding module; Are the
basic and common
competencies embedded in the
implementation of core
competencies?
● Title – Learning outcomes and
nominal duration in
accordance with the TR and
approved Certificate of TVET
Program Registration (CTPR)
● Program delivery
● Assessment method
● Trainer/s qualifications
● Resource requirements
● Course title the same as
or similar to the title of the
promulgated Training
Regulations (TR)
● Course design is based
on work that must be
performed (course
description of modules
include the scope,
coverage and delimitation
specified in the TR)
● Competency-based
curriculum
● Institutional assessment
tools

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
● Curriculum Interview of: Recite competencies to be Units of Competency stated
Design ● TVI Academic achieved for the course in the Training
Head Regulations (TR)
● Trainer
● Selected
students/trainee
s
● Modules of ● Examination Does the modules of instruction ● The Modules of Instruction
Instruction of Modules of contain the following: are based on defined units
⮚ Learning Instruction ● Learning outcomes/contents of competencies (i.e.
Outcomes ● Document (specifies what the learners will elements, required
(Continuous evaluation learn, acquire and apply) knowledge, required skills,
Assessment ● Demonstration ● Condition for assessment performance criteria) and
Results) /Observation ● Assessment criteria/methods completely addresses the
(describes how the performance scope of its CTPR.
of competency is measured)

● Interview of ● Check in what modules current ● Results of Institutional

Trainer and past lessons you are in? Assessment

● Can you show me the results of ● Presence of institutional

the institutional assessment of assessment results.
the following students/trainees?

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
● Modules of ● Interview o● What modules have you ● Progress Chart  
Instruction selected students completed? ● Interviewed trainees  
⮚ Learning /trainees ● What competencies can you are able to articulate the
Outcomes ● Document demonstrate? modules completed & can
(Continuous review demonstrate/ perform the
Assessment competency asked.
Results)
● Program Delivery Document ● What instructional materials ● Are the training methods
evaluation to are available? How often are enough to achieve
⮚ Program Design show the materials updated? competency?
and Session congruence of
Plans curriculum, ● Can you please show me the ● List of Instructional
program design following instructional Materials
and session materials? (such as reference
plans materials, slides,
Interview the: ⮚ Actual checking of videotapes, internet
● Trainor instructional materials. If access and library
● TVI Academic they are borrowed there is resources) necessary to
Head proof (e.g. borrower’s card) deliver the program.
of such.
● Currency of Library
holdings

Registration
Methodology Process/ Question Evidence Finding/s
Requirements
⮚ Modular ● Interview ● How are the modules Feedback from trainees and
structure students/ presented? competency-based learning
(according to trainees ● What training methodologies materials are provided to
units specified are used? (e.g. lecture, demo, them.
for the course) ● Demonstration role playing, film showing, etc.)
/Observation
⮚ Learning ● Are there requirements needed
materials used to advance to the next
module?
● How often does the trainer
provide feedback?
Tools, equipment and Actual inspection ● Are the following forms ● Lists of Tools, equipment and
materials necessary to and of sampled present, properly materials are present,
deliver the program. tools, accomplished and signed? properly accomplished and
equipment and 1. List of Equipment – signed
materials TESDA-OP-CO-01-F13 ● Presence on site of the
2. List of Tools - requested tools, equipment
TESDA-OP-CO-01-F14
and materials.
3. List of Consumables/Materials -
TESDA-OP-CO-01-F15 (same as Program
● Can you show me the following Registration Lists of Tools,
Equipment & Materials and
tools, equipment and
follows the minimum
materials? requirements in the TR)
● How do they ensure that all ● Actual physical count of
tools and equipment borrowed Tools, equipment and
or used during classes are materials matches the
returned? number declared per List of
● Is there a designated tool Tools, equipment and
materials.
keeper?
● Designation of a tool keeper
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Testing of ● Can you please show me how ● The sampled equipment  
sampled to operate this equipment? should be in good working
equipment ● Are tools and equipment condition.
coupled with serviceable and in good
● Maintenance Schedule
questioning. working condition?
(Inspection checklist for
● How often do they conduct maintenance of tools, etc.)
maintenance of tools and
equipment? ● Written procedure.
● What procedures do they
follow if tools and equipment
are out of order?
List of Physical Actual inspection ● Are the following forms ● Lists of Physical Facilities
Facilities & Off-Campus of physical present, properly and Off-Campus Facilities
Physical Facilities facilities and its accomplished and signed? are present, properly
indicating floor area. floor area. 1. List of Physical Facilities – accomplished and signed.
TESDA-OP-CO-01-F17 ● The physical facilities satisfy
2. List of Off-Campus the requirements in the TR.
Facilities - ● Provisions in the
TESDA-OP-CO-01-F18 Memorandum of Agreement
● Can I have a tour of your (MOA) for Off-Campus
physical facilities? Physical Facilities
● Can the physical facilities ● Maintenance Schedule
accommodate the students/ (Inspect checklist for
trainees per batch? maintenance of physical
● How often do they conduct facilities)
maintenance of the physical
facilities?
Registration
Methodology Process/ Question Evidence Finding/s
Requirements
Shop layout of training Actual inspect-ion Can you show me the shop The actual layout of the
facilities indicating the of the training. layout of your training training facilities matches
floor area facilities using facilities? the indicated floor area
the shop layout and arrangements in the
provided. shop layout document.
C. Faculty and Personnel

List of officials, Comparison of ● Are the following forms ● Lists of Officials, Trainers and
teaching and the list in the present, properly Non-Teaching Staff are
present, properly
non-teaching staff PO file with the accomplished and signed?
1. List of Officials –
accomplished and signed.
existing staff
TESDA-OP-CO-01-F19 ● The list matches that of the
complement in PO list including the
2. List of Trainers -
the institution TESDA-OP-CO-01-F20 supporting documents.
including the 3. List of Non-Teaching Staff - Should there be changes
supporting TESDA-OP-CO-01-F21 especially with the trainer/s,
documents. the replacement meets the
● Can you show me your qualification requirements and
manning list or the changes have been
organizational structure? informed to the PO and
approval of the RO thereafter
● Can you show me the is required. (TESDA Circular
contracts of employment and No. 094, s.2019 dated
relevant certificates of the 09/02/2019).
personnel on this list? ● In case of change of
Designated Trainer/s,
presence of Letter of
Approval issued by the RO in
the program registration
documents of the TVI and
posted beside the CTPR of
the concerned registered
program.
 Registration
Methodology Process/ Question
Requirements
List of teaching staff Comparison of ● For WTR Program:
the list in the Does the trainer of the
PO file with the program have a valid National
existing staff TVET Trainers Certificate
complement in (NTTC)?
the institution ● For NTR Program:
including the Does the trainer of the
supporting program have a training
documents. certificate on Trainer’s
Methodology Course Level 1
(TM 1 certificate or other
training methodology
certificates in addition to the
certificate gained from other
certifying bodies.)?
Evidence Finding/s
● Trainer of WTR program  
must be a holder of an
unexpired National TVET
Trainer Certificate (NTTC)
relevant to the registered
program
(must follow those
specified in the TR under
Sec. 3.6 Trainer’s
Qualifications)
● Trainers of the NTR
program must have a
training certificate on
Trainer’s Methodology
Course Level 1 (TM 1).

D. Program Guidelines  
Schedule and Document Can you show me the The current fees match what
breakdown of tuition comparison of breakdown of current fees you is submitted in the
and other fees (duly the submitted collect from your students/ registration documents on
signed by the school schedule and trainees? the schedule and
head indicating the breakdown of breakdown of tuition fees.
effectivity of school tuition & other Should there be an increase
year) fees and the in fees, it should comply
existing tuition & with the requirements of
other fees rate. TESDA Circular 32 s.1998.

Registration
Methodology Process/ Question Evidence Finding
Requirements
Documented grading ● Sampling of Can you show me your grading ● The existing grading  
system, details of students/ system. system matches what is
which are provided to trainees ● In the modules that you indicated in the program
students/trainees at grades. have completed how were registration documents.
the start of their you graded?
program ● Interview of ● Proof of grades
sampled ● Before the start of your provided for completed
students/traine course have you been modules.
es to confirm if provided information on
their grades how you will be graded? ● Student handbook or any
match what is publication containing
indicated in the grading system.
grading system
submitted for
program
registration.

Trainees’ entry Sampling of Can you show me the files of The qualifications of the
requirements accepted the following students/trainees students/trainees as far as
complying with the students/ when they were accepted to their documentary
relevant TR, or if trainees for the the program? credentials are concerned
applicable, the hiring program. satisfies the TR
industry or relevant Does the trainee’s entry requirements or additional
industry sector may requirements satisfy the entry requirements aside
include additional requirement of the program? those specified in the TR.
entry requirements for
the program.
Registration
Methodology Process/ Question Evidence Finding
Requirements
Rules of attendance ● Sampling of ● Are you aware that you have ● The students/ trainees
students/ to comply with certain rules are informed about the
trainees. on attendance when you rules on attendance.
were accepted in the course? There is evidence of this
● Compare the e.g. in the student
submitted ● Have you had cases of handbook or other
rules on students/trainees who publications.
attendance violated the rules on
 
with any attendance? ● Presence of
 
existing case documentary evidence
of a student/ ● What did you do? that led to the resolution
trainee that of the case.
violated the
rules, if any.

E. Support Services  
Health services are On-site ● How many students/ ● Existing health service
available to the inspection of trainees have availed of the facility available.
students/trainees (if health service health service facility that
these services are facility and you provide? ● Record of students/
contracted out or interview of the trainees that availed of
outsourced, the health service ● What are these health the health services.
contract or MOA or provider services?
similar documents professional. ● Valid MOA with health
must be submitted) ● Do you have records of this service provider if
service provision? contracted out.

Registration
Methodology Process/ Question Evidence Finding
Requirements
Job Linkaging Interview of What career guidance service Evidence may include any  
Services designated and employment services of the following:
Career do you provide? ● Career Profiling Results/
Guidance Career Services
Service Officer.
● Tracking or tracer of
graduates

● List of partner
companies

● Job facilitation programs

for graduates

● Documented stories of
successful graduates

F. Other Requirements
Signage in Offering On site Does the signage contain the Signage in accordance with
TVET Registered inspection of following: Section 16 of TESDA
Program/s TVI Signage of ● the title and duration of the Circular No. 7 series of 2016
Registered program
Programs ● the status of registered
programs whether WTR or
NTR with TESDA
registration/CTPR number
● date when the CTPR was
issued
Registration
Methodology Process/ Question Evidence Finding
Requirements
Data Management Examination of Request a copy of TVI’s Copy of the submitted
and Security in documentary transmittal letter of its submission Transmittal Letter duly
Program Registration evidence. to the District/Provincial Office of signed by the TVI
the digitized copy of the following officer/authorized
(Item No. 3 Section XV students/learners credentials not personnel and stamped
of TESDA Circular No. later than one month after received by the
07 s.2016 re: Amended completion of the program/s: District/Provincial Office
Omnibus Guidelines on
1. Transcript of Records; or
UTPRAS)
2. Diploma or certificate of
Training stating the units of
competency achieved
G. Mandatory Assessment (WTR) and submission of MIS 03-02
Assessment of Sampling of How do you implement the Sampled students/trainees
graduating students/ graduates in mandatory assessment for are found in the RWAC and
trainees (for WTR the Registry of graduating students? MIS 03-02 taken from the
programs with Workers PO file.
assessment tools) Assessed and ● How many enrolled and
Certified graduated per program? ● Employment report of
(RWAC) and students/trainees.
MIS 03-02 ● How often do you submit the
enrolment, graduate and ● RWAC and the MIS 03-02
employment reports? stamped received by PO.

H. Program Performance Measures

NTR Program’s Examination of Check/review accomplished MIS ● MIS 03-02
employment rate is not MIS 03-02 03-02 employment information
lower than the national report for three against the Impact Evaluation ● Employment report of
TESDA average (3) consecutive Study (IES) average employment students/trainees.
employment rate of
batches rate of TESDA graduates
TESDA graduates based
on Impact Evaluation
study (IES) results, for
three (3) consecutive
batches.
WTR Program’s Examination of Check/review RWAC and ● RWAC
certification rate lower RWAC and MIS accomplished MIS 03-02 report
than the national 03-02 report for against the national sectoral ● National Sectoral
sectoral average rate for three (3) average certification rate
three (3) consecutive Average Certification rate
consecutive
batches batches ● MIS 03-02
Other Observations:

Submitted by:

CYNTHIA S. VALDEHUEZA
Auditor