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Compliance Audit Forms Land-Based

The document contains forms and procedures for conducting compliance audits of training institutions registered with the Technical Education and Skills Development Authority (TESDA) in the Philippines. The forms include a compliance audit plan, lead auditor checklist, program registration requirement checklist, compliance audit report, and reports for consolidating audit findings at the provincial, district and regional levels. The objective is to determine institutions' ongoing compliance with TESDA's registration requirements for programs.

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K-Cube Morong
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348 views

Compliance Audit Forms Land-Based

The document contains forms and procedures for conducting compliance audits of training institutions registered with the Technical Education and Skills Development Authority (TESDA) in the Philippines. The forms include a compliance audit plan, lead auditor checklist, program registration requirement checklist, compliance audit report, and reports for consolidating audit findings at the provincial, district and regional levels. The objective is to determine institutions' ongoing compliance with TESDA's registration requirements for programs.

Uploaded by

K-Cube Morong
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOC, PDF, TXT or read online on Scribd
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TESDA-SOP-TSDO-02-F01

COMPLIANCE AUDIT PLAN


Objective:

To determine the continuous compliance or non-compliance of the


training institution to TESDAs requirements for program registration.

Institution:

___________________________________________________

Director/Administrator/Chief:

___________________________________

Address:

___________________________________________________

Date

______________________

Programs To Be
Audited

Time

Area & Person(s)


Concerned

Remarks

Note: completed forms and/or other information submitted by institution during the
program registration process should be made available for inspection by the audit
team.
Prepared / Submitted by: ___________
Approved by: __________

TESDA-SOP-TSDO-02-F02

LEAD AUDITOR CHECKLIST


ACTIVITY

SUB-ACTIVITIES

DOCUMENTS NEEDED

Opening Meeting

Set the scene


Explain objective
Confirm Audit Scope
Confirm Time

Audit Plan

Conduct Audit

Prepare Guide Questions

Program Registration
Requirements
Checklist
Audit Procedure

Closing Meeting

Thank Auditee
Summarize strengths and
weaknesses
Indicate whether or not ongoing
program registration will be
recommended
Have Compliance Audit Report
form(s) signed

Compliance Audit Report


Form

TESDA-SOP- TSDO-02-F03

PROGRAM REGISTRATION REQUIREMENT CHECKLIST


Name of Institution
Address
Program(s) Applied

Program Registration Requirements

Tel/Fax
No.
Compliant
Yes

1.

CORPORATE AND ADMINISTRATIVE


DOCUMENTS
a. Letter of application
b. Board Resolution / Academic Council
Resolution to offer the program signed by
the Board Secretary and attested by the
Chairperson (SUCs, LCUs, and private
institutions)
a. Special law creating the institution (for
public institution) e.g. Republic Act,
Executive Order, Sanggunian
Resolutions)
b. Securities and Exchange Commission
(SEC) Registration for private institutions
(must specifically cover the Training
delivery site)
c. Articles of Incorporation

d. Proof of building Ownership or contract of


lease (covering at least two years)

No

Remarks

Name of Institution
Address
Program(s) Applied

Program Registration Requirements

Tel/Fax
No.
Compliant
Yes

e. Current Fire Safety Certificate


For Institutions that will branch out
f. The Articles of Incorporation & Bylaws
must state reasons for opening of the
branch. The Board Resolution signed by
majority of the Incorporators must be
notarized, received and noted by SEC.
2.
CURRICULAR REQUIREMENTS
a. Competency-based Curriculum
(indicating the qualification being
addressed and the competencies to be
developed)
Curriculum design
Modules of instruction
b. List of equipment, tools and consumables
necessary to deliver the program.
c. List of instructional materials (such as
reference materials, slides, videotapes,
internet access
and library resources) necessary to deliver
the program
d. List of Physical Facilities & Off-Campus
Physical Facilities indicating floor area
e. Shop layout of training facilities indicating
the floor area
3. FACULTY AND PERSONNEL
a.
b.

List of officials with their qualifications


(supporting evidences available, such as
copies of certificates, etc)
List of faculty with their qualifications,
areas of expertise, and courses/seminars
attended (supporting evidence available,
such as relevant trainer qualification

No

Remarks

Name of Institution
Address
Program(s) Applied

Program Registration Requirements

Tel/Fax
No.
Compliant
Yes

c.

certificates, copies of contracts of


employment, etc)
List of non-teaching staff with their
qualifications (supporting evidences
available, such as copies of
certificates/contracts of employment, etc)

4. ACADEMIC RULES
a. Schedule and breakdown of tuition and
other fees (duly signed by the school
head indicating the effectivity of school
year)
b. Documented grading system, details of
which are provided to students/trainees at
the start of their program
c. Entry requirements for the program
comply with the relevant training
regulations if applicable.
d. Rules on attendance
5.

SUPPORT SERVICES
a. Health services are available to the
students/trainees (if these services are
contracted out or out-sourced, the
contract or MOA or similar documents
must be submitted)
b. Career guidance services are available to
the students/trainees
c. Community outreach program
(documented evidences available)
optional
d. Research that supports the operation of
the school is carried-out (e.g. surveys,
consultations, meeting with local industry

No

Remarks

Name of Institution
Address
Program(s) Applied

Program Registration Requirements

Tel/Fax
No.
Compliant
Yes

and community representatives; technical


research) optional

Checked by:
UTPRAS Focal Person
Date:

No

Remarks

TESDA-SOP- TSDO-02-F04

COMPLIANCE AUDIT REPORT FORM


I.

NAME OF INSTITUTION ________________________________________

II.

ADDRESS

III.

NAME OF DIRECTOR/
ADMINISTRATOR/CHIEF ________________________________________

IV.

DESIGNATION

________________________________________

V.

PROGRAM AUDITED

________________________________________

VI.

DATE OF AUDIT

________________________________________

VII.

OBJECTIVES OF THE
AUDIT

________________________________________

DOCUMENTS AUDIT
CONDUCTED AGAINST

________________________________________

VIII.
IX.

________________________________________

FINDINGS:
Areas complied with

Areas not complied with

X.

XI.

PROPOSED CORRECTIVE ACTION/S (INCLUDING TIME SCALE PER


AREA OF IMPROVEMENT)
______________________________________________________________
______________________________________________________________
Observations
Strengths

Weakness(es)

Conformed:

Prepared by:

_______________________________
Signature over Printed Name (Auditee)

_________________________
Lead Auditor

_______________________________
Title/Designation

_________________________
Auditor
_________________________
Auditor
_________________________
Auditor
_________________________
Date

Noted:
_______________________________
Signature over Printed Name (Auditee)
_______________________________
Title/Designation
_________________________
Date

TESDA-SOP- TSDO-02-F05

CONSOLIDATED PROVINCIAL/DISTRICT REPORT ON COMPLIANCE AUDIT FINDINGS AND CORRESPONDING


CORRECTIVE ACTIONS
Province: ___________
Date of Audit: _____________

Institution

Program/s Audited

Prepared by:
PO/DO UTPRAS Focal
Date: _________________

Program Registration
Requirement

Findings on Areas Not


Complied with per
Program Registration
Requirement

Corrective Action(s)

Approved by:
Provincial/District Director

TESDA-SOP- TSDO-02-F06

CONSOLIDATED PROVINCIAL/DISTRICT REPORT AND STATUS OF COMPLIANCE TO CORRECTIVE ACTIONS


(AUDIT CLOSURE REPORT)

Region: _________
Province: _______________
Date of Audit: ________

Institution

Program(s) Audited

Program Registration
Requirement

Findings on Areas
Not Complied with
per Program
Registration
Requirement

Corrective
Action(s)

Complied

Not
Complied

Prepared by:
PO/DO UTPRAS Focal
Date: _________________

Approved by:
Provincial/District Director

TESDA-SOP- TSDO-02-F07

REGIONAL SUMMARY OF AUDITED PROGRAMS

Region : ________________

Title of Program/Qualification

Prepared by:
RO UTPRAS Focal

Date:______________

No. of Programs Audited

Approved by:
Regional Director

Complied

Not Complied

Program Registration
Requirements/Audit
Findings*
A.

Corporate and
Administrative
Documents

Curriculum and
Program Delivery
B.

C. Faculty and
Personnel

D. Academic Rules

E. Support Services

F. Other Observations
Strengths

No. of Programs

Complied

Not complied

Weaknesses

*Pls. use program registration


requirement checklist

Prepared by:

Approved by:
________________________

RO UTPRAS Focal Person


Date ____________

__________________________

Regional Director

TESDA-SOP-TSDO-02-F09

REPORT ON CLOSURE PROCEEDINGS


Region: _______________
Province:______________
Date: _________________
Institution: _________________________
Procedure on Closure Proceedings
Title of
Program/
Qualification
Level

Program
Duration

PO/DO
issues a
written
communi
cation

Institution/
TVIs writes
reply
within
prescribed
period

Prepared by:

PO/DO
issues a
letter to
correct
deficienci
es

PO/DO
sends
recommend
ation to RO
for Notice
of Program
Closure

RO acts on
the
recommen
dation

PO/DO
sends
letter to
the
institution
surrender
the CoPR

PO/DO
sends copy
of Notice of
the Program
Closure to
the Office of
Mayor

Institution
requires to
transfer the
credentials
to PO/DO

RO sends
report to
TSDO-CO
(deletion in
the
database)

Approved by:
______________________
PO/DO Focal Person

___________________________
Provincial/District Director

Annex A
LIST OF FORMS

Form

Title

TESDA-SOP-TSDO-02-F01

Compliance Audit Plan Form

TESDA-SOP-TSDO-02-F02

Lead Auditor Checklist

TESDA-SOP-TSDO-02-F03

Program Registration Requirements Checklist

TESDA-SOP-TSDO-02-F04

Compliance Audit Report Form

TESDA-SOP-TSDO-02-F05

Consolidated Provincial/ District Report on


Compliance Audit Findings and Corresponding
Corrective Actions

TESDA-SOP-TSDO-02-F06

Consolidated Provincial/ District Report and


Status of Compliance to Corrective Actions

TESDA-SOP-TSDO-02-F07

Regional Summary of Audited Programs

TESDA-SOP-TSDO-02-F08

Regional Summary of Audited Programs Per


Program Registration Requirements and Audit
Status

TESDA-SOP-TSDO-02-F09

Report on Closure Proceedings

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