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TESDA-OP-CO-06 - Compliance Audit Forms
TESDA-OP-CO-06 - Compliance Audit Forms
TESDA-OP-CO-06 - Compliance Audit Forms
Rev.No.00-03/08/17
This form will be accomplished through the CO-assigned Google Spreadsheet file
TESDA-OP-CO-06-F45
Rev.No.00-03/08/17
Assessment Center
Qualification
Accreditation Number
Date of Accreditation
AC Manager
Address
Tel./Fax Email Date of
No. address Audit
A. Administrative
Documents
B. Physical Structure
C. Assessment
Methodologies and
Procedures
D. Assessment
Documentation And
Reporting
E. Accomplishments
Note: Accomplished Self-Assessment Checklist and/or other information submitted by Assessment
Center during the Application for Accreditation shall be made available for reference of the audit team.
TESDA-OP-CO-06-F46
Rev.No.00-03/08/17
SCHEDULE OF ACTIVITIES
Assessment and
Certification Audit
Conduct Audit Use Guide Questions
Checklist
ASSESSMENT CENTER
ADDRESS
ASSESSMENT CENTER MANAGER
QUALIFICATION
ACCREDITATION NUMBER
NAME OF ASSESSOR
DATE OF COMPLIANCE AUDIT
TEL. /FAX NO. E MAIL ADDRESS
REQUIREMENTS
1. What are the List of Requirements
requirements for (OP-CO-05-F01) x x
accreditation?
2. Are the documents The following documents
of the AC on file are available:
complete? Letter of Intent
Copy of SEC
Registration
Business permit
(current/updated)
BIR registration
Fire safety Certificate
(Current/updated)
Company profile
Organizational structure
Staff compliment and
profile
o Manager
o Cashier
o Computer
Operator
o Liaison Officer
o Processing
Officer
Building lay-out/floor
plan/shop lay-out
Self-assessment
checklist (OP-CO-05--
F04)
List of equipment, tools
and materials
Location map
Lease of contract, when
applicable
Inspection Report Form
(OP-CO-05-F02)
Valid Certificate of
Accreditation
Affidavit of Undertaking
3. When did the AC Letter of Intent x x
apply for (check date in the Letter
accreditation? and date received in the
PO)
4. Was the Check Letter of Notification x x
assessment center sent to the AC (OP-CO-05-
notified of their F10)
status of
application?
5. When was the AC Inspection Report x x
inspected? (Check date of inspection)
6. What is the date of Check Certificate of x x
accreditation? Accreditation
Correct numbering and
coding (according to
OP-CO-05-F06)
7. Does the AC issue Official Receipts (check
OR? How much ORs issued)
assessment fee is
collected from the
candidates?
PHYSICAL STRUCTURE
B.1. Location
.1 Is the AC AC is accessible to public x
accessible to transport
public transport?
.2 Is the AC easily Check area where the x
identifiable? Is signage is located
there a “signage”?
.3 Is internet Check the presence of x
connection internet facility
available?
B.2. Area
LOCATION OF COMPLIANT
QUESTIONS EVIDENCE/S EVIDENCE
RO PO AC YES NO
Particulars
1. When did the AC Letter of request by AC
submit its schedule submitted within 5 working x x
of assessment ? days before schedule of
assessment
2. When did the PO Letter to AC on the approval x x
inform the AC of of the schedule 2 working
the approved days before assessment
schedule?
3. How are assessors Assessors are assigned on x
assigned? a rotation basis (OP-CO-07-
6.2.5)
Ask for Matrix of
assignment of CAs
4. How many 10 candidates per batch x x
candidates were
assessed per
schedule of
assessment?
C. ASSESSMENT METHODOLOGIES AND PROCEDURES
(Observe conduct of assessment by the competency assessor)
5. Is a copy of the Copy of Letter of x x
Letter of Appointment (OP-CO-07-
Appointment F24)
signed by the PD
available?
(Request for the
copy of the Letter
of Appointment)
6. Is the assessor ID of Assessor x
wearing an ID? (OP-CO-06-F17)
7. The following STEPS are observed during the conduct of assessment
STEP 1 - Establish the assessment context and purpose of Assessment. (The assessor shall ensure that the
assessment site complies with the relevant OSH requirements, i.e., well lighted, well ventilated & risk
areas are marked)
.1 Did the assessor x
check the
assessment area,
functionality
of equipment,
completeness of
tools, materials,
supplies prior to
assessment?
STEP 2 - Plan and prepare the evidence gathering Process. The assessor: (The assessor shall check the
completeness of documents vs. number of candidates to be assessed)
.1 What version of Version Code: x
Competency ________________
Assessment Tool is
being used by the
assessor?
.2 What parts of the Assessor’s Guide x
assessment Rating Sheet
package were Specific Instruction to
given to the Candidate
competency CARS
assessor?
STEP 3 - Prepare the candidate
.1 Are the candidates’ Application Forms and SAG x
Application Forms are properly filled-out by the
and SAG properly candidates
filled-out?
.2 Do application x
forms contain
Reference
No.? ULI?
.3 Did the assessor x
check the
attendance
of the candidates?
.4 How did the x
assessor establish
the identity
of the candidates?
.5 Did the assessor Attendance Sheet (OP-CO- x
require the 07-F23) is properly
candidates to sign accomplished
in the Attendance
Sheet?
.6 Did the Assessor Contents of the orientation x
conduct orientation shall be :
before the conduct Contexts & purpose of
of assessment? assessment
What information Qualification/units of
were given to the competency to be
candidates? assessed
Tasks to be
performed/time limits
How the evidence will
be collected/
assessment procedures
Allowable adjustment,
when applicable
DOs & DONTs
Rights and appeal
system
Issuance of NC
Re-assessment
procedures
STEP 4 – Collect the evidence and make the assessment decision
.1 Did the assessor Candidates are provided x
provide the with the complete set of
candidate the S/M by the Assessor
appropriate
supplies/ materials
to be used?
.2 Did the assessor Every candidate is provided x
provide the with a copy of the Specific
candidate a copy of Instruction to the Candidate.
the Specific This shall be returned to
Instruction to the the assessor after
Candidate? assessment
.3 How did the Candidates are allowed to x
Assessor ensure ask questions
that the candidate
understood the
contents of the
Instruction?
.4 Did the assessor x
explain to the
candidate safety
procedures in the
operation of the
equipment prior to
assessment?
.5 Did the assessor Tasks must be in x
allow the accordance with the
candidates provision in the CATs
to perform all
tasks as provided
in the CATs?
.6 How did the Collection of evidences x
assessor collect must be in accordance with
evidences in the the Evidence Plan
major tasks?
.7 How did the Rating Sheet is used on a x
Assessor use the per candidate basis
Rating Sheet to
record findings/
observations/
decisions?
STEP 5 – Provide feedback on the assessment.
.1 Did the assessor Feedback is one-on-one x
provide the
candidate clear and
constructive
feedback on the
assessment
result? How?
.2 Did the assessor Information that successful x
inform successful candidates shall claim their
candidate how, NC/COC at the TESDA PO
when and where upon presentation of CARS
to claim the NC ? (3 working days after
assessment)
.3 When did the Rating Sheet is signed by x
Candidate sign the the candidate right after the
Rating Sheet? one-on-one feedback
.4 Was the Check CARS (Form OP- x
Competency CO-07-F28)
Assessment
Results Summary
(CARS) properly
filled out?
D. ASSESSMENT DOCUMENTATION AND REPORTING
Prepared by:
Auditors:
_____________________ _________________
Name & Signature Date
_____________________ _________________
Name & Signature Date
_____________________ _________________
Name & Signature Date
Lead Auditor:
_____________________ _________________
Name & Signature Date
TESDA-OP-CO-06-F48
Rev.No.00-03/08/17
Intended correction
Result of root cause
Process Relevant Audit action Intended corrective action Acceptance of CA/Level of compliance
i.e. Accreditation of analysis
Results (including (including responsibilities and Effectiveness
Assessment Center, responsibilities and deadlines of the client)
OP
Accreditation of Degree of Criticality (to be accomplished by
Provision (to be deadlines of the client) Status/Date
Competency Assessor, the RO/PO in case of
Competency Assessment, accomplished (to be accomplished by the
non-conformities and
etc. by the Auditor) (to be accomplished by RO/PO) (to be reviewed by the Auditor)
minor non-conformities)
the RO/PO)
N MiN I