TESDA-OP-CO-06-F44 Rev.No.00-03/08/17 ANNUAL COMPLIANCE AUDIT PLAN REGION PROVINCE ASSESSMENT CENTER QUALIFICATION TITLE ACCREDITATION NUMBER ACCREDITATION DATE EXPIRATION DATE SCHEDULE OF AUDIT This form will be accomplished through the CO-assigned Google Spreadsheet file
Rev.No.00-03/08/17 SCHEDULE OF ACTIVITIES ACTIVITY SUB-ACTIVITIES DOCUMENTS NEEDED Opening Meeting Set the scene Explain objective Confirm Scope Confirm Time Audit Plan Conduct Use Guide Questions Assessment and Certification Audit Checklist Closing Meeting Thank the Auditee Summarize strengths and weaknesses Indicate Corrective Actions, including schedule of implementation Have Compliance Audit Report form(s) signed Assessment Compliance Audit Action Catalogue
.2 Can the room accommodate at least 10 candidates? Check the actual measurement of the room x B.3. Lighting and ventilation .1 Is the assessment room or laboratory well lighted? Well lighted assessment rooms (30-40 foot candle) x B.4. Auxiliary room .1 Is storeroom provided for the materials/tools/ supplies? Storeroom(s) available and well-kept x .2 Are separate storage bins and provided for critical materials? Bins and racks provided, when applicable x .3 Can the assessment room for Demonstration accommodate at least 10 candidates? x .4 Is an orientation room/ holding area provided for candidates .5 Are chairs and tables available, where applicable? Chairs & tables available, where necessary x .6 Are & functional comfort rooms available at a convenient part of the building (separate for male and female) Clean & functional comfort rooms available (Male & Female) x B.5. Assessment equipment, hand supplies, materials .1 Are equipment available according to the Competency Assessment Tools? Assessment equipment, hand tools, supplies, materials are according to the list provided in the Competency Assessment Tools x .2 Are the equipment functional? x .3 Are hand tools available? x .4 Are the hand functional? x .5 Are the S/M sufficient for the x
the identity of the candidates? .5 Did the assessor require the candidates to sign in the Attendance Sheet? Attendance Sheet is properly accomplished x .6 Did the Assessor conduct orientation before the conduct of assessment? What information were given to the candidates? Contents of the orientation be : Contexts & purpose of assessment Qualification/units of competency to be 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 x STEP 4 – Collect the evidence and make the assessment decision .1 Did the assessor provide the candidate the appropriate supplies/ materials to be used? Candidates are provided with the complete set of S/M by the Assessor x .2 Did the assessor provide the candidate a copy of the Specific Instruction to the Candidate? Every candidate is provided with a copy of the Specific Instruction to the Candidate. This shall be returned to the assessor after assessment x .3 How did the Assessor ensure that the candidate understood the contents of the Instruction? Candidates are allowed to ask questions x .4 Did the assessor explain to the candidate safety procedures in the operation of the equipment prior to assessment? x
.5 Did the assessor allow the candidates to perform all tasks as provided in the CATs? Tasks must be in accordance with the provision in the CATs x .6 How did the assessor collect evidences in the major tasks? Collection of evidences must be in accordance with the Evidence Plan x .7 How did the Assessor use the Rating Sheet to record findings/ observations/ decisions? Rating Sheet is used on a per candidate basis x STEP 5 – Provide feedback on the assessment. .1 Did the assessor provide the candidate and constructive feedback on the assessment result? How? Feedback is one-on-one x .2 Did the assessor inform successful candidate how, when and where to claim the NC ? Information that successful candidates shall claim their NC/COC at the TESDA PO upon presentation of CARS (3 working days after assessment) x .3 When did the Candidate sign the Rating Sheet? Rating Sheet is signed by the candidate right after the one-on-one feedback x .4 Was the Competency Assessment Results Summary (CARS) properly filled out? Check CARS (Form x ASSESSMENT DOCUMENTATION AND REPORTING .1 Who prepares the RWAC? RWAC is prepared by the Processing Officer at the AC x x .2 When did the assessor sign the RWAC? How did the assessor ensure the integrity of the data/ contents in the RWAC? RWAC is signed by the assessor after comparing results in the Rating Sheet, CARS and Attendance Sheet x x .3 What documents are turned over by the assessor to the AC Manager? Application Form with SAG Rating Sheets Attendance Sheet x x
CARS .4 Is the TESDA Rep present for the entire duration of the assessment? TESDA Rep must be present for the entire duration of the assessment x x .5 Is the TESDA Rep covered by a Letter of Assignment signed by the PD? Letter of Assignment x x .6 What documents are retrieved by the Rep? Assessor’s Guide Rating Sheets Attendance Sheet Specific Instruction to the Candidate x x .7 Did the Rep sign the Attendance Sheet? When? Attendance Sheet is signed at the end of Assessment after verifying the result from Rating Sheet, CARS x x .8 Did the Rep administer the Performance Evaluation Instrument SOP-CO- 06-F19) to at least 2 candidates and AC Manager? TESDA Rep administered the Performance Evaluation Instrument (OP- CO- 06- F19) to at least 2 candidates and AC Manager? x x .9 Is the name of accredited assessment center entered in the Registry of Accredited Competency Assessment Centers? Name of AC must be found in the Registry x x x 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 Assessment Compliance Audit Action Catalogue Process i.e. Accreditation of Assessment Center, Accreditation of Competency Assessor, Competency Assessment, etc. OP Relevant Audit Results (to be by the Auditor) Degree of Criticality Result of root cause analysis (to be accomplished by the RO/PO in case of and minor Intended correction action (including responsibilities and deadlines of the client) (to be accomplished by the RO/PO) Intended corrective action (including responsibilities and deadlines of the client) (to be accomplished by the RO/PO) Acceptance of CA/Level of compliance Effectiveness Status/Date (to be reviewed by the Auditor) N MiN I ________________________________ Lead Auditor Date: ___________ ________________________________ Auditee Date: ___________ ________________________________ Provincial Director Date: ___________