TESDA-QP-03-F01

ANNUAL AUDIT PLAN

For the Year: Revision:

Process Process OwnerTime Frame

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

t

Oct

Nov

Dec

Prepared by: Reviewed and Approved by:

Date: Date:

TESDA-QP-03-F02

AUDIT SCHEDULE

FOR: From:

Purpose:

Audit Date:

Area Criteria Auditors Date/Time

Prepared by: Reviewed and Approved by:

Date: Date:

TESDA-QP-03-F03 (page 1 of 10)

AUDIT CHECKLIST

ACTIVITY SUB-ACTIVITIES DOCUMENTS NEEDED

Opening Meeting Set the scene Explain objective Confirm Audit Scope

and Auditee Confirm Time

Audit Plan

Conduct Audit Prepare Guide Questions Quality ManualProcedures ManualWork InstructionsAudit Procedure

Closing Meeting Thank the Auditee Summarize Positive

aspects Deficiencies (general) Indicate whether report

will be received Have outcome signed

IQA ReportCPARs

TESDA-QP-03-F03 (page 2 of 10)

AUDIT CHECKLIST 

Criteria Audit Questions Evidences

 Use the Audit Checklist as guide to organize the set of questions needed to examine extent of conformance with the Audit Criteria

 

4.1

QMS Process Map (ISO 9001:2008)  - Shows the processes and how they

link together which convert customer requirements into delivered products and/or services. QMS Business Process

Map/Model; Quality Manual- Should include processes for management, resource provision, service realization, measurement, analysis and improvement.

4.1 Controls for outsourced processes. (If applicable)

Provision in the Clause 7.4 in the Quality Manual or any documentation/policy

4.2.2

Quality Manual that includes:- Scope of the quality management

system including details of any exclusions from your system

- Scope and justification for exclusion, if any

- Documented procedures to cover: Control of documents, Control of records, Internal Audits, Control of nonconformity, Corrective action, Preventive action.

- Six mandatory procedures or reference to them

4.2.3 Documented procedure for control of documents. - QP-01

4.2.4 Documented procedure for control of records - QP-02

5 Management Responsibility  5.1 Management Commitment - Identifying, communicating

and meeting customer and other applicable requirements) (Statutory and Regulatory

- establishment of Quality Policy

- Planning and Objectives- Conduct of Management

Reviews- Resources

TESDA-QP-03-F03 (page 3 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences5.2 Customer Focus - Evidences of

communicating with customers to determine their needs and requirements and how such requirements are met such as but not limited to conduct of fora, dialogues, R/PTESD Committees

- Customer Feedback Management System (such as call center, SMS, Customer Satisfaction Survey, Frontline Weathering/Public Assistance Counter, among others)

5.3 Quality Policy that includes: - Commitment to comply with

requirements and continually improve the effectiveness of QMS.

Statement of Quality Policy

5.3 Quality Policy review records. - Proof of review and approval such as Minutes of National Quality Management Review Meetings

5.4.1 Quality Objectives which are measurable and consistent with the quality policy. - Quality objectives

5.4.2 QMS planning - Quality Plans such as Sectoral Plan (NTESDP), Corporate Plan, OPCP

5.5.1 Defined responsibilities and authorities. - TESDA Orders/Circulars, Clause 5.5 in the Quality Manual, Appointment Letters

5.5.2 Management Representative - TESDA Order/Appointment/Designation

TESDA-QP-03-F03 (page 4 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences5.6.1 Management Review input records that

include: - Minutes of the Quality

Management Review Meetings5.6.2 - Results of audits

  - Customer feedback  - Process performance and product

conformity  - Status of preventive and corrective

actions  - Service Realization plans to ensure

effective delivery of products/services offered.

  - Changes that could affect the quality management system

  - Recommendations for improvements5.6.3 Management Review output records that

include:- Minutes of the Quality

Management Review Meeting, Resolutions- Improvement of the quality

management system and processes.- Improvement of services- Resource needs

6 Resource Management6.2.1 Records to demonstrate that personnel

performing work are competent, and have appropriate training, education and experience.

- 201 Files, training records and other applicable interventions provided

6.2.2 Records to ensure the ongoing review of competence, awareness, and training needs.

- Competency Assessment, TNA, Pre-Training Assessment, Performance Evaluation

TESDA-QP-03-F03 (page 5 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences6.2.2 Records to evaluate the effectiveness of

the actions taken to address competency needs.

Post Training Evaluation Re Entry Plan, Performance Evaluation

6.3 Controls for ensuring infrastructure (i.e. building, workspace, utilities, equipment, transport, communication, information system) are provided and maintained.

- Approved OPCP- Preventive Maintenance

Plan/ Schedule of Implementation

- Corrective Maintenance Record

6.4 Controls to manage the work environment (i.e. workplace organization)

- 5S Program; well ventilated and well lighted work places, well maintain and sanitized comfort rooms, ergonomic furnitures, waiting .areas with sufficient number of comfortable chairs, safe drinking water supply, working fire extinguishers, proper storage of hazardous materials, medical kits

7 Product Realization7.1 Service Realization plans to ensure

effective delivery of products/services offered.

- Functional Objectives/ WFP/Monitoring and Evaluation

7.2.1 Controls for determining requirements related to the offered service/product.

 Level 3 Procedures Manual for UTPRAS and Assessment and Certification (AC)

7.2.2 Controls for the review of requirements to ensure:

Evidence of how these requirements are determined and reviewed such as but not limited to Level 3 Procedures Manual of UTPRAS and AC, Minutes of Meeting, Records of the result of planning for the activities for the two core processes.

- Services requested are adequately defined

- Any differences between tender and order are resolved

- The organization has the ability to meet the orders requested

TESDA-QP-03-F03 (page 6 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences7.2.3 Controls for communicating with clients

regarding:- Service Information - Advertisements, flyers,

media, website- Enquiries, contracts including

amendments- Front Line

Weathering/Public Assistance Counter, Citizen’s Charter, emails, call center, SMS, CRMS

- Customer feedback including complaints

7.3 Design and Development

7.3.1 Controls for planning the design and development of the products to ensure:

For Central Office - TESDA Board Resolution- Approved Terms of

Reference- Validation Results- MOA/Service Contract

- Stages of design and development are planned.

- Review, verification and validation activities are planned.

- Responsibility for and authority for each design stage is specified.

- Design plans are updated as the design progresses

7.3.2 Controls for reviewing design input to ensure that it includes the following:- functional and performance

requirements- applicable regulatory and statutory

requirements- information from other designs

7.3.3 Controls for reviewing design output to ensure that it meets the following:- requirements specified as per the

design input- provide adequate information for

purchasing, operation and servicing- specify any characteristics of the

service that are essential for safe and proper use.

TESDA-QP-03-F03 (page 7 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences7.3.4 Controls for reviewing the design at

appropriate stages to ensure that:

- objectives of the design stage have been met and that any problems are identified and resolved.

- all relevant functions are represented at reviews.

7.3.5 Controls for design verification to ensure:- the design output has met design

input requirements for the design stage being verified.

7.3.6 Controls for design validation to ensure:- the product is capable of meeting the

requirements for the specified application or intended use.

7.3.7 Controls for the management of design changes to ensure:- all design changes are identified and

recorded.- reviewed, verified and validated (as

appropriate) before implementation.- include evaluation of the impact on

any product already delivered.

7.4.1 Controls for supplier evaluation to ensure: - Suppliers’ Selection and evaluation criteria/records of the Results of Evaluation and specifications of products/services to be purchased per RA 9184

- Inspection and Acceptance Criteria

- Supplier Evaluation- Requirements for Qualification

of Personnel

- they are selected for their ability to supply against defined criteria.

7.4.2 Purchasing Information7.4.3 Controls for verifying purchased product

ensure that it meets specified requirements using inspection and other methods as necessary.

TESDA-QP-03-F03 (page 8 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences7.5.1 Operation Manuals Level 3 Procedures Manual for

UTPRAS and AC 

To ensure provision of services is undertaken under controlled conditions.

7.5.2 Validation of processes for production and service provision

 Level 3 Procedures Manual on Compliance Audit for UTPRAS and AC

7.5.3 Controls for identifying the product to ensure:- product identity and its inspection and

test status of the product is clear at all stages. (i.e. transaction numbering/coding)

 Level 3 Procedures Manual for UTPRAS and AC

7.5.4 Controls for care of customer property to ensure:  Clause 7.5 of Quality Manual,

Level 3 Procedures Manual of UTPRAS and AC

- it is appropriately handled and stored.- records are maintained of any loss or

damage and this communicated to the customer

7.5.5 Controls to ensure that the services under the two (2) core processes are maintained in conformance with the requirements of the systems

 QP-03 Conduct of Internal Quality Audit (planned and unplanned)/Level 3 Procedures of core processes

7.6 Calibration (Control of monitoring and Competency Assessment Tools )

For Central Office- Validation Instruments- Documented Validation

Process8 Measurement, Analysis and Improvement

8.2.1 Controls to measure customer satisfaction and actions on the results

Customer Satisfaction Rating and AnalysisCustomer Survey, Feedback, and Analysis

8.2.2 Documented procedure for the control of internal audits which ensures: IQA Procedure (QP-03)- audits are planned including scope

and frequency of audit. Audit Plan- auditors do not audit their own work.- records of audits are maintained

Audit Reports, CAPA- management responsible address actions arising from audits

- follow-up audits ensure actions taken are effective

Verification activities

TESDA-QP-03-F03 (page 9 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences8.2.3 Measurements for processes to verify that

they are effective (i.e. review of set KRAs, targets, objectives)

- Any activity or system where monitoring and measurement of processes are conducted that may trigger issuance of CPAR

8.2.4 Controls to ensure: - that the services checked conforms to

specified requirements at appropriate stages.

- Any means to monitor and measure the effectiveness of the services provided to determine if it is according to plan

- records are maintained to demonstrate conformity of services.

8.3 Documented and implemented a procedure for the control of non-conforming services which ensures:

- QP-04 Control of Nonconforming Products/Services

- the product/service that does not conform to requirements is identified and controlled to prevent delivery.

CAPA and corrections made

- responsibilities, authorities and controls for dealing with non-conforming products are defined.

- records of non-conformity and actions including concession are maintained.

- any improvement to rectify a nonconformity is subject to re-verification

- any non-conformity detected after product/service delivery or use is subject to appropriate review and actions documented

8.4 Processes and methods for collecting and analyzing data in order to demonstrate the suitability and effectiveness of the quality management system including data from:

Analysis, evaluation of data on the performance of the QMS as a result of customer satisfaction feedback report, suppliers’ performance, conformance to product requirements, Quality concerns reports, results of audits

- customer satisfaction- conformity of product/service to

requirements- characteristics and trends of

processes and products/services- suppliers performance

TESDA-QP-03-F03 (page 10 of 10)

AUDIT CHECKLIST   

Criteria Audit Questions Evidences

8.5.1

- Continual improvement of the effectiveness of the QMS

- Evaluation of the provision in the Quality Policy, evaluation of the Quality Objective, audit results, analysis of data, CAPA and conduct of management review

8.5.2 Documented and implemented a procedure for the control of correction and corrective actions which ensures:

QP- 05 Corrective and Preventive Action

- review of non-conformities

Implementation of CAPA

- determining the causes of non-conformities

- taking action (as required) to prevent occurrence of nonconformities

- recording the results of action taken- reviewing the effectiveness of the action

taken8.5.3 Documented and implemented a

procedure for the control of preventive actions which ensures: - potential non-conformities are identified

together with their causes. - determining and implementing (as

appropriate) action to prevent nonconformance.

- recording the results of actions taken - reviewing effectiveness of the action

taken

TESDA-QP-03-F04Rev. No. 01-10/10/14

INTERNAL QUALITY AUDIT REPORT(Note: See 6.4.7: To be submitted by the ROPODO IQA Focal to the Central Office

within five (5) calendar days after the conduct of audit)

Process: Audit Scope:

Date:

Purpose:

Criteria No.

Criteria(what should be

happening)Define the requirements that must be satisfied. (i.e. customer, regulatory,

Evidence(what is actually

happening)Describe your findings and cite

evidences on the extent of

Classification(Check appropriate

classification of findings)

C MajorNC

Minor NC

OFI

Positive Aspects (P)(Note down positive aspects of the management system meriting special mention.)

Opportunities For Improvement (OFI) (Note down aspects that would lead to management system optimization with respect to a requirement of the standard. Basic requirement for the identification and recording of OFI is that the requirements of the standard regarding the process element have been fulfilled but that there are still areas for potential improvement of system effectiveness and efficiency. Implementation by the organization is recommended.)

Audited by: __________________________ Name and Signature of the Lead Auditor

Acknowledged by: _______________________ Name and Signature of the Head

of Operating Unit (ED/RD/PD)

TESDA-QP-03-F05Rev. No. 01-10/10/14

CORRECTIVE/ PREVENTIVE ACTION REQUEST (CPAR)

Issued to: Date:

Initiator: CPAR No:

Process/Area: Degree of Criticality: Source of NC/CA/PA:

Major NC Minor NC Audit Finding

Details of Findings/s (Cite specific clause/s and evidences of deviation/s)

Issued by:

(Name and Signature of Lead Auditor)

Acknowledged by:

(Name and Signature of Head Operating Unit, ED/ RD/PD)

Note: A, B, C To be filled-up by Head of the Operating Unit and submit to the Lead Auditor within 15 calendar days after closing meeting. (Refer to 6.4.5)A. Correction Action

B. Root Cause (with attached Analysis)

C. Proposed Corrective/Preventive Action

Name and Signature:

(Name and Signature of Head Operating Unit, ED/RD/PD)

Date Accomplished: Completion Date Agreed:

D. Review and Approval of Proposed Corrective/Preventive Action (to be filled-up by the Lead Auditor within 5 calendar days upon receipt of CAPA). (Refer to 6.5.2)

The above non-conformance and CAPA has been reviewed. The following comments apply:

Name and Signature:

Lead Auditor

Approved by:

(Name and Signature of Head Operating Unit, ED/RD/PD)

Date:

E. Verification of Action Taken: (Refer to 6.5)

Results of Action(s) Taken: Remarks:( ) Additional information/documents required( ) Verify at next audit( ) Follow-up Audit on_____________ ( ) Others, specify

F. Non-conformity Closed? Yes No

Name and Signature: (Lead Auditor)Date:

Name and Signature: (Name and Signature, Head Operating Unit, ED/RD/PD ) Date:

CORRECTIVE/PREVENTIVE ACTION REQUEST (CPAR) REGISTRY (Note: see 6.4.6 To be submitted to the Central Office IQA Focal by the Regional IQA Focal through the Regional QMR within five (5)

calendar days after the completion of CPARs)

CPAR No./Date

Office/ Institution Process

CriticalityFindings Root Cause

Correction/Corrective/ Preventive

Actions

Verification of Actions

Taken Major

NCMinor NC

Prepared by: Approved by: _______________________ _______________________ COROPO IQA Focal Head Operating Unit (ED/RD/PD) Date: _______________________ Date: ________________________

TESDA-QP-03-F07 Rev. No. 01-10/10/14

REGIONAL/NATIONAL IQA SUMMARY REPORT

I. BACKGROUND Include here the following information in narrative form:

Preparatory activities for the IQA such as preparation of preparation of Audit Checklist, identification of the Auditors, and actual date of the conduct of the IQA;

The actual conduct of the IQA, and the reporting of such IQA to the National/Regional/Provincial Quality Management Committee (N/R/P QMC) meetings. Attach the Minutes of Meeting of the N/R/P QMC as reference;

The actual conduct of verification/closure audit and reporting the results of the verification to the N/R/P QMC.

II. ANALYSIS OF AUDIT FINDINGS Describe here the detailed findings of the IQA, i.e. conformities, major and

minor nonconformities, corrective and preventive actions taken by the auditees, opportunities for improvement and corresponding action items to address recommended improvements.

Summarize the IQA results in a tabular form as suggested below:

Operating UnitNo. of Major NC s

No. of Major NCs

Closed

No. of Major NCs

Unclosed

No. of Minor NCs

No. of Closed Minor NCs

No. of Unclosed

Minor NCs

No. of OFIs

TOTALMost Deviated Clauses (ISO/QM/QP)Pending Corrective Action

No Action being taken

Graphical presentations of the audits findings shall be included in the Report.

Prepared by: ________________________ COROPOIQA FocalDate:

Approved by: ______________________________ Head, Operating Unit (ED/RD/PD)Date: