TESDA-OP-IAS-01-F05-A
Rev. 02 - 02/16/2021
COMPLIANCE AUDIT ACTION CATALOGUE
Technical Vocational Institutions (TVIs) / TESDA Technology Institutions (TTIs)
Name of Institution: SMI Institute Inc. Provincial / District Office: Pasay- Makati District
Address: Unit 3A, 3rd Floor, 1991 Wardley Building, San Juan St. Pasay City Date Audit Conducted: February 17, 2022
To be accomplished by Provincial Office/
To be accomplished by Auditee TVI/Company
District Office
Non-
Non-
Comments Comments Conformity
Conformity
on the on the Closed for
Target Closed for
Findings/ Identified Root Proposed Proposed Corrective Proposed Proposed Corrective
Qualification Area/ Process Implement- Correction
Description Cause Correction Action Action Correction Corrective Action:
(a) (b) ation Date Action:
(c) (d) (e) (f) Action Action “Indicate
(g) “Indicate
(h) (i) Yes or No”
Yes or No”
(k)
(j)
Secure and Submit
copy of the
following:
Digitalized copy
- Letter of
of Letter of
Letter of Intent intent with Assigned a
Corporate and Intent and
and Board Stamp staff/personnel to March 31,
Domestic NCII Administrative Board
Resolution was Received By monitor and maintain 2022
documents Resolution was
not presented DO. the documents
not prepared
- Signed and
prior to Audit.
Attested Copy
of Board
Resolution
Domestic NCII The personnel March 31,
were not able to 2022
Update and Revise
The existing double check
the Grading
grading system and update
System and secure
did not match what is Assigned a
a copy and Submit
Curricular what is indicated indicated in the staff/personnel to
to DO.
Requirements in the program program monitor and maintain
registration. registration. the documents
Secure and Submit
No students Student
a copy of Student
Handbook. handbook was
Handbook to DO.
not provided.
Domestic NCII Curricular CBC was not Digitalized Copy Secure and Submit Assigned a March 31,
Requirements presented of CBC was not copy of Digitalized staff/personnel to 2022
prepared prior Copy of CBC to monitor and maintain
to Audit. DO. the documents
Domestic NCII Curricular CBC and Digitalized copy Secure a copy of Assigned a March 31,
Requirements Progress Chart of CBC and Digitalized Copy of staff/personnel to 2022
were not Progress chart CBC And Secure monitor and maintain
presented. were not and submit copy of the documents
prepared prior picture of posted
to the audit. progress chart in
the venue
Domestic NCII Curricular CBLM and Digitalized copy Secure and Submit Assigned a March 31,
Requirements Session Plan of CBLM and copy of Digitalized staff/personnel to 2022
were not Session Plan Copy of CBLM and monitor and maintain
presented. was not Session plan to the documents
prepared prior DO.
to the audit.
Domestic NCII Curricular No Trainees No personnel Secure and Submit Assigned a March 31,
Requirements Entry assigned to copy of Trainees staff/personnel to 2022
Requirements monitor and Entry monitor and maintain
Presented. maintain the Requirements the documents
documents. (TOR and Training
Certificate to DO.
Domestic NCII Curricular The result of No personnel Secure and Submit Assigned a March 31,
Requirements institutional assigned to copy of Institutional staff/personnel to 2022
assessment was monitor and Assessment Result monitor and maintain
not presented. maintain the to DO. the documents
documents.
Domestic NCII Curricular List of tools, No personnel Secure and Submit Assigned a March 31,
Requirements equipment was assigned to Copy of the staff/personnel to 2022
not presented. monitor and Document to DO. monitor and maintain
maintain the the documents
documents.
Domestic NCII Faculty and The List of Non- No personnel Secure an Submit Assigned a March 31,
Personnel Teaching Staff assigned to Updated copy of staff/personnel to 2022
was not updated. monitor and Non-Teaching monitor and maintain
maintain the Staff. the documents
documents.
Domestic NCII Faculty and NC, NTTC and No personnel Apply for a change Submit a copy of March 31,
Personnel COE of Trainers assigned to of Trainer to DO Letter of Intent to DO 2022
were all expired. monitor and and RO. and RO. Application of
TMC of the maintain the Change of trainer was
Trainer was not documents. approved, submit and
Presented. secure a copy of letter
of approval from DO/
RO with Stam
Received.
Domestic NCII Program Schedule and Digitalized copy Secure and Submit Assigned a March 31,
Guidelines Breakdown of of Schedule and Digitalized copy of staff/personnel to 2022
Tuition Fees was Breakdown of the document. monitor and maintain
not presented. fees was not the documents
prepared prior
to audit.
Domestic NCII Support MOA with Health No personnel Secure and Submit Assigned a March 31,
Services Service Provider assigned to copy of Updated staff/personnel to 2022
were expired. monitor and MOA with Health monitor and maintain
maintain the Service Provider to the documents
documents. DO.
Domestic NCII Other Data No personnel Implement the Assigned a March 31,
Requirements Management and assigned to Program. staff/personnel to 2022
Security in implement the Secure and Submit monitor and maintain
Program Program. copy of the the documents
Registration was Documents (TOR,
not implemented. Diploma or
Training
Certificate) to DO.
Domestic NCII Mandatory No employment No personnel Implement the Assigned a March 31,
Assessment Report assigned to program and staff/personnel to 2022
and Submission Presented. implement the secure a copy of monitor and maintain
of MIS 03-02 Program. the Document with the documents.
stamp received by
DO.
No RWAC Students were
Presented. not able to
attend
assessment due
to conflict of
schedule of their
flight.
Domestic NCII Program Certification N/A N/A N/A N/A
Performance Rate:
Measures
Cannot be
determined due
to two (2)
batches of
training were
conducted
Other Observation/s: With designated Tool Keeper.
Prepared by: Approved by:
CRISTINA J. APLASCA DIR. RIZAL S. BAUTISTA
TVI Head/Administrator or Company Head Provincial Director
Date: ______________ Date: ___________________
