TESDA UTPRAS Sanctions and Penalties Guidelines

Legal basis and referenced issuances

Republic Act No. 7796 (TESDA Act of 1994) empowers TESDA to establish and maintain a system of accrediting, coordinating, integrating, monitoring and evaluating formal and non-formal technical education and training.
TESDA Board Resolution No. 98-03 establishes the Unified TVET Program Registration and Accreditation System (UTPRAS).
TESDA Circular 017 s. 2000 is used to operationalize the sanctions contained in the UTPRAS Omnibus Amendatory Guidelines.
The guidelines adopt and operationalize the sanctions contained in the UTPRAS Omnibus Amendatory Guidelines that address TVET institutions that run TVET programs without complying with registration requirements.
The resolution recognizes that Board Resolution No. 2000-03 approved Omnibus Amendatory Guidelines in UTPRAS identifying coverage that includes TVET programs offered by enterprise-based training centers (including industrial trades and crafts, agriculture, fishery, services and home industries among others), and TVET programs with permit and recognition certificates granted by the Secretary of Education, reviewed and registered under UTPRAS within the prescribed period.
Board Resolution No. 2000-03 also recognizes that a program may include a module of employable competency or a set of modules registered as a TVET program under UTPRAS.

Purpose and policy statement

The TESDA Board adopts UTPRAS sanctions and penalties guidelines to operationalize UTPRAS sanctions tied to non-compliance with registration requirements and to maintain the quality assurance system for TVET programs.
The UTPRAS sanctions and penalties system is structured to address both unregistered program offerings and failure to maintain registration standards.

Key defined terms and scope

An Auditor is TESDA personnel/representative authorized to conduct an audit of program registration requirements to check continuous compliance with the registration standards; it is the basis by which the program was registered.
A Compliance Audit is TESDA’s verification process to determine whether an institution with a registered program is continuously complying with the registration standards set forth for the program(s).
Corrective Action is the immediate remedial action(s) stated in response to audit findings to meet the program standards requirements.
Non-compliance/Non-conformity is a discrepancy between specified program standards and what TESDA auditor(s) actually observe.
Technical Vocational Education and Training (TVET) refers to education and training that involves, in addition to general education, the study of technologies and related sciences and the acquisition of practical skills and knowledge relating to occupations in various sectors of economic and social life.
UTPRAS is a two-stage quality assurance system:
- Stage 1 (Registration – mandatory): ensures programs meet minimum requirements and provides monitoring of registered programs to ensure continuous compliance with registration requirements.
- Stage 2 (Accreditation – voluntary): institutionalizes quality management systems using the Philippine TVET Quality Award framework anchored on the Philippine Quality Award.
An Unregistered program is a program offered by an institution that is not registered under UTPRAS.

Coverage for two sanction scenarios

“Unregistered program” sanctions apply to TVET institutions offering programs without UTPRAS program registration certificates.
“Failure to maintain registration standards” sanctions apply to schools or centers with registered program(s) that fail to maintain the registration standards.
Sanction procedures require TESDA to conduct compliance verification through a compliance audit and to categorize non-conformities by risk level.
The system includes procedural steps affecting the institution’s registration status and coordinating actions with local authorities.

Sanctions for unregistered program offerings

“TVET Institutions Offering Unregistered Programs” are institutions offering programs without UTPRAS program registration certificates.
The registration procedure requires the applicant training institution to file a letter of application with the TESDA District/Provincial Office at least six (6) months before the institution will offer the program.
Sanctions for unregistered offerings follow three steps:
- 1st step: TESDA issues a written warning of violation to give sufficient time to explain and comply with registration requirements.
- 2nd step: TESDA issues a Notice of Unregistered Offering of the program(s) and publishes the notice in a local newspaper, on the TESDA Website, and via an announcement in a government radio station.
- 3rd step: TESDA furnishes the Mayor with a letter requesting cancellation of the Mayor’s permit to operate for non-registration of the program.
The TESDA procedural process for institutions found offering unregistered programs provides the following required actions and timelines:
- The TESDA Provincial/District Director sends an Official Notice requiring written explanation why the institution is operating unregistered TVET program(s).
- Within 5 working days from receipt, the institution submits a Letter of Explanation stating the underlying causes for not being able to register the TVET program(s).
- Within 5 working days from receipt, the Provincial/District Director sends a Letter of Compliance to register the program(s), with a 30-day grace period provided.
- Within 5 working days from receipt of the Letter of Compliance, the institution submits a Letter of Intent to Conform within the deadline set for registering the program(s).
- If the deadline is not met, the institution may request in writing for an extension; depending on merits, the Provincial/District Director may grant an extension not exceeding 10 working days.
- The institution is not eligible for extension if it failed to execute a Letter of Intent to Conform.
- Upon expiration of the due date to register, the Provincial/District Director forwards the Notice of Unregistered Offering of Program(s).
- The Provincial/District Office publishes the Notice in a local newspaper, TESDA Website, and government station announcement when the institution fails to register on the due date.
- A copy of the Notice is forwarded to the Mayor’s Office with a transmittal letter requesting cancellation of the Mayor’s Permit to Operate.
- Local authorities are coordinated with to institutionalize appropriate action on the matter.

Registration standards, compliance audit, and sanctions

Program registration is considered granted full compliance upon completion of these requirements:
- Corporate and administrative requirements:
  - Certified Board Resolution to offer a program.
  - SEC Registration Certificate.
  - Articles of Incorporation with a purpose that mentions technical-vocational education and training.
  - Certificate of Ownership of building/contract of lease.
  - Fire Safety Certificate.
- Curriculum and program delivery:
  - Course design and syllabus that comply with the training regulation using the format prescribed by the agency.
  - List of physical facilities, equipment, consumables, and instructional materials (e.g., reference materials, slides, videotapes, and cassette tapes, etc.).
- Faculty and program delivery:
  - List of officials, trainers and non-teaching staff with qualifications, areas of expertise and courses/seminars attended, with supporting documents such as certificates and employment contracts.
- Academic rules:
  - Schedule of training fees and program costs.
  - Grading system.
  - Entry requirements for the program.
  - Rules on attendance.
- Support services:
  - Health services available to learners.
  - Career guidance/placement services available to learners.
  - Research supporting the school’s operation (e.g., surveys, consultations, technical research, networking with partners) is optional.
  - Community outreach program is optional.
TESDA’s compliance audit:
- Assesses whether registered program(s) continue to comply with registration standards.
- Categorizes non-conformities by TESDA auditor as high risk or low risk.
- Gives institutions sufficient time to comply with registration standards where non-conformities exist.
Sanctions and penalties for failure to meet program registration standards proceed in four steps:
- 1st step: Grant of extension if the institution did not comply within the due date, but executed a Letter of Explanation within the time frame requirement (within 5 days from the due date) and the explanation is meritorious.
- 2nd step: Notice of Cancellation of Registration to the institution that failed to comply.
- 3rd step: De-listing of the program(s) that failed to comply and publication in a local newspaper to inform the public.
- 4th step: Request to the Mayor to cancel the Mayor’s permit of the institution for inability to maintain registration requirements for the program(s).
Sanction procedures for registered institutions require the following steps:
- Institutions granted Certificate(s) of Program Registration must undergo compliance audit to determine continuing compliance with registration requirements/standards.
- TESDA representatives inform institutions about compliance audit conduct; unscheduled audits may be performed when TESDA has reasons to believe programs fail to meet registration requirements.
- If non-maintenance is found, the TESDA auditor with concurrence of the school head and/or duly designated representative agrees in writing the time scale for corrective action(s) to rectify non-conformities.
- Non-conformities are categorized as high-risk or low-risk; high-risk non-compliance includes:
  - Invalid SEC Registration.
  - Expired fire safety certificate.
  - Absence or failure to show evidence that curriculum is delivered using the competency-based approach.
  - Missing or insufficient required equipment, tools and consumables.
  - Missing or insufficient instructional materials from those indicated in the standards.
  - Unavailability of qualified instructor(s) for the program as indicated in standards.
  - Entry requirements not complying with standards requirements, if available.
  - Attendance rules not documented and provided to students.
  - Evidence health services are not being provided to students.
  - Evidence there is no career guidance/placement services being provided to students.
  - Expired contract of lease of premises.
- Low-risk non-compliance includes:
  - Tuition fees and program cost adjustments not updated to the concerned TESDA Provincial Office.
  - Changes in officials and non-teaching staff qualifications not apprised to the TESDA Provincial Office.
  - No documented grading system and no details provided to students/trainees.
- If the institution fails to rectify non-compliance on the due date upon verification, the institution must execute a Letter of Explanation within 5 working days from the due date of rectifying non-conformities, indicating causes, and submit to the TESDA Provincial/District Office.
- Extensions are tied to merit: depending on the merits of the Letter of Explanation within 5 working days from due date of compliance, eligibility for extension is assessed; letters not meritoriously justifiable do not qualify for extension.
- TESDA upholds Certificate(s) of Program Registration for institutions that complied on or before the due date as referred to in the rectification requirement; otherwise, the Provincial/District Director forwards a Notice of Cancellation of Registration.
- Appeals are governed by the following:
  - If no appeals are made within 5 working days from receipt of Notice of Cancellation of Registration, TESDA removes the registered status of the program(s) in its Registry (De-listed).
  - The Notice of Cancellation of Registration is published in a local newspaper for public information.
  - The Provincial/District Director furnishes the Mayor the Notice of Cancellation of Registration with a letter requesting cancellation of the Mayor’s permit for non-compliance of registered status.
  - Only low-risk non-compliances can be appealed to the Director General.
  - High-risk non-compliance, once approved by the Provincial/District Director, becomes final and executory.
  - The Director General acts on the appeal within 30 working days from receipt; if no decision is made within the timeline, the appeal is upheld.

General institutional consequences of sanctions

Affected institutions must transfer enrollees in on-going unregistered or de-listed programs to the nearest training provider offering the same National Certificate Level program registered with TESDA.
Affected institutions must refund in full the fees paid by students, including tuition fees, laboratory fees, and miscellaneous fees.
Both transfer and refund obligations are mandatory and must be complied with together as required by the general provisions.
Sanctions apply without prejudice to students and parents taking legal action in the appropriate court against the erring institution.