ISO 9000 Audit Documents Preparation for Technological Universities & Government Technical Colleges


By Dr Kyaw Naing MIEAust, RPEQ, FSIET



(1) ISO Audit



(2) Curriculum Review for accreditation




ISO 9000 Audit Manual Aug 2016-ISO_Audit_Kit_Preparation_Kit_2016_V4Mod.pdf




ISO 9000 Audit Documents for Technological Universities & Government Technical Colleges are presented in this webpage. The teachers and head of departments can refer the example documents which are presented in the online links.


2 weeks accreditation training records and lessons/ audio/ video/ reference resources can also be obtained from the following link


Most of the requirements are to be met by filling the relevant forms in the links. But for some requirements need to be fulfilled by doing the tasks outlined in the notes.


IS0-9000 Audit Criteria

Required Documents


4 Quality





Intranet PaCK

Policies and procedures

Organisational information 

Core process maps

Write the overview information of your TU

Examples- YTU--

Historical Background

Vision & Mission

Steering Committee

Organizational Structure


4.2 Documentation

Induction checklist for new staff


Roll books

Course Information books


Syllabus (

Guideline for roll books / ebs

Student Resource Package













Student Work Evidence Books

The departments heads need to write the introduction procedures for new teachers


Rollbooks., Attendance Records


Course Information Example




How to keep the roll-books


List of practical equipments. Their location, List of text books. Library resources list. List of computing equipments etc.


Physical Recources


Engineering Resources




The department heads need to keep the bench mark evidences of the students’works such as sample answer/ laboratory reports/ design project presentations etc.



4.2.2 Control of


4.2.3 Control of


TRIM files



Version control – local 




DEC site

Training Report, Information Management

The documents in the following list should be collected.


 Curriculum documents should be marked with Version & date of production and modification


Ministry of Education/ Department of Technical Education Circular & Gazettes should be digitized and collected.


Collection of Ministry of Education Websites/ TU websites etc should be collected


5.1 Management

responsibility and


Institute Director’s Minutes


College communication and meetings

Communication of legislative requirements


Training requirements are included in the business plan and

within budget allocations

Order issued by the rectors/ head of departments should be recorded.


Meeting records should be collected.


Myanmar Ministry of Education Education Laws/ Regulations should be collected.



YTU Research

YTU Seminars Conference Workshop

Facebook events pages should be photographed & accumulated


Budget requirements and approval procedures should be recorded.

5.2 Customer focus


Education and Training Plans

Training and Assessment Strategy

See the following record sheets

Student Assessment Guide/

Assessment  Mapping

Assessment Cover Sheet

Assesment Feedback Sheet

Assessment Validation Documents


5.3 Quality policy

Quality improvements embedded in plans

TAFE NSW Quality Policy

Examination procedure/ Moderation policy/ Pass or fail policies / Curriculum review policies should be presented.


Two Weeks Training Course Activity Record Sheets

Day 1 Session 3-Course Objective Outline.pdf (2.42MB)

Day 3 Session 3-Delivery & Assessment Strategy.pdf (5.73MB)


Day 4 Session 3-Assessment Strategy 1.pdf (3.84MB)


Day 4 Session 3-Assessment Strategy 2.pdf (5.15MB)

Day 5 Session 3-Workplace Training.pdf (3.45MB)


Day 5 Session 3-Industrial Consultation.pdf (4.1MB)


Day 6 Session 3-Validation & Review.pdf (1.64MB)


Day 7 Session 3-Online Teaching.pdf (3.08MB)


Day 8 Session 3-Project.pdf (4.92MB)


Day 9 Session 3-Overall Review.pdf (1.47MB)


General Reference-Attachment 2a.pdf (4.09MB)


General ReferenceAttachment 2b.pdf (3.29MB)



5.4 Planning and


I Plan


Profile meeting

Course planning sessions 

Timetable preparation

Section Business Plan



Learning and Assessment Strategy








Core process business maps


Institute Annual Plan & reporting

Strategic Directions 2015 or successor

Academic Plan

Records of the timetables used in every semesters


Meeting records related to timetabling


Records of course planning sessions


Records of the timetables used in every semesters


Section/ departments budget plan and records



Day 4 Session 3-Assessment Strategy 1.pdf (3.84MB)

Day 4 Session 3-Assessment Strategy 2.pdf (5.15MB)

Academic Plan



Annual reports


Strategic plans such as how to co-operate with other organizations/ How to set the targets/ milestones etc


5.5 Responsibility,

authority and


Organisation charts

Delegations manual 

Executive, College /Faculty Team,  meetings and


Internal communication


Organizational Structure

Protocol & procedures related to selection of students/ staff/ policies on use of resources/ use of funds etc

Team meeting records


Decisions/ Review/ Implementation records


International communication records/ circulars/ orders/ change plans etc

5.6 Management


Actions from SIE meetings

Outcomes from internal and external audits

Institute quarterly performance reviews








Information on the Intranet

Institute Director’s Minutes 

Senior staff meeting records


Records of audits


Performance reviews on targeted students enrolment VS actual enrolments

Targeted incomes VS Actual income

Targeted expenses VS Actual expenses

Variance analysis

Saving plan

Targeted pass rates of the students VS actual records

How to correct the variances


Online information


Minutes written by the rectors

6.0 Resource


Roll books / ebs completed showing attendance and assessment


Roll books / ebs (signed / approved) by head teacher

Assessment record summaries/ completed module planning


Student acknowledgement of assessment guide


Panel assessment sheets




Roll books containing attendance sheets, assessment guideline

and course brief.

Weekly staff meetings

Panel assessment used to validate assessment tools against

learning outcomes





Syllabus printouts


Lesson Plans







Course program





Roll Books / ebs student records completed according to

requirements and audited by Head Teacher.

Assessment validation in progress (mapping new TP













Calibration of measuring equipment every 6 months.

Internal control checklists

Rollbooks/ Students attendance records filled by teachers and signed by the heads of departments






Annual record of students pass or fail rates




Assesment Feedback Sheet

Assessment Validation Documents


Rollbooks/ Students attendance records

Student Assessment Guide/

Staff meeting records


Panel review on assessment maps used by subject teachers

Assessment  Mapping

Assessment Validation Documents




Assessment  Mapping

Sessions Plan


Program outlines


Example programs


Rollbooks audited by heads of departments



Changing the curriculum cointents to meet the technology change.

& record of the adjustments in changing of assessment systems.

Records of exam questions

Assessment  Mapping

Assessment Validation Documents


Every semester, the exam questions should be changed and collect the records of changes.


Departmental heads need to record the changes & provide the guidances/ upervisions. Such thing should be written in diaries and the entries of the changes diaries should be provided to the respective professors/ rectors.

7 Product





Educational planning




Teaching and Assessment strategy



Quality assurance 


Assessment results and records

Thanlyin TU


Sample of units/ subjects/ cost/ curriculms units planning sheet management sheet v17.5 2016programs.xlsm unit allocations 10.xlsx


Assessment  Mapping


Records of Assessment Validation Documents

Examination records


7.2 Customer


Attendance at industry forums

Annual visit to employer base

Employer feedback to teachers during term

Suppliers providing new technologies


Student feedback during class

Industry presentation night

Annual employer visits

Teacher contact with employers.

Industrial consultation Record

Day 5 Session 3-Industrial Consultation.pdf (4.1MB)


Records of employers feedback


Record of industrial suppliers/ their presentations/ collections of catalogues


Students feedback record


Annual events/ Facebook screenshots on events collections





Industrial consultation Record by individual teachers

Day 5 Session 3-Industrial Consultation.pdf (4.1MB)


7.2 Customer






Reasonable adjustment

ABE / Learner support 

Access and equity


Customer communication 

Customer feedback and complaints


Course information and enquiries 



Training and assessment strategy



Tutorial classes plan


Language/ Literacy/ Numeracy support/ Credit transfer arrangement



Students service customers contact/ service records


Students feedback & complaint including collections of facebook posts by the students


Course advertisement records in various media including facebook



Students training records for each intake groups





Communication and


Course information






School careers days

Enrolment day/ student questionnaire to assess need



 Assessment of student portfolio and interview prior to enrolment.

Student feedback during class and attendance


Student survey forms used to collect formal feedback.

Student feedback and employer feedback.

Course objective

Detailed Contents



Internet information of TUs



Students questions/ enrolment day records



Student handbooks



Selection process records



Records of individual teachers regarding the students’ response / feedback during the sessions


Students survey results


Students’ post in facebook/ formal feedbacks

7.3 Design and


Evidence of industry demand and  involvement in training plans,

courses and assessment

Day 5 Session 3-Industrial Consultation.pdf (4.1MB)


7.4 Purchasing



On contract 

Procurement policies and procedures


Record of purchase of educational resources. Expenses/ supplier records, catalogues/ tenders records


Records of tender contracts



Tender assessment/ approval procedure

7.5 Production and

service provision

Course information




Equipment work instructions/SOPs – WH&S






Monitoring and measuring devices 

Customer satisfaction surveys

Assessment validation


Course information sheets




Risk assessment sheets/ incident reports

Risk assessment for each subject must be performed




Students/ Employer/ Parents’ survey results must be maintained.

Assessment Observation Check List


Records of Assessment Validation Documents


8 Measurement,

analysis and


Budget reports 

Student assessment results


Student contact with Head Teacher


Lesson Plans vetted by Head Teacher/supervision of staff


Informal student feedback


Completion rates

Ebs student monitoring & results 


Section meetings

Faculty meetings

Annual budget reports by administration


Annual students examination results collections/ List of graduates



When the students see head of departments, the records should be maintained



Head of departments should regularly inspect the lessons plans of teachers and provide the feedback. Such feedbacks should be recorded.



Head departments should write the diary for their informal chatting with the students



List of the graduates must be collected.


If online system is applied to record the students results, relevant data must be maintained.



Records of section/ department/ the whole institution meeting including facebook records should be collected.



analysis and


Customer satisfaction and feedback

Internal audit 

Unit/Module completion rates


Performance data 



Curriculum reviews



Version control of curriculum 




Performance updates


Internal control checklists


Students’ survey record


Internal audit records are to be maintained


Individual subject completion records are to be maintained


Any supplementary test results are to be maintained.


Students performance records in each questions must be collected by each teacher and head of departments need to maintain such records


Depending on changing needs of industry, availability of resources, students’ demands, the curriculum review process should be recorded.

When the curriculums are changed, the records must be maintained. Date of review, records of changes, thelist of the members of the panel which change the curriculums must be recorded.


When the curriculums are changed, the students’ performances must be monitored and recorded. Review reports must be written


Corrective Action Plans

Corrective Action Procedure


8.5 Continuous


Undergoing assessment validation

Collating validated assessment tools 






Improvement requests



Internal/external audit findings 

Improvement projects



Complaints processes and resolution

Preventive – staff meetings, Sydney Institute Executive

Innovation projects

Assessment Validation Documents

Assessment  Mapping



Continuous Improvement Plans


Internal/External audit records


Continuous Improvement Plans



Students’Staff complaint Register/ Corrective Actions



How to prevent the complaints/ quality control action records


Continuous Improvement Plans


Complaint Handling Procedures must be prepared

For example


Teachers Professional Development





ISO standards only contain how to collect the required documents.


For academic accreditation purpose, relevant auditing and accreditation guidelines of the accreditation organizations are to be followed.


The following links contain the examples on preparing the course documents such as professional competencies, learning outcomes, subject contents and curriculum contents and sample accreditation advice.


Preparing the course documents for accreditation


Sample curriculum review advice