The audit plan should:

　

・Indicate the names of persons with key responsibilities within the training management system;

・Identify the training management system documentation;

・Identify the training course curricula and materials;

・Indicate the name of the auditors;

・Indicate the language of the audit;

・Identify any unique requirements of the Competent Authority relevant to the audit;

・Identify the organisational units or functions to be audited;

・Indicate the date(s) and place(s) of the audit;

・Indicate the activities to be audited;

・Indicate scheduled meeting times;

・Indicate location(s) to be audited;

・Indicate times of opening and closing meetings.

　

The audit should be scheduled to coincide with appropriate training activities in order that training activities may be monitored.

　

3.2　Audit

　

The audit should determine the effective functioning and implementation of the TMS and verify conformity with documented procedures and instructions.

　

The audit should consist of:

　

・An opening meeting;

・Interviews;

・Review of pertinent records;

・Confirmation of instructor/examiner qualifications (if phase 1 conducted off site);

・Onsite monitoring of training delivery activities;

・Review of training records;

・Closing meeting.

　

The opening meeting should include the introduction of the audit team, a brief review of the audit process, and a review of the audit plan. The audit plan should be revised, if necessary, during the opening meeting to accommodate reasonable contingencies prior to proceeding with the audit.

　

The audit should proceed with interviews of personnel with key responsibility within TMS, a review of pertinent records, and observance of training delivery activities.

　

Where phase 1 activities have been conducted at a location other than the Training Institute, the auditor should review and confirm the authenticity and validity of instructor/examiner certificates and records of qualifications.

　

Appropriate portions of training should be monitored to confirm effectiveness. The instructor's delivery, the interaction between instructor and students and the student competency verification activities should be observed.

　

The auditor should review records resulting directly from training including records of:

・Student progress;

・Student feedback on instructor performance;

・Evidence of student competence.

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