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Audit Checklist - Instructor-Led 12-15-05

29 pages
Rev 1  01­03­05TPCP AUDIT REPORT CHECKLISTInstructor­LedAUDITOR INSTRUCTIONSI. ChecklistA. This checklist is used for API TPCP Audits.  It covers all requirements of the TPCP Evaluation Criteria.B. Address all requirements in the checklist with a check mark in appropriate column.  Where there is a question asking for a description,please use the space provided. You may use the additional comments section for objective evidence or any further explanation.II. The purpose of the API audit is to:A. Verify that the organization has implemented requirements of the TPCP Evaluation Criteria, its procedures, and related course basedpublications (including API publications, government regulations, and other standards or required/recommended practices).III. When performing the audit:A. First review the documents and procedures that control the course being audited.B. Verify that the controlling documents and procedures are in accordance with TPCP Evaluation Criteria and organization’s procedures.C.  Record the objective evidence observed in the additional comments section or on an attachment  page.D.  When performing the audit, interview the people in the area who are actually doing the work, not just the management / supervisors whoprobably know what to do and what the requirements are.E. Record objective evidence in sufficient detail that the observed items  ...
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TPCP AUDIT REPORT CHECKLIST Instructor-Led
Rev 1 01-03-05
AUDITOR INSTRUCTIONS I. Checklist A. This checklist is used for API TPCP Audits. It covers all requirements of the TPCP Evaluation Criteria. B. Address all requirements in the checklist with a check mark in appropriate column. Where there is a question asking for a description, please use the space provided. You may use the additional comments section for objective evidence or any further explanation.
II. III.
The purpose of the API audit is to: A. Verify that the organization has implemented requirements of the TPCP Evaluation Criteria, its procedures, and related course based publications (including API publications, government regulations, and other standards or required/recommended practices). When performing the audit: A. First review the documents and procedures that control the course being audited. B. Verify that the controlling documents and procedures are in accordance with TPCP Evaluation Criteria and organizations’ procedures. C. Record the objective evidence observed in the additional comments section or on an attachment page. D. When performing the audit, interview the people in the area who are actually doing the work, not just the management / supervisors who probably know what to do and what the requirements are. E. Record objective evidence in sufficient detail that the observed items / situations encountered can be retrieved or located later from the information you provide (area or location, document number, title, date, revision status, etc.). Use attachment pages when more space is required. F. If there is a nonconformance (violation against requirements) use the Audit Action Record. Please state all applicable requirements, including Evaluation Criteria, training providers procedures, etc. G. If the training provider wants to answer to a non-conformance, he or she must show corrective action on separate paper stating the following: (A) Root cause of problem. (B) Action taken to correct problem and effective date until approved by API. (C) Action taken to minimize recurrences. An AAR is not c“ losed”until approved by API. The organization should supply supporting documentation.
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Verify the total number of employees (including part time, clerical, seasonal and contract) at the facility that fall under the API TPCP Scope of Registration:
Total Number of Employees
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TPCP AUDIT REPORT CHECKLIST Instructor-Led
2.0 Course Content AAR 2.1e the ibcres dlyfeirB nempted nolevse desigrs courp orivedrtiaingn procedure? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
2.2a Describe how subject matter experts and other resources used in the program/course development are documented? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
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2.2bthe development of course (Please verify TPCP-acceptable content sources on which course is based and listList up to three SMEs and/or other resources used in below): Subject Matter Resource TPCP Acceptable content sources 1. 2. 3.
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2.3aDescribe how course content reflects the latest edition, version, or revision of the publication or regulation upon which course is based wholly or in part?
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2.0 Course Content AAR Comments/Evidence 2.3bWhat eligible source(s) is (are) the course based upon, and list two examples of adherence to the latest version of the course-based source: Publication or Regulation Edition/Version/Revision 1. 2. 3.0 Student Learning Objectives & Prerequisites AAR 3.1aHow are course learning objectives documented for students? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
3.1bList course objectives (five maximum) and location where they are found. (Location examples: procedure #, student manual, course overview, etc.) Course Objectives Location 1.
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TPCP AUDIT REPORT CHECKLIST Instructor-Led
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TPCP AUDIT REPORT CHECKLIST Instructor-Led
3.0 Student Learning Objectives & Prerequisites AAR 3.2a How are course prerequisites criteria documented? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ 3.2bList course prerequisites and their location: Course Prerequisites 1. 2.
4.0 Simulations and Practice Exercises AAR 4.1Indicate if course includes simulations and practice exercises. __________ ___________ Yes No (If yes, respond to a & b below)
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Location
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4.1aIf simulators or practice exercises are used, describe how they are used and assess the realism of their scenarios and required responses. Simulator or Practice Exercise How Used Assess Realism
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TPCP AUDIT REPORT CHECKLIST Instructor-Led
4.0 Simulations and Practice Exercises AAR 4.1b. Ensure that simulations or practice exercises are appropriate to the course objectives. If the simulations or practice exercises are not in line with course objectives, describe why not. Simulator or Practice Exercise Course Objectives
4.0 Simulations and Practice Exercises 4.2Describe how the training provider documents the maximum number of students that will participate in each type of exercise documented? ________________________________________________________________ ________________________________________________________________
AAR
Comply Y/N
4.2a Number of Students Per Exercise 4.2b Location 4.2c Appropriate to Objectives Y/N
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Comments/Evidence Why Not
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4.2d Why Not?
TPCP AUDIT REPORT CHECKLIST Instructor-Led
4.0 Simulations and Practice Exercises AAR 4.3the training provider documents the minimum number ofDescribe how simulator exercises for each student? Describe how the number of exercises per student is suitable for modeling the desired operation or behavior? ________________________________________________________________
4.3a Number of 4.3b Suitable for 4.3.1 Specific Skills Exercises per Student Modeling Actions? Y/N Tested?
5.0 Training Manual or Course Materials AAR 5.1manual or a complete set of courseIs each student provided with a training materials at the beginning of the course?_________________ ______________ 5.2 Describe how the training manual or course materials clearly state the ning objectives? Describe any except ___________________________ lear ions. ________________________________________________________________ 5.3 the training manual or course materials illustrate good organization, Do layout and documentation management practices, including document version and appropriate numbering?_________________________________________ 5.4 Describe how the manual or course materials include typical examination questions (provided they are not used in any of the examinations during or followi g t e)?______________________________________________ n he cours ________________________________________________________________ 5.4a List two sample questions 1. 2.
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4.3.2a Number of Students 4.3.2b Suitable to Per Team Maximize Learning? Y/N
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Comments/Evidence
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TPCP AUDIT REPORT CHECKLIST Instructor-Led
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5.0 Training Manual or Course Materials 5.5a Does the course content conform to the course outline and objectives? p __________________________________________________ Note exce tions:
5.5bmaterials include objectives for each learning sectionDo manual or course or module? _______________________________________________________
5.6a the training manual or course materials include copies of applicable Do regulations and standards?_________________ _________________________
5.6bIf required reference materials are not supplied with course materials were students advised how to obtain them prior to class? Describe how students were informed: ________________________________________________________ 5.7Do the training manual or course materials include a description of simulated exercises and/or practice ___________________________________ exercises? 5.8Do the training manual or course materials include a table of contents, chapters/sections, page numbers, and a gl sary of term ________________ os s? 6.0 Instruction Team __________________________ 6.1aAre resumes for each instructor available? 6.1binstructors have relevant teaching experience for the subject matterDo being presented? List exceptions: ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
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TPCP AUDIT REPORT CHECKLIST Instructor-Led
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6.0 Instruction Team AAR Comments/Evidence 6.2For each instructor, is one of the following available? Instructor Name6.2.1Valid Training Certificate (Identify) 6.2.2Evidence of Relevant Operation Experience/Technical Skills 1. 2. 3. 6.3a documented procedures available  Areto assure that all instructors meet the training providers qualification requirements and maintain satisfactory performance? Describe location. _____________________________________ _ ________________________________________________________________ 6.3b how procedures include provisions for review, at least annually, Describe of each instructors performance and what is review period?__________________ _______________________________________________________________ _______________________________________________________________ 6.3cAre records of reviews maintained and retained for a period of at least five years? ______________________________________________ ____________
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Instructor Name
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6.3cReviews Maintained/Retained for at least 5 years (indicate where and dates)
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