Audit Area CM / Proc. Ref Comments Satisfactory - Y / N 5. COMPLIANCE MEASURES Have CM objectives been developed from the policy statement, and included either directly or by reference in the CMS Manual ? Does the CMS include processes to produce and review appropriate metrics data ? Do these compliance measures track the following : a) FSTD availability ; a) b) numbers of defects ; b) c) open defects ; c) d) defect closure rates ; d) e) training session interrupt rates ; e) f) training session compliance rating. f) Do the compliance measures support the compliance objectives ? Required actions / Comments : Date : Signature ORA. FSTD. 100 General GM 3. COMPLIANCE MONITORING SYSTEM GUIDANCE for ORGANISATIONS – OPERATING FSTDS to PREPARE for a COMPETENT AUTHORITY EVALUATION a ) Introduction. The following material provides guidance on what is expected by the competent authorities to support the discussion during the preliminary briefing, which is a first step of any initial or recurrent evaluation of an FSTD carried out by a competent authority. This document has been developed as well to standardize working methods throughout States and to develop effective CM spot checks to satisfy the applicable requirements and therefore to ensure the highest standards of training are attained ; b ) Document Form. Different document forms can be considered. Nevertheless, it appears that the best solution is a dossier, which includes all the information required by the competent authority to perform an evaluation ; c ) Contents of the Dossier for an Initial Evaluation : 1 ) type of FSTD and qualification level requested ;
Audit Area CM / Proc. Ref Comments Satisfactory - Y / N 5. COMPLIANCE MEASURES Have CM objectives been developed from the policy statement, and included either directly or by reference in the CMS Manual ? Does the CMS include processes to produce and review appropriate metrics data ? Do these compliance measures track the following : a) FSTD availability ; b) numbers of defects ; c) open defects ; d) defect closure rates ; e) training session interrupt rates ; f) training session compliance rating. a) b) c) d) e) f) Do the compliance measures support the compliance objectives ? Required actions / Comments : Date : Signature GM 3. ORA. FSTD. 100 General COMPLIANCE MONITORING SYSTEM – GUIDANCE for ORGANISATIONS OPERATING FSTDS to PREPARE for a COMPETENT AUTHORITY EVALUATION a ) Introduction. The following material provides guidance on what is expected by the competent authorities to support the discussion during the preliminary briefing, which is a first step of any initial or recurrent evaluation of an FSTD carried out by a competent authority. This document has been developed as well to standardize working methods throughout States and to develop effective CM spot checks to satisfy the applicable requirements and therefore to ensure the highest standards of training are attained ; b ) Document Form. Different document forms can be considered. Nevertheless, it appears that the best solution is a dossier, which includes all the information required by the competent authority to perform an evaluation ; c ) Contents of the Dossier for an Initial Evaluation : 1 ) type of FSTD and qualification level requested ;
GT14.1_2015page1025-1046.docx