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Desktop Audit Approval - OPITO DESKTOP AUDIT APPROVAL - GUIDANCE Powered By Docstoc
					                              OPITO DESKTOP AUDIT APPROVAL - GUIDANCE MATRIX

The purpose of this document is to enable the applicant to map their evidence of compliance against the OPITO approval
requirements. Items required to be submitted for desktop review are identified in bold text. Applicants who currently
hold OPITO Approval status do not require to submit evidence for those sections marked with an asterisk (*), unless
new systems/procedures have been devised in support of this application. If so, these should be included in the
submission for Desktop Audit Review.

To Be Completed By Applicant


Contact Point:

Scope of Application (Title of OPITO Standard):

Applicant currently holds OPITO Approval for the delivery of the following OPITO Standards: (complete if applicable)

Title(s) …………………………………………………………………………………………………………………………………………


For Office Use Only

Date Received by OPITO:

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              OPITO Requirement                               Explanation/Examples                   Evidence Of Compliance

1.Management Systems

Management Systems are required to include the following:

1.1 An explicit policy for implementing and            This document should reflect the
    maintaining OPITO Standards (signed by             organisation’s overall philosophy towards
    Senior Management).*                               complying with OPITO’s training and
                                                       assessment requirements. It should be
                                                       explicit to OPITO approval and be signed
                                                       by senior management.
1.2 A Customer Service Statement which clearly         This statement should be brought to the
    defines the standards of service which delegates   attention of delegates by inclusion in
    can expect from the OPITO approved centre.*        course materials and/or being displayed
                                                       in training areas.
                                                       A pro forma statement is available from
1.3 Clearly defined and documented staff roles,        This may be illustrated in:
    responsibilities and authority for the                  Organisation Charts
    management and delivery of the OPITO                    Job descriptions/Specifications
    approved standard.                                      Procedures
                                                            Work Instructions, etc.

Formally documented procedures are required which:

1.4 Ensure the conduct of frequent internal            This procedure should be specific to
    auditing of all areas relative to the OPITO        auditing of OPITO approval requirements.
    Standard and Approval Criteria.*                   Management systems, staff and physical
                                                       resources must all be subject to self audit
                                                       in addition to actual delivery of training
                                                       and/or assessment.

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         OPITO Requirement                               Explanation/Examples                   Evidence Of Compliance
1.Management Systems (continued)
1.5 Ensure regular review by Senior               This procedure should show the process
    Management of the organisation’s              for Management review of OPITO
    delivery of OPITO courses and OPITO           performance via internal/external audit
    approval requirements. *                      findings, customer/delegate feedback,
                                                  assessment results, accident statistics,
                                                  complaints, appeals etc.
1.6 Support delegate complaints.*                 A documented procedure which shows all
                                                  steps in dealing with delegate complaints,
                                                  the person(s) responsible, how delegates
                                                  are made aware of the procedure, what
                                                  records are kept etc.
1.7 Control the maintenance, updating and         This may be a single procedure which
    back-up of databases (IT and/or               identifies relevant databases or controls
    manual).*                                     may be included in other procedures e.g.
                                                  maintenance, administration etc.
1.8 Ensure accurate records of candidate          The procedure requires to indicate how is
    assessment are maintained and securely        this undertaken, how and where the
    stored.*                                      records are stored, who is responsible for
                                                  maintaining the records, what security
                                                  provisions are in place, etc. This
                                                  information may be included in the general
                                                  assessment procedure(s).
1.9 Ensure appropriate maintenance activities     A documented procedure which shows
    for all facilities and equipment to be used   that a system is in place for planned and
    during delivery of the OPITO Standard.*       unplanned maintenance of facilities and
1.10 Ensure effective liaison and                 Applies only to centres having remote sites
     communication between all sites where        where training is conducted e.g. TEMPSC /
     training and/or assessment is                fireground areas etc. Procedures are
     conducted.*                                  required to demonstrate that systems
                                                  accommodate these. E.g. administration,
                                                  maintenance, document control
                                                  procedures etc.

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         OPITO Requirement                                Explanation/Examples                    Evidence Of Compliance
1.Management Systems (continued)
1.11 Ensure that OPITO administrative              The administration process from booking
     requirements are fulfilled.*                  through to certification requires to be
                                                   documented. This must include:
                                                       - delegate registration and
                                                            forwarding of delegate registration
                                                            details to OPITO on a weekly basis
                                                       - verification of delegate pre-
                                                            requisites (where required)
                                                       - dispensation for expired
                                                       - certificate issue
                                                       - verification of delegate identity by
                                                            means of government issued
                                                            photographic identification or
                                                            equivalent e.g. Passport, Driving
                                                            Licence, etc.
                                                   OPITO will assist in putting an electronic
                                                   registration system in place.
1.12 Facilitate the identification of resources    Examples of individual training and
     required by candidates with individual        assessment requirements include:
     training and assessment requirements              - English not first language
     and ensure availability.*                         - Literacy
                                                       - Religious considerations
                                                       - Disability
1.13 Ensure all training is conducted safely and   Evidence may be provided from a variety
     delegate well-being is maintained at all      of sources, eg:
     times.*                                           - Safety Procedures
                                                       - Emergency Procedures
                                                       - Risk Assessments
                                                       - Transport Procedures
                                                   Medical Screening Procedures, etc

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            OPITO Requirement                                    Explanation/Examples                  Evidence Of Compliance
2.Physical Resources
2.1 Resource needs are identified in relation to the      The resource needs are identified in the
    specific OPITO Standard and are available.            relevant OPITO Standard.
                                                          Evidence of compliance with this criterion
                                                          should be in the form of an accurate
                                                          inventory of all facilities, equipment
                                                          and personal protective equipment to
                                                          be used for the delivery of the OPITO
                                                          Standard. The actual
                                                          numbers/quantities available require
                                                          to be listed

2.2 There are sufficient maintenance activities to        Evidence may be procured via:
    ensure that all training equipment and facilities         - Equipment/facilities checklists
    are safe and fit for purpose.                             - Equipment maintenance plans/
                                                              - Contingency      plans    are   also
Please note that Sections 2.2.1, 2.2.2, 2.2.3 and 2.2.4          required in the event of equipment
can be audited during initial and ongoing monitoring             breakdown/failure

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            OPITO Requirement                                 Explanation/Examples                    Evidence Of Compliance
3.Staff Resources
3.1 There are sufficient staff with the appropriate    The relevant section of the OPITO
    qualifications and experience as defined within    Standard clearly indicates the required
    the OPITO Standard.                                skills, experience and qualifications for
                                                       training delivery and competency
                                                       assessment. Evidence of compliance may
                                                       be in the form of CVs/Résumés, copies
                                                       of certificates, staff training and
                                                       competency records etc which
                                                       demonstrate compliance with OPITO

3.2 There are formal job descriptions/specifications   Job descriptions for all job roles
    for all job roles involved in the delivery and     specific to the delivery and support
    support of the OPITO Standard.                     of OPITO Standards e.g. instructors,
                                                       assessors, support staff, administrative
                                                       staff, maintenance staff, etc.

3.3 There are sufficient assessors and internal        As for 3.1
    verifiers with the appropriate training and
    competencies to ensure quality and objective

Formally documented procedures are required which:

3.4 Ensure that staff training and development         This criterion relates to all staff involved
    needs are regularly reviewed and a                 in the training and/or assessment of
    programme is put in place to meet any              OPITO Standards i.e. full-time, part-time,
    requirements which are identified.*                sub-contracted, etc.

3.5 Ensure that regular verification of                This may be a “stand alone” procedure or
    instructor/assessor competency is                  be part of the training & development
    undertaken.*                                       process/procedure.

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            OPITO Requirement                                 Explanation/Examples                   Evidence Of Compliance
4.Training & Assessment
4.1 Information, advice and guidance on training and    This process would normally be included
    assessment is provided to potential delegates,      in administrative procedures.
    delegates and their representatives.                Additional documentation may include:
                                                             - Course Joining Instructions
                                                             - Course Information sent to
                                                             - Appeals/Complaints procedure
4.2 Delegates are informed of OPITO’s role within       This may be achieved by a prominently
    the oil & gas industry and contact points within    displayed notice and/or inclusion in
    OPITO.                                              training materials.
                                                        A suitable notice is available from OPITO.
4.3 There is documentary evidence to confirm that       The documents listed i.e. assessment
    training and assessment is carried out as           checklists, lesson plans & timetable
    specified within the relevant OPITO                 should be sufficiently detailed to ensure
    Standard/Training Programme.                        that training and assessment can be
                                                        consistently and reliably delivered. The
                                                        documents must reflect the requirements
                                                        of the OPITO standard and be clearly
                                                        referenced against it.
4.4 Sufficient time is made available to ensure         Examples of documentation which should
    effective administration of the programme in line   reflect the optimum time allocations set
    with the OPITO Standard.                            out in the OPITO Standards may include:
                                                             - Course Timetable/Programme
                                                             - Lesson Plans

Formally documented procedures are required which:
4.5 Ensure candidate assessment is conducted            A documented procedure which outlines
    in alignment with OPITO Standard                    all steps of the candidate assessment
    requirements.*                                      process. This may be combined with the
                                                        appeals procedure (4.6).

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            OPITO Requirement                            Explanation/Examples                    Evidence Of Compliance
4.Training & Assessment (continued)
4.6 Support candidate appeals against             A documented procedure which outlines
    assessment decisions relating to treatment    the process involved in a candidate
    within the assessment process.*               appealing against an assessment
                                                  decision. This is a separate issue from a
                                                  delegate who wishes to complain about
                                                  service etc.
4.7 Ensure consistency, quality and objectivity   A documented procedure which outlines:
    of assessments across all sites where         all steps required for internal verification
    assessment is being conducted, through        of the assessment process. This may
    internal verification*                        include:
                                                       -    IV meetings with Assessors
                                                           where support and advice to
                                                           assessors is provided
                                                       - Sampling of assessment
                                                           evidence to verify assessor’s
                                                           decisions and assessment
                                                       - Record keeping

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 In addition to the above, OPITO will require the following information which relates to the specific OPITO-Approved
 Standard that your organisation wishes to deliver:

           OPITO Requirement                              Explanation/Examples                 Evidence Of Compliance
5. Additional Requirements
5.1 Lists of equipment and training aids specific   This would include photographs of all
    to the OPITO Standard to be delivered.          equipment and personal protective
                                                    equipment, plus details of quantities
5.2 Details of Videos/CDs/DVDs etc. and             Details of any & all media and reference
    reference documents, if applicable, which       documentation used during the delivery
    will be utilised during course delivery.        of the course

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