As you begin to prepare for your audit, below are some important items to keep in mind as it relates to your NCCER accreditation.
NCCER contacts the Sponsor Representative to schedule all audits. Initial audits occur within 12 months of active use of the program after the organization reaches candidate status. Then the organization is audited every three years thereafter.
All organizations, whether in candidate or accredited status, must have a written internal training policy on file ( see 2020 ATS Guidelines, section 1.2.1, page 11). That policy should address topics such as:
- Audit of registered training locations (TU/ATEF/ATU), if applicable
- Evaluation of NCCER certified personnel
- Safety policy for performance profile testing
- Appeals process
- Security of all tests and trainee records
- Cheating, etc.
In addition, the Accredited Training Sponsor (ATS) must keep the following documentation on file:
- Student records to include:
- Registration & Release Form
- Graded end‐of‐module exams
- Performance profile sheets
*Please note: If using NCCER’s testing system, only the Registration & Release Forms and the performance profile sheets will be kept on file.
- Instructor/Performance Evaluator/Proctor records to include:
- Registration & Release Form
- Responsibilities & Liabilities Form (702A/703A)
- Graded ICTP written module and performance tests for Instructors and Performance Evaluators
- Graded certification exam for Proctors
- Documentation of qualifications (resume, bachelor’s degree in relevant field, license in relevant field, etc.) for Instructors and Performance Evaluators
- Written Instructor evaluations by students and Sponsor Representative
- Sponsor Representative’s written evaluation of Proctors and Performance Evaluators
- Written audit documentation of training locations, (ATEF/ATU/TU) if applicable. Sample checklist can be found here.
More information on the audit process can be found here on NCCER’s support site.
TIPS AND BEST PRACTICES:
1. Register all training locations in NCCER Registry as:
- Accredited Training and Education Facility (ATEF) – secondary and post-secondary schools
- Accredited Training Unit (ATU) – permanent training locations
- Training Unit (TU) – temporary training locations or job sites
2. Have a memorandum of understanding with training locations (especially schools) and instructors that covers topics such as:
- How records are maintained
- What happens to the records when an instructor retires, is terminated or suddenly leaves the school.
- What happens to records if the school no longer wishes to use NCCER, etc.
3. Integrate walk-throughs of most common registry system functions in ICTP training. Use NCCER’s support site (support.nccer.org) for videos and how-to articles. Attached is an email that is will also be shared with them directly. Please feel free to share with old and new instructors as they begin to teach under your organization’s sponsorship.
4. Evaluate all instructors within a month of working with them to ascertain their understanding of NCCER Guidelines and systems.
5. Require new instructors to submit all student records (as explained above) for review prior to approving registration of training modules. If the instructor remains consistent in their record keeping for a period of time, then review of student records prior to approving submissions can be reduced.
6. Conduct yearly mini audits of your program (especially when sponsoring several training locations), to remain ready for NCCER’s triennial audits.
7. Notify NCCER when leaving the organization.