AISM

Association Internationale de Signalisation Maritime IALA

International Association of Marine Aids to

Navigation and Lighthouse Authorities

IALA Guideline No. 1014

On

the Accreditation and Approval
Process for
VTS Training


Edition 3

December 2011
Edition 1: September 2000

10, rue des Gaudines

78100, Saint Germain en Laye, France
Telephone: +33 1 34 51 70 01 Fax: +33 1 34 51 82 05
e-mail: [email protected] Internet: www.iala-aism.org

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

DOCUMENT REVISIONS
Revisions to the IALA Document are to be noted in the table prior to the issue of a revised
document.
Date

Page / Section Revised

September 2005 Whole document

Reformatted to comply to IALA

document standards

December 2009

Whole document

Major revision of the document

December 2011

Whole document

Major revision of the document, in line

with the 2010 Manila STCW
amendments

Requirement for Revision

Page 2 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

TABLE OF CONTENTS
DOCUMENT REVISIONS

TABLE OF CONTENTS

Introduction

1.1

Overview

1.2

Aim and Objectives

Definitions and clarifications

General Considerations for the Approval of VTS Training Courses

3.1

Approval

3.2

Interim Approval Arrangements

Procedures for the Accreditation/Approval Process for VTS Training

4.1

Step 1

4.2

Step 2

4.3

Step 3

4.4

Step 4

4.5

Step 5

4.1.1
4.1.2
4.2.1
4.2.2
4.2.3
4.3.1
4.3.2
4.4.1
4.5.1

Training Organisation submits an accreditation request to the Competent Authority

The Competent Authority informs IALA about the accreditation application
The Training Organisation submits completed pre-audit questionnaire
Competent Authority evaluates pre-audit documentation
Does pre-audit documentation comply with the requirements?
Initial audit
Does the training comply with the requirements?
The Competent Authority issues Accreditation
The Competent Authority issues Approval

References

7
7

8
8
8
8

8
8
8

8
8

8
8

ANNEX A PRE-AUDIT QUESTIONNAIRE

10

ANNEX B PROCEDURES FOR THE AUDIT PROCESS

18

ANNEX C TRAINING MANAGEMENT SYSTEM (TMS) AS A QUALITY SYSTEM MODEL FOR

TRAINING ORGANISATIONS

22

ANNEX D RECOMMENDED PRACTICES FOR VTS TRAINING ORGANISATIONS

30

ANNEX E SAMPLE OF INFORMATION REQUIRED ON CERTIFICATE OF ACCREDITATION

32

ANNEX F SAMPLE CERTIFICATE OF APPROVAL FOR VTS TRAINING COURSES

33

Page 3 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

The Accreditation and Approval Process for VTS Training

1
1.1

INTRODUCTION
Overview

In accordance with SOLAS Chapter V Regulation 12 Vessel Traffic Services, IMO Resolution
A.857(20) Guidelines for Vessel Traffic Services and IALA Recommendation V-103
Recommendation on Standards for Training and Certification of VTS Personnel, it is the
responsibility of the Competent Authority to accredit and audit VTS training organisations as well
as approve VTS training courses.
These guidelines, including ANNEX A to ANNEX E, set out the process by which VTS training
organisations can achieve approval of their VTS training courses leading to the issue of:

1.2

VTS Operator Course Certificates in accordance with IALA Recommendation V-103 and
Model Course V-103/1 - VTS Operator Training;

VTS Supervisor Course Certificates in accordance with IALA Recommendation V-103

and Model Course V-103/2 - VTS Supervisor Training;

VTS On-the-Job Training Course Certificates in accordance with IALA Recommendation

V-103 and Model Course V-103/3 - VTS On-the-Job Training; and

VTS On-the-Job Training Instructor Course Certificates in accordance with IALA

Recommendation V-103 and Model Course V-103/4 - VTS On-the-Job Training
Instructor.

Aim and Objectives

The aim of these IALA guidelines is to ensure conformance with the standards and requirements of
VTS training. Competent Authorities as well as training organisations are encouraged to adopt
these IALA Guidelines on the Accreditation and Approval process.
The objectives are to ensure that all training and assessment of VTS Personnel for the purpose of
certification and/or endorsement is:

structured in accordance with established training procedures based on clearly

communicated, measurable and achievable objectives;

able to ensure that the standard of competence as indicated in IALA Recommendation

V-103 is met and maintained;

conducted, monitored, evaluated and supported by appropriately qualified instructors

as indicated in IALA Recommendation V-103; and

managed in a manner that ensures relevancy and accuracy according to experience

gained, technological advances, national and international recommendations, rules
and regulations.

Page 4 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

DEFINITIONS AND CLARIFICATIONS

To assist in the use of these Guidelines, the following definitions and clarifications have been used.
Accreditation is a process whereby the Competent Authority (CA) or an authority designated and
approved by the CA, grants recognition to a training organisation for demonstrated ability to meet
predetermined criteria for established standards.
Approval is the result of successfully completing the quality assurance process under which a VTS
training course is assessed to ensure that the IALA standards are met. In these Guidelines, the
Accreditation process is for the VTS training organisation and Approval is for the actual VTS
courses themselves.
Audit is a systematic and independent verification process to assess whether the VTS training
course concerned meets the IALA V-103 standards as well as the training management system.
Competent Authority is the authority made responsible, in whole or in part, by the Government
for the safety, including environmental safety, and efficiency of vessel traffic and the protection of
the environment.
Competence is the ability to perform defined tasks or duties proficiently.
Interim Approval is the preliminary approval for a new training course and should only be valid for
the first presentation of the course.
Quality Management System (QMS) is a documented process of the training organisation that
comprises a set of policies, processes and procedures required for planning and implementing the
training of VTS personnel. QMS enables organisations to identify measure, control and improve
the various training processes that will ultimately lead to improved performance.
Simulator Training is the simulation of operational events, practices and procedures to instruct
trainees and assess their ability to demonstrate their levels of competence.
Training Management System (TMS) is a quality management system designed with the objective
of ensuring the consistency in the delivery of the course and the assessment of the trainees in
accordance with the minimum requirements.
Training Organisation refers to a training facility providing VTS training or to a VTS Centre
providing On-the-Job Training (OJT).
VTS Authority is the authority with responsibility for the management, operation and co-
ordination of the VTS, the interaction with participating vessels and the safe and effective
provision of the service.
VTS Certification Log is a record of VTS related certificates and endorsements awarded to VTS
Personnel during their VTS career. The record may be in the form of a log book or a separate
certificate. The log can be in electronic or paper format.
VTS Operator Certificate is a certificate of competence awarded by a Competent Authority after
the trainee VTSO has successfully completed both the V-103/1 training and V-103/3 OJT at the
specific VTS centre where the VTSO is employed, as well as meeting any specific requirements of
the Competent Authority. The VTS Operator Certificate entitles the authorised holder to serve in
the capacity of a VTSO and perform the functions which endorsements have been made.
VTS Course Certificate is a document awarded by the training organisation after a trainee has
achieved successful completion of an accredited IALA Model Course i.e. V-103/1 VTS Operator
Training, V-103/2 VTS Supervisor Training, V-103/3 VTS On-the-Job Training and V-103/4 On-the-
Job Training Instructor. This course certificate alone is not an authorisation to operate.

Page 5 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

VTS Personnel are persons primarily trained in VTS operations and holding appropriate
qualifications issued by, or on behalf of, a Government or a Competent Authority. Two grades of
skills, knowledge and competence of VTS Personnel are set out in this Recommendation namely,
VTS Operator and VTS Supervisor respectively. VTS Personnel may also include VTS Managers,
who should ideally hold qualifications appropriate to the duties performed.
3

GENERAL CONSIDERATIONS FOR THE APPROVAL OF VTS TRAINING COURSES

VTS training provided by organisations should be approved in accordance with these IALA
Guidelines. If necessary, Competent Authorities can liaise with IALA before and during the
accreditation/approval process. The use of the IALA logo indicates that the whole process is in
compliance with these IALA guidelines. The IALA logo may only be used by IALA member
countries.
VTS training should be conducted in accordance with the model courses developed by IALA (see
also MSC/Circ 1065 - IALA Standards for Training and Certification of Vessel Traffic Service (VTS)
Personnel). Organisations providing VTS training should provide training services within the
framework of a recognized1 quality and training management system and should follow the
guidance in ANNEX D - Recommended Practices for VTS Training Organisations.
Competent Authorities should develop and promulgate procedures for the application of the
accreditation/approval regarding VTS training.
3.1

Approval

The STCW Convention requires that training leading to the issue of a certificate is 'approved'.
Although a particular training organisation may already have accreditation for STCW training and
approval for such courses, training organisations intending to provide VTS training should first of
all apply for accreditation to the Competent Authority of the country, in which it is located.
Separate approval for each course will then be required from the Competent Authority.
There may well be instances where an 'arrangement' includes provisions previously established
between States for the reciprocal recognition of VTS certificates, similar to that as allowed under
the STCW Convention. However, the final decision lies with the Competent Authority.
Approval will initially apply only to the training of VTS personnel to operate in the country
concerned unless reciprocal arrangements, that are properly documented, have been made
formally with the Competent Authority of another country or countries.
The Competent Authority should endeavour to carry out an audit at appropriate intervals in order
to ensure that its requirements are met by the organisation. These audits should include:

Training Management System (including instructors, simulators and VTS training

facilities);

V-103 course documentation;

maintenance of records;

course presentation assessment; and

simulator training.

If the training organisation meets the requirements required by the Competent Authority to
provide VTS training, the Competent Authority will approve the training course(s) and will then

1 Recognized by the Competent Authority

Page 6 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

inform IALA that the process has been satisfactorily completed. On request, IALA, or any other
IALA approved organisation, may assist the Competent Authority to fulfil part of, or the whole
approval process. Competent Authorities may also consider using the IALA approved Classification
Societies (IALA-ACS). The recommended process is described in ANNEX B - Procedures for the
Audit Process.
Whilst it is up to the Competent Authority to decide on the period of validity for the Certificates of
Accreditation and Approval, it is recommended that the period of validity should not exceed 5
years. The Competent Authority may require a periodic audit to be performed at appropriate
intervals to ensure continuity of standards. This periodic audit may include Phase 2 and Phase 3
audit activities, as described in ANNEX B.
Renewal of the accreditation consists of Phase 1, 2 & 3 audit activities, as described in ANNEX B,
and should ideally be performed within 6 months of the expiration date.
A sample Certificate of Approval and the information required thereon is given in ANNEX F.
3.2

Interim Approval Arrangements

In order to facilitate the start-up operation of VTS training at new or existing training
organisations, the Competent Authority may decide to provide interim approval.
Accreditation is quite separate from the Approval process, as Approval is provided for each
individual course whilst Accreditation is for the training organisation itself. Interim approval is
based upon:

satisfactory completion of Phase 1 audit activities;

validation of instructor qualifications;

plans for full implementation of the system by the time of the initial accreditation
assessment;

key Training Management System (TMS) personnel being familiar with the
implementation plans.

Training organisations having achieved interim accreditation will not be required to repeat Phase 1
activities prior to the Phase 2 audit.
4

PROCEDURES FOR THE ACCREDITATION/APPROVAL PROCESS FOR VTS TRAINING

(see Figure 1 - flowchart on the initial accreditation process)

4.1

Step 1

4.1.1 Training Organisation submits an accreditation request to the Competent Authority

The training organisation needs to obtain the requirements from the Competent Authority.
The training organisation should be familiar with the documentation relevant to their own TMS as
well as that appertaining to VTS training, which can be found on the IALA website2.
Prior to submission of an accreditation request, it is recommended that the training organisation
carries out their own internal check using the pre-audit questionnaire in ANNEX A.
4.1.2 The Competent Authority informs IALA about the accreditation application
The Competent Authority should inform IALA about the accreditation application at an early stage.

2 http://www.iala-aism.org

Page 7 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

4.2

Step 2

4.2.1 The Training Organisation submits completed pre-audit questionnaire

The training organisation should ensure that the questionnaire and the supporting documentation
are submitted in sufficient time to allow the Competent Authority to properly assess the
submission.
4.2.2 Competent Authority evaluates pre-audit documentation
The Competent Authority evaluates the questionnaire and the supporting documentation to
ensure compatibility with IALA V-103 standards and any additional requirements.
4.2.3 Does pre-audit documentation comply with the requirements?
If Yes, the initial audit can take place at an agreed time.
If No, the Competent Authority notifies the training organisation and provides reasons to serve as
a basis for corrective actions.
4.3

Step 3

4.3.1 Initial audit

The Competent Authority should ensure that the audit process is conducted in
compliance with ANNEX B of these Guidelines.
4.3.2 Does the training comply with the requirements?
If Yes, the Competent Authority can issue an accreditation for VTS training.
If No, the Competent Authority notifies the training organisation and provides reasons to serve as
a basis for corrective actions.
4.4

Step 4

4.4.1 The Competent Authority issues Accreditation

The Competent Authority issues the accreditation certificate, which should at least contain the
information as shown in the sample certificate in ANNEX E.
4.5

Step 5

4.5.1 The Competent Authority issues Approval

The Competent Authority issues an approval certificate for each individual VTS training course that
has been approved. This certificate should at least contain the information as shown in the
sample certificate in ANNEX F.
The Competent Authority should send a copy of the approval certificate(s) to the IALA Secretariat.
A sample of the periodic and additional audit certificate is also shown in ANNEX F.
The certificates shown in ANNEX F provide a sample of what may be required by the Competent
Authority and in no way reflect what actually may be issued. Ideally they should the logos of both
the Competent Authority and IALA, the latter logo being shown only if the particular country is an
IALA member.

Page 8 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

VTS TRAINING
ORGANISATION

ACCREDITATION

VTS TRAINING
COURSES

APPROVAL

V103-1

V103-2

V103-3

V103-4

future m odel courses

Figure 1

Accreditation / approval process

REFERENCES

[1]

IMO Resolution A.857(20) Guidelines for Vessel Traffic Services

[2]

IMO MSC Circ.1065 - IALA Standards for Training and Certification of Vessel Traffic Service
(VTS) Personnel

[3]

IALA Recommendation V-103 Recommendation on Standards for Training and Certification

of VTS Personnel

[4]

IALA Model Course V-103/1 VTS Operator Training

[5]

IALA Model Course V-103/2 VTS Supervisor Training

[6]

IALA Model Course V-103/3 VTS On-the-Job Training

[7]

IALA Model Course V-103/4 VTS On-the-Job Training Instructor

[8]

IALA Guideline 1017 - Assessment of Training Requirements for Existing VTS Personnel,
Candidate VTS Operators and Revalidation of VTS Operators Certificates

[9]

IALA Guideline 1027 - Simulation in VTS Training

Page 9 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

ANNEX A
1

PRE-AUDIT QUESTIONNAIRE

GENERAL INFORMATION

Training program to be audited

Name of training organisation

Address of training organisation

Contact person of training org.

Telephone number of training org.

Facsimile number of training org.

E-mail of training org.

To be filled in by the Competent Authority:

Auditing organisation

Contact person of auditing org.

Contact information of auditing

org.

2
TRAINING MANAGEMENT SYSTEM (TMS)
Quality Policy
Yes/No
Declaration of general aims and objectives of the
training institute in relation to the training of VTS
Personnel

Yes

No

Relevance of the quality policy to the student

training needs in general

Yes

No

Relevance to applicable requirements of V-103 and

appropriate model course

Yes

No

Expression of the organisations commitment to

achieving its goals and objectives and to fulfilling
the training needs of the student

Yes

No

Confirmation that the quality policy is available to

and understood by, as well as maintained and
implemented, at all levels of the organisation

Yes

No

Comments

Page 10 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

3
ORGANISATIONAL ARRANGEMENTS
Responsibility and authority
Yes/No
Are the responsibility and authority of all personnel
who perform and verify work affecting training
defined and documented?
Is there facility in the system to:

Yes

No

a)

Comments

initiate action to prevent the occurrence of any

non-conformities relating the TMS?
b) identify and record any problems relating to the
TMS?
c) initiate, recommend or provide solutions to
identify problems through designated channels?
d) verify the implementation of solutions?

Yes

No

Yes

No

Yes

No

Yes

No

e)

Yes

No

Yes

No

f)

identify pertinent changes to student training

and competence requirements?
initiate action to incorporate appropriate
changes to the VTS training programs?

Management representative
Has a Manager been appointed with the
responsibility of:
a) ensuring that a TMS is established,
implemented and maintained?
b) reporting on the performance of the TMS to the
management?

4
INTERNAL TMS AUDITS
Internal TMS audits

Yes/No

Comments

Yes

No

Yes

No

Yes/No

Comments

Are documented procedures in place for planning

and performing internal audits in order to verify
whether activities comply with the requirements of
the TMS?
Is the TMS audited at least annually?

Yes

No

Yes

No

Are internal audit records maintained?

Yes

No

5
CORRECTIVE AND PREVENTATIVE ACTION
Corrective/preventative action
Yes/No

Comments

Are TMS deficiencies documented?

Yes

No

Are appropriate sources of information, such as

non-conformance reports, audit reports, student
and customer complaints, and quality records to
detect eliminate potential deficiencies reviewed?
Are student learning deficiencies for adverse trends
that shall indicate a deficiency in the training plan or
training delivery procedures analysed?
Are root causes of deficiencies determined and
corrective action to eliminate the deficiency
implemented?
Are TMS records of these activities maintained?

Yes

No

Yes

No

Yes

No

Yes

No

Page 11 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

6
MANAGEMENT REVIEW
Management review

Yes/No

Are management reviews carried out at regular

intervals?
Are records of management reviews maintained?

Comments

Yes

No

Yes

No

7
TRAINING MANAGEMENT SYSTEM REQUIREMENTS
Training Management Manual
Yes/No
Comments
Is a TMS established, documented and maintained
to conform to IALA requirements that ensures that
students are trained in accordance with V-103 and
the requirements of the authority?
Does TMS include a Training Management Manual?
Does this manual provide:
a)

Yes

No

Yes

No

a copy of quality policy?

Yes

No

b) an overview of the TMS?

Yes

No

c)

Yes

No

Yes

No

Yes

No

an outline of TMS documentation structure?

d) cross reference to the requirements of this

standard?
e) references to pertinent TMS documentation?

TMS procedures

Yes/No

Are procedures documented and consistent with the

requirements of IALA and the stated quality policy?
Are TMS and documented procedures effectively
implemented?
Is the level of details within the TMS procedures
appropriate to the level of
a) complexity of training and support functions?

Comments

Yes

No

Yes

No

Yes

No

b) the skills on instructors and support personnel?

Yes

No

c)

Yes

No

the internal TMS training provided to

organisation personnel?

Page 12 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

8
DOCUMENT AND DATA CONTROL
Document and data control
Yes/No
Does a documented procedure exist for the control
of all documents and data that relate to the
requirements of IALA, V-103 and authority?

Document/data approval and issue

Yes

No

Yes/No

Is TMS documentation reviewed and approved for

adequacy by approved personnel?
Does the procedures ensure that:
a) those involved with the review process are
provided with the appropriate reference
material and background information?
b) the revision status of TMS documents can be
readily identified?
c) TMS documents are available at all locations
where work essential to TMS is performed?
d) instructors manuals and materials issued to
students are current?
e) invalid or dated documents are removed from
all points of use?
f) archived, obsolete documents are suitably
identified and stored in order to preclude
unintended use?
g) records of changes are maintained?

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes/No

9
RESOURCES
Resources identification

Yes

No

Yes/No

Is there suitably qualified and trained staff to

manage, support, conduct and verify training
activities?
Are there adequate facilities, equipment and
materials essential to the support of the TMS?

Training of organisation personnel

Comments

No

Yes

No

Comments

Yes

No

Yes

No

Comments

Yes

Yes/No

Do documented procedures exist for identifying the

training needs of personnel performing
management, training, examination and support
functions?
Have all personnel directly involved in student
training activities satisfactorily completed pertinent
instructor training requirements?

Comments

Does a documented procedure exist for the storage

of training materials to preclude damage of
deterioration?

No

Yes

Storage of materials

Comments

Page 13 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

10
PURCHASING
Purchasing

Yes/No

Do documented procedures exist which ensures

essential services, facilities, equipment and
materials support training and comply with IALA
recommendations and the authorities
requirements?
Do these procedures ensure that:
a) subcontracted instructors are suitably trained?

Evaluation of subcontractors

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

b) external facilities utilised in the training of

students comply with the requirements of the
applicable training plan?
c) equipment purchased for training is suitable for
the applicable training plan?
d) subcontracted organisations providing part or
all of the training meet the requirements of the
training plan?

Comments

Yes/No

Comments

Is there a procedure to evaluate subcontractors?

Yes

No

Are the criteria applied and the methods of

evaluation used appropriately to assess the impact
of the service, facility, equipment or material on the
training provided?

Yes

No

11
TRAINING DEVELOPMENT
Training course development

Yes/No

Is there a documented procedure to control and

verify the development in training courses in order
to ensure that training requirements are met?
Does the training course development procedure
ensure that:
a) responsibility and authority for training course
development and review activities are assigned
to qualified personnel?
b) requirements for the pertinent model course
and the authority are taken into account?
c) training course objectives are defined in terms
of targeted qualifications?
d) students knowledge and competence
requirements are taken into account?
e) appropriate use of simulators is taken into
account?
f) appropriate reference documents are made
available to persons involved in training course
development?
g) ambiguities within the training course
documentation are resolved?
h) review of training course documentation is
controlled?
Are records of training course development
maintained?

Yes

No

Comments

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Page 14 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Training plan

Yes/No

Are the training plans for each course defined and

documented?
Do these plans include:
a) a description of the training course?

Yes

Comments

No

Yes

No

b) prerequisite student qualifications?

Yes

No

c)

Yes

No

d) instructor/examiner qualification
requirements?
e) instructor to student ratio?

Yes

No

Yes

No

f)

Yes

No

Yes

No

Yes

No

identification of required resources?

reference to course materials, applicable TMS

procedures and documentation?
g) procedures or instructions specific to delivery of
the course?
h) criteria for and methods of evaluating students
competence, knowledge, understanding and
proficiency as documented in IALA
Recommendation V-103?

12
TRAINING SUPPORT PROCEDURES
Training support procedures
Yes/No
Do documented procedures exist for functions that
support the delivery of training?
Are these activities identified, planned and
conducted under controlled conditions?
Do these controlled conditions include:
a) documented procedures where their absence
could adversely affect training?
b) use and availability of suitable equipment and
facilities?
c) maintenance of facilities and equipment that
have a direct impact upon training?
d) observance of documented safety procedures?

13
APPLICATION REVIEW
Application review

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes/No

Do documented procedures exist for reviewing the

qualification of applicants?
Do these procedures:
a) identify the qualification sought by the
applicant?
b) evaluate applicants stated qualification against
prerequisite requirements for the pertinent
training course?
c) determine suitability of the training course for
providing qualifications sought by the
applicant?
d) communicate with the applicant regarding
suitability of course(s) and curricula offered to
fulfil the students qualifications needs?
Are records of application review maintained

Comments

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

Comments

Page 15 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

14
VERIFICATION OF STUDENTS COMPETENCE
Aptitude/assessment testing
Yes/No
Comments
Is a procedure in place to test candidates suitability
for VTS operator basic training?

Acceptance verification

Yes

No

Yes/No

Is there a procedure in place to ensure student

candidates fulfil prerequisite requirements detailed
in the applicable training plan?
Is the identity of student candidates confirmed and
suitable evidence of prerequisite qualifications
sought prior to commencement of training?

Examinations and competence

Satisfactory completion

No

Yes

No

No

Yes

No

Yes

No

Yes

Student progress

No

Yes/No

Does a documented procedure exist for identifying

and recording student progress from application
through completion of training?

Yes

No

15
CERTIFICATION AND ENDORSEMENT
Certification and endorsement
Yes/No
Do documented procedures exist for informing the
VTS authority of a students successful completion
of training, if required?
Does a documented procedure exist for issuing VTS
course certificates?

Comments

Yes

Yes/No

Are records of examinations of student knowledge

and competence maintained in accordance the
requirements of the authority?

Comments

Yes

Yes/No

Is there a process of ensuring that student

candidates adequately demonstrate all applicable
knowledge and competence requirements prior to
being considered as having successfully completed
the training course?
Do documented procedures exist for the
development and administration of examinations
and tests of competence?
Is the responsibility and authority for evaluation of
student knowledge or competence defined?

Comments

Comments

Comments

Yes

No

Yes

No

16
CONTROL OF STUDENT LEARNING DEFICIENCIES
Control of student learning
Yes/No
Comments
Do documented procedures exist for the evaluation
of student knowledge and competence
Where appropriate, are students:
a) retained and re-examined in the specific area
where deficiencies are noted?
b) failed and required to repeat the training
course?
c) recommended to cease training?

No

Yes

No

Yes

No

Yes

No

Yes

Page 16 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

17
CONTROL OF TMS RECORDS
Control of TMS records

Yes/No

Do documented procedures exist for the

identification, collection, indexing, access, filing,
storage, maintenance and disposition of TMS
records in accordance with the requirements of the
authority?
Are TMS records maintained in order to
demonstrate:
a) students satisfactory completion of training and
applicable competence requirements?
b) effective functioning of the TMS?

18

Yes

No

Comments

Yes

No

Yes

No

GENERAL COMMENTS

Date

Name of training organisation



Signature

Official stamp of training

organisation

Page 17 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

ANNEX B

PROCEDURES FOR THE AUDIT PROCESS

1
INTRODUCTION
It is the responsibility of the Competent Authority to ensure that the audit process is compliant
with these guidelines.
The audit process is designed to ensure that:

training is being provided within a functioning training management system based

upon an approved quality system standard;

instructors and examiners are properly qualified to provide training as well as being
able to assess competency of students; and

course materials and curricula comply with the IALA V-103 Recommendation and
associated Model Courses.

The auditor should identify and report any areas where the documentation or the training does
not comply with any of the above requirements.
The audit process is conducted in three phases and a follow-up phase.
To assist with planning and preparation for an audit (including the completion of the pre-audit
questionnaire), the following should be considered:
indicate the names of persons with key responsibilities within the training management system;
identify the organisational units or functions to be audited;
use of organisational diagrams and flow charts;
identify the activities to be audited;
identify the training management system documentation;
use of a project management approach in order to assist with the setting of timetables and the
consideration of budget and resources;
identify the training course curricula and materials;
indicate the name(s) of the auditor(s);
indicate the date(s), time(s) and place(s) of the audit;
identify location(s) to be audited;
indicate the language of the audit;
identify any unique requirements of the Competent Authority relevant to the audit;
the time and effort that may be required to complete the process;
if time and resources permit, it could be useful to conduct an internal pre-audit.

Page 18 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

1.1
Phase 1
Phase 1 activities should be conducted sufficiently in advance of the Phase 2 audit to allow the
training organisation sufficient time to correct any Phase 1 non-conformities prior to the
commencement of Phase 2.
Phase 1 should consist of:
Training Management System documentation review
The TMS documentation should confirm that a training management system, including internal
audit programs, is in place and is used to review and improve the quality of training at the VTS
training organisation. A comparison of the training management system documentation against
the requirements of an approved quality system standard which is recognised by the Competent
Authority should be performed. The training management system should at a minimum reflect
ANNEX C of these guidelines.
1.1.1

Training course materials, curricula and simulator capability review

The curricula, course materials and simulator capabilities should be compared with the various
IALA recommendations, guidelines, model courses and any additional requirements of the
Competent Authority.
1.1.2

Review of instructor and examiner qualifications

Documents certifying instructor and examiner qualifications should be reviewed to ensure the
individuals are suitable for the functions they perform.
1.1.3

Review of internal audit program

The training organisations internal audit program schedule should have a plan to correct non-
conformities found in the phase 1 of the audit prior to initiation of the Phase 2 audit.
1.1.4

Reporting
The results of Phase 1 audit activities should be documented in a report. The report should list the
documents reviewed, and summarise the results of the Phase 1 audit.
1.1.5

The auditor should identify any non-conformities in the compliance with the TMS documentation,
course curricula, course materials, or instructor/examiner qualifications. The training organisation
should correct the non-conformities and report the proposed corrections to the auditor for the
appropriate response prior to Phase 2 of the audit.
1.2
Phase 2
Phase 2 should consist of:
Audit planning and scheduling
Phase 2 of the audit should be conducted in accordance with the plan developed by the auditor.
Implementation of the plan should be co-ordinated with the VTS training organisation.
1.2.1

Audit of TMS implementation

The audit should determine the effective functioning and implementation of the training
management system and verify conformity with documented procedures and instructions. The
audit should be scheduled to coincide with the presentation of the appropriate VTS training
activities.
1.2.2

The on-site audit may consist of:

1

an opening meeting;

review internal audits;

review management review reports;

Page 19 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

review corrective action system including customer complaints and outstanding non-conformities
and observations;
review changes to TMS;
review changes to management responsibility and authority;
confirmation of instructor/examiner qualifications ;
examination of programmed areas/activities including on-site monitoring of the course;
review of training records;
preparation of draft programme for next visit;
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 onsite
audit.
The audit should proceed with interviews of personnel with key responsibility within the TMS, a
review of training records, and observance of training delivery activities.
Those portions of training reflected in the audit plan should be monitored to confirm compliance.
The instructors delivery, the interaction between instructor and students and the student
assessment activities should be observed. The auditor should ensure that the records are being
handled in compliance with the TMS.
At the closing meeting the results of the audit, including the non-conformities identified, the
remedial action to be taken and the recommendation regarding approval, should be reviewed
with representatives of the organisation providing VTS training.
Reporting
The Phase 2 results of the audit activities should be documented in a report.
1.2.3

The report should:

1

summarise the results of the phase 2 audit;

include identified non-conformities;

indicate requirements for timely corrective action and any follow-up activities;
indicate the recommendation for approval.
Where practicable, the audit report should be prepared for presentation at the closing meeting.
1.3
Phase 3
Phase 3 should consist of;
Audit follow-up activities;
The training organisation is responsible for correcting any non-conformities identified during the
audit. The training organisation should report proposed corrective actions to the auditor for
review and acceptance. The auditor should review the proposed corrective actions submitted by
the training organisation and determine their acceptability.
1.3.1

If the proposed corrective actions are acceptable, the auditor should, by documented
correspondence with the training organisation, indicate the acceptability of the proposed

Page 20 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

corrective actions. Depending on the nature of the non-conformities the auditor may require a
follow-up audit to confirm effectiveness of the implemented corrective actions.
Issuing the Certificate of Approval
Upon satisfactory closure of audit activities a of Approval valid for a period, as required by the
Competent Authority (recommended no longer than five years) and, subject to periodic audit of
the TMS, should be issued to the training organisation.
1.3.2

The Competent Authority should retain one copy of the certificate and one copy should be sent to
the IALA Secretariat. If possible, the Certificate should be sent to IALA in electronic format
([email protected]).
1.4
Follow-up phase
After the initial accreditation there should be periodic audits for the continued validity of the
Accreditation Certificate.
The follow-up phase should consist of:
Periodic audit activities
The training organisation is responsible for correcting any deficiencies identified during the
periodic audit. The training organisation should report corrective actions to the auditor for review
and acceptance. The auditor should review the corrective actions submitted by the training
organisation and determine their acceptability.
1.4.1

If the corrective actions are acceptable, the auditor should, by documented correspondence with
the training organisation, indicate the acceptability of the corrective actions. Depending on the
nature of the non-conformities the auditor may require a follow-up audit to confirm effectiveness
of the implemented corrective actions or, in the case of major non-conformities, recommend that
the Approval Certificate be suspended until corrective action has been undertaken successfully.
Endorsement of the Approval Certificate
Upon satisfactory completion of the periodic audit activities an endorsement should be made on
the Approval Certificate.
1.4.2

Page 21 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

ANNEX C

TRAINING MANAGEMENT SYSTEM (TMS) AS A QUALITY SYSTEM MODEL FOR

TRAINING ORGANISATIONS

1
INTRODUCTION
This Training Management System (TMS) model for training organisations serves as an approved
quality system standard for training of VTS Personnel. This standard focuses strictly on the quality
provision of training and should be applied to the training of VTS Operators, VTS Supervisors and
On-the-Job Training Instructors provided by training organisations. It should also be applied to
On-the-Job Training provided at VTS centres.
This standard is compatible with other existing quality system standards and the requirements
identified within it can easily be incorporated into existing quality systems. The standard does
however, constitute a model for compliance with other quality system standards; its requirements
identify those issues having the most significant impact on the successful training of VTS
Personnel.
Training organisations that have already implemented a formal quality system should use this
standard to ensure that their system adequately addresses relevant training concerns. Training
organisations that have not implemented a formal quality system should use this standard as the
basis for the development of a quality training system.
An audit of a training management system should include the issues identified by this standard.
1.1
Scope
This standard applies to organisations that provide training to, and verify the competence of,
individuals seeking qualifications as VTS Operators and VTS Supervisors in accordance with the
provisions of IALA Recommendation V-103, - Recommendation on Standards for Training and
Certification of VTS Personnel. Training organisations should establish, implement and maintain a
TMS to ensure that students are provided the training necessary to achieve the competence
required for the relevant qualifications being sought (i.e. VTS Operator, Supervisor etc.).
2
TRAINING MANAGEMENT REQUIREMENTS
2.1
Quality Policy
The senior management of the training organisation should define and document its policy for
quality. The quality policy should:
1

Take into account the overall goals and objectives of the training organisation pertaining to
the training of VTS Operator and VTS Supervisor candidates.

Be relevant to:

a
student training needs; and
applicable requirements of V-103 and the appropriate model course.
3
Express the commitment of the training organisation to achieving its goals and objectives
and to fulfilling the training needs of the student.
Senior management should ensure that this policy is understood, implemented and maintained at
all levels of the training organisation.

Page 22 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Organisational Arrangements
2.2.1
Responsibility and authority
The responsibility, authority and interrelation of all personnel including management, instructors,
examiners and support staff, who perform and verify work affecting training should be defined
and documented. Particular attention should be paid to personnel who need the organisational
freedom to:
2.2

Initiate action to prevent the occurrence of any non-conformities relating to the TMS;

Identify and record any problems relating to the TMS;

Initiate, recommend or provide solutions to identified problems through designated channels;
Verify the implementation of solutions;
Identify pertinent changes to student training and competence requirements and initiate action to
incorporate appropriate changes to VTS training programs.
Management representative
The senior management of the training organisation should appoint a member of its own
management who, irrespective of other responsibilities, should have defined authority for:
2.2.2

Ensuring that the TMS is established, implemented and maintained in accordance with this
standard; and

Reporting on the performance of the TMS to the management of the training organisation for
review and as a basis of improvement.
2.3
Internal TMS Audits
The training organisation should establish and maintain documented procedures for planning and
performing internal audits in order to verify whether activities comply with the requirements of
the TMS.
Internal audits should be scheduled on the basis of the importance of the activity with respect to
student training. Personnel independent of those having direct responsibility for the area being
audited should carry out internal audits. The complete TMS should be effectively audited at least
annually.
The results of internal audits should be provided to personnel having assigned responsibility for
the activity and the authority to perform corrective action where deficiencies are noted.
Responsible personnel should perform timely corrective action on deficiencies discovered during
the internal audit.
Follow-up audits should be conducted to verify and record the effectiveness of corrective action
taken.
A record of internal audits should be maintained.
2.4
Corrective and Preventive Action
The training organisation should:
1

Establish and maintain documented procedures for the identification and correction of TMS
deficiencies;

Review appropriate sources of information, such as non-conformance reports, audit reports,

student and customer complaints, and quality records to detect and eliminate potential
deficiencies;

Page 23 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Analyse student learning deficiencies for adverse trends that shall indicate a deficiency in the
training plan or training delivery procedures;
Determine the root cause of deficiencies and implement corrective action to eliminate the
deficiency.
Records of these activities should be maintained.
2.5
Management Review
Senior management of the training organisation should review the TMS in accordance with
documented procedures in order to ensure its continuing suitability and effectiveness in satisfying
the organisations quality policy and training needs of the students.
Internal management review should include the review of internal and external audit reports,
reports of non-conformities and corrective actions taken and their effectiveness. Management
should determine the need for any changes to policy or the TMS based upon the results of this
review.
Management review should be conducted at least annually. A record of management reviews
should be maintained.
TMS Requirements
2.6.1
General
The training organisation should establish, document, and maintain a TMS in conformance with
the requirements of this standard as a means of ensuring that students are trained in accordance
with the requirements of pertinent model courses and any additional requirements of the
Competent Authority.
2.6

Training Management Manual

TMS documentation should include a Training Management Manual. The Training Management
Manual should at a minimum provide:
2.6.2

A copy of the quality policy

An overview of the TMS of the training organisation;

An outline of the documentation structure of the TMS;
Cross references to the requirements of this standard; and
References to pertinent TMS documentation.
TMS procedures
The training organisation should:
2.6.3
1

Document procedures consistent with the requirements of this standard and the stated
quality policy; and

Effectively implement the TMS and its documented procedures.

The level of detail provided in TMS procedures should be appropriate to the level of:
1

Complexity of training and support functions;

The skills of instructors and support personnel; and

Internal TMS training provided to training organisation personnel.

Page 24 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Document and Data Control

2.7.1
General
The training organisation should establish and maintain documented procedures for the control of
all documents and data, including those of external origin, that relate to the requirements of this
standard, IALA Recommendation V-103 and the associated Model Courses and the Competent
Authority.
2.7

Document and data approval and issue

TMS documentation should be reviewed and approved for adequacy by authorised personnel
prior to issue. Document and data control procedures should ensure that:
2.7.2

All documents and data are reviewed and approved for adequacy by authorised personnel;

Personnel involved in review are provided with appropriate reference materials and background
information upon which to base their approval;
The revision status of TMS documents can be readily identified;
Pertinent TMS documents are available at all locations where work essential to the TMS is
performed;
Instructors manuals and materials, and materials issued to students are current;
Invalid or obsolete documents are removed from all points of use;
Obsolete documents retained for historical purposes are suitably identified and stored in order to
preclude unintended use.
A record of all changes should be maintained.
Storage of materials
Where appropriate, the training organisation should establish and maintain documented
procedures for storage of training materials to preclude damage or deterioration.
2.7.3

Resources
2.8.1
Resources identification
Senior management of the training organisation should identify and provide resources required to
manage, support, conduct, and verify training activities. Resources at a minimum should include:
2.8

Suitably qualified and trained personnel (i.e., instructors, examiners, etc.);

Facilities, equipment and materials essential to the support of the TMS.

Training of personnel of the organisation
The training organisation should establish and maintain documented procedures for identifying
the training needs of personnel performing management, training, examination and support
functions. The organisation shall arrange for required training.
2.8.2

All personnel directly involved in student training activities should have satisfactorily completed
pertinent instructor training requirements prior to undertaking training responsibilities.

Page 25 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Purchasing
2.9.1
General
The training organisation should establish and maintain documented procedures to ensure that
essential services, facilities, equipment and materials supporting training comply with
requirements including that:
2.9

Subcontracted instructors are suitably qualified;

External facilities utilised in the training of students comply with the requirements of the
applicable training plan;
Equipment purchased for training is suitable for the applicable training plan; and
Subcontracted organisations providing part or all of the training meet the requirements of the
training plan.
Evaluation of subcontractors
Subcontractors should be evaluated on their ability to fulfil subcontract requirements. The
training organisation should define subcontractor evaluation criteria and methods. The criteria
applied and methods of evaluation should be appropriate to the impact of the service, facility,
equipment or material on the training provided.
2.9.2

Training Development
Training course development
The training organisation should establish and maintain documented procedures to control and
verify the development of training courses in order to ensure that training requirements are met.
Training course development should ensure that:
2.10

2.10.1

Responsibility and authority for training course development and review activities are
assigned to qualified personnel;

Requirements of the pertinent model course and the Competent Authority are taken into account;
Training course objectives are defined in terms of targeted qualifications;
Student knowledge and competence requirements are taken into account;
The appropriate use of simulators is taken into account;
Appropriate reference documents are made available to persons involved in training course
development;
Materials are reviewed by pertinent functions within the training organisation;
Ambiguities within training course documentation are resolved; and
Training course documentation review is controlled.
Records of development in VTS training courses should be maintained.
Training course description
The training organisation should identify and document descriptions of each training course
provided. Each training course description should include:
2.10.2

The goals and objectives of the course;

A course outline;
A course schedule; and
The certificate or endorsement to be issued upon successful completion of the course.

Page 26 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Training plan
The training organisation should plan how requirements for training shall be met. Training plans
for each course should be defined and documented and include:
2.10.3

A description of the training course; (see 2.10.2)

Prerequisite student qualifications;

Identification of required resources;
Instructor and/or examiner qualification requirements;
Instructor to student ratio;
References to the course materials and applicable TMS procedures and documentation;
Procedures or instructions specific to delivery of the course;
Criteria for and methods of evaluating student competence, knowledge, understanding and
proficiency as documented in IALA Recommendation V-103.
Note: Instructor and/or examiner qualifications should include appropriate skills in the use of
simulators for instruction and verification of competence.
2.11
Training Support Procedures
The training organisation should establish and maintain documented procedures for functions that
support the delivery of training. The organisation should identify and plan these activities and
ensure that they are conducted under controlled conditions. Controlled conditions include:
1

Documented procedures where their absence could adversely affect training;

Use and availability of suitable equipment and facilities;

Maintenance of facilities and equipment that have a direct impact upon training; and
Observance of documented safety procedures.
2.12
Application Review
The training organisation should establish and maintain documented procedures for reviewing the
qualifications of applicants. The review should:
1

Identify the qualifications sought by the applicant;

Evaluate applicants stated qualifications against prerequisite requirements for the pertinent
training course;
Determine suitability of the training course for providing qualifications sought by the applicant;
and
Communicate with the applicant regarding suitability of course(s) and curricula offered to fulfil the
students qualification needs.
A record of all application reviews should be maintained.
Verification of Students Competence
General
The training organisation should establish and maintain documented procedures for training
verification activities.
2.13

2.13.1

Page 27 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Acceptance verification
The training organisation should ensure that student candidates fulfil prerequisite requirements
detailed in the applicable training plan. The organisation should confirm the identity of student
candidates and verify suitable evidence of prerequisite qualifications prior to commencement of
training.
2.13.2

In the event that prerequisite requirements cannot be verified prior to commencement of

training, the organisation should take special note and ensure that the student training is not
considered completed until prerequisite requirements have been verified.
Examinations and competence
The training organisation should ensure that student candidates adequately demonstrate all
applicable knowledge and competence requirements prior to being considered as having
successfully completed the training course.
2.13.3

Students should be required to demonstrate adequate knowledge and competence in accordance

with requirements of the training plan in order to be appropriately qualified.
The training organisation should establish and maintain documented procedures for the
development and administration of examinations and tests for competence. As a minimum,
examinations and criteria for evaluation of competence shall include applicable requirements of V-
103, and of the Competent Authority.
Responsibility and authority for evaluation of student knowledge or competence should be
defined.
Satisfactory completion
The training organisation should maintain records of examinations of student knowledge and
competence in accordance with the requirements of the competent authority.
2.13.4

Student progress
The training organisation should establish and maintain documented procedures for identifying
and recording student progress from application through completion of training.
2.13.5

Records of student progress should be maintained.

2.14
Certification and Endorsement
The training organisation should establish and maintain documented procedures for informing the
VTS Authority of the successful completion of students training, if required.
The organisation should establish and maintain documented procedures for awarding VTS Course
Certificates.
2.15
Control of Student Learning Deficiencies
Responsibility and authority for evaluation of student knowledge and competence deficiencies
should be defined. Deficiencies in regard to knowledge or competence should be reviewed in
accordance with documented procedures. Where appropriate, students should be:
1

Retrained and re-examined in the specific area where deficiencies are noted;

Failed and required to repeat the training course.

Recommended to cease training.

Page 28 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

2.16
Control of TMS Records
The training organisation should establish and maintain documented procedures for the
identification, collection, indexing, access, filing, storage, maintenance and disposition of TMS
records in accordance with the competent authority or their representative.
TMS records should be maintained in order to demonstrate:
1

Students satisfactory completion of training and applicable competence requirements; and

Effective functioning of the TMS.

TMS records should be legible and stored in such a manner to preclude damage.

Page 29 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

ANNEX D

RECOMMENDED PRACTICES FOR VTS TRAINING ORGANISATIONS

1
PRACTICES AND PROCEDURES
Organisations providing VTS training should:
1

Plan the teaching and training process that directly influences the quality of teaching and
learning, and ensure that these processes are properly carried out.

Clearly identify and carry out an assessment of prior learning to ensure all competencies, as
indicated in IALA Recommendation V-103, are met.
Establish and maintain documented procedures that specify:
a

the approach to planning and application of course plans and lesson plans including
use of teaching principles, methods and equipment in classrooms and simulator
rooms;
control and assessment activities put in place to ensure trainees acquire the necessary levels of
competence for each module of the appropriate model course;
appropriate training facilities to meet the documented training objectives;
maintenance procedures for the training facilitys equipment;
qualifications and competence requirements of instructors and assessors;
adherence to appropriate health and safety requirements and regulations.
Ensure all aspects of study progression are documented and disseminated to trainees, VTS
Authorities and course managers as required.
Continually control and evaluate teaching activities to ensure the learning results are in
accordance with the appropriate course plan.
Ensure that trainees who present themselves for final tests, examination, simulation evaluations
or equivalent, have completed all the required course work and exercises, including simulator
exercises where appropriate.
Establish procedures for the maintenance and use of equipment during the training in order to
ensure that:
a

equipment and systems are maintained in accordance with the manufacturers

instructions and, where appropriate, calibrated as and when necessary;
equipment and systems are operated in a safe and efficient manner;
working conditions in the training environment, such as lighting, ventilation and heating, conform
to appropriate rules and regulations.
Ensure that any consumable stores necessary to maintain equipment and systems in full working
order are properly controlled and stored. Where the consumable stores could lead to pollution of
the environment, the procedures should reflect workplace hazardous materials requirements.
2
ACTIONS FOR ENSURING TRAINING RESULTS
The organisation providing VTS training should:
1

Arrange and carry out final assessment.

Ensure that any assessment is carried out in accordance with the course plan, or other
documented procedures, so that proof of the training results in accordance with the requirements
specified in IALA Recommendation V-103 and the appropriate Model Course, as well as the
national requirements is complete.

Page 30 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Record training results and retain these as evidence that the competence of trainees is tested and
controlled. These records should indicate the results obtained by trainees for each subject area
of each module of the appropriate model course.
Establish, document and maintain procedures for any complaint received. Responsibilities for
reviewing, handling and following-up complaints should be defined.

Page 31 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

ANNEX E

SAMPLE OF INFORMATION REQUIRED ON CERTIFICATE OF ACCREDITATION

COMPILATION OF A CERTIFICATE OF ACCREDITATION

The issuing authority/organisation should complete the texts in Italics in the example in the
following manner:

1.

Number

2.

Name of Training Organisation

3.

Address of Training Organisation

4.

Dates of audit

5.

Issuing Authority/Organisation

6.

Name of Competent Authority

7.

Date of certificate

8.

Expiry date

9.

Dates (on page 2 - Periodic and

additional audits)

A unique serial number should be inserted.

The full name of the organisation, as given in their
official documentation should be inserted.

The full address of the organisation, as given in
their official documentation, should be inserted.
This may not necessarily be the address where the
audit took place or where the training will be
given.

The dates on which the audit started and when it
was completed satisfactorily should be inserted.

The name of the issuing authority or organisation
should be inserted.

The full name of the Competent Authority (CA)
issuing the certificate should be inserted.

The date on which the certificate is awarded
should be inserted. This may not necessarily be
the same as the date on which the audit was
completed.

The date to be inserted should normally be five
years less one day after the date on which the
certificate was awarded.

The first date to be inserted should normally be
two years after the date on which the certificate
was awarded. The second date to be inserted
should be one year after the first date inserted.
(Only if required.)

Page 32 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

ANNEX F

SAMPLE CERTIFICATE OF APPROVAL FOR VTS TRAINING COURSES

Logo of IALA if the
accreditation
/approval process
has been approved
by IALA

Logo of issuing

Competent Authority
or designated
body/organisation on
behalf of the
Competent Authority

Certificate Number
[Number]

This is to certify that:

[Name of Training Organisation]

[Address of Training Organisation]

has been audited during the period [dates of audit] for the provision of
VTS Training and found to be in compliance with
IALA Guideline 1014 on the Accreditation and Approval Process for
VTS Training Courses.
The following training course has been verified to meet the IALA V-103 standards:

Name of the Course (example)

Standard and version

Model Course V-103/1
September 2011

VTS Operator Training

Issued by [Issuing Authority/Org.] on behalf of [Name of CA] on [Date of

certificate] and valid until [Expiry date], subject to periodic audit(s) as required.

Authorised Signature

Space for any specific conditions of the Competent Authority

This certificate consists of 2 pages.

Page 1/2

Page 33 of 34

Guideline 1014 Accreditation and Approval Process for VTS Training

September 2000 - Revised December 2011

Sample of Periodic and Additional Audits

Logo of IALA if the

accreditation
/approval process
has been approved
by IALA

Logo of issuing
Competent Authority
or designated
body/organisation on
behalf of the
Competent Authority

Certificate Number [Number]

Periodic and Additional Audits (if required)

Planned Periodic Audits

To be carried out between

../../.. and ../../..
[Dates]

Additional Audits

Purpose and authorisation

Date audit
carried out

Name of Auditor

Signature &
Stamp

Date audit
carried out

Name of Auditor

Signature &
Stamp

Page 34 of 34

Page 2/2