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  • TC-3 TC-3 Record Keeping

    • TC-3.1 TC-3.1 Record Keeping

      • TC-3.1.1

        A licensee must make and retain records of its recruitment procedures. Such procedures should be designed to adequately take into account proof of the candidates' knowledge and skills and their previous activities and training.

        October 2010

      • TC-3.1.2

        The recruitment record keeping procedure should include, but is not limited to, the following:

        (a) Results of the initial screening;
        (b) Results of any employment tests;
        (c) Results and details of any interviews conducted;
        (d) Background and references checks; and
        (e) Details of any professional qualifications.
        October 2010

      • TC-3.1.3

        A licensee should make and retain updated records of:

        (a)The criteria applied in assessing the ongoing and continuing competence;
        (b)How and when the competence decision was arrived at;
        (c)The annual assessment of competence; and
        (d)Record of CPD hours undertaken by each approved person.
        October 2010

      • TC-3.1.4

        A licensee should make and retain records of:

        (a)The annual training plan for all controlled functions;
        (b)Materials used to conduct in-house training courses;
        (c)List of participants attending such in-house training courses; and
        (d)Results of evaluations conducted at the end of such training courses.
        October 2010

      • TC-3.1.5

        Licensees should maintain appropriate training records for each individual. Licensees should note how the relevant training relates to and supports the individual's role. Training records may be reviewed during supervisory visits to assess the licensee's systems and to review how the licensee ensures that its staff are competent and remain competent for their roles.

        October 2010