Part 3: Guidelines for Conducting an Internal Audit Webinar

Transcription

1 Part 3: Guidelines for Conducting an Internal Audit Webinar

2 Questions from Part 2

3 Agenda Completing the internal audit report Determining judgements based on the evidence presented Handling non-compliances Post audit activities

4 Completing the internal audit report Prior to conducting an internal audit, the RTO needs to develop or choose an internal audit report to be used by the internal auditor.

5 Internal audit report form Internal audit reports are designed to: help the continuity of the audit prioritise areas for investigation act as prompts for the auditor provide a convenient note-taking device provide a section for recording subsequent rectifications and comments; and assist with planning and control.

6 SNR 15.2 Internal audit report form Planning Judgement Evidence obtained

7 Internal audit summary Recording Rectification

8 Internal audit summary Reporting information SNR 15 SNR 15, element 15.2 Rectification SNR 15.2

9 Audience chat Would you like to respond? Are there any areas of the report that you wish to ask questions about? Raise your hand to speak if you have a microphone Or type your comments in the chat window

10 Conduct the audit Based on audit schedule Auditee informed in advance and reminded two or three days before Ensure all materials and people are available Remember you are auditing the system and not the person

11 Determining judgements Based on the evidence presented it is now important to make a judgement Compliant Non-Compliant Minor non-compliance Significant non-compliance Critical non-compliance Opportunity for Improvement Not Applicable Consider also terminology associated with your business system

12 Non-compliant judgements Minor non-compliance No, or minor, adverse impact on learners with no serious breakdown of provision of quality training and assessment. Significant non-compliance Significant adverse impact on learners with insufficient focus on quality training and assessment outcomes. Critical non-compliance Critical adverse impact on learners with widespread or persistent dissatisfaction with services and outcomes.

13 Non-compliant judgements How would you judge the following evidence? The assessment tools were not supported by benchmark criteria (model answers and acceptable performance standards) to ensure consistent determinations across a range of learners and assessors.

14 Non-compliant judgements How would you judge the following evidence? There was no evidence to indicate any of the qualifications on the scope of registration had been systematically validated.

15 Non-compliant judgements How would you judge the following evidence? The pre-enrolment information for the qualifications provided at audit did not clearly outline the number of core and elective units to be completed for successful completion of each qualification.

16 How to write up your findings Non-compliance Record details of exactly why the evidence does not meet the requirements of the Condition/Standard/Element Be objective in your statements don t personalise the judgement Where possible provide as much information as you can to ensure that there is a clear indication of the expected outcome without giving your solution Be realistic in your timeline although non-compliances should be actioned as soon as possible)

17 Non-compliant judgements Not compliant with element 1.2 / SNR15.2 How useful is this comment?

18 Example findings for Minor non-compliance The RTO did not provide evidence that identified the nominated trainer/assessor for Cert x Implementation of the complaints and appeals policy was inconsistent Training and Assessment Strategies contained errors in titles of the core and elective units The RTO has developed appropriate training and assessment strategies for the qualifications they deliver but was not able to provide evidence of a strategy for the delivery and assessment of the stand alone unit of competency BSBxxxxxxx. Third party/supervisor report did not have sufficient benchmark criteria for the third party to comment against One unit of competency required additional assessment tasks to encompass all required knowledge

19 Example findings for Significant non-compliance The organisation's assessment methods did not match the assessment strategies Industry engagement in creation of assessment strategies was not identified x trainers were identified as having insufficient ongoing professional development and content currency No assessment information provided to student and trainers regarding requirements, context and purpose of assessment Some learning strategies were not reflective of the actual order of training taking place Insufficient evidence of delivery and assessment methods The organisation provided a copy of its qualification and statement of attainment templates which do not comply with the requirements of the AQF Implementation Handbook, Fourth Edition 2007 A review of the organisation s website indicated that the Nationally Recognised Training (NRT) logo was not being used in accordance with the NRT logo specifications Competency is determined by graded assessment

20 Example findings for Critical non-compliance No evidence was available to demonstrate how XXX will ensure its trainers and assessors continue to develop their vocational and training and assessment competencies There was no evidence sighted that would show how the RTO has involved industry in the development of the Training and Assessment Strategy There is no formal recording of assessment outcomes and no formal assessment instruments being utilised There was no evidence of trainers and assessors qualifications to deliver and assess. No evidence was available to demonstrate the trainers and assessors were competent to deliver and assess in Certificate IV in (x)

21 What happens after the internal audit?

22 What does the RTO do with non-compliances? Allocate and indicate the appropriate Staff member/s responsible for actioning the rectification Ask them to write a rectification strategy (instructions detailing exactly what needs to be amended to meet the criteria) Provide an expected timeframe for the rectification to be completed

23 Audience chat Would you like to respond? Why wouldn t you expect an auditor (internal or external) to write the rectification strategy at the completion of the audit? Raise your hand to speak if you have a microphone Or type your comments in the chat window

24 What happens after the internal audit? Report should be produced ASAP Must reflect the tone and content of the audit and ideally outline any additional rectification support required Completed internal audit report to be forwarded to Chief Executive for comment, endorsement of rectification strategies and signature Once signed off, the auditor should convey findings and timeframe to auditee/s

25 What happens after the internal audit? Once timeframes have been reached, a follow up meeting should occur to sign off on rectifications If still outstanding, refer to CEO until signed off Keep a copy of the original with all rectifications signed off for the next internal audit

26 Audience chat Would you like to respond? Think about ways we can refine our internal auditing skills and ensure consistent outcomes. Raise your hand to speak if you have a microphone Or type your comments in the chat window

27 One method could be audit moderation sessions Auditor Moderation activities could include discussing and reaching agreement about: Audit process Audit tools and methods Audit evidence provided Judgement based on the evidence

28 What we covered in Session 3 Completing the internal audit report Determining judgements based on the evidence presented Handling non-compliances Post audit activities

29 Summary of series AQTF/VQF updates and evidence requirements Internal auditing and links to continuous improvement Internal auditing processes and techniques Approaches to audit Recording evidence and the internal audit report Audit improvement practices

30 How would you rate the information provided today? POLL

31 What happens now? You will receive an that will include: A Statement of Attendance Feedback survey PowerPoint 2 week access to the recording of the webinar

32 Upcoming Velg Training Webinars Join as a member today for $250+gst & get discounts on PD Validation: The Front Line 13 February 2013 Avoiding non-compliances for RTO Managers 27 March 2013 Avoiding non-compliances for RTO Trainers & Assessors 27 March 2013 Staying Connected in VET 17 April 2013

33 Contact us 1/52 Jeffcott Street Wavell Heights QLD 4012 P F E enquiries@velgtraining.com W velgtraining.com The webinar will remain open for 10 more minutes to respond to any questions you might have type them into your CHAT window. Michelle Weaver will be presenting the bonus session in 10 mins.

34 Thank you for your company John Dwyer Consultant Velg Training E john@velgtraining.com W