HETAS Training and Assessment Courses. Internal and External Audit Report

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1 HETAS Courses Internal and External Audit Report Introduction This report has been designed to enable the internal and external audit of a HETAS Approved Training Centre against the HETAS approved training centre core criteria as detailed in the HETAS Courses Requirements for Centre Approval document. The HETAS Courses Requirements for Centre Approval document provides guidance on the typical evidence required to demonstrate that requirement is met. The internal auditor must undertake the internal audit and complete Section 1.0 to Section 9.0 of this report prior to, but no greater than 60 calendar days before, the external audit visit. Approved Centre and Auditor details HETAS Approved Training Centre Internal Auditor Name External Auditor Name Date Internal Audit Completed Scope of courses approval to which this report relates H001 H002 H003 H004 H005 H005DE H006 External Audit Outcome Audit Area Centre compliance with HETAS requirements 1= full compliance 6 = no compliance Management and Administration Data, Records and Statistics Guidance and Support for Enrolled Candidates Facilities Personnel Health and Safety Training Course Delivery Assessment and Certification Claims Internal Verification Internal Quality Audit External Quality Audit or comments External Auditor signature Management representative signature Date Date

2 Section 1.0 Management and Administration or comments 1.1 To nominate a management representative who can fulfil the requirements and duties given in Appendix 7 of the Assessment Courses Requirements for Centre Approval document 1.2 The nominated management representative shall have a secure address to which correspondence can be sent. 1.3 To agree to and comply with the terms and conditions of the HETAS Approved Centre Confidentiality Agreement 1.4 To establish and operate a procedure that ensures the currency of all documents relating to the delivery of HETAS courses. 1.5 To establish and operate a procedure that ensures the HETAS course documentation is only made available to appropriate personnel. 1.6 To provide the HETAS Training Department with details of planned course dates and times. 1.7 To establish implement a process to monitor the satisfaction of candidates with the service received from initial enquiry to assessment. 1.8 To ensure that all candidates fill out and submit a HETAS Application Form 1.9 All candidates provide the supporting evidence [qualification/competence certificates etc.] as required by the HETAS Application Form for the course that they wish to participate in.

3 Section 1.0 Management and Administration (continued) or comments 1.10 Every HETAS Application Form submitted is checked along with any supporting evidence for compliance with the HETAS requirements To ensure that all claims for certification are made within 5 working days of the final date of assessment using the HETAS Certification Claim Form and ensure that claim forms are signed by the assessor(s) and countersigned by an internal verifier. Section 2.0 Data, Records and Statistics or comments 2.1 To comply with the requirements of the Data Protection Act the principles given in Schedule 1 of the Data Protection Act. 2.2 To collect and transfer any Candidate Data that HETAS reasonably requires 2.3 To update HETAS promptly if there is any change or correction to any previously transferred candidate data. 2.4 To inform HETAS promptly if there is refusal for any reason by a data subject of processing of their Candidate Data. 2.5 Where certification is made candidate application, assessment and certification records shall be maintained for a minimum of five years from the date of assessment.

4 Section 2.0 Data, Records and Statistics (continued) or comments 2.6 Where certification is not made candidate application and assessment records shall be maintained for a minimum of one year from the date of assessment. 2.7 To produce and transfer any statistical data that HETAS reasonably requires. Section 3.0 Guidance and Support for Enrolled Candidates or comments 3.1 To ensure that candidates have access to relevant initial advice and guidance 3.2 To make candidates aware of the HETAS Access to Assessment Policy 3.3 To make candidates aware of the HETAS Complaints Procedure for participants in Assessment Courses. 3.4 To keep a log of all complaints received under Step 1 and Step 2 of the HETAS Complaints Procedure for participants in Assessment Courses. 3.5 To respond promptly to complaints raised under Step 1 and Step 2 of the HETAS Complaints Procedure for participants in HETAS Courses. 3.6 To make candidates aware of the HETAS Assessment Appeal Procedure 3.7 To keep a log of all appeals received under Stage 2 of the HETAS Assessment Appeal Procedure and keep records of all Stage 2 decisions for 18 months from the date of the appeal.

5 Section 4.0 Facilities or comments 4.1 The facilities used for theoretical training and assessment shall provide a comfortable environment that is conducive to effective learning and/or fair assessment. 4.2 The facilities used for practical training shall be of a suitable layout and contain suitable resources and equipment to enable the learning objectives to be achieved. 4.3 To make candidates aware of the HETAS Complaints Procedure for participants in Assessment Courses. 4.4 To keep a log of all complaints received under Step 1 and Step 2 of the HETAS Complaints Procedure for participants in Assessment Courses. Section 5.0 Personnel or comments 5.1 Staff who undertake the internal auditor role are able to fulfil the duties identified in in Appendix 8 of the Assessment Courses Requirements for Centre Approval document 5.2 Staff who undertake internal verification duties have an advanced craft, Level 3 or valid Hetas certificate

6 Section 5.0 Personnel (continued) or comments 5.3 Staff who undertake internal verification duties hold or are working towards a V1 Assessor Award or a Level 4 Award in the Internal Quality Assurance of Assessment Processes and Practice (QCF) and are able to fulfil the duties identified in in Appendix 9 of the HETAS Courses Requirements for Centre Approval document 5.4 Where a member of staff is working towards an appropriate internal verifier qualification, all internal verification decisions are counter-signed by a suitably qualified internal verifier. 5.5 Staff who assess candidates meet the course specific assessor competence requirements stated in the relevant HETAS Course Handbook(s) and are able to fulfil the duties identified in in Appendix 10 of the HETAS Courses Requirements for Centre Approval document 5.6 Staff that assess candidates through direct observation of practical activity only hold or are working towards an A1 or A2 Assessor Award or a Level 3 Award in Assessing Vocationally Related Achievement (QCF). 5.7 Staff that assess candidates through examination, testing, assignment etc. hold or are working towards an A1 Assessor Award or a Level 3 Award in Assessing Vocationally Related Achievement (QCF)

7 Section 5.0 Personnel (continued) or comments 5.8 Where a member of staff is working towards an appropriate assessor qualification, all assessment decisions are checked and counter-signed by a suitable qualified assessor. 5.9 Staff delivering training meet the competence and/or experience requirements stated in the relevant HETAS Course Handbook(s) and are able to fulfil the duties identified in Appendix 11 of the Assessment Courses Requirements for Centre Approval document The occupational competence of trainers, assessors and verifiers shall be updated on a regular basis Where sub-contract personnel are used, the approved centre shall ensure that the staff meet the relevant HETAS requirements in full Staff who undertake the invigilator role are able to fulfil the duties identified in in Appendix 12 of the HETAS Courses Requirements for Centre Approval document Staff responding to initial enquiries have the appropriate knowledge and are able to offer appropriate guidance.

8 Section 6.0 Health and Safety or comments 6.1 The facilities used for training and assessment purposes are routinely inspected for safe condition. 6.2 Risk assessments are in place and used for all training and assessment activity. 6.3 Risk assessments are reviewed regularly. 6.4 Tools and equipment used for training and assessment activity is in a safe and fit for purpose condition. 6.5 Electrical installations in training and assessment areas are securely isolated and maintained in a safe condition. 6.6 The ratio between candidates and trainer or assessors is in accordance does not exceed the maximum ratio stated in the relevant HETAS Course Handbook(s). 6.7 Where centre facilities include installations or other training/assessment areas that do not conform to legislative/regulatory requirements, this shall be clearly, explicitly and permanently identified by suitable signage to avoid the candidate concluding that the installation or facility is compliant. 6.8 Where centre facilities include installations or other training/assessment areas that do not conform to legislative/regulatory requirements, appropriate procedures and supervision arrangements shall be in place to avoid risk of harm or injury to candidates.

9 Section 7.0 Training Course Delivery or comments 7.1 Where training is delivered, the content of the training shall enable the learning objectives stated in the relevant HETAS Course Handbook(s) to be achieved. 7.2 The content of training shall be planned and structured to meet the candidate(s) training needs. 7.3 Where relevant, theoretical content shall be delivered in a practical context to assist with developing the candidate s understanding. 7.4 The relevant HETAS training materials are issued to each candidate as part of the delivery of training 7.5 Training should not be carried out using facilities and/or resources that will provide the candidate with advance knowledge of the facilities and/or resources that will be used during the assessment process. Section 8.0 Assessment and Certification Claims or comments 8.1 All staff undertaking assessment of candidates must be registered with HETAS 8.2 All assessment shall be conducted using the HETAS assessment materials as relevant to the course being delivered.

10 Section 8.0 Assessment and Certification Claims (continued) or comments 8.3 All assessment shall be conducted in accordance with requirements stated in the HETAS assessment materials as relevant to the course being delivered and shall be carried out in a manner so as to fulfil the duties identified in Appendix 10 of the HETAS Training and Assessment Courses Requirements for Centre Approval document. 8.4 A candidate shall only commence an assessment when both the assessor and candidate agree that the candidate is ready to undertake the assessment. 8.5 Only an agreed nominated person may sign HETAS Certification Claim Forms. Section 9.0 Internal Verification or comments 9.1 All approved centres must have in place at least one internal verifier 9.2 All staff undertaking internal verification duties must be registered with HETAS 9.3 Internal verification shall be carried out in a manner to fulfil the duties identified in in Appendix 9 of the HETAS Courses Requirements for Centre Approval document.

11 Section 10.0 Internal Quality Audit or comments 10.1 To appoint an internal auditor who is are able to fulfil the duties identified in in Appendix 9 of the HETAS Courses Requirements for Centre Approval document An internal quality audit shall be carried out using the HETAS internal audit report at maximum intervals of 12 months 10.3 The audit shall cover the full range of quality control requirements and criteria for delivery of HETAS training and assessment courses 10.4 Where the audit identifies non-compliance with the quality control requirements and criteria for delivery of HETAS training and assessment courses, appropriate rectification action is taken. Section 11.0 External Quality Audit or comments 11.1 To provide HETAS with access to premises, people and records relating to candidate enrolment, training assessment, achievement, internal verification and internal quality auditing To cooperate with reasonable request from the HETAS external auditor to enable the external audit process to be completed.