Part 1: Guidelines for Conducting an Internal Audit Webinar

Transcription

1 Part 1: Guidelines for Conducting an Internal Audit Webinar Velg Training, Version 1.0, January 2013

2 About the presenter John Dwyer is a national AQTF/VQF trainer and consultant with experience in education spanning more than 50 years. He brings extensive registered training organisation (RTO) experience to Velg Training, having a comprehensive history in developing and delivering a range of workshops on assessment, compliance, recognition of prior learning (RPL), moderation and validation processes relating to AQTF/VQF compliance. John Dwyer Consultant Velg Training T E john@velgtraining.com W

3 Control panel

4 Audio test Hands up who can hear me? Raise your hand to indicate

5 Who s online today? POLL

6 Overall Program Session 1 What is an audit What evidence do we need to obtain Session 2 Audit process and approaches we can use Skills of the auditor Planning the audit Session 3 Completing the audit report Determining judgements on evidence presented Handling non-compliances.

7 Session 1 - Agenda Definitions of audit Why do we audit? Differences between auditing for compliance and business improvement Exploring the AQTF/VQF Evidence for audit

8 When was the last time your organisation was audited by a registering body? POLL

9 Definition 1 Audit (AQTF2010) A planned, systematic and documented process used to assess an applicant s or an RTO s compliance with the AQTF Essential Conditions and Standards for Initial Registration or the AQTF Essential Conditions and Standards for Continuing Registration Source: AQTF Users Guide to the Essential Conditions and Standards for Continuing Registration, p67. OR with the Standards for NVR Registered Training Organisations, 2011

10 Definition 1 planned planned a method worked out before hand

11 Definition 1 systematic systematic repeatable and learnable through a step-by-step procedure

12 Definition 1 compliance compliance through assessing audit evidence from information and records

13 Definition 1 documented AQTF:NVR-SNR Audit criteria. (Other criteria could be: ISO, Contracts with funding bodies, User Choice contracts etc)

14 Definition 2 Registering bodies conduct audits as a condition of registration. RTOs can conduct internal audits to assess their compliance with the Standards and their own policies and procedures as part of their continuous improvement process Source: AQTF Users Guide to the Essential Conditions and Standards for Continuing Registration, p67. Independence of auditor

15 What benefits has your RTO received from the audits you have experienced? POLL

16 Why do we need to conduct an internal audit? Business changes dynamically Management changes Scope changes Staff change Customers change Delivery/assessment technology changes.

17 Has your RTO been affected by at least one of these changes in the past 12 months? Raise your hand to indicate

18 Why do we need to conduct an internal audit? AQTF or VQF Is reflected in Our AQTF/NVR system: Scope Procedures Recording systems Continuous Improvement Staff Decreasing relevance TIME Adapted from a chart developed by iqual

19 Why do we need to conduct an internal audit? Is reflected in AQTF or VQF Our AQTF/NVR system: Scope Procedures Recording systems Continuous Improvement Staff Conduct internal audit Restore relevance POINT IN TIME Adapted from a chart developed by iqual

20 There is a difference between internal auditing for compliance AND auditing for business improvement.

21 Internal Audit different criteria Is reflected in our: Daily use of our: AQTF or VQF Scope Procedures Recording systems Continuous Improvement Staff Scope Procedures Recording systems Continuous Improvement Staff Audit against INTERNAL documents For business improvement Audit against an EXTERNAL document - For compliance with AQTF/NVR Adapted from a chart developed by iqual

22 Audience chat Would you like to respond? Are there any questions about the differences between auditing against the AQTF and the Business System Raise your hand to speak if you have a microphone Or type your comments in the chat window

23 AQTF or VQF and Continuous Improvement An internal audit report could be part of the evidence the RTO uses to demonstrate continuous improvement of: training and assessment (AQTF 1.1/SNR 15.1) client services (AQTF 2.2/SNR 16.2) an RTO s management system (AQTF 3.2/SNR 17.2)

24 Exploring the AQTF Sept 2013? 1990 s NFROT ARF Standards for NVR RTOs AQTF 2010 AQTF 2005/AQTF 2007 AQTF 2001

25 Exploring the AQTF AQTF Conditions 3 Standards Increased focus on Continuous Improvement Quality indicator reporting

26 VET Quality Framework National Vocational Education and Training Regulator Act 2011 Legislative instruments Standards for NVR Registered Training Organisations Fit and Proper Person Requirements Financial Viability Risk Assessment Requirements Data Provision Requirements PLUS Australian Qualifications Framework

27 What changes to the Conditions apply to me as an existing RTO?

28 Changes Condition 1 RTO senior officers, directors and substantial shareholders must satisfy fit and proper person requirements NVR Fit and Proper Person Requirements, 2011 RTO must demonstrate how it ensures the decision making of senior management is informed by trainers and assessors NVR SNR 18.2

29 Decision making

30 Changes Condition 2 RTO must provide a statement demonstrating its financial viability and/or annual financial statements and/or a business plan on request of the registering body NVR Financial Viability Risk Assessment Requirements 2011 NVR SNR 22

31 Changes - Condition 5 RTO must be able to demonstrate financial viability on request at all times NVR SNR 22.1 Specified fee information must be provided to clients NVR SNR 22.2 Specified options for protection of fees paid in advance NVR SNR 22.3 See also: NVR Financial Viability Risk Assessment Requirements, 2011

32 Changes - Condition 6 The RTO must have a student records management system in place that has the capacity to provide AVETMISS compliant data Data Provision Requirements (DPR 4), 2011 The RTO must provide returns of client records as required by the registering body Data Provision Requirements (DPR 5, 6, 7), 2011 The RTO must meet USI (Unique Student Identifier) requirements when these are finalised NVR- SNR 23.5

33 Audit preparation for Conditions What evidence can my RTO provide to meet the requirements for each of the conditions? We need to know what to look for in order to determine if the RTO is compliant.

34 Audit preparation example What evidence can my RTO provide to meet the requirements for the second part of Condition 1/NVR-SNR 18.2? RTO must demonstrate how it ensures the decision making of senior management is informed by trainers and assessors

35 Audience chat Would you like to respond? List a couple of types of evidence their RTO would provide to demonstrate second part of Condition one. Raise your hand to speak if you have a microphone Or type your comments in the chat window

36 Evidence for Condition 1 NVR-SNR 18.2 Determine events your trainers and assessors are involved in, e.g.: Validation/moderation Student feedback on delivery and resources Industry consultation Internal audits Evidence that accurate and relevant data and action plans with recommendations from the above events are available and communicated to senior management for their timely response. Evidence of changes to assessments, resources, professional development, etc. based on the information presented for their decision making

37 What changes to the Standards apply to me as an existing RTO?

38 Changes Standard 1/SNR 15 Standard 1/SNR 15.4/SNR can demonstrate current industry skills directly relevant to the training/assessment being undertaken NVR-SNR 15.4 (c) (d) is systematically validated NVR-SNR 15.5 (d) NB: NSSC Communiqué 3 December 2011

39 Changes Standard 2/ NVR SNR The RTO establishes the needs of clients and delivers services to meet those needs (NVR-SNR 16.1) 2.3 changed from enrol or enter into a contract to enrol or enter into an agreement (NVR-SNR 16.3) 2.7 The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively (NVR-SNR 16.7)

40 Changes Standard 3/ SNR The RTO s management of its operations ensures clients receive the services detailed in their agreement with the RTO (NVR-SNR 17.1)

41 Audit Preparation What evidence can my RTO provide to meet the requirements for each of the standards? We need to know what to look for in order to determine if the RTO is compliant.

42 Audit preparation example What evidence can my RTO provide to meet the requirements for Standard 1, element 1.5 (d) / NVR-SNR 15.5 (d) Assessment including Recognition of Prior Learning... (d) is systematically validated

43 Audience chat Would you like to respond? List examples of the types of evidence their RTO would provide for standard 1.5 (d) Raise your hand to speak if you have a microphone Or type your comments in the chat window

44 Evidence Standard 1, Element 1.5 (d)/nvr SNR 15.5 Schedule of validation activities based on scope and risk Process of validation used consistently Assessment process Assessment tools and methods Assessment evidence Judgements made on the evidence Validation approach used, e.g. assessor network, etc. Evidence of use of Principles of Assessment and Rules of Evidence Validation outcomes used for continuous improvement Evidence of revised assessment tools

45 What we covered in Session 1 Definitions of audit Benefits achieved from effective auditing Why we audit Differences between auditing for compliance and business improvement Exploring parts of the AQTF Conditions and Standards and Standards for NVR Registered Training Organisations, 2011 Evidence for audit.

46 What to expect in Session 2 The audit process Approaches for internal audit Questioning techniques Who should be involved in the audit Auditor s skills and knowledge Planning the audit

47 Additional questions? The webinar will remain open for 15 minutes Send questions via chat window We will provide answers before the next session