Planning and Conducting Internal Audits & Reviews

Maree Thorne

To identify gaps (potential non-compliances) Contractual obligations RTO standards Services (non conforming product)To prepare or determine readiness for registration or re-registration (reporting to the regulator)

To identify areas for improvements

Drive evidenced based decision making

‘Knowing WHY makes WHAT and HOW clear’

WHY?

An Audit is: From AQTF Auditor Handbook, April 2012http://www.industry.gov.au/skills/NationalStandards/Documents/AQTFAuditHandbook.pdf

‘a planned, systematic and documented process used to assess an RTO’s compliance with the [Standards]’ ‘an evidence-based assessment of the RTO’s operations against the [standards] and it is not a punitive exercise’

‘a useful means for improving the quality of training, assessment and client services’

Audit What? Risk Assessment • Complaints? Feedback results?• High risk – Licence? Funding? 3rd party delivery? • High / low volume? • RPL?• Low / high completion rates? • ContractsProcedural reviews, student files (record keeping), educational quality, data integrity, staff competence, contractual compliance……

What? Not every audit will audit every standard – (audit is a ‘sampling’)- Training and assessment strategies (1.1 -

1.7) - 1.3 Resources - Trainer/assessor competence- Assessment (& record keeping) - Third parties - Website, marketing and info prior to

enrolment

The Audit Process:• Plan the audit • Open the audit • Collect evidence • Analyse the evidence collected • Provide feedback • Develop the audit report• Review ‘rectification’ evidence(The ‘Audit Process’ continues until ‘finalised’)

HOW? • Be prepared. Understand the standards / contract / legislation/

procedures• List what evidence might be relevant• Determine sequence, questions• Who is to be involved - provide notice / liaise• ‘desk’ or site (most appropriate to why and what)• Listen, listen, listen• Record evidence • Provide (clear & honest) feedback • Report (?)

Evidence‘It does not matter what processes the RTO uses to achieve an outcome, as long as there is a clear cause and effect relationship between the processes and the outcomes’ (Audit Handbook, p.15)

Role of the auditor is to verify evidence that organisation is achieving quality training & assessment outcomes and is using a continuous improvement approach to ensuring ongoing achievement of these outcomes.

Standards specify WHAT, not how (the quality of the services & outcomes being achieved, rather than the inputs to get there )

Evidence (documentation, interviews – able to be supported) • Relevancy• Alignment • Sufficiency

The quality stamp