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Why should the RTO complete
Internal Audits?
In a nutshell:
To assess and verify compliance to identified regulatory standards
(VET Quality Framework)
Provide a foundation for correction and improvement, and
To ensure they are providing their clients with the services
promised.
The Value of Internal
Auditing
The value of internal auditing is that it gives management a
reliable indicator of the integrity of the RTOs systems and
processes and capacity to meet identified goals in the business
plan.
I believe that internal auditing is a necessity of the RTOs Quality
Management System; it helps the RTO to identify non compliances,
anticipate risk, uncover opportunities to better serve clients and
benchmark good practice.
Planning Audits
If planned incorrectly, the Internal Audit Process
can be somewhat exhaustive, nerve racking and a total drain on the
RTO resources. However, there is an easy way to meet the
requirements in a systematic manner without a major effect on your
operations.
Certainly, you do not have to complete the internal audit process
if you don’t want to… However, in our compliance and regulatory
driven environment it is wise to know where you stand in regard
compliance.
The Standards
Okay, I will get to the point: The VET Quality Framework -
Standards (17.2) & (18.1) respectively states: The NVR RTO uses
a systematic and continuous improvement approach to the management
of operations, and the NVR RTO’s Chief Executive must ensure that
the NVR RTO complies with the VET Quality Framework and any
national guidelines approved by the National Quality Council or its
successors. This applies to all of the operations within the NVR
registered training organisation’s scope of registration, as listed
on the National Register.
The Crunch Comes One Day!
Some RTOs have never completed an internal audit... some complete
an internal audit once every 2 to 3 years and others once a year,
the concern with this process is that in most cases the non
compliances have gone far beyond a few years. This is the time when
the RTO gets a call from the regulator informing them that an audit
is around the corner. I have had RTOs anxiously call me and ask for
a 'quick audit' to check their level of compliance
before the regulator attends. This is a very nervous time for the
RTO, and is not an advised path to take.
Reduce Risk the Easy Way
The way to reduce this risk and save time and energy of your
resources is to have 'mini
audits' where you will look at different processes
at scheduled times during the year, for example: you might decide
to audit Client Engagement: SNR 16.3, 16.4 & 16.7 at start of
February and then at the end of the month audit Training &
Assessment: SNR 15.3, 15.4, 15.5 & 16.1. Naturally you will
schedule and document the process (systematic) and plan to complete
many ‘mini audits’ during the year. Certainly this will reduce the
pressure on staff, maintain efficiencies of the RTO and enable you
to identify non compliances before any problem goes too far. Click here
for a free (excel) sample of a Mini Audit Schedule. (or PDF version)
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Skynet Corporation Pty Ltd 2011 |
