TTG Internal Audit Checklist

TTG Internal Audit Date of audit:

Audit carried out by:

Learner:

Programme:

Start date:

Learner date of birth:

National Insurance Number:

Employer:

Item

Yes / No

Notes

Action required

Eligibility Checklist  Learner has Contract of Employment?  Completed qualification check?  Age check completed?  Has the learner been resident in an EU country for 3 years?  Is “Other Eligibility Criteria” checked and completed?  Completed Employer eligibility check (Note: Business size Leadership & Management requires 5-249 employees)?  Eligibility Checklist contains the dated signatures of employer and learner? Initial Assessment (Smart Move/Skillscan)  Is there evidence of initial assessment and results recorded?  If required, is there a copy of the results of full diagnostic assessment of literacy and/or numeracy?

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Anticipated end date:

Date action/s submitted

Further necessary action required

Date actions fully completed

(Skills for Life) Is there a completed Referral form for additional support – if required?  Is there an Additional Support Learning Plan and monitoring reviews of progress? Learning Agreement and Memorandum of Understanding  Read and signed by both the employer and provider representative?  Employer contribution stated, if relevant? Health and Safety – Placement Risk Assessment  Is the Checklist current, completed and signed by both parties?  Is there a Standard 10 completed for the learner? Enrolment Form/Learner Agreement  Fully completed and signed by learner? Learner Induction (checklist in ILP)  Checklist completed, dated and signed by learner and provider? Individual Learning Plan, including Advice and Guidance Reviews (IAG)  Completed learner and employer details?  National Insurance Number listed?  Start and anticipated dates listed?  Highlights learning aim/s?  Lists individual NVQ units 

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and targets anticipated unit achievement dates?  NVQ registration date listed?  Includes written rationale to confirm funding rate e.g. Higher or lower rate?  Records previous qualifications?  Records results of initial assessment and referral for support, if required?  Records total of training hours?  Location of learning and assessment; plus tutor/assessor name/s?  Entry IAG completed and signed?  On-going IAG completed and signed?  Exit IAG completed and signed?  Details any agreed changes?  Up-dated with progress following reviews and achievement?  Where progress is not taking place – a plan of action is in situ?  The ILP is signed by the learner, employer and provider? Ongoing Participation Evidence  Reviews of progress in place displaying regular contact with learner (minimum of every 4 weeks) signed by learner and provider?  Reviews track progress

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across the NVQ and set targets for following dated Review?  There are regular Assessment Plans and feedback in evidence?  The ILP is regularly updated with progress across the NVQ units. Achievement Payment Evidence  Completed internal Withdrawal/Exit and Completion forms?  Updated and completed ILP?  Qualification is current and approved  Copy of certificate within 3 months of achievement – authenticated?  Completed Exit IAG within the ILP?  QL has been updated with achievement and date? QL system check with ILP  Correct spelling of learner’s name?  NI number corresponds with the number listed within the ILP?  Correct learning aim which corresponds with that within the ILP?  Start and end dates correspond with the dates within the ILP?  Higher or Lower level funding? State which  Correct proportion of funding?  Listed prior learning and attainment?

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 



Checked additional learning needs? Checked achievement and corresponding achievement date within ILP? Checked for EU residency?

Actions to be completed by: ………………………

Signed (by Internal Auditor): …………………………………………….

Actions successfully completed (date): …………. Any feedback by delivery team with reference to Internal Audit comments:

Signed (and Printed Name): ………………………………………………

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