Audit Evidence

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This topic contains 4 replies, has 4 voices, and was last updated by  Martin West 2 years, 5 months ago.

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  • Steve


    For those providers that have undergone a full ESFA Audit, I am just wandering if there is any advice on what an auditor would deem acceptable evidence to demonstrate “That learning is taking or has taken place”.

    Our main policy is staff should complete regular progress reviews with learners to help demonstrate this, along with attendance (which is what an auditor accepted in the past).

    However we are having an internal debate as to whether Marked/Assessed work is also acceptable evidence (such as Practice tests, assignments, homework etc). |At a recent Internal Audit, some staff just submitted a lot of marked Practice the discussion we are having is does that actually show learning has taken place or not. Tutor says yes, others say no.

    Any thoughts?



    We’ve been through a few full audits. Our process is to use progress reviews as you mention, however; it’s not to say other evidence cannot be used, but I think this has to be considered in the context of the rest of the file. E.g. a progress review in January followed by a test in June would not be good from an audit perspective. If the test was in February, then this would be easier to justify as presumably they were preparing for the test in the intervening period.

    Maybe there are other views, but from my perspective, I’d tend to stick to progress reviews as it is a clean and simple process to follow and you know the auditor will accept that!



    Sue Bishop

    How about eportfolio logs/journals/acceptance of plans and feedback, uploading of evidence etc?




    Hi Sue,

    I think it is certainly possible, but it is going to depend on what evidence is presented and as I said earlier, how that learner’s file looks holistically.

    We’ve looked at this in the past and you get to the point where you think, if we last evidenced a face to face with the learner and employer 3 months ago and have some portfolio work evidencing continuation of learning, does it represent good value that you obtained potentially 3x OPPs extra for that work, potentially showing no employer involvement, because you deviated from your usual systems of control. I think it becomes more acceptable when it is one month, but then there are the unseen costs of policing such divergence from the standard process, and then you are looking at gaining 1 x OPP.

    Under the new funding model, it isn’t even just ESFA you have to be concerned with; how is the employer going to react when they believe the programme finished 3 months ago and you want payment for the 3 months you didn’t attend their premises?

    Risk vs reward, we have stuck with a system that we know auditors are happy with, but that isn’t to say others don’t successfully operate in other ways.



    Martin West

    Hi All,
    Any evidence that confirms learning has taken place either with the employer or provider is acceptable either to evidence continuation of learning or last day in learning.

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