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Preparing for Audit & Compliance Webinar


Covered in this webinar:

  • Using Custom Forms for internal audit
  • Audit Reports:
    • Gap Analysis
    • Feedback & Comments
    • Off-the-job
    • Tasks by User
    • Unit Progress Matrix
    • Teaching & Learning Plans
    • Activity Log
    • Learner Database
Webinar Transcript

good ladies and gentlemen welcome to

another sets of onboarding training

webinars here from one file my name is

Jake I'll be your presenter for today

I'm actually the onboarding project

specialist here at one file so basically

I work with the onboarding theme to help

those guys get organized then we go

ahead and create brand new user guides

of written and video and webinars and

everything in between

cuz that's pretty much what you're

boarding team has been put together for

it to better equip our users with the

resources and knowledge that they need

to effectively use one file ok so we've

been busy creating like I said lots of

use guides written and video lots of

webinars and in fact all this stuff that

we have been creating we've been popping

on one easy web page okay so before we

have to jump into today or two to

quickly bring your guys attention over

to this wonderful onboarding page so

again if you've not been introduced to

the team then perhaps you haven't seen

this webpage either it's anything that

we've been creating that's been going on

to this page it isn't attached to the

main website we have been sending it out

there your email and stuff so just in

case you want to visit this page later

on I will drop the URL into the chat ok

so one of the things we have been

focusing on is these live training

webinars ok but we've recently had a

break and we took a couple of weeks out

so we could collect all the feedback we

could review all the sessions that we

were running and with a handful of new

sessions so to begin with I thought

would show what webinars we have run in

between now and Christmas ok and again

for those who are unaware we also record

these sessions we only record one

version of each type of webinar so to

speak so please do allow a couple of

weeks before we find these new ones on

this area but you will find them in

there ok so have a look at what we've

got running between now and Christmas ok

we still have the main sense manager

sessions running both in intermediate

and advanced difficulties we still have

this session that focuses on the reports

and sweet within one file

we now have the full range of tutor

sessions so starting with foundation

movements immediate and ending with

advanced features and products the

nuances of highlights there would be

individual learning plans progress

reviews and we've got a new and updated

creating teach and learning plan session

for the users we've still got likes of

iq8 learners and employers and we've got

a brand new type of webinar as well one

of these were actually delivering today

ok so we've also built sessions to focus

on the length of planning your

curriculum of intent within one file

what to prepare for audit and compliance

and how to prepare for Ofsted

inspections ok so please do have a look

at this page epic on sit as many

webinars as you'd like we'd love to see

you all join okay but back to today's

session where we are looking at I want

to prepare for audit and complaints

using the existing set of features and

tools within one file Before we jump

straight into that though that is some

housekeeping to get out the way first so

somewhere on your screen usually

anchored right there should be a go to

webinar panel few features on this panel

one that may interest you the most is

questions so to any point around today's

session you have any questions comments

or concerns then please do feel free to

pop it into the questions box however it

will be the end of the sessions which we

have a look at these as far today's

session I'll probably run for around 20

through 25 minutes and then any time you

have left at the end there will be used

to answer your questions and find that

we also have feedback surveys so at the

end of today's session whether you guys

leave or whether I end it from my side

you should be presented with a feedback

survey in your usual internet browser

we'd greatly appreciate that it sounds

complete that survey shouldn't that you

more than 30 seconds to complete however

it's something around five multiple

choice questions but yeah greatly helped

and that's kind of the feedback that we

use then determine you know which

sessions you guys found and useful and

then perhaps ones that we need to look

at and amend

okay let me sing one final check and

make sure that everything's running okay

from this side before we go ahead and

jump in

Kailas like everything is good so what's

a pair for audit and compliance okay

it's quite a large subject and of course

each census internal ditz may be

different each census of a compliance

requirements may be different the sort

of inspection that mean planning or

pairing for of course may differ from

center the center as well so the things

are actually going to cover in today's

session is using some of those existing

features they're perhaps more bespoke

ones such as push them forms and how

these can help with your own internal

audit and then of course there's lots

and lots of rapport so I've gone away

I've spoken to the success manager team

and so these are like the or account

manager so to speak the guys that look

after your centers they'll probably be

the ones who conduct training as well so

as well to those to find out what the

best things are that they've been using

and speaking to their centers with in

regards to preparing for orders so

they've highlighted a handful report I

fit to an full report we're going to go

through them together and explain why

these are useful for various amounts of

reasons okay so let's go ahead let's get

rid of the presentation and let's jump

into one file

let me logged in yep I just go ahead and

pour some ice cream while sedusa okay so

we will be hosting today from a sense of

managers perspective okay it's the

center manager that has access to okay I

guess a lot of the auditing tools if you

like all the features that could be used

for that purpose of course reports in

general everyone has access to those

it's turned on which user all the a

depends on which reports they have

access to okay so what kind of things

and would we expect to cover up hair

when it comes to auditing well of course

it very much depends on what you've been

audited on it may be an internal audit

okay where you're you guys have sent

some managers perhaps someone higher up

has requests that internal artist take

place to make sure that a certain

standard is are kept within your

delivery you may also have things that

you guys are working on from

say a recent Ofsted inspection and again

you wanted to put things in place to

make sure that you're always striving to

sort of make those improvements and as

suggested by Ofsted okay so we're gonna

start by looking at some reports a lot

of today will be based on polls for just

highlighting certain ones okay so we're

gonna jump into the reporting street

through the left-hand menu here okay so

the first aspect that we thought would

cover today is the likes of progress how

come you guys as center managers oversee

progress make sure that learners are not

falling behind and allowing you guys to

monitor and maintain from that overseer

level if you like from that top admin

level okay so there's a couple of course

that really help with this and the first

one we're going to see today is the

learning aim unit matrix never to

believe is underneath learner if it's

not it's underneath the progress reports

can you believe actually run through

these sessions before just before

delivering them and you want to think of

some times will do that's look for unit

matrix there we go there's so many

reports it's quite a school to keep

track of times but that's a problem you

can always use ctrl F and search for the

one where after some unit aim learning

game unit matrix reform okay so let's

choose our filters here to get something

right we'll just choose our default

shooter here but what this does is it

then pulls in all the units and learning

games that this particular tutor self

has access to it in regards to which

learners are currently assigned to them

okay so it'll break up and organize it

into the learning games within the

sensor and so of course if it's multiple

learners working towards a particular

learning it and then I'll fall

underneath that learning games group

okay so it's quite a simple report

really and what we're looking at here is

of course we can see each learner that's

working towards that particular learning

game see what class they belong to

placement and then following that we

have each unit that's within that

particular learning game and the

learners current and target progress

okay so now this is just great for

having that oversight having that

sort of top level of vision over all

these off progress and targets within

your sensor across different shooters if

there's the things that we often see as

well will work with hundreds of sensors

you know all going through different

types of inspections whether its

internal whether its Ofsted and some of

the things that we do see I mean people

do share their Ofsted reports with us is

the length of inductions you know

effective inductions are like SAR 316

deductions weren't really conducted with

the learners at the start now something

we always recommend with our centers is

to have an induction built like a no

learning game within our system yes I

think I do have if we scroll down we do

have a learner working towards induction

here for example okay so not only can we

to keep track on the actual learning

games were delivering whether it be

standards whether it be a traditional

sort of NVQ based we can also use it

first sort of those internal processes

well such as your inductions and using

this simple report we all to see where

each flows up to so this gent mister

people here here's our hundred percent

so should be okay but maybe all Val

learners should have done the induction

why is it only mister blue here that's

actually being assigned this particular

doctrine okay so as a sense mind just

gives you the really quick sort of

oversight over the saw the the progress

against each unit for each learning game

of course selecting into any of these

units will take you to the relevant and

you know somewhere for that learner if

you ever wanted sort of delve deeper

into that another really useful until we

have in the system as well if you wanted

to look further into an individual

learners sort of progress gaps for

example is the gap analysis view and so

they just quickly jump into one of my

learners I think we'll have a look at

mr. Michael Jacobs

cookies working swats crossed my service

yes yes okay John say his portfolio my

gates not just sense mentor that has

access this by the way

cheaters do as well and of course it's

very useful for a whole not a plethora

of reasons for the cheaters there but

elite the progress stamp from her

learner's portfolio page first icon is

gap analysis accountants let's show all

and apply oh so

the gap analysis does it's something

very similar to that unit matrix but I

supposed is looking on a much more

incremental level looking at the

individual criteria as well as just the

the saw overall unit so what this place

does it pulls in each component of the

learner's program break it down into

genus outcomes an individual criteria

against each criteria we have a couple

of columns on the right-hand side such

as

evidence and progress now within the

progress column we have these little

colored boxes now the core itself lesson

know whether learners yet you've covered

this particular criteria

okay so green means yes the learner has

uploaded all required evidence needed

towards this criteria we also have other

cause as well such as red and amber to

let us know that either works been set

against this or no work has been seconds

this self are a sport in evidence colin

provides the actual piece of evidence

which the learners have uploaded so

these will be the case that is the

assessment they learn and development

activities if the lens have done if it's

a full blog like these guys at the top

then it means that it's been signed off

whereas if it's been greyed out some to

this it means it hasn't been signed up

so it's probably the learner or maybe

tutor there she had to sign that work

off now what's also really useful about

this gap analysis where I wanted to

highlight it the Dane it's cuz within

your delivery you may have certain

requirements you may require a learner

to upload or demonstrate certain skills

and behaviors on multiple occasions so

you can set what we call consistency

rules in which we can see in action here

obvious though I do work insistence Rosa

you can actually set how many times have

learning needs to upload a piece of

evidence cable doesn't necessary have to

be a raw piece in the traditional sense

that just means that the learner has to

complete three activities around this

and of course you guys would have that

base within your plan but we can see

here that learners soft rule has been

set to three so they have to upload or

demonstrate a certain skill or behavior

on three occasions okay through the

supporting evidence column you can see

how many times and one's already done

this through the blue boxes yeah it

looks like he's uploaded four pieces of

work and perhaps that fourth one's just

not being signed off yet here we can see

through in most power we've got a three

green boxes it's because he's uploaded

three

pieces work and they've been signed off

okay so that's how you could look on a

much more individual learner basis if

you know for every reason you wanted to

drill down a little bit further and say

okay yeah we can see that he's a 75% way

through every what that means it's just

the case of there's one piece of

criteria that keeps getting missed why

is that is that consider included in the

plan much later down learners program

okay but let's get back to some

top-level and information here so

another thing that we could use and we

will jump back to reports in just a few

moments we've got on many more posters

kind of show off but I want to show

something else that would be quite

useful now this is more based off I

guess internal checks internal audits

that you guys might put in place so like

I mentioned at the start if you wants to

ensure that you're working to a

particular standard what we could use is

font okay so you guys rather win as a

sense manage at the moment so we are

able to create edit and publish forms

now if you're not play down the forms

and already on the system basically a

way of you guys to capture additional

information and within one file not only

that but we can use that farm to then

add additional fields to various

locations across the system one of those

is slightly unknown and doesn't get used

too often and for these purposes of

conducting an internal audit it could be

quite useful we have it and an example

of what we call a desktop audit okay

it's currently published and it's been

currently saved as a ttle learner tab

for the center managers okay it's

actually very tough option when you jump

into your farms and go to publish one

it's a very top here like so we don't

see it off you too often and put here

certainly one great way it could be used

so what this farm actually is it's just

absolute it boxes okay and but what we

have within this farm is the legs of

planning so tick boxes and basically we

can check to make sure that certain

planning's been taken place okay so plan

has been taking place for smart targets

and then various different criterias

these can be things that you guys have

sent

it is called overseeing check you can

put your own internal audits okay look

at this farm and when it's actually been

published here so when we say he's been

published as a learner tab what that

means is if we head over to our users

and jump into one of our learners

episodes here okay okay so this page may

look familiar where we can set the legs

other learners their start dates class

placements all from one page off the job

hours as well by saving as a learner tab

form he's added additional tab on this

particular page you can see all these

times that we usually can use to assign

dilemmas learning games at units tutors

default IQ aids and so on we've added a

new tab here so desktop order now what's

good about this particular form is that

you can only be seen and used by center

managers okay so even if tutors access

to this page which can also do if

they've been given the manage learners

access permission and it's only sense

measures that can actually see this okay

so it's now added this extra tab on the

learners episode where center managers

could go through and complete their own

internal checks basically like said this

is just an example here so we have one

for likes at assessment and feedback and

so would we be looking out for

assessments have been mapped

holistically where possible and yes they

have okay so you'd obviously you have a

look through the learners portfolio

itself and look for these things that

matter to your delivery I like said that

you perhaps could use a recent report

from off their from our most recent

inspection or whatever the things that

you may need to improve on are the areas

that you want to focus on you could

create a form a soft break it down into

checklist so okay has feedback being

present it is it in session is their

detailed and constructive feedback for

learners to develop on things like that

okay when it comes to inspections and

audits whether it is internal whether it

is an external one whatever it may be

you can then come into this area and

show and the internal checks that you do

a sensor manager to make sure that

either people working in their

standardized way oh you know they're

saying things are certain improvements

are being sort of a stretched towards

okay so I think they say at this example

in particular and bossy isn't too

detailed here and but this idea of

having like a desktop audit where sensor

managers can conduct their own sort of

internal checks and is really a

proactive one as well you be able to

demonstrate that to anyone whether it's

just sort of you preparing that for your

own board of directors that you'll be

able to sort of demonstrate the the

planning and those internal checks of

spot-checks if you like and that you

carrying out on your own Center okay I

also believe that own desktop odd it's a

particular version of it is available

from our farm library over on the

onboarding page as well just in case you

guys once it's use it as a desktop hard

it's as such okay we're gonna head back

to report so it actually plenty more

reports want to show you and we probably

won't get through all of them it's just

cases back picking out a handful and of

course the next session will probably

pick out the others okay so where should

we go from here another really useful

one is tasks overdue by user okay this

is a couple users really again I think

other user roles direct access such as

cheaters and hang key ways of course it

only be our rather displayed information

at those guys have access to but as

sensor managers we get access and to all

the data within our sensor okay so as a

default and it won't actually really use

of separate the user groups if you like

and but it will put it all into one

report so we can see them got cheaters

in here and we've got employees in here

as well

learners and cue A's okay we can see

their names down the left hand side what

class they belong to if applicable and

then it's actually attached overdue

rather so we currently have a tutor

who's that up there who's got the most

overdue tasks

okay again this is all part of you guys

are sentiment just having that oversight

of your sensor is our cheetahs logging

on and they're being active are they

engaging with the system it looks like a

in this instance we've got a tutor here

and that perhaps has fallen

and quite a bit so of course it'd be our

job as sensor manager you know perhaps

get in touch offer support where

necessary how can we improve you know it

is there an error in the process perhaps

in an area of improvement

okay we can also see the earliest to

date there as well to see actually how

overdue and the earliest tasks may be as

with all our reports of that I think I

mentioned from the start and but every

of the bulges the majority of one files

reports are exportable to a spreadsheet

format ok so if you have anything sick

leave this information now if it was an

inspector for example and you wasn't

given them access to the system then you

can always export a lot of these reports

and have them ready in spreadsheets and

templates and whatever else ok so let's

go and have a look in another one

another really useful full one again for

sensor managers in particular although

it can be useful for IQ and cheaters

it's just their information maybe a

little bit more limited and that is

feedback and comments give this up so

many uses when I spoke to the success

manager team earlier in the week to get

some ideas of reports and other bits and

bobs that they would sort of devised to

their senses the feedback and comment

this report came up with every single

person who came back with information

for me and so obviously it is quite

renowned amongst our success managers

okay so I'll just find in the date

parameters here and the making basically

go ahead and choose who we want to see

the feedback from and - okay we can also

define by a feedback area so let's go

ahead let's have a look at Tutor

comments to learners in particular okay

you could drop down and have a look at

individual users if you listed I think

I'm just gonna leave this as all and

then we fit select our feedback area so

I'm gonna select for reviews okay don't

like that may be incomplete they see if

I can put in some white a date

parameters get some more results to show

okay a few for here but this could in

itself a highlight an issue within my

sensor the either hasn't been reviews

being completed by the looks of things

or no one's leaving comments on the

reviews and even by looking at the

comments that being left here and for

learners refusing don't forget this is

from cheaters comments to learners we

have em well we do have some flat

feedback in this bottom one and then

clearly insufficient feedback in this

other one here so what we can do using

these reports is placed against text

let's check for standardization when it

comes to feedback and comments and

shouldn't we see smart targets is that

someone you would smart record your

milestones or smart targets within the

system if so why we're not seeing those

milestones have been set within these

comments here

even so we expense at the very least

that all tutors would give quality and

constructive feedback to our learners

again perhaps we're not getting that

here not if that's where we require this

information okay so you can use these

feedback and comments and like I mean

it's not just reviews we can have a look

at assessments as well as again we'd

probably in expect constructive and

quality feedback within the assessments

and again although the feedback is being

left more frequently it

there's nothing constructive there okay

I know that's something that we needed

to improve on since I last Ofsted

inspection and although it made me you

started great this clearly there's a

lack of quality here within my feedback

so again you'd only quit this you can

then help support the cheaters further

and put things in place and you know

make sure there is actually the

standardized way of working

are those provements and developments

are being worked what what's good is if

you actually look at this report various

essence you could then drill down value

learning games as well maybe it's

particular classes in particular set of

learners I've seen the tutor or lesson

that's not going so well or a lot that

this erm perhaps unhelpful feedbacks

being left and it doesn't end there we

don't just have to use this for tutors

towards learners we could have a look at

learners to tutors I crazy I can't scene

left oh we could use employers as well

okay so depends on the who the employee

would get interact with and within your

sensor maybe it's the tutors and I know

I don't have much him much on this

report I don't think my employees are

too active

we could show that and we've got another

report is really quite useful if you

wanted to quickly demonstrate how much

your employees were engaging with the

system for example what without actually

showing the activities itself we could

use lines of activity locks it works

similar to the feedback and comments

however we're not just looking at

feedback and comments were looking at

actual actions taken in one file so

again we'd pick out user group and so

maybe we would look at employer's affair

now because my employees I don't often

log into my employer account on this

Center but let's have a look and see if

we get anything to generate it I'll

leave that as all we're gonna widen

these date parameters click Submit okay

so at the very least is brought in the

the teeth of the logins when people have

been active and so again this report

here we're only looking at employer

activities we're not drilled down into

any area in particular that system and

but what we can see here using this ad

seems to like is that employers the

logging on they might not be doing too

much in the in mind sensor but we can

see when the log inning with the logging

out they aren't doing it somewhat

frequently and so that tells me that

they are having that oversight at least

over their learners and again if we were

to be inspected whether it is internal

our external efficacy look what we have

employers and we have given employer

access and see the employers that we

work with we can see here that the

proactively logging in and then want to

trim their own learners now of course in

an ideal world would see them

interacting with her reviews him here

would cement threaten the learners

Journal and plans and everything in

between I think to end for today and so

you're not crammed so many reports in

for you guys once wanna look at one more

report if you've been on any of the

sessions before where we do focus on

reports and then you may have seen that

this one before

it isn't that they'd learn database

report and so for those who never had

seen this particular before this one is

customizable okay if it's let me just

quickly clean up here and I always seem

to leave my database reports MS and it

made your spotless prized little bit

what were able to do this report is

bring in our own fields and

the fields that can be found elsewhere

within the system okay so the top we've

got lots of filtering options here we

can report our port group look at

archived learners and drill down via

class placements providers even learn

the status as well which isn't a filter

often used across small files reports

and then from there it's quite a basic

report showing basically an information

really named placements addresses main

learning games status and a couple of

days in there as well now if we head

over to this select columns bottom were

then given a list of all the default

fields within one file okay we can pull

any amount of these fields into this

report as so perhaps we wanted let's

give it as date registered and

completion dates they're actually not

will even completion dates over

anticipated and actual and let's just

pull in some Davison genders as well

okay close that we can now see we've got

likes of date birth gender along with

the to date fields that we've pulled in

now what could be more useful here for

audience his having look if or rather

having a look at the likes of the first

and last teaching plan dates okay so

it's these activity related ones and so

you can see some of the last tutor

activity you can see the last teach and

learning plan dates so basically what

you could be looking for is if a

learners just started for example if

you've got a start date in here as well

and then you have a look at the first

and last teaching plan perhaps you could

spot a discrepancy and say oh actually

it doesn't look like this learning has

been set up planning a very long time

they not finished they're not

necessarily close to do to complete and

so why is it that they've not had a plan

in such a long time you know perhaps you

can speak with the the tutor of that

learner

perhaps oh there's another plan in place

perhaps with some additional support I'm

already been planned for that learner

okay again it really depends on what you

guys looking forward with in your audits

or being audited on it depends on what

field you might pull into here okay

further to this we don't have to

default fields that's found in this box

we can actually use this little drop

down at our place firmly slap to this

general so shown are the general fields

within the system we can actually use

this now to reports on any of the custom

farms within our Center including that

desktop audit that we were looking at

earlier on ok so perhaps we could pull

in all the fields to this we could strip

back the majority of everything else if

we didn't need it and we could just have

a report on that desktop

audits that we created now and we can

now see all the learners that we have

within our Center and each of those

audit checks that we've put in place and

of course with these little tip boxes

once it's over they would have little

ticks are crosses it in here ok but of

course we haven't really filled that

form we only published it during today's

session but again we can save this

report so if we wanted to build up a

couple reports ready for inspector ready

for your board of directors her for it

maybe he was looking at that data or we

could still export it to spreadsheet

format okay guys that is it for today

that is just a handful of the tips and

tricks that some our success managers

would recommend when it comes to audits

and compliance again whatever that may

be whether it is really an preparing for

an inspection or whether you're just

carrying out your own audits to make

sure that you still as I've developed in

your program and your learning delivery

are you delivery method rather okay so

thank you very much for anyone attending

this morning I hope it's been useful

especially that desktop hold it and like

so we don't see that the form side being

used too often where these potential is

really there and you know to make it

really quite effective for your delivery

we'll have a look at some questions in

just a moment so if you're not sticking

around it's not a problem thank you very

much for attending anyway I do hope you

enjoyed in the rest in week don't worry

it is nearly Friday for everyone else

I'll be back in just a few ticks to

answer your questions bye bye for now

A
Adam is the author of this solution article.

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