Preparing for Audit

1
Preparing for Audit

2
Audit

• Workshop
• for
• Workforce Development Staff
• Preparing for Audit

3
Program

• Audit context
• National Training System
• AQF
• AQTF
• Registered Training Organisation
• RTO Registration
• VETAB and RTO Audits
• Audit principles
• Audit process
• Audit approaches
• Audit report
• Maintaining registration

4
Audit context

• NSW Government e.g.Treasury Regulations
• DET TAFE NSW e.g. Processes and Procedures
• Internal Control Checklist now ARBO
• Quality Endorsed AS/NZ ISO90012008
• National Training System AQF/AQTF/Registered
  Training Organisation

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RTO Registration

• All training organisations that issue Australian
  Qualifications Framework qualifications and
  statements of attainment must be registered by a
  State or Territory recognition authority.
• Scope of registration refers to the products and
  services that a training organisation is
  registered to provide.
• RTOs must ensure that they meet the legislative
  and licensing requirements relevant to their
  scope of registration.

6
Maintaining Registration

• An RTO must continue to meet the requirements of
  Australian Quality Training Framework 2007 (AQTF
  2007).
• AQTF is made up of
• Essential Standards for Registration
• Excellence Criteria
• Standards for Registering Bodies

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VETAB

• Vocational Education and Training Advisory Board
  - VETAB is responsible for regulating the
  vocational education and training (VET) system in
  NSW.
• The aim of the audits is not only to ensure that
  standards are being met, but to encourage
  continuous improvement in training quality.
• Vocational Education and Training Act 2005 (VET
  Act) and the AQTF 2007 Essential Standards for
  Registration

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What is an RTO audit

• An audit is
• planned,
• systematic and
• documented process
• Purpose
• used to assess an RTOs compliance with the AQTF
  2007 Essential Standards for Registration.

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RTO audit

• RTOs can conduct internal audits to assess their
  compliance with the standards and their own
  policies and procedures as part of their
  continuous improvement process.
• VETAB conduct independent audits as a condition
  of registration.

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What to expect

• An audit is evidence-based.
• Demonstrate that the standards of the AQTF 2007
  are being met.
• Talk to staff and students and interview other
  client groups.

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When does VETAB conduct audits

• initial registration
• apply to renew registration - every five years
• apply to add your scope of registration
• following a complaint to VETAB about your
  training and assessment services
• part of an industry-wide (strategic) audit.

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RTO Audit principles

• Systematic
• Outcomes focused
• Evidence based
• Flexible
• Continuous improvement
• Fair, open, transparent

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RTO site audit process

• SI Quality help
• planning, briefing and support
• Accompany auditors
• Corrective actions
• Auditors lead auditor and team
• open and close the audit interview/desk top audit
• collects evidence
• analyses the evidence collected
• provides feedback
• develops the audit report.

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RTO audit holistic approach

• from marketing to awarding a credential
• The auditor asks us to step through the
  processes used with specific groups of clients
• a continuous improvement approach
• We could be asked to provide some examples of
  improvements that have been made to the way we
  operate
• an approach using strategies for training and
  assessment
• using training and assessment strategies as the
  starting point. This means exploring Standard 1
  and many aspects of Standards 2 and 3.

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RTO audit report

• Focus
• Interviewees
• Standards
• Evidence
• Strengths
• Compliance/Non-compliance
• Opportunities for improvement

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AQTF 2007 approach

• shifting focus from inputs to outcomes
• emphasis on continuous improvement
• strengthened risk management
• optional assessment against excellence criteria

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AQTF 2007

• AQTF is made up of
• Essential Standards for Registration
• Excellence Criteria
• Standards for Registering Bodies

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AQTF 2007 Essential standards for registration

• Standard 1 The RTO provides quality training and
  assessment across all of its operations
• Standard 2 The RTO adheres to principles of
  access and equity and maximises outcomes for its
  clients
• Standard 3 Management systems are responsive to
  the needs of clients, staff and stakeholders, and
  the environment in which the RTO operates

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AQTF 2007 Quality indicators

• Employer satisfaction
• Learner satisfaction (learner engagement and
  competency development).
• Competency completion rate.

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Activity Do we comply?

• AQTF - Essential Standards for Registration
• Each group take 1 of the following categories and
  
• Do they apply to us?
• List areas that affect WD operations
• Check the evidence requirements
• Can we provide evidence
• Suggest areas for improvement if necessary

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Activity Do we comply?

• Workforce Development Unit
• Doing our business AQTF 1.2 3.1 and 3.2
• Managing our records AQTF 2.5 and 3.3
• Managing or quality and improvements AQTF 1.1
  2.1 and 3.1
• Engaging our clients AQTF 2.2 and 2.3
• Providing client services AQTF 2.4 2.5 and 2.6
• Training and Assessment management AQTF 1.3 and
  1.4
• and 1.5

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Audit
myLearning - Assuring Quality in VET series