Preparing for Audit

Ambition in Action

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Audit

Workshop

for

Workforce Development Staff

Preparing for Audit

Ambition in Action

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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

Program

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NSW Government : e.g.Treasury Regulations

DET TAFE NSW: e.g. Processes and Procedures

Internal Control Checklist now ARBO

Quality Endorsed: AS/NZ ISO9001:2008

National Training System: AQF/AQTF/Registered Training Organisation

Audit context

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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.

RTO Registration

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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

Maintaining Registration

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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

VETAB

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An audit is: planned, systematic and documented process

Purpose: used to assess an RTO’s compliance with the AQTF 2007 Essential Standards for Registration.

What is an RTO audit

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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.

RTO audit

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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.

What to expect

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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.

When does VETAB conduct audits

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Systematic

Outcomes focused

Evidence based

Flexible

Continuous improvement

Fair, open, transparent

RTO Audit principles

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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.

RTO site audit process

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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.

RTO audit holistic approach

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Focus Interviewees Standards

Evidence Strengths Compliance/Non-compliance Opportunities for improvement

RTO audit report

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shifting focus from inputs to outcomes

emphasis on continuous improvement

strengthened risk management

optional assessment against excellence criteria

AQTF 2007 approach

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AQTF is made up of:

Essential Standards for Registration

Excellence Criteria

Standards for Registering Bodies

AQTF 2007

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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

AQTF 2007: Essential standards for registration

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Employer satisfaction Learner satisfaction (learner engagement and

competency development). Competency completion rate.

AQTF 2007 Quality indicators

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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

Activity Do we comply?

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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

Activity Do we comply?

AuditmyLearning - Assuring Quality in VET series