Audit Report_External Extension Scope - Sample 1: 18-11-12

• Document No.

• Audit Title

• Prepared by

• Audit Assignment

  Select Initial Registration Site Within 12months Site Extension to Scope Site Renewal of Registration Strategic Audit Desk Top Extension Monitoring Audit Complaints Audit

  • Initial Registration Site
  • Within 12months Site
  • Extension to Scope Site
  • Renewal of Registration
  • Strategic Audit
  • Desk Top Extension
  • Monitoring Audit
  • Complaints Audit

• Start date

  Date

• End Date

  Date
• Location
  Address

Audit Details

• RTO Description

• Qualifications being audited

• Training.Gov website to access Training Package information
  http://training.gov.au/

• Standards and Conditions to be audited: 1.2, 1.3; 1.4a 1.4b 1.4c 1.5a 1.5b 1.5c 1.5d 2.4 3.3 CR3 CR5

Summary of Audit

• STANDARD 1: Training and Assessment

  Select Initial Registration Site Within 12months Site Extension to Scope Site Renewal of Registration Strategic Audit Desk Top Extension Monitoring Audit Complaints Audit

  • Initial Registration Site
  • Within 12months Site
  • Extension to Scope Site
  • Renewal of Registration
  • Strategic Audit
  • Desk Top Extension
  • Monitoring Audit
  • Complaints Audit

• Opportunities for Improvements

• Element 1.2 Training and assessment strategies

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.3 Staff, facilities, equipment, training and assessment materials used by RTO are consistent with TP or Accredited Course and RTO's own TAS

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.4a Training & Assessment Qualifications

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.4b Vocational Qualifications

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.4c Industry currency

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.5a Assessment meets the Training Package requirements

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.5b Assessment meets Principles of Assessment and Rules of Evidence

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.5c Assessment meets workplace and where relevant regulatory requirements

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Element 1.5d Assessment has been systematically validated

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• STANDARD 2 The RTO adheres to principles of access and equity and maximises outcomes for its clients

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Opportunities for Improvements

• Element 2.4 Employers and other parties who contribute to each learner's training and assessment are engaged in the development, delivery and monitoring of training and assessment

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• STANDARD 3 Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the RTO operates

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Opportunities for Improvements

• Element 3.3 The RTO Monitors training and assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards for continuing regisration

  Compliant

  Non-compliant

  Not audited

  Opportunity for Improve

• Condition of Registration Opportunities for improvement

• CR 3: Compliance with legislation

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• CR 5: Financial Management

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

Standard 1

• Standard 1: The RTO provides quality training and assessment across all of its operations

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Comments on overall Standard compliance and opportunities for improvement

• Element 1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Findings

• Evidence of Training and assessment strategies

TAS

• Name and version of TAS submitted for audit

• Industry has been consulted in the development of the TAS

  Yes

  No

  N/A

• Each TAS meets the Training Package requirements: Packaging Rules, Versions and release dates, Facilities and Equipment, Resources, Staff, assessment methods, Delivery methods

  Yes

  No

  N/A

• Element 1.3 Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the Training Package or Accredited course and the RTO's own training and assessment strategy.

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Findings

• The staff nominated hold qualifications which meet the Training Package and RTO's own TAS requirements

  Yes

  No

  N/A

• Evidence reviewed

• Facilities and equipment used by the RTO meet the Training Package and TAS requirements

  Yes

  No

  N/A

• Evidence reviewed

• Training materials used by the RTO meet the Training Package and RTO's own TAS requirements

  Yes

  No

  N/A

• Evidence reviewed

• Assessment materials used by the RTO meet the Training Package and RTO's TAS requirements

  Yes

  No

  N/A

• Evidence reviewed

• Element 1.4 Training and assessment is delivered by trainers and assessor who: (a) Have necessary training and assessment competencies as determined by NQC or its successor, and (b) Have the relevant vocational competencies at least to the level being delivered or assessed, and (c) Can demonstrate current industry skills directly related to the training/assessment being undertaken, and (d) Continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competencies

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Findings

• Evidence Nominated Trainer & Assessor

Trainer

• Name

• Element 1.4a Training & Assessment qualification

  Compliant

  Non-Compliant

  Not Audited

• Evidence of Training & Assessment qualification

• Element 1.4b Vocational competencies

  Compliant

  Non-Compliant

  Not Audited

• Evidence of Vocational competencies

• Element 1.4c Currency of Industry

  Compliant

  Non-Compliant

  Not Audited

• Evidence of Currency of Industry

• Element 1.5 Assessment including RPL for Industry Area 1: (a) meets the requirements of the relevant Training Package and accredited course (b) is conducted in accordance with the principles of assessment and rules of evidence (c) meets workplace and, where relevant, regulatory requirements (d) is systematically valdidated

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Findings

• Evidence of Assessment Instruments/processes

Qualification Code & Title

• Qualification Code & Title

• Enter Unit Code & Title

Unit of Competency

• Code & title

• Evidence - Assessment Instruments

Assessment Instrument

• Name, description and version number (if available)

• Element 1.5a - Does the assessment instrument/s meet the Training Package requirements

  Compliant

  Non-Compliant

  Not Audited

• Element 1.5b - Assessment is conducted in accordance with the principles of assessment and rules of evidence

  Compliant

  Non-Compliant

  Not Audited

• Element 1.5c Assessment meets the workplace and, where relevant regulatory requirements

  Compliant

  Non-Compliant

  Not Audited

• Element 1.5d Assessment is systematically validated

  Compliant

  Non-Compliant

  Not Audited

Standard 2

• Standard 2: The RTO adheres to principles of access and equity and maximises outcomes for its clients

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Comments on overall Standard compliance

• Element 2.4 Employers and other parties who contribute to each learner's training and assessment are engaged in the development, delivery and monitoring of training and assessment

  Compliant

  Non-Compliant

  Not Audited

• Evidence

Standard 3

• Standard 3: Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the RTO operates

  Select Compliant Non-compliant Not audited Opportunity for Improve

  • Compliant
  • Non-compliant
  • Not audited
  • Opportunity for Improve

• Comments on overall Standard compliance

• Element 3.3 The RTO monitors training and /or assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards for continuing registration

  Compliant

  Non-Compliant

  Not Audited

• Evidence reviewed

• Documented agreements are in place with each organisation that provides training and/or assessment on the RTO's behalf

  Yes

  No

  N/A

• The agreements describe the responsibilities of each party and the management strategies to be implemented, including monitoring arrangements

  Yes

  No

  N/A

• The implementation of the agreement is monitored to ensure that it is being adhered to and that improvements are made, where required - monitored by which of the following:

  Yes

  No

  N/A

• Regular management data reports, including client feedback

• Site visits to the organisation to confirm partner practice

• Assessment validation process with the partner

• Moderation of assessment decisions with the partner

• Audits of the partner's training, assessment and administration

• Sharing of Professional Development activites

• Improvements to arrangements for the establishment, monitoring and implementation of agreements are demonstrated

  Yes

  No

  N/A

Conditions of Registration

• CR 3 Legislation<br>The RTO must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements that are relevant to its operations and its scope of registration. It ensures that its staff and clients are fully informed of these requirements that affect their duties or participation in VET

  Compliant

  Non-Compliant

  Not Audited

• Evidence reviewed

• Where required Trainer/Assessors hold required licences i.e: High risk licence, working with children, Worksafe Assessor for the training program they are delivering and assessing

  Yes

  No

  N/A

• Records of participation by staff in induction and professional development programs on legislation and related rights and responsibilities for the training and assessment programs they will delivering and assessing

  Yes

  No

  N/A

• Records of participation of learners in orientation programs that include information on relevant legislation and how that legislation affects their participation in the training and assessment.

  Yes

  No

  N/A

• Relevant legislation and how that legislation affects their participation in the training and assessment.

• Their roles and responsibilities during the training and assessment program they are enrolled in

• Conducted scheduled Internal audits and workplace safety reports that identify potential breaches of Legislation and actions taken by RTO

  Yes

  No

  N/A

• Where relevant for Training and Assessment delivered under a DWTD Contract the RTO has:

  Yes

  No

  N/A

• Apprenticeship Policy document
  http://www.trainingwa.wa.gov.au/apprenticentre/detcms/cms-service/download/asset/?asset_id=12488989#page21

• Signed Training Plan within the nominated 6 weeks from commencement as per Apprenticeship Policy 11.2

• Conducted a 'Capacity to Train' on the Employer and implemented actions based on the outcome which are consistent with the Apprenticeship Policy 11.3

• Developed a Training Plan which contains the information in the Apprenticeship Policy 11.4

• Adhere to their Training Responsibilities as outlined in Apprenticeship Policy 11.5

• CR 5 Financial Management<br>The RTO must be able to demonstrate to the registering body, on request, that its financial viability at all times during the period of registration. The RTO must provide the following fee information to each client:

  Compliant

  Non-Compliant

  Not Audited

• Evidence reviewed

• Financial Management<br>The RTO must provide the following fee information to each client:

  Yes

  No

  N/A

• the organisation's refund policy

• the nature of the guarantee given by the RTO to complete the training and/or assessment once the student has commenced study in their chosen qualification or course

• payment terms, including the timing and amount of fees to be paid and any non-refundable deposits/administration fee

• the total amount of all fees including course fees, administration fees, material fees and any other charges

• the fees and charges for additional services, including such items as issuance of replacement qualification testamur and the options available to students who are deemed not yet competent on completion of training and assessment, and

• Written confirmation from its registering body that the RTO has an approved fee protection mechanism in place, as per Option chosen

  Yes

  No

  N/A

• A fees, charges and refund policy that should be clear and transparent

  Yes

  No

  N/A

• Pre-engagement information for clients about fees, charges and refunds that is clear and accessible

  Yes

  No

  N/A

• Invoices or receipts for clients clearly state the components of the fees

  Yes

  No

  N/A

• Financial accounts certified as being in accordance with Australian Accounting Standards

  Yes

  No

  N/A

• Financial statements that have been audited in accordance with Australian Auditing and Assurance Standards

  Yes

  No

  N/A

• A tuition assurance scheme membership Certificate or a bank guarantee - depending on Option chosen

  Yes

  No

  N/A