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

  • Opportunities for Improvements

  • Element 1.2 Training and assessment strategies

  • 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

  • Element 1.4a Training & Assessment Qualifications

  • Element 1.4b Vocational Qualifications

  • Element 1.4c Industry currency

  • Element 1.5a Assessment meets the Training Package requirements

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

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

  • Element 1.5d Assessment has been systematically validated

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

  • 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

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

  • 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

  • Condition of Registration Opportunities for improvement

  • CR 3: Compliance with legislation

  • CR 5: Financial Management

Standard 1

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

  • 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

  • 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

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

  • 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.

  • Findings

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

  • Evidence reviewed

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

  • Evidence reviewed

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

  • Evidence reviewed

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

  • 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

  • Findings

  • Evidence Nominated Trainer & Assessor

  • Trainer
  • Name

  • Element 1.4a Training & Assessment qualification

  • Evidence of Training & Assessment qualification

  • Element 1.4b Vocational competencies

  • Evidence of Vocational competencies

  • Element 1.4c Currency of Industry

  • 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

  • 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

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

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

  • Element 1.5d Assessment is systematically validated

Standard 2

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

  • 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

  • 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

  • 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

  • Evidence reviewed

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

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

  • 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:

  • 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

Conditions of Registration

  • CR 3 Legislation
    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

  • 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

  • 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

  • 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.

  • 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

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

  • 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
    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:

  • Evidence reviewed

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

  • 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

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

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

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

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

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

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

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