Internal Audit 2013 - Working Copy Local

• Document No.

• Audit Title

• Audit Type

  Yes

  No

  N/A
• Audit - Venue Location
  Address

• Select date

  Date

• Business Unit/Portfolio

• Course/Qualification/s to be audited

• Campus

  Yes

  No

  N/A

• Delivery Site (if differs from campus)

• Delivery Mode

  Face to Face

  Blended Delivery

  Online (fully)

  On the Job

• People present at this audit.

• Lead Auditor

  Sign

• Co-auditor:

  Sign

AUDIT OUTCOME SUMMARY

• Qualification/s audited

• Standards and Conditions audited: 1.1, 1.2, 1.3; 1.4a 1.4b 1.4c 1.5a 1.5b 1.5c 1.5d 2.1, 2.2, 2.3, 2.4, 2.5, 2.6, 3.3
  Condition 3 – Compliance with Legislation,
  Condition 6 – Certification & Issuing of Qualifications & Statements of Attainment Standards
  Condition 7 – Recognition of Qualifications Issued by Other RTOs
  Condition 8 – Accuracy and Integrity of Marketing
  Condition 9 – Transition to Training Packages/Expiry of Accredited Courses

STANDARD 1:

• STANDARD 1: The RTO provides quality training and assessment across all its operations.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• 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.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 1.3 : <br>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 strategies.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 1.4a - <br>Training and assessment is delivered by trainers and assessors who have the necessary Training and Assessment competencies/Qualifications

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 1.4b - Vocational Competencies : <br>Trainers and Assessors have the relevant vocational competencies at least to the level being delivered or assessed

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 1.4c - Industry Currency : Trainers and Assessors can demonstrate current industry skills directly relevant to the training/assessment being<br>undertaken

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 1.5a Assessment meets the Training Package requirements

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

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

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

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

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 1.5d Assessment has been systematically validated

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

STANDARD 2:

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

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 2.1 The RTO establishes the needs of clients, and delivers services to meet these needs.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 2.2 The RTO continuously improves client services by collecting, analysing and acting on relevant data.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 2.3 Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• 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

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 2.5 Learners receive training, assessment and support services that meet their individual needs.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 2.6 : Learners have timely access to current and accurate records of their participation and progress.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 2.7 : The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

STANDARD 3

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

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 3.1 The RTO’s management of its operations ensures clients receive the services detailed in their agreement with the RTO.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 3.2 The RTO uses a systematic and continuous improvement approach to the management of operations.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• 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

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Element 3.4 The RTO manages records to ensure their accuracy and integrity.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

CONDITIONS OF REGISTRATION

• Condition 3 – Compliance with Legislation.

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Condition 6 - Certification & Issuing of Qualifications and Statements of Attainment

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Condition 7 - Recognition of Qualifications Issued by other RTOs

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Condition 8 – Accuracy and Integrity of Marketing

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

• Condition 9 – Transition to Training Packages/Expiry of Accredited Courses

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

CONDITIONS OF REGISTRATION

• Evidence reviewed

STANDARD 1 - The RTO provides quality training and assessment across all of its operations

• 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

  Yes

  No

  N/A

• Evidence of Qualification Delivery and Assessment strategies

QDAS

• Name and version of QDAS submitted for audit.

• Has Industry has been consulted in the development of the QDAS?

  Evidence sighted

  Insufficient Evidence sighted

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

  Yes

  No

  N/A

• Findings:

• Notes:

ELEMENT 1.5 - ASSESSMENTS INCLUDING RPL MEET TRAINING PACKAGE & ACCREDITED COURSE REQUIREMENTS

Review of the delivery and Assessment documentation is completed as part of the desktop review component and feedback/discussion is completed at audit.

• 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 Opportunity for Improvement Not Compliant Not Audited

  • Compliant
  • Opportunity for Improvement
  • Not Compliant
  • Not Audited

• Findings

• Assessment tool # - Enter Unit Code & Title

Assessment tool Unit of Competency

• Unit Code & Title

• Evidence - Assessment Instruments

Assessment Instrument/tool

• Name, description and version number (if available) of Assessment tool reviewed.

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Element 1.5d Assessment is systematically validated

  Yes

  No

  N/A

• Validation Schedule

• Evidence of validation (list documents):

• Findings on Validation process:

ELEMENT 1.3 Staff, facilities, equipment and training and assessment materials used by the RTO

• 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 Yes No N/A

  • Yes
  • No
  • N/A

• Findings

• 1.3.1. THIS QUESTION CAN BE OMITTED AS IT IS COVERED AS PART OF ELEMENT 1.4B.<br>1.3.1 - The staff nominated hold qualifications which meet the Training Package and RTO's own QDAS requirements.

  Compliant

  Opportunity for improvement

  Non-Compliant

  Not Audited

• Evidence reviewed

• 1.3.2 - Facilities and equipment used by the RTO meet the Training Package and QDAS requirements

  Yes

  No

  N/A

• Evidence reviewed

• 1.3.3 - If trainers and assessors are using their personal training and assessment resources are these are quality assured by the RTO and housed on the RTO’s premises?

  Yes

  No

  N/A

• Evidence reviewed:

• Training materials used by the RTO meet the Training Package requirements.

  Evidence sighted

  Insufficient Evidence sighted

• Evidence reviewed

• 1.3.4 - Where RTOs purchase commercial training and/or assessment resources, these are quality assured, contextualised and reviewed against the requirements of the Training Package/accredited course.

  Evidence sighted

  Insufficient Evidence sighted

• Evidence reviewed:

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

  Compliant

  Opportunity for improvement

  Non-Compliant

  Not Audited

• Findings:

ELEMENT 1.1 The RTO collects, analyses and acts on relevant data for continuous improvement

• ELEMENT 1.1 <br>The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment<br> Intent: The RTO improves training and assessment arrangements in accordance with data collected.

  Yes

  No

  N/A

• What process is in place by your area to collect data to provide you with information to improve training and assessment arrangements?

  Yes

  No

  N/A

• What process is in place by your area to collect data to provide you with information to improve training and assessment arrangements?

  Yes

  No

  N/A

• Collection of feedback through surveys, focus groups, SWOT analyses, telephone interviews and discussions

• How is the data collected analysed and improvements to training and assessment instigated?

  Yes

  No

  N/A

• Evidence sighted

• Feedback from stakeholders such as students and employers

• Outcomes arising from assessment validation

• Results of internal/external audits

• Records of complaints and appeals and their resolution

• Processes for collecting data include: • Assessment validation and/or moderation

• Other evidence

• Continuous improvement approach is systematic, involves staff, clients and other stakeholders, and uses qualitative and/or quantitative data to determine the need for improvements to training and assessment.
  Continuous Improvement processes refer to the continual enhancement of an RTO’s performance so that the changing needs of clients and industry continue to be met.
  Continuous improvement does not relate to actions to achieve compliance as such actions are considered rectifications.

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

  Compliant

  Opportunity for Improvement

  Not Compliant

  Not Audited

TRAINER AND ASSESSOR COMPETENCIES AND CURRENCY

• Nominated Lecturer Trainer & Assessor
  

Lecturer/Trainer Assessor

• Name

• Element 1.4a Training & Assessment qualification

  Evidence sighted

  Insufficient Evidence sighted

• Evidence of Training & Assessment qualification

• Element 1.4b Vocational competencies

  Evidence sighted

  Insufficient Evidence sighted

• Evidence of Vocational competencies

• Element 1.4c Currency of Industry

  Evidence sighted

  Insufficient Evidence sighted

• Evidence of Currency of Industry

• Lecturer Competency Matrix.

• 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 Yes No N/A

  • Yes
  • No
  • N/A

• Findings

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

• Element 2.1 - The RTO establishes the needs of clients and delivers
  services to meet these needs

• Element 2.2 - The RTO continuously improves client services by collecting, analysing and acting upon relevant data

• Element 2.3 - Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations.

• 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.

• Element 2.5 - Learners receive training, assessment and support services
  that meet their individual needs.

• Element 2.6 - Learners have timely access to current and accurate records of their participation and progress.

• Element 2.7 -The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively

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

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

  Select Yes No N/A

  • Yes
  • No
  • N/A

• Element 3.1 - The RTO’s management of its operations ensures clients receive the services detailed in their agreement with the RTO.

• Element 3.2 - The RTO uses a systematic and continuous improvement approach to the management of operations.

• 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.

• Element 3.4 - The RTO manages records to ensure their accuracy and integrity.

• 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

  Opportunity for improvement

  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

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

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

  Yes

  No

  N/A

• Comments on overall Standard compliance

• 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

  Opportunity for improvement

  Non-Compliant

  Not Audited

• <br><br><br><br>• Internal audit reports and workplace safety reports that identify any potential breaches of legislation and action taken by the RTO

  Yes

  No

  N/A

• 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

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

• • Information provided to students that describes how legislation affects their participation in education and training

• 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<br>

  Yes

  No

  N/A

• Records of participation by staff in induction and professional development programs. These programs should include information on relevant legislation and related rights and responsibilities

• Information provided to staff about legislation and its impact on the way they work

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

  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.<br>

  Yes

  No

  N/A

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

• 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

• 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

CONDITION 5 - FINANCIAL MANAGEMENT

• 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

  Opportunity for improvement

  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