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Training Plus Solutions

INTERNAL AUDIT FOR AQTF 2007 CHECKLIST FOR RTOS
The Australian Quality Training Framework AQTF 2007 Essential Standards for Registration includes: 1. THREE STANDARDS, EACH COMPRISING OF SEVERAL ELEMENTS The standards and their elements specify the key requirements to be met by each RTO. The standards are outcome focused, that is, the RTO must show that it is focussed on improving outcomes in relation to each standard. This can be shown through systematic approaches to management and continuous improvement. The RTO should also have a strong focus on providing opportunities for everyone to access and participate in learning and to achieve their learning outcomes. An RTO needs to ensure that its practices are as inclusive as possible and do not unreasonably prevent any clients from accessing its services. 2. QUALITY INDICATORS The quality indicators support the standards by providing an overall picture of how well an RTO is achieving outcomes and meeting clients’ needs. The quality indicators form part of the AQTF 2007 Essential Standards for Registration. The three standards in the Essential Standards all focus on continuous improvements. The quality indicators will provide valuable data for you to identify areas for improvement in your training and assessment services and to gauge how well you are meeting your clients’ needs. The quality indicator data that is collected will also be used by registering bodies in their monitoring of the quality of your operations to minimise the risk of poor quality performance having a negative impact on clients or the standing of the Australian VET system. As a result of this monitoring, each RTO will have a risk profile which will contribute to decisions about the scheduling and scope of auditing.

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3. CONDITIONS OF REGISTRATION The Conditions of Registration consist of nine non-negotiable requirements that form an RTO’s contractual agreement with the registering body. The obligations in the Conditions of Registration include: • arrangements for consumer protection, such as financial management and insurance • agreement to operate according to the requirements of the national VET system; for example, by observing the protocols for national consistency in issuing Australian Qualifications Framework (AQF) certification, and recognition of AQF certification issued by other RTOs. While compliance with the Conditions of Registration may be audited, in order to minimise the regulatory burden in the VET sector this kind of audit will be conducted only where the registering body has identified risks. Risks would include an RTO’s non-compliance with the Essential Standards, poor RTO performance against the quality indicators or complaints to a registering body about an RTO. When a training organisation applies for initial registration or renewal of registration, its delegate signs a declaration that binds the organisation to operate in accordance with the AQTF 2007 Essential Standards for Registration.

HOW TO USE THIS AQTF 2007 - INTERNAL AUDIT
1. NOMINATE A STAFF MEMBER WHO WILL UNDERTAKE THE AQTF 2007 – INTERNAL AUDIT Ensure that this person is suitably qualified and experienced and has the necessary authority within the organisation to source and understand the information and evidence required. 2. COMPLETE THE AQTF 2007 – INTERNAL AUDIT CHECKLIST The checklist outlines the Essential Standards for Registration, Quality Outcomes and Conditions of Registration and provides you with examples or suggestions regarding the type of evidence you can procedure to indicate the RTOs compliance. Where possible focus on evidence of quality outcomes and continuous improvements to systems and products and services. It is recommended that all staff are involved in this process as practicable and appropriate. Complete the Checklist, determine your sources of evidence and gather this evidence in a portfolio. 3. COMPLETE THE AQTF 2007 – INTERNAL AUDIT SUMMARY Using the AQTF 2007 – Internal Audit Checklist and evidence portfolio now complete the Internal Audit Summary. This will help you identify gaps and allow you to begin planning activities to improve your systems, processes and products.

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4. REPORT FINDINGS AND PROVIDE RECOMMENDATIONS Based on the AQTF 2007 – Internal Audit Summary prepares a report that indicates areas of compliance, non-compliance, room for improvements and demonstrated excellence. Provide recommendations for continuous improvements, reducing risks and ensuring compliance. 5. CEO VERIFICATION The Chief Executive Office must acknowledge the report and portfolio and approve or provide recommendations for further action. 6. ADJUSTMENT OF PLANS, POLICIES, PROCEDURES, PRODUCTS AND SERVICES The recommendations, and other activities determined by the CEO, should now be planned, scheduled, implemented and documented. Where possible, consultation with key stakeholders should be included in this process.

DISCLAIMER Purchase and use of this tool does not in any way guarantee or ensure that an RTO’s registration or re-registration will be successful. This tool has been designed to simply assist your organisation in benchmarking against the AQTF 2007 Standards and to support a continuous improvement model for your organisation. This tool is a guide only and has not been endorsed by any State/Territory Training Authority – the final decision for successful applications for registration and re-registration rests with these Authorities.

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AQTF 2007 - INTERNAL AUDIT CHECKLIST

Essential Standards for Registration
STANDARD 1 THE REGISTERED TRAINING ORGANISATION PROVIDES QUALITY TRAINING AND ASSESSMENT ACROSS ALL ITS OPERATIONS
1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment QUESTION YES NO WORK IN SUGGESTED/EXAMPLES OF EVIDENCE
PROGRESS

1. Is there a designated person responsible for the solicitation and analysis of feedback from stakeholders? 2. Is the solicitation of feedback scheduled?

• • • • •

3. Who are your stakeholders for feedback purposes?

4. How do you collect feedback from them?

5. How is this Procedures?

feedback

used

to

review

Policies

and

• • • • • • • • • • • • • • •

Position Description- Training & Development Manager/Program Manager Performance Review (Copy) Organisational calendar Position Description- Training & Development Manager/Program Manager Policy and Procedures (Evaluation timelines) i.e. at completion of each program/course/qualification/course Employers Learner/Students/Clients Trainers Government liaisons Advisory Board Employer Feedback Form Client Satisfaction Form Staff Evaluation Form Focus groups Interviews Onsite visits Meetings Staff performance reviews Reports Reviews of Policies and Procedures

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QUESTION

YES

NO

WORK IN PROGRESS

SUGGESTED/EXAMPLES OF EVIDENCE

12. What documented improvements have been made in the past 12 months?

13. Is there a designated person responsible for reviewing data collection and analysis processes? 14. What are the processes for reviewing the collection and analysis of data?

• • • • • • • • • • • • • • • • •

Performance Reviews Staff Development sessions Staff/planning meetings Staff training Revised Policies and Procedures Actions or changes derived from complaints or appeals Revised Training and Assessment Strategies Revised Training and Assessment Material Professional Development Opportunities Revised Position Descriptions Position Description- Training & Development Manager/Program Manager Changes to data collection sources Changes to the frequency of data collection efforts Changes to the type of data collected to ensure it remains relevant Changes to data collection tools, e.g. Feedback Forms Changes to the data collection collation processes, e.g. software application Changes to the data collection reporting formats
EXCELLENCE DEMONSTRATED/EXCEEDS COMPLIANCE

COMPLIANT

NON-COMPLIANT

DETAILS OF GAPS OR EXCELLENCE: _______________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________

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1.4 Training and assessment are conducted by trainers and assessors who: (a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors (b) have the relevant vocational competencies at least to the level being delivered or assessed (c) continue developing their vocational and training and assessment competencies to support continuous improvements in delivery of the RTO’s services
QUESTION YES NO WORK IN PROGRESS SUGGESTED/EXAMPLES OF EVIDENCE

1. Who is responsible for maintaining records of trainers and assessors qualifications and experience? 2. What are the legislated requirements for trainers’ and assessors competencies within your organisation?

• • • • • • • • • • • • • • • • • • • • • •

3. Where are these records located? 4. What is the process for updating staff records? 5. How do you ensure that records are up to date? 6. Are staff suitably qualified and experienced to deliver training and assessment processes? Do they have relevant competencies at least to the level being delivered or assessed? 7. Is there a designated person responsible for providing training and assessment staff with supervision and debriefing? 8. What are the processes for supervision and debriefing?

Position description- Training & Development Manager/Program Manager Organisational chart (Copy) As determined by National Quality Council As determined by the organisation As determined for licensing purposes As determined by industry regulators As determined by industry standards As determined by Training Packages As determined by registering bodies Are they locked and confidential Written Policies and Procedures Written Policies and Procedures Performance reviews Curriculum Vitae Verified qualifications

9. Where a trainer does not have the appropriate training competencies are they supervised by someone who does?

Position Description- Training & Development Manager/Program Manager Organisational Chart Written Policies and Procedures Position Description- Training & Development Manager/Program Manager Written Policies and Procedures Organisational Chart Example of this scenario

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STANDARD 2 THE REGISTERED TRAINING ORGANISATION ADHERES TO PRINCIPLES OF ACCESS AND EQUITY AND MAXIMISES OUTCOMES FOR ITS
CLIENTS 2.1 The RTO continuously improves client services by collecting, analysing and acting on relevant data QUESTION YES NO WORK IN SUGGESTED/EXAMPLES OF EVIDENCE
PROGRESS

1. What legislation, regulations or information does the organisation have regarding access and equity principles? 2. Does the organisation have Policies and Procedures relating to access and equity? 3. From what sources does the organisation source information and data relevant to its operations and services?

• • • • • • • • • • • • • • • • • • • • • • • •

Copy of relevant Legislation Written Policies and Procedures Benchmarked Policies Written Policies and Procedures Government and industry publications Feedback/Evaluation Forms Self Assessment Tools Focus groups Advisory Board Employers Licensing bodies Benchmarking activities Position description-Operations Manager Position descriptions- Operations Manager Written Policies and Procedures Evidence of revised Policies and Procedures resulting from feedback Changes or improvements to enrolment processes Revised Training and Assessment material Improved business relationships, e.g. referral networks Increased levels of engagement with employers, industry and/or regulators Staff development and training Staff development and training Meetings Revised induction processes

4. Is there a designated person responsible for collecting, collating and analysing this information? 5. What are the processes for collecting, collating and analysing this information and data? 6. Is this data and information used to promote continuous improvement activities?

7. How are staff included in this process?

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STANDARD 3 MANAGEMENT SYSTEMS ARE RESPONSIVE TO THE NEEDS OF CLIENTS, STAFF AND STAKEHOLDERS, AND THE ENVIRONMENT IN WHICH THE REGISTERED TRAINING ORGANISATION OPERATES
3.1 The RTO uses a systematic and continuous improvement approach to the management of operations QUESTION YES NO WORK IN SUGGESTED/EXAMPLES OF EVIDENCE
PROGRESS

1. What written procedures does the organisation have that relate to the continuous improvement of the systems?

• • • • • • • • • • • • • • • • • • • •

2. How does the RTO identify opportunities for continuous improvements to its services?

Written Policies and Procedures Business or Operational Plan Strategic Plan Training and Assessment Strategy Organisational Key Performance Indicators Internal AQTF 2007 Audit - Self Assessment Employer, Client and Staff Feedback Forms and Reports Legislative and regulatory requirements Regular meetings with industry Business Plans/Strategic Aims & Goals Quality Systems implemented Revised selection processes for trainers Professional Development & Training activities for trainers and assessors Revised Training and Assessment Strategy Revised training and assessment resources Employer and Client Feedback Forms and Reports Review of client, Learner/Student and staff feedback by management Monitoring achievement of Key Performance Indicators Benchmarking management systems and organizational performance against other RTOs Internal AQTF 2007 Audit - Self Assessment review

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The three (3) quality indicators are:
Three (3) quality indicators have been identified for continuous improvement of RTO performance and for the establishment of risk profiles by state and territory registering bodies.

Employer satisfaction (competency development, and training and assessment quality). This indicator focuses on employers’ evaluations of
Learner/Students’ competency development, its relevance to work and further training, and the overall quality of the training and assessment. QUESTION YES NO WORK IN SUGGESTED/EXAMPLES OF EVIDENCE
PROGRESS

1. Is the organisation compliant with Essential Standard for Registration - 1.1?

See Essential Standard for Registration - 1.1 Were you compliant with Essential Standard for Registration 1.1? Record here compliance or non-compliance.
NON-COMPLIANT EXCELLENCE DEMONSTRATED/EXCEEDS COMPLIANCE

COMPLIANT

DETAILS OF GAPS OR EXCELLENCE: _______________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________ ____________________________________________________________________________________________________________

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Conditions of Registration
When applying for initial registration or renewal of registration, each training organisation signs a declaration that binds it to operate in accordance with the AQTF 2007 Essential Standards for Registration. These standards include the Conditions of Registration, which are detailed below. 1 GOVERNANCE The RTO’s chief executive must ensure that the RTO complies with the AQTF 2007 Essential Standards for Registration and any national guidelines approved by the National Quality Council. This applies to all of the operations within the RTO’s scope of registration, as listed on the National Training Information Service.
QUESTION YES NO WORK IN PROGRESS SUGGESTED/EXAMPLES OF EVIDENCE

1. How is the Chief Executive kept abreast of compliance issues? 2. What is the Chief Executive’s role in the audit process? 3. What evidence is there that the CEO has reviewed the audit findings? 4. Does your organisation have a written Business Plan or similar Operational or Strategic Plan for its business as an RTO? 5. Is the plan consistent with your scope of registration and scale of operations, i.e. does it cover all industry areas, qualifications, training and assessment activities, delivery sites and staff? 6. Does your organisation have Policies and Procedures covering the following areas: • Customer complaints • Appeals • Risk Identification and Management • Continuous Improvement • Financial Management • Systems to protect fees paid in advance • Refund Policy
NTERNAL AUDIT – AQTF 2007

• • • • • • • • • • • • • •

Minutes of meetings Reports Written Policies and Procedures Chief Executive’s Position Description/Contract Written Policies and Procedures Executive Reports Sample of previous Audit’s Documentation Sign off Procedures Business Plan Operational Plan Strategic Plan Business Plan Operational Plan Strategic Plan o * and do they cover these areas specifically

• • • • • • •

Written Policies and Procedures Written Policies and Procedures Written Policies and Procedures Written Policies and Procedures Written Policies and Procedures Written Policies and Procedures Written Policies and Procedures
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AQTF 2007 – INTERNAL AUDIT SUMMARY

Essential Standards for Registration
STANDARD 1 THE REGISTERED TRAINING ORGANISATION PROVIDES QUALITY
TRAINING AND ASSESSMENT ACROSS ALL ITS OPERATIONS ELEMENTS YES NO WORK IN PROGRESS LOCATION OF EVIDENCE COMMENTS/DETAILS OF GAPS

1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment 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 stakeholders 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 strategies 1.4 Training and assessment are conducted by trainers and assessors who: (a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors (b) have the relevant vocational competencies at least to the level being delivered or assessed (c) continue developing their vocational and training and assessment competencies to support continuous improvements in delivery of the RTO’s services 1.5 Assessment, including Recognition of Prior Learning (Recognition): (a) meets the requirements of the relevant Training Package or accredited course (b) is conducted in accordance with the principles of assessment and the rules of evidence (c) meets workplace and, where relevant, regulatory requirements.
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