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Preparing for Audit

Preparing for Audit. Audit. Workshop for Workforce Development Staff Preparing for Audit. Program. Audit context National Training System AQF AQTF Registered Training Organisation RTO Registration VETAB and RTO Audits Audit principles Audit process Audit approaches Audit report

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Preparing for Audit

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  1. Preparing for Audit

  2. Audit Workshop for Workforce Development Staff Preparing for Audit

  3. Program • 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

  4. 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

  5. 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

  6. 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

  7. 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

  8. 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

  9. 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

  10. 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

  11. 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

  12. Systematic Outcomes focused Evidence based Flexible Continuous improvement Fair, open, transparent RTO Audit principles

  13. 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

  14. 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

  15. Focus Interviewees Standards Evidence Strengths Compliance/Non-compliance Opportunities for improvement RTO audit report

  16. shifting focus from inputs to outcomes emphasis on continuous improvement strengthened risk management optional assessment against excellence criteria AQTF 2007 approach

  17. AQTF is made up of: Essential Standards for Registration Excellence Criteria Standards for Registering Bodies AQTF 2007

  18. 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

  19. Employer satisfaction Learner satisfaction (learner engagement and competency development). Competency completion rate. AQTF 2007Quality indicators

  20. 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 ActivityDo we comply?

  21. 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 ActivityDo we comply?

  22. Audit myLearning - Assuring Quality in VET series

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