© The Association of Independent Schools of NSW Preparing for the ASQA Audit

© The Association of Independent Schools of NSW What is an ASQA Audit A compliance audit is conducted by ASQA to assess an RTO’s ongoing compliance with the standards required for registration.

© The Association of Independent Schools of NSW What is the focus of the Audit The audit will review evidence provided by the RTO to inform a recommendation about:  the appropriateness of management systems, delivery strategies and other resources  whether proposed implementation of delivery strategies meets training package requirements  the suitability and sufficiency of facilities and equipment, and  the competence of nominated delivery teachers.

© The Association of Independent Schools of NSW What is the audit process? Planning the audit Approximately days before the audit date, the lead auditor from ASQA will contact the AIS RTO to:  confirm the audit date/s and commencement time  advise the name of other auditors in the audit team and/or technical advisers (if relevant)  notify the scope of the audit – the qualifications to be sampled and sites to be visited and  request the submission of pre-audit evidence/information.

© The Association of Independent Schools of NSW How can the school prepare for a site audit? Some practical preparations for a site audit include:  ensuring that the VET Compliance Officer is available on the day(s) of audit  ensuring that auditors will have access to teachers and students  ensuring that auditors will have ready access to teacher and student files (including completed assessment materials)  having the information requested readily available

© The Association of Independent Schools of NSW What will the Audit Team look for?  TAS  Learning and assessment materials  Validation of assessments  Examples of student work  Facilities and equipment  Completed student records  Regular staff meetings  Industry currency

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan you show: Continuous ImprovementContinuous improvement register that demonstrates active use in the implementation and monitoring of improvement actions throughout the year. Examples of continuous improvement in the TAS policies and procedures students services involvement of industry in developing TAS and assessments tasks learner surveys

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan you: Strategies for training and assessment TAS and Assessment Plan that aligns with the training package requirements Scope and sequence Evidence of ongoing and continuous engagement with industry Provide a TAS for each Training Package qualification that the school is delivering? Show that each strategy meets the requirements for delivery and assessment of the relevant training package? Show how each strategy was developed through effective consultation with industry?

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan you show that: Staff, facilities, equipment and training and assessment materials Training facilities such as classrooms, computer labs, commercial kitchens Learning materials are available Evidence to demonstrate how equipment and resources required are validated as available Staff files – qualifications and record of professional development Current MOU with the AIS RTO Teachers, resources, facilities and equipment meet training package or accredited course requirements? Sufficient staff, resources, facilities and equipment are available? Training and assessment materials meet training package or VET accredited course requirements.? Training and assessment materials are appropriate to the target client group? Consistency is evident between each strategy and the resources to be used?

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan you provide: Trainer competenceStaff matrix that shows what teachers are nominated to deliver which competence Certified true copies of each teacher’s qualifications that aligns with the training and assessment that they are delivering Professional development register that lists in detail specific professional development and demonstrates current competence Evidence that teachers are qualified, including vocationally qualified for the training and assessment services they deliver? Evidence of teachers vocational currency and how they are maintaining and improving their competencies and knowledge of VET?

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan assessment tasks demonstrate how the: Assessment For each unit or cluster of units, all assessment materials. These include Assessment coversheet to record results and should bring together all the evidence gathered Assessment instructions for the assessor and student If the assessment requires the student to complete the task in a certain format the template must be provided Assessment mapping that shows how the assessment evidence being gathered relates to the unit of competence – mapping to elements, performance criteria, essentials knowledge and skills and criteria aspects of evidence assessment meets the assessment requirements of the Training Package or course assessment meets workplace requirements and/or appropriately simulates workplace conditions trainers and assessors have the skills and expertise to conduct valid assessments students have enough time to undertake the repeated practice needed to demonstrate competence students have adequate access to and supervision during work placements? assessment is conducted in accordance with the principles of assessment and the rules of evidence? the systematic validation of assessment materials?

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan you show that : Establishing the needs of students And support services for students Enrolment policy Enrolment application Process for establishing a training plan for SBA’s Evidence of students support services such as LLN Students were provided with information that: is sufficient for them to make an informed decision prior to enrolment? accurately describes the training, assessment and support services that you provide? accurately describes the student’s rights and obligations?

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan you show: Records ManagementStudent completed tasks Staff files and records Data security arrangements Archiving register and/or document register that your school: has defined records management practice? maintains records for demonstrating compliance with the VET Quality Framework? maintains records for demonstrating compliance with ASQA’s manages, monitors and reviews the accuracy and integrity of records?

© The Association of Independent Schools of NSW Audit Evidence CriteriaEvidence GuideCan you provide: Complaints and AppealsComplaints and appeals policy and procedure Compliant register Record of completed complaints Evidence of the complaints register Evidence of the complaints and appeals policy and procedure documentation Evidence of lodged complaints and appeals

© The Association of Independent Schools of NSW Support for Schools Make sure you check our website for updates. New to the website in the last month  Marketing brochures  Student handbook  Hospitality tasks Coming shortly  Updated VET Delivery Guide with clearer reference to Standards  Business Services Assessment Tools  New Hospitality Assessment Tools  Retail Resources  Electrotechnology Assessment Tools  IDT and Construction Assessment Tools

© The Association of Independent Schools of NSW Heather Chand Consultant: VET Level 12, 99 York Street, Sydney NSW 2000 Phone (02) Fax (02) Web aisnsw.edu.au ABN Contact Details