Preparing for Audit

Ambition in Action Audit Workshop for Workforce Development Staff Preparing for Audit

Ambition in Action  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 Program

Ambition in Action  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

Ambition in Action  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

Ambition in Action  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

Ambition in Action  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 RegistrationAQTF 2007 Essential Standards for Registration VETAB

Ambition in Action 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

Ambition in Action  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

Ambition in Action  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

Ambition in Action  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

Ambition in Action  Systematic  Outcomes focused  Evidence based  Flexible  Continuous improvement  Fair, open, transparent RTO Audit principles

Ambition in Action  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

Ambition in Action  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

Ambition in Action  Focus  Interviewees  Standards  Evidence  Strengths  Compliance/Non-compliance  Opportunities for improvement RTO audit report

Ambition in Action  shifting focus from inputs to outcomes  emphasis on continuous improvement  strengthened risk management  optional assessment against excellence criteria AQTF 2007 approach

Ambition in Action  AQTF is made up of:  Essential Standards for Registration  Excellence Criteria  Standards for Registering Bodies AQTF 2007

Ambition in Action  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

Ambition in Action  Employer satisfaction  Learner satisfaction (learner engagement and competency development).  Competency completion rate. AQTF 2007 Quality indicators

Ambition in Action  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?

Ambition in Action 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?

Audit myLearning - Assuring Quality in VET series