Newbery’s Audit Guide – Standards for Registered Training Organisations (RTOs) 2015

Introduction

This information has been produced by Newbery Consulting to act as a guide to the audit evidence and questions an RTO may be required to respond to during an ASQA regulatory audit. The guide covers evidence relating to the Standards for Registered Training Organisations (RTOs) 2015. Of course this standard is only one component of the VET Quality Framework of which RTOs are required by the legislation to comply with, although most components of the VET Quality Framework are also covered within the standards. You can access more information on the VET Quality Framework at the following link on the ASQA website: Click Here.

This guide is released to the VET community at no cost. We ask that users of this information respect Newbery Consulting’s claim to copyright and intellectual property. You are requested not to distribute this guide or publish this guide over the internet. By all means share a link to this page on the Newbery Consulting website with your network. It should only be accessed via the Newbery Consulting website. Users are asked to read the important information located at the end of the guide. This information includes many hyperlinks to important information and references and is best used in an electronic format.

Newbery Consulting is sincerely committed to supporting the Australian VET Sector and promoting high quality training and assessment. We are also committed to enabling RTOs to deal with the subjective nature of regulatory audits conducted by the National VET Regulator. Your readiness to deal with not only the core evidence requirements applicable to the standards but also being ready to deal with the auditor’s personal preferences that they will no doubt impose on the audit, will mean the difference between a positive or a negative audit outcome. A wise person once said that “proper planning and preparation prevents piss poor performance”.  I absolutely echo that statement. We hope this information will assist you in your audit preparation.

Good training,

 

Joe Newbery

Managing Director, Newbery Consulting


Newbery’s Audit Guide – Clause 1.1

A guide for Training and Assessment Strategies and Volume of Learning - Clause 1.1


Newbery’s Audit Guide – Clause 1.2

A guide for determining the amount of training for each learner - Clause 1.2


Newbery’s Audit Guide – Clause 1.3

A guide for ensuring sufficient training and assessment resources, trainers, facilities and support services - Clause 1.3


Newbery’s Audit Guide – Clause 1.4

A guide to ensure that services for training and assessment meet the requirements of the training package - Clause 1.4


Newbery’s Audit Guide – Clause 1.5/1.6

A guide to ensure that training and assessment practices are relevant to the needs of industry and informed by industry engagement - Guide 1.5 and 1.6


Newbery’s Audit Guide – Clause 1.7

A guide to ensure that the RTO determines the support needs for learners and provides access to education and support services - Guide 1.7


Newbery’s Audit Guide – Clause 1.8

A guide to ensure that the RTO implements an assessment system complies with the requirements of the training package - Guide 1.8


Newbery’s Audit Guide – Clause 1.9/1.10/1.11

A guide to ensure that the RTO establishes and conducts ongoing systematic validation of assessment – Guide 1.9/1.10/1.11


Newbery’s Audit Guide – Clause 1.12

A guide to ensure that the RTO offers each learner the opportunity to establish their recognition of prior learning – Guide 1.12


Newbery’s Audit Guide – Clause 1.13/1.14/1.16

A guide to ensure that the RTO’s training and assessment is delivered only by trainers who meet competency requirements – Guide 1.13/1.14/1.16


Newbery’s Audit Guide – Clause 1.26/1.27

A guide to ensure that the RTO complies with the requirements relating to training package transition – Guide 1.26/1.27


Newbery’s Audit Guide – Clause 2.1

A guide to ensure that the RTO complies with the standards for RTOs at all times – Guide 2.1


Newbery’s Audit Guide – Clause 2.2

A guide to ensure that the RTO systematically evaluates and improves training and assessment strategies and practices - Guide 2.2


Newbery’s Audit Guide – Clause 2.3/2.4

A guide to ensure that the RTO establishes a written agreement with third parties – Guide 2.3/2.4


Newbery’s Audit Guide – Clause 3.1

A guide to ensure that the RTO issues AQF certificates only to learners where it has undertaken adequate assessment – Guide 3.1


Newbery’s Audit Guide – Clause 3.2

A guide to ensure that the RTO issues AQF certificates that comply with the RTO standards and the AQF – Guide 3.2


Newbery’s Audit Guide – Clause 3.3

A guide to ensure that the RTO issues AQF certificates documentation to the learner within 30 calendar days – Guide 3.3


Newbery’s Audit Guide – Clause 3.4

A guide to ensure that the RTO manages the learner’s records in accordance with Schedule 5 of the RTO standards – Guide 3.4


Newbery’s Audit Guide – Clause 3.5

A guide to ensure that the RTO accepts and provides credit to learners for units of competency issued by other RTO’s – Guide 3.5


Newbery’s Audit Guide – Clause 3.6

A guide to ensure that the RTO implements and complies with the requirements of the Unique Student Identifier scheme – Guide 3.6


Newbery’s Audit Guide – Clause 4.1

A guide to ensure that the RTO provides accurate and accessible marketing information to current and prospective learners – Guide 4.1


Newbery’s Audit Guide – Clause 5.1

A guide to ensure that the RTO engages with prospective learners to determine their training needs – Guide 5.1


Newbery’s Audit Guide – Clause 5.2

A guide to ensure that the RTO engages with prospective learners and provides detailed information about the services it offers – Guide 5.2


Newbery’s Audit Guide – Clause 5.3

A guide to ensure that the RTO provides suitable information about the relevant fees and payments to the prospective learner – Guide 5.3


Newbery’s Audit Guide – Clause 5.4

A guide to ensure that the RTO informs the learner about any changes to agreed services or terms and conditions – Guide 5.4


Newbery’s Audit Guide – Clause 6.1-6.6

A guide to ensure that the RTO implements and applies suitable arrangements for the handling of complaints and appeals – Guide 6.1-6.6


Newbery’s Audit Guide – Clause 7.3

A guide to ensure that the RTO applies arrangements to protect the fees paid in advance by the learner – Guide 7.3


Newbery’s Audit Guide – Clause 7.4

A guide to ensure that the RTO holds appropriate public liability insurance – Guide 7.4


Newbery’s Audit Guide – Clause 8.1

A guide to ensure that the RTO applies arrangements to cooperate with the National VET Regulator – Guide 8.1


Newbery’s Audit Guide – Clause 8.2

A guide to ensure that the RTO ensures that any third party's cooperate with the National VET Regulator – Guide 8.2


Newbery’s Audit Guide – Clause 8.3

A guide to ensure that the RTO ensures that notifies the National VET Regulator of its third-party arrangements – Guide 8.3


Newbery’s Audit Guide – Clause 8.5/8.6

A guide to ensure that the RTO complies with relevant Commonwealth, State and Territory legislation – Guide 8.5/8.6


Newbery’s Audit Guide - Engaging in the Audit

A guide to explain the steps involved in a VET regulatory audit and how to engage in the audit process to maximise the benefits and outcomes.


Newbery’s Audit Guide - Conclusion

A was-up to the guide and a request for your feedback and audit "war stories".


Important Information

Newbery Consulting provides this information on the understanding that users will exercise their own skill and care with respect to its use. Before relying on this information in any important matter, users should carefully evaluate the accuracy, completeness and relevance of the information for their purposes and should obtain appropriate professional advice relevant to their particular circumstances. The material may include views or recommendations of third parties which do not necessarily reflect the views of Newbery Consulting or indicate its commitment to a particular course of action.

Links to other publications and organisations have been inserted for convenience and do not constitute endorsement of material within those publications or any associated organisation, product or service. It is the responsibility of users to make their own decisions about the accuracy, currency and reliability of the information at those sites.

By accessing this information, the user waives and releases Newbery Consulting to the full extent permitted by law from any and all claims relating to the usage of this Audit Guide. In no circumstances, shall Newbery Consulting be liable for any incident or consequential damages resulting from the use of this material.

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