Newbery’s Audit Guide – Clause 2.2


What the clause requires:

2.2. The RTO:

a) systematically monitors the RTO’s training and assessment strategies and practices to ensure ongoing compliance with Standard 1; and

b) systematically evaluates and uses the outcomes of the evaluations to continually improve the RTO’s training and assessment strategies and practices. Evaluation information includes but is not limited to quality/performance indicator data collected under Clause 7.5, validation outcomes, client, trainer and assessor feedback and complaints and appeals.


What is this clause about:

This clause requires the RTO to systematically collect and evaluate relevant information within its operation in order to monitor the quality and compliance of the training and assessment being delivered in accordance with standard 1. Sub-clause 2.2 (b) is very specific about information that is identified to be collected and analysed by the RTO. ASQA have included these specific items within its audit tool and the auditor will go through each one individually to check how the RTO is collecting the particular item of information and if opportunities for improvement have been identified and acted on as a result of analysis. So, this clause is simply about demonstrating that you are monitoring the quality and compliance of training and assessment and are continually improving it. Easy!


You must be able to demonstrate that:

You have a systematic approach to how you collect and analyse information in order to identify and act on opportunities for improvement.

You have made improvements based on the collection and analysis of learner and employer survey responses

You have made improvements based on your assessment validation activities and outcomes

You have made improvements based on the feedback you receive from your staff and learners

You have made improvements based on your handling and resolution of complaints and appeals


Evidence to prepare:

A documented continuous improvement (or quality improvement) policy that supports a “systematic approach” to continuous improvement such as the PDCA model. These models are quite useless unless they are integrated with the management systems of the organisation. I strongly recommend that your approach to continuous improvement is implemented as a component (agenda item) of your regular management meeting.

Examples of specific data (information) that is being systematically collected and analysed as an input to the continuous approach such as:

  • Rate of completion
  • learner and employer satisfaction survey outcomes
  • assessment validation outcomes
  • feedback from trainers and assessors
  • Feedback from learners
  • outcomes from complaints and appeals handling

A continuous improvement register that demonstrates active use in the implementation and monitoring of improvement actions throughout the year is valuable.

Specific examples of continuous improvement actions that were identified through analysis of information and have been implemented. Particularly focus on improvements that have resulted based on the collection and analysis of the above information.

Documentary evidence of opportunities for improvement being implemented. So, if a complaint resulted in an adjustment to the completions process, for example, then showing a revised completions policy or checklist would be valid evidence of continuous improvement.


You should prepare for these types of questions:

Can you talk me through your arrangements to apply a continuous improvement approach to your operation?

What data are you collecting and analysing to identify opportunities for improvement?

How are you recording your continuous improvement actions so they can be monitored during their implementation?

Do you have documented policy, procedure or forms that support your implementation of your continuous improvement arrangements?

How do you make decisions about improvements? Is it conducted as part of your management meeting or do you have a separate forum that gets together specifically to look at continuous improvement? Do you involve other staff in decision making?

Can you show me examples of improvements to training and assessment?

Have any improvements resulted from your collection and review of learner survey responses?

Are you able to identify any improvements that have resulted from your assessment validation activities?

How do you collect feedback from your trainers and assessors? Is this resulted in any improvement opportunities?

Have you needed to respond to any complaints in the past 12 months? Has this resulted in any opportunities for improvement?


Published by: Joe Newbery, released 2nd May 2017

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