RTO Audit
RTO Audit is a remotely delivered service which is conducted in a way that replicates the performance assessment conducted by the National VET Regulator. It involves us working with you and your team to request evidence and hold a series of meetings including an opening meeting, management interview and closing meeting. This service is delivered by Joe Newbery exclusively. The audit can usually take up to 8-10 weeks to conduct with the series of evidence requests and meetings to conduct and is finalised with a formal audit report against the standards.
Purpose
The purpose of RTO Audit is to determine if your current practices are compliant with the VET Quality Framework, to educate your team and to provide feedback and recommendation to strengthen your compliance and improve your training operation.
Outline of service
The audit according to the following standard process:
1. Notice of Performance Assessment and Request for Delivery Data
The first step involves sending you a notice of performance assessment via email nominating a time for the opening meeting and requesting the initial evidence about your organisation. The request for information includes the Delivery data request as outlined below. This initial information request is usually required within a week or so and a few days before the opening meeting.
Example Delivery Data Request
1. Using the Delivery Data and Student Survey Data template:
-
- include a summary of enrolments and completions for the previous 12 months using the ‘Delivery Data Summary’ tab
- include details for students who have enrolled and/or completed any training product in the past 12 months using the ‘Student Survey Data’ tab. This is to include student name, email address and mobile phone number, the code and name of the training product they are enrolled in and their enrolment and completion date
- include a detailed listing of unit of competency enrolments and completions for the previous 6 months using the ‘Enrolment and completion data’ tab. Please do not substitute or provide your data in a different format
2. Provide the following information relevant to your organisation:
-
- summary of provider and management structure including a copy of your organisation chart (including all staff names, their roles and employment status)
- suburb and state of all delivery locations
- core clients/target groups for each training product
- training revenue (funded, fee for service, etc.)
- the location (address) where your student records are retained
- if student records are retained electronically or in hardcopy
- list of all trainers and assessors and the training products they deliver for all items on your scope of registration
- whether RPL has been conducted in the last 12 months
3. Provide the following information relevant to your third-party arrangements (if applicable):
-
- a list of third parties and the services they provide on your behalf
2. The Opening meeting
Following my review of the delivery data request, we will hold an opening meeting for the audit. This meeting is just an introduction to explain the legislative requirement that underpins the audit, to explain the audit process and the possible outcomes. We may ask some general questions based on the initial information that you have already provided. These questions can vary greatly but typically they relate to the delivery data summary, access to records, third party arrangements, delivery locations, clarify funding or fee payment sources, etc.
3. Request for Training and Assessment Documentation
Following the opening meeting, you will receive another email this time notifying you of the scope of the audit to be undertaken. It will nominate a time and date for the management meeting and will also include the Training and Assessment Documentation Request as detailed below. You will usually get a couple of weeks to supply the requested training and assessment documentation. The management meeting is usually scheduled a couple of weeks after we have received the training and assessment documentation.
Example Training and Assessment Documentation Request
1. Provide the training and assessment strategy documents and supporting documents for the nominated sample training products. For example:
-
- policies and procedures that support you to ensure that the training and assessment delivered aligns with the requirements of the standards
- details for the delivery of training and assessment for each training product. For example:
- where the delivery/assessment will occur
- topics delivered in each session and the time frames for each session
- relevant resources, equipment, etc. required for each session
- assessment task and due date of assessment
- when work placement will occur
- equipment register/ resources checklist.
- timetables for scheduled classes
- any documents or Memorandum of Understanding (MoU) that reflect workplace agreements.
2. Provide evidence of industry engagement within the last 12 months. For example:
-
- policies and procedures relating to industry engagement.
- evidence of industry engagement such as surveys, correspondence and/or meeting minutes.
3. Provide evidence of assessment validation arrangements. For example:
-
- policies and procedures relating to validation.
- validation plan/ schedule if not included in the policy/procedure.
4. Provide evidence of your assessment system including for the nominated sample training products.
-
- student assessment instructions
- assessor assessment instructions
- all materials used to make a judgment of competency for the students. For example:
- assessment tools/material
- RPL assessment tools
- assessor marking guide
- any other supporting assessment documents such as third-party reports or work placement records (if applicable)
- assessment mapping tool (if applicable)
5. Provide evidence of trainer and assessor records that describe how trainers and assessors meet the requirements in relation to the units of competency they deliver. For example:
-
- policies and procedures relating to professional development of trainers and assessors
- training and assessor matrix (if applicable) listing each trainer/assessors competencies at unit of competency level against all training products they deliver and assess
- copies of vocational qualifications/certificates
- copies of trainer/assessor qualification/s specific to training and assessment
- evidence of vocational currency
- professional development records relevant to:
- the training being delivered and assessed, with supporting evidence
- knowledge and practice in the vocational industry and competency-based training and assessment.
6. Provide evidence of marketing and enrolment documents for the nominated sample training products. For example:
-
- policies and procedures (internal and for third parties if applicable) that support your organisation to ensure the accuracy of marketing and enrolment documents
- marketing material other than website
- course flyers
- student handbook (if applicable)
- fee information
- entry requirements (if applicable)
- course details
- items to be provided by the students (if applicable)
- application/enrolment forms template (including interview templates)
- entry/ LLN test template and marking guides
- any marketing or enrolment materials used by third parties if different to those provided above.
7. Provide evidence of Governance documents. For example:
-
- policies and procedures relating to organisational governance including complaints and continuous improvement
- continuous improvement register
- evidence of continuous improvement such as analysis of feedback and implementation.
- complaints and appeals register
- certificate issuance register
8. Provide evidence of third-party documents:
-
- a copy of current Third-Party agreements for nominated sample third parties
- evidence to confirm monitoring of these third parties as per the agreement/s has been undertaken for the following third parties:
9. Provide evidence of the following CRICOS arrangements:
-
- documented policy and procedure for assessing English language proficiency, educational qualifications and/or work experience of students
- information provided to students at the orientation program
- information provided to students on progress and attendance requirements
- policies and procedures for monitoring and managing progress and attendance
- pre-enrolment information for students, for example, a Student Handbook/Prospectus
- student written agreement template
- letter of offer template
- evidence of support services available to students
- name/s of the designated student support personnel
- the name of the official point of contact for students
4. The Management Meeting
The management meeting can often be scheduled over a two to three hour timeframe and will involve your management team and high managerial agents. I would strongly suggest that the owners of the business participate. Keep in mind that by this stage we have reviewed all of the evidence that you have provided so far including the delivery activity summary, organisation overview and all of the documents outlined in the training and assessment documents detailed above. The questions that you are asked in this meeting will relate to the evidence that you have already provided and any points of clarification needed. We will also ask you a multitude of questions about how your RTO operates with a general focus on governance.
Here are just a sample of questions that you may be asked:
- How do management ensure that training assessment is meeting the needs of the training package?
- Can you explain how you apply version control as part of your document management process?
- Can you talk me through the process for developing and approving your training and assessment strategies?
- How do you ensure that your training and assessment being delivered (practices) aligns with your training and assessment strategies?
- How do you determine that the amount of training you are providing is sufficient for the target learner?
- Can you talk me through how you involve industry in the development of your training and assessment strategies?
- Can you talk me through the process for recruiting your trainers and assessors.
- How do you verify the competency and currency of your trainers and assessors?
- How do you ensure that trainers maintain their competency and currency?
- How do you determine the resource requirements in support of a course?
- How do you determine if a course has sufficient resourcing?
- What process do you apply to validate and customise your learning and assessment resources?
- How do management ensure that the assessment being administered is compliant and supports the issuance of AQF certificates.
- Can you talk me through your arrangements to verify the adequacy assessment before the issuance of competency.
- How do you determine if students require support services?
- How do you monitor the need for support services during the student’s enrollment?
- What controls do you have in place to verify the compliance of marketing materials before these are relied on?
- Can you talk me through your arrangements to apply continuous improvement to your training and assessment.
- What data and information do you collect to monitor the quality and compliance of training and assessment?
- Can you talk me through the process for commencing and ceasing third party arrangements.
- What monitoring arrangements are you applying to monitor the services being delivered by third parties on your behalf?
5. Request for Practice Documentation
Following the management meeting, you will receive the final request for evidence which is the Practice Documentation Request detailed below. The final request focuses on evidence of your implementation of arrangements. As an example, in the previous request for information we requested evidence of your assessment validation procedure and plan. In this final request we want to see evidence of your implementation of assessment validation such as your validation records. In the previous request, we requested evidence of a sample of assessment tools. In this final request we want to see evidence of your implementation of these assessments in a sample of student assessment records. You are usually provided a couple of weeks to gather and submit this evidence.
Example Practice Documentation Request
1. Provide evidence of the facilities/equipment in support of the delivery of the nominated sample training products.
-
- list of physical resources/equipment (if applicable)
- add photos/videos of relevant facilities and equipment (if applicable)
2. Provide evidence of the learning resources for the nominated sample training products.
-
- a breakdown of the learning resources, including a resource mapping tool (if available) for each unit of competency. For example:
- student workbook/learning resource (hardcopy or online)
- trainer notes
- PowerPoints
- handouts.
- electronic copy of resources or details of purchased resources including version number where resources cannot be sent electronically
- login details for assessors to access online platforms (if applicable)
- a breakdown of the learning resources, including a resource mapping tool (if available) for each unit of competency. For example:
3. Provide evidence of the student assessment records for nominated sample students.
-
- completed student assessment records with all assessment evidence relied on to form the assessor’s judgement of student competency (including RPL, if applicable) and the corresponding assessment tools and marking guide/s (if different to those described above)
- written instructions on how to access any student files held on an online platform including login details (if applicable)
- completed work placement agreements (if applicable)
- AQF certification (if applicable)
4. Provide evidence of the student enrolment records for nominated sampled students including:
-
- Enrolment application forms
- entry/ LLN tests
- correspondence between you and the student
- agreement to terms and conditions of enrolment
5. Provide evidence of assessment validation records. For example:
-
- evidence of validation. For example:
- meeting minutes
- validation forms
- any other assessment instruments used in validation activities.
- evidence of validation. For example:
6. Provide the evidence of the implementation of CRICOS arrangements, including:
-
- Records of attendance for the sampled students detailed below (last 6 months)
- Records of monitoring and managing progress for the sampled students detailed below
- Letter of offer for the sampled students detailed below
- Student written agreement for the sampled students detailed below
- Evidence of support services for the sampled students detailed below (where applicable)
- Evidence of fee payments for the sampled students detailed below
- Evidence of SCVs issued for the sampled students detailed below (where applicable
6. Reporting
Joe will provide you with a formal audit report detailing all of the findings with recommendations. The report will be written in Joe’s usual explanitory style and provide lots of explaination and detailed rationale. The audit report will be supplied usually within 4 weeks after the final evidence is received.
7. Closing meeting
The closing meeting is usually scheduled for 60 to 90 minutes to allow time to talk through the findings and any major recommendations. This is an opportunity for your team to ask questions to gain a better insight into the findings and how to move forward. It is good to involve your team in this meeting even as spectators so that they can fully understand the current state of compliance and the opportunities for improvement.
Conclusion
This service is perfect if you are wanting to test your compliance against the standards. This service is delivered by Joe Newbery exclusively. The audit can usually take up to 8-10 weeks to conduct with the series of evidence requests and meeing to conduct and is finalised with a formal audit report against the standards.
Cost: $7,700.00
Add to Basket  Download Invoice Enquire 
Other information: Please note that the cost is inclusive of GST. Newbery Consulting Terms and Conditions Apply. This services is required to be paid in advance of service being delivered.
Please contact us if you require more information.