Preparation for audit info for RTOS

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Preparation For Audit Information For Registered Training Organisations PREPARATION FOR AUDIT INFORMATION FOR REGISTERED TRAINING ORGANISATIONS CONTENTS General information about the audit The audit process flowchart About audits Selection of sites to be audited Preparing for the audit Audit procedure AQTF Auditor Code of Practice Audit findings and clearing findings After the audit THE AUDIT PROCESS Organisation develops systems and procedures to meet the AQTF standards. Organisation notified of audit date by TQA Recognition section. Audit conducted Audit report produced Non-compliances cleared Registration recommendation to TQA Tasmanian Qualifications Authority Version 4, 19 June 2007 Page 1 of 8 TASMANIAN QUALIFICATIONS AUTHORITY Preparation For Audit Information For Registered Training Organisations ABOUT AUDITS Definition of an AQTF audit An audit is a systematic, independent and documented process for obtaining evidence to determine whether the activities and related outcomes of a training organisation comply, or continue to comply, with the AQTF Essential Standards for Registration Purpose of audits Audits check that a training organisation has systems, processes and practices in place to ensure it complies with the requirements of the standards. An audit is necessary for the registering body to confer or maintain registration and to assist the organisation to monitor its compliance and identify ...

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• Publié par: Nesing
• Nombre de lectures: 19
• Langue: English

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Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

Page 1 of 8

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PREPARATION FOR AUDIT

INFORMATION FOR REGISTERED TRAINING ORGANISATIONS

CONTENTS

General information about the audit

The audit process flowchart

About audits

Selection of sites to be audited

Preparing for the audit

Audit procedure

AQTF Auditor Code of Practice

Audit findings and clearing findings

After the audit

THE AUDIT PROCESS

Organisation develops systems and

procedures to meet the AQTF standards.

Organisation notified of audit date by TQA

Recognition section.

Audit conducted

Audit report produced

Registration recommendation to TQA

Non-compliances cleared

Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

Page 2 of 8

ABOUT AUDITS

Definition of an AQTF audit

An audit is a systematic, independent and documented process for obtaining evidence

to determine whether the activities and related outcomes of a training organisation

comply, or continue to comply, with the AQTF Essential Standards for Registration

Purpose of audits

Audits check that a training organisation has systems, processes and practices in

place to ensure it complies with the requirements of the standards. An audit is

necessary for the registering body to confer or maintain registration and to assist the

organisation to monitor its compliance and identify opportunities for improvement.

Schedule of external audits

A training organisation will be subject to the following audits under the AQTF:

•

prior to initial registration (validation audit)

•

within 12 months of initial registration

•

at renewal of registration.

Additional audits may be required during the period of registration depending on the

risk assessment of the organisation and the length of the period of registration. Audits

may also be required prior to extensions of scope of registration and/or following a

complaint about the organisation. As well, the registering body may initiate strategic

industry audits of RTOs operating in a specific industry or industry sector, targeted

according to identified risks relating to that industry or sector.

Notification of the audit

Training organisations will be notified at least four weeks before an audit unless the

organisation has requested a shorter time-frame. Notification details include the time

and place of the audit and the names of the auditors. The audit team will consist of at

least one trained auditor from the Tasmanian Qualifications Authority who may be

accompanied by an industry specialist/technical expert. A training organisation can

request that any team member be replaced if it is perceived that they have a conflict of

interest in participating in the audit.

Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

Page 3 of 8

SELECTION OF SITES TO BE AUDITED

Where a training organisation’s activities are carried out at multiple sites, a sample of

those sites will be selected for auditing. The sample may also include types of

operations such as on-line delivery and assessment, workplace delivery and

assessment and/or flexible learning approaches. Sites include those in other

States/Territories. The audit sample will be made according to a risk assessment which

takes into account factors such as:

•

the total number of sites

•

results and coverage of previous audits

•

records of complaints

•

variations in sites (size, programs offered, types of delivery)

•

changes since the last audit (additions of sites, additions to scope).

The head office will normally be included in the sample.

The auditors will advise the training organisation of which sites have been selected

prior to the audit but the sites can be changed once the audit has commenced.

Where auditing is not on the RTO’s premises, due regard is given to cultural, social

and other sensitivities and privacy considerations.

PREPARING FOR THE AUDIT

An audit should require minimal disruption to the normal activities of the training

organisation. To ensure the audit is conducted efficiently, the training organisation is

expected to have the following arrangements in place for the actual audit:

•

a person who can present the evidence to the audit team

•

availability of the Chief Executive Officer for the opening and closing meetings

(wherever possible)

•

a room where the audit team can meet

•

ready access to evidence which relates to the Standards (this does not have to

be removed from its normal storage area)

•

access to staff who have key roles in relation to meeting the Standards (e.g.

trainers/assessors, finance officers, records and administrative staff).

Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

Page 4 of 8

THE AUDIT PROCESS

1. Audits will commence and conclude with discussions with the CEO and/or

nominated person (at the opening and closing meetings).

2. A lead auditor will manage the audit. All lead auditors have completed

appropriate auditor training.

3. Audits can include:

•

discussions with staff, learners and employers

•

inspection of documents and records

•

inspection of facilities.

4. The auditee will be advised of any issues as the audit progresses and all

findings will be reported to the auditee at the audit closing meeting.

All audit findings must be cleared within 20 working days of receiving the audit

report.

5. An audit report is provided to the client within 14 days of the audit.

6. Where the audit is for either initial registration or renewal of registration, the

auditee will be informed as soon as possible of the registration decision.

AQTF AUDITOR CODE OF PRACTICE

Preamble

All personnel who conduct audits for Australian Quality Training Framework (AQTF)

compliance, and any other personnel participating in or organising audits, are duty

bound to observe this Code.

Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

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Professional conduct

Auditors must act in a professional and ethical manner, protecting the rights of the

organisations they audit and meeting the needs of their clients. In doing so, auditors

must be objective, independent, honest, constructive, and diligent.

Conflict of interest

Auditors must disclose in advance any information that could limit their capacity to

make unbiased audit judgments, and potential conflicts of interest must be managed.

Potentially conflicting or competing interests that should be declared include past or

present financial, professional or personal relationships with the auditee, its employees

or competitors. Auditors should never accept gifts or benefits from auditees beyond

modest hospitality.

Confidentiality

Auditors must not discuss or disclose any information relating to an audit except where

they are reporting to their client (the State or Territory registering body that has

commissioned the audit) or associated agencies on a ‘need to know’ basis; under

applicable laws; or where authorised in writing by the auditee and the client.

Intellectual property

Auditors must take all reasonable steps to protect ownership of intellectual property

and any commercial-in-confidence material or information disclosed in the course of an

audit.

Responsibility to be informed

Auditors must be informed about, and up to date with, the AQTF, including nationally

agreed training delivery and assessment products, policies and practices.

Client focus

Auditors must ensure that the auditee understands the audit processes and their rights

in that process. In observing a client focus, auditors will be polite, respectful,

considerate and non-discriminatory in dealing with auditees.

Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

Page 6 of 8

Accountability

Auditors must not act in any way that could prejudice the reputation of the State or

Territory registering body or the audit process and must fully cooperate with any inquiry

into any alleged breach of this Code.

AUDIT FINDINGS

Audit findings are classified as:

•

Compliant:

•

the organisation fully complies with all aspects of the standard.

•

Non-compliant:

•

there is insufficient evidence of the organisation meeting the standard;

•

total breakdown of procedure;

•

a situation which is likely to result in an immediate hazard to clients;

and/or

•

an accumulation of minor lapses which, added together, amount to a

total breakdown of systems or procedures.

The details of non-compliances will be verbally presented to the auditee at the closing

meeting.

CLEARANCE OF FINDINGS

Prospective RTOs

In the case of an initial registration (validation) audit, all findings must be cleared prior

to recommending an organisation for registration. Strategies to clear the findings are

determined by the organisation and must be cleared in 20 working days. At the end of

the 20 working days, (or once the organisation is fully compliant with the AQTF

standards), the auditors will recommend to the TQA that the organisation be registered

as a training organisation.

Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

Page 7 of 8

Existing RTOs

Twenty working days are allowed to clear non-compliances for existing RTOs. It is the

responsibility of the auditee to initiate the actions to clear non-compliances. TQA

auditors will check evidence of clearance, either by receiving documentation submitted

by the RTO or by visiting the RTO again within the specified timeframe.

The TQA may impose sanctions if non-compliances are not cleared within 20 working

days. If, according to the nature of the finding, it is determined unreasonable to

effectively clear within 20 working days, an action plan (incorporating timeframes for

action/s) may be acceptable and will clear the finding at this stage.

TQA auditors will check the implementation of the action plan by either conducting a

monitoring visit(s) to the RTO or by reviewing electronic or hard copy evidence

provided by the organisation. If the auditors determine from the evidence that the RTO

has not implemented the action plan, the non-compliance will be re-issued and the

TQA may be informed.

An RTO will not be able to extend its scope while it has an outstanding non-

compliance.

AFTER THE AUDIT

Feedback on the audit

At the conclusion of the audit, the auditors will provide the training organisation with an

audit feedback questionnaire. This provides an opportunity for the organisation to make

any comments on the conduct of the audit. The feedback is considered as part of the

TQA continuous improvement process.

Preparation For Audit

Information For Registered Training Organisations

Tasmanian Qualifications Authority

Version 4, 19 June 2007

Page 8 of 8

Appeals and complaints

If an organisation wishes to make a complaint regarding the conduct or the findings of

an audit, they can do this by either using the audit feedback questionnaire or by

commenting directly to:

The Manager - Operations

Tasmanian Qualification Authority

PO Box 147

SANDY BAY

TAS

7006

Complaints can also be made using the Tasmanian Qualifications Authority comments

form available on the website:

http://www.tqa.tas.gov.au/1560

.

The decision of the TQA to register or otherwise can be reviewed. A person aggrieved

by any decision of the Authority may apply to the Magistrates Court (Administrative

Division) for a review of that decision.

Confidentiality of information

All members of the audit team are bound by confidentiality arrangements not to

disclose, outside the purposes of the audit, any information gained during the audit.

The audit documentation is filed within the TQA and accessible only by TQA staff

unless permission is given by the RTO to disclose information to another party.