FACT SHEET 2 - Preparing for an AQTF audit - March  2010
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FACT SHEET 2 - Preparing for an AQTF audit - March 2010

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2 Pages
English

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      Fact Sheet 2 – Preparing for an AQTF Site Audit Purpose An integral part of the progression to become a Registered Training Organisation (RTO) and maintain that registration is the participation in audits. This fact sheet will assist in preparing for an Australian Quality Training Framework (AQTF) audit. Will I be audited? The AQTF states that a training organisation will generally be audited when it first applies for registration, again within the first 12 months of initial registration and then at renewal of registration which takes place every five years. Audits may also occur at other times such as monitoring or strategic audits, or when an RTO wants to extend its scope of registration (i.e. add qualifications or courses to those it is already approved to deliver). Note that many extension to scope applications are assessed at a desktop audit. A separate fact sheet regarding the AQTF audit process is available. Refer Fact Sheet 18 . The key messages of the AQTF are: engagement with industry, RTOs working systematically toward quality outcomes, continuous improvement, identifying, collecting and analysing data from its stakeholders. The focus of an audit, therefore, is on the outcomes achieved by the RTO. Auditors will evaluate the evidence provided by you against the AQTF Essential Conditions and Standards for Initial Registration (the AQTF Standards), the quality indicators, and in some circumstances, the Guidelines ...

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     Fact Sheet 2 – Preparing for an AQTF Site Audit   Purpose An integral part of the progression to become a Registered Training Organisation (RTO) and maintain that registration is the participation in audits. This fact sheet will assist in preparing for an Australian Quality Training Framework (AQTF) audit.  Will I be audited? The AQTF states that a training organisation will generally be audited when it first applies for registration, again within the first 12 months of initial registration and then at renewal of registration which takes place every five years.  Audits may also occur at other times such as monitoring or strategic audits, or when an RTO wants to extend its scope of registration (i.e. add qualifications or courses to those it is already approved to deliver). Note that many extension to scope applications are assessed at a desktop audit.  A separate fact sheet regarding the AQTF audit process is available. ReferFact Sheet 1.  The key messages of the AQTF are: engagement with industry, RTOs working systematically toward quality outcomes, continuous improvement, identifying, collecting and analysing data from its stakeholders. The focus of an audit, therefore, is on the outcomes achieved by the RTO.  Auditors will evaluate the evidence provided by you against the AQTF Essential Conditions and Standards for Initial Registration (the AQTF Standards), the quality indicators, and in some circumstances, the Guidelines for RTOs registered in South Australia. In the case of a new applicant making an initial application, the auditors will be looking at what systems, policies and procedures have been put in place to ensure that compliance with the Standards can be met.  How can I prepare for a site audit? Audit dates are negotiated with your staff to allow sufficient time for preparation. You will receive an agenda beforehand which will give details of the type of audit to be conducted, membership of the audit team and an indication of what “evidence” the auditors will wish to see. This evidence may include (but is not limited to):  results of data collection from stakeholders and its use in continuous improvement  training and assessment strategies and materials resources relating to each qualification on scope of registration   student and staff records.  Should I conduct a self-assessment or internal audit beforehand? RTOs should conduct a self-assessment prior to the audit. Applicants seeking initial registration as an are to use this Self Assessment templatehttp:/ g _ _ _ _ RTO/www.trainin .com.au/documents/20100617 AQTF 2010 Initial Self-assessment 23 June.doc  to summarise evidence of compliance with the AQTF Essential Conditions and _ _ Standards for Initial Registration. The self assessment template offers useful information on conducting self assessments and preparing for audit.  You will need to demonstrate through the audit process how you are delivering training to industry standards, meeting the learning needs of your clients, continuously improving the outcomes of these, and
DFEEST/10/31457 Version 1 Fact Sheet 2 - Preparing for an AQTF Site Audit – last updated 30 June 2010
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how you are meeting the requirements of the national VET system. Providing an up to date self-assessment to the Lead Auditor at the beginning of the site visit will assist the audit process.  What practical steps can I take to make the audit run as smoothly as possible? Any preparation you can do for an impending audit will assist with streamlining the audit itself. Some practical steps you can take are:   have the evidence requested, and/or likely to be requested readily available  prepare an overview of client groups, student numbers, methods of instruction, plans for the immediate future.  provide outcomes of any self-assessment undertaken to the Lead Auditor  provide evidence, and ensure they will be available on thedecide which staff will be best placed to day  prepare staff by reinforcing the idea that the audit can be a positive, value-add experience which provides a “health check” of the RTO  allocate a staff member to guide the auditor(s) during the visit and act as a liaison, ensuring staff are available at planned times  allocate an appropriate work space where the audit team can work.  Feel free to ring the auditor with any questions you might have to help you prepare for audit day.  An audit can take a couple of hours or a couple of days depending on its scope and complexity therefore it is difficult to be specific about timeframes. For most audits, you should set aside a full day to avoid being rushed. An early finish will be a bonus!  Can I use an external consultant to help me prepare for audit? You can use an external consultant to assist with the audit process, however there is no requirement to do so.  Remember that the audit relates to your organisation’s compliance and the interaction at the audit is between the auditor and your staff. If you engage a consultant to assist in the preparation for an audit, the consultant may attend the audit to provide you with support but they are unable to provide responses to the auditor on your organisation’s behalf or enter into any discussions regarding the conduct, progress or findings of the audit.  Where can I find a consultant? Contact the South Australian office of the Australian Council for Private Education and Training (ACPET) on 8221 5190  Useful links These fact sheets can be downloaded from our website atwww.training.sa.gov.au    Indicators QualityFact Sheet 5 -  Fact sheet 18 - The AQTF audit process  These AQTF documents can be downloaded from the AQTF website atwww.training.com.au/aqtf2007     HandbookAQTF Audit   Conditions and Standards for Initial RegistrationAQTF Essential   Conditions and Standards for Continuing RegistrationAQTF Essential  to the Essential Conditions and Standards for Registration Guide AQTF Users'  Further information For general advice on the audit process, contact our Client and Information Services Unit, Quality and Tertiary Education Policy Directorate (QTEP) on 8226 3065, email:dfeestquality@sa.gov.au 
DFEEST/10/31457
Version 1 Fact Sheet 2 - Preparing for an AQTF Site Audit – last updated 30 June 2010
Page 2 of 2