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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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
Page 5 of 8
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.
