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AQTF/NVR/ESOS Audit Reports

There are different types of audits that RTOs may be required to undertake such as:

  • an audit to assess an application for initial registration, extension to scope of registration or renewal of registration
  • a post-initial audit, conducted within the first year of registration, to confirm that an RTO has deployed its planned approach to delivering training and assessment
  • a monitoring audit to confirm that an RTO is continuing to comply with the AQTF Essential Conditions and Standards for Initial Registration and AQTF Essential Conditions and Standards for Continuing Registration as well as the Standards for NVR Registered Training Organisations – called SNRs

  • a national strategic industry audit, conducted to confirm that an RTO's training and assessment services are meeting the requirements of a particular industry or licensing authority
  • an audit to investigate a complaint made against an RTO.

We conduct comprehensive internal audits to ensure your training organisation has a planned, systematic and documented internal process to assess compliance with the AQTF Essential Conditions and Standards for Initial Registration, the AQTF Essential Conditions and Standards for Continuing Registration and the Standards for NVR Registered Training Organisations – internal audits provide information about the quality of training, assessment, client services and the management systems your organisation uses to support the continuous improvement of operations and outcomes.

 

Skills Victoria Training System

Under delegation from the Victorian Skills Commission, Skills Victoria contracts Registered Training Organisations (RTOs) to deliver government-subsidised training to individuals eligible for the Victorian Training Guarantee (VTG) under the Skills for Victoria Program.

In accordance with its Contract Compliance Audit Strategy, Skills Victoria undertakes an annual Contract Compliance Audit Program to ensure that contracted RTOs are complying with the terms and conditions of their Skills for Victoria Service Agreement, including training delivery specifications.

Types of Skills for Victoria Contract Compliance Audits you will be subject to:

  • Business Process Audit
  • Transactional Compliance Audit
  • Evidence of Participation Audit

You will also be assessed against your compliance with the Non-TAFE Registered Training Organisation (RTO) Internal Audit Checklist and contract compliance with the Service Agreement Skills for Victoria (SFV) Program.

  • We can help you complete the Internal Audit Checklist in accordance with timelines specified in the Skills for Victoria Service Agreement
  • Ensure that key staff members understand the requirements of the Skills for Victoria Service Agreement
  • Assist with collating all required data and files ready for audit in a logical and concise manner
  • Prepare key staff members for audit “walkthroughs” of the processes used to promote compliance with the Skills for Victoria Service Agreement. These include processes relating to:
    • eligibility assessment
    • student enrolment
    • training plan development
    • training delivery and
    • reporting.

Skills Victoria has the right to withhold funds, request refunds or terminate the Service Agreement if the RTO has failed to comply with some or all of its obligations pursuant to the Agreement and the Contract Compliance Audits.

 

Addition to Scope Applications

You may wish to amend your scope of registration by deleting and/or adding qualifications or accredited courses to your delivery profile. Depending on whether you intend to deliver to domestic student or overseas students, there are certain compliance requirements that must be met prior to submitting your application. We can quality check your application to ensure you can submit it with confidence. In the event that additional work is required prior to submitting the application, we can assist you by developing an internal report that identifies any ‘gaps' as well as developing all required policies, procedures and or required documentation.

 

AQTF Compliant Training and Assessment Resources

Whether you utilise off-the-shelf training and assessment resources or whether you develop them in house – you must ensure assessment materials meet the requirements as set out in each unit of competency's Evidence Guide, in order for your assessment materials to meet AQTF/NVR audit requirements.

Remember, resources bought off-the-shelf do not guarantee AQTF/NVR compliance. It's the RTOs responsibility to ensure that all training and assessment materials and tools are fit for purpose. We can review existing materials and provide a compliance report identifying gaps and areas for improvement to ensure assessment materials and tools are meeting best practice in training and assessment.

Training Needs Analyses and Professional Development Reports

Training Needs Analysis (TNA) is a vital process for any organisation wanting to accurately identify what training courses and development activities are needed by key training and assessment personnel to improve their productivity and workplace satisfaction.

The trainer and assessor competency standards provide a ready-made tool for the identification of training needs for assessors – we convert this information into relevant training programs for your staff.

We can assess your staffs' current status and develop individualised professional development programs that build knowledge and expertise which empowers them to be aligned and committed to achieving organisational goals and objectives as well as meeting and maintaining AQTF/NVR/ESOS compliance requirements.

 

RTO Initial Registration and Re - Registration Applications

AQTF Essential Conditions and Standards for Initial Registration and AQTF Essential Conditions and Standards for Continuing Registration - training organisations must meet these standards in order to deliver and assess nationally recognised training and issue nationally recognised qualifications. And for training organisations that deliver interstate, the Standards for NVR Registered Training Organisations must also be met.

Victorian RTOs, must also comply with the VRQA Guidelines for VET Providers. The Guidelines apply to all RTOs and ESOS applications received by the VRQA for initial registration from 1 January 2010.

For full information on the AQTF Essential Conditions and Standards for Initial Registration, AQTF Essential Conditions and Standards for Continuing Registration, VRQA Guidelines for VET Providers and Standards for NVR Registered Training Organisations 2011 – click on the following links:

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AQTF/NVR/ESOS Compliant Policies and Procedure

Policies, procedures and systems – all needed for compliance and control - and can you really have compliance without control? No! Refer to the above to see what's required.

In addition to the above, if you're planning to offer training and assessment services to overseas students (ESOS) you will require policies and procedures to meet the 15 Standards listed below for CRICOS registration:

Standard 1 Marketing information and practices
   
Standard 2 Student engagement before enrolment
   
Standard 3 Formalisation of enrolment
   
Standard 4 Education agents
   
Standard 5 Younger students
   
Standard 6 Student support services
   
Standard 7 Transfer between registered providers
   
Standard 8 Complaints and appeals
   
Standard 9 Completion within the expected duration of study
   
Standard 10 Monitoring course progress
   
Standard 11 Monitoring attendance
   
Standard 12 Course credit
   
Standard 13 Deferring, suspending or cancelling the student's enrolment
   
Standard 14 Staff capability, educational resources and premises
   
Standard 15 Changes to registered providers' ownership or management

Whether you deliver training and assessment services to domestic or international students, you need to be sure that your staff have clear guidance and instruction on how to manage your business effectively and in line with registering body requirements – a clear and concise set of policies and procedures will help you achieve this.