Audit outcome The auditor’s formal opinion of the RTOs compliance status as a result of an audit. The outcome is documented against each standard audited as either compliant or non-compliant. The final audit outcome is determined after rectification opportunities have been provided and is considered final. Audit report Formal record of the audit findings prepared by the auditor/s for desktop and on-site audits, issued to the RTO within 30 days of the audit date. Audit rectification Submission of additional information and/or evidence after the audit to address non-compliance/s and actions identified in the audit report. Audit Sanctions Matrix The methodology for assessing the level of non-compliance of RTOs with ACT Standards and ACT Standards Compliance Guides and for determining a sanctioning amount based on assessed risk of non-compliance identified. The matrix may be updated and reissued to clarify requirements or assessment and calculation process as required. Audit type The method used to conduct the audit. There are four audit types – Internal Review Tool, desktop audit, on-site audit, investigative audit. All audits are conducted as part of the scheduled audit cycle (on-cycle) or, outside of this timeframe (off-cycle). Australian Skills Quality Authority (ASQA) National regulator for Australia’s VET sector (excluding VIC and WA). AVETMISS Australian Vocational Education and Training Management Information Statistical Standard (AVETMISS) is the agreed national data standard for the collection, analysis and reporting of VET information in Australia. See also ACT AVETMISS. Compliant Where all audited requirements of the ACTFA, ACT Standards and ACT Standards Compliance Guides have been met, based on the evidence reviewed at audit and/or after audit rectification. Continuous improvement A planned and ongoing process that enables an RTO to systematically review and improve its policies, procedures, products and services in order to generate better outcomes for students and to meet changing needs. It allows an RTO to constantly review its performance against the ACTFA, ACT Standards and ACT Compliance Guides and plan ongoing improvements to its performance.
Appendix B: Audit Sanctions Matrix Compliance Findings and Risk Assessment Matrix for the ACT Standards A risk based approach is used to identify, assess and rank non-compliance findings to determine the audit rating and sanction to be applied. Compliant Minor non-compliance Moderate non-compliance non-compliance Critical non-compliance Compliance Rating System in place. Policies and procedures documented and followed by staff. Standards are met. Complete and accurate records retained. Policies and procedures occasionally not followed. Services do not fully meet the standards. Infrequent, omissions in implementation; readily correctable. Policies and procedures frequently not followed. One or more standards not met. Significant time/resources required to rectify. Policies and procedures not consistent with the standards and/or not followed. Failure to effectively and accurately record and report information. Substantial time/resources to rectify. No policies and procedures. Failure to implement. Standards not met. Difficult or unable to rectify. Students at risk. Education and Training Directorate reputation at risk. Terms and Definitions: Minor Significant Insufficient Lesser in importance, seriousness, or significance Small in number, quantity or extent Having or likely to have a major effect; important Fairly large in number, quantity or extent Lacking in what is necessary or required Not having or providing enough of what is needed
1.4 internal review tool complete and supporting evidence available; access given to relevant files and student records evidence submitted within required timeframes organisation is cooperative with the audit process one or more elements not completed in the internal review tool one or more questions not completed in the internal review tool internal review tool/ supporting evidence not submitted within required timeframe supporting evidence not prepared inconsistencies between internal review tool and supporting evidence internal review not conducted Directorate staff and/or representatives not provided access to relevant files and student records at the time of request Directorate staff and/or representatives denied access to relevant files and student records 2.1 RTO RTO has applicable of registration documented strategy for managing transition and teach-out documented strategy for managing changes to training operations minor omission/errors in documented strategies qualification in-transition not managed within 12 months teach-out is not completed within 6 months students not advised how changes in training packages affect their enrolment prior approval for extended teach-out is not obtained from the Directorate documented strategies do not cover all requirements no documented strategies to manage transition, teach-out or changes to training operations documented strategies not followed no scope of registration RTO not registered 2.2 Student documented process minor omission/errors in documented process documented process does not cover all requirements no process in place to assess eligibility of students
2.3 Fees and Charges fees and charges published omission/errors in published fees and charges significant omission/errors in published fees and charges fees and charges not published 2.5 policy and procedures documented minor omission/errors in documented policy and procedure significant omission/errors in the policy and procedure no policy and procedure 2.6 Training Plan compliant training plan template documented process minor omission/errors in documented policy and procedure minor omissions/errors in the training plan template significant omission/errors in the documented process significant omission/errors in the training plan template no documented process 2.9 master copies of assessment tools minor omission in the assessment tools i.e. typo in unit code/name significant omission/errors in the assessment tools no master copies of assessment tools .11 of or of documented process minor omission/errors in documented policy and procedure omissions/errors in the qualification certificate and/or Statement of Attainment template documented process does not cover all requirements no documented process significant omission/errors in the qualification certificate and/or Statement of Attainment template
2.2 Student Eligibility eligible students enrolled evidence of eligibility on file ineligible student enrolled no evidence of eligibility eligibility evidence records do not satisfy all eligibility requirements 2.3 Fees and Charges correct fees and charges collected fees and charges records retained evidence supporting fee waiver/concession is not obtained prior to finalisation of enrolment insufficient records of fee collection / waivers/ exemptions students charged incorrect fees no records of fee collected / waivers / exemption
2.6 Training Plan compliant training plans retained on file minor omissions/errors in one or more of the following: qualification details, student details, employer details, RTO details, type of AA on the training plan minor errors in unit code/s and/or title/s i.e. error in unit codes/names, unit versions incorrectly identified minor omissions/errors in the training delivery information i.e. start/end dates missing for some units, identification of RPL/CT training/assessment methods identified are not consistent with training delivered and assessment conducted training plan inconsistent with specifications significant omissions/errors in information i.e. incorrect units, wrong qualification, incomplete training and assessment strategy training plan not signed or dated by all parties or agreement declaration is unchecked training plan not completed prior to commencement of training; evidence of training plan and amendments not retained amendments to training have not been documented and /or agreed by all parties none or not all elements of the employer capacity to support training have been checked training plan not completed training plan not completed for revised qualification
2.7 Training Delivery and Participation training delivery is supported by evidence of participation minor omission/errors in evidence of participation records i.e. error in unit code/name training delivered is not consistent with the delivery strategy and/or Purchase Order and/or training initiative incomplete or significant omission in evidence of participation records i.e. unit not identified issuance of training materials not documented training is not in accordance with the relevant training package training materials not provided within prescribed timeframe training has not commenced within prescribed timeframe evidence of participation records not retained payment claims are not supported by evidence of participation
2.8 Support and Monitoring student progress regularly monitored, supported and documented minor omission/errors in contact records learning materials not provided within required timelines insufficient records of visits/contacts and additional support contact with the student exceeds required timeframe by 1 - 3 months contact with the employer exceeds required timeframe by 6 - 8 months records of visits/contacts are not signed by RTO representative records do not detail issues discussed and/or outcome achieved training materials not provided contact with the student exceeds the required timeframe by 4 months or more contact with the employer exceeds the required timeframe by 9 months or more records of visits/contacts are not dated no records of support and monitoring
2.11 Issuance of Qualification Certificate and Statement of Attainment AQF compliant qualification certificates / Statement of Attainments issued and retained minor omission/errors in the AQF wording on the qualification certificates / Statement of Attainment i.e. word missing incorrect result recorded on ‘record of results’ qualification certificates / Statement of Attainments are not AQF compliant supporting statement requirements not met incorrect unit/s of competency identified on certificate incorrect qualification issued i.e. incorrect qualification code/name qualification not issued within required timelines certificate not issued supporting statement not issued