Internal Audit checklist - July 09

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					                                                    2009 RTO Internal Audit
                                                 Contract Compliance Checklist
                                   Note: this checklist can be used for both ATTP and PETP

Registered Training Organisation Legal Name                    Department of Primary Industries, Knoxfield

Registered Training Organisation Trading Name                  Department of Primary Industries, Knoxfield; aka AgTrain

Training Organisation Identification Number                  3876
Apprenticeship Traineeship Training Program (ATTP) places in
2009                                                         N/A
Apprenticeship Traineeship Training Program Contestable Pool
Places in 2009                                               N/A
                                                               Note: satisfactory external GFTP Audit conducted August 2008 dates 09 December
Priority Education and Training Program (PETP) Submission      2008 - '08 - BWZ; BXA; BYB; BYE; ANG; BWX / '09 - ABN; ABP; CQV; CQW; CQX;
Numbers                                                        CQY; CQZ

Date/s of Internal Audit                                       01/07/2007, 10/12/2007 (TRC - TAA40104), 16/06/2008, 02/02/2009, 5/08/2009


Internal Audit conducted by (signature)                        Lisa Shakes 05/08/2009


Print full name                                                Lisa Shakes

Role in RTO                                                    Education and Training Officer

Certified by the Chief Executive Officer as an accurate
appraisal of the RTO’s compliance with the provisions of the
Performance Agreement

Print full name                                                Mike Boyd, Manager - BioSecurities and Emergencies


Note: this checklist can be used for both ATTP and PETP
                                                                      2009 Internal Audit Contract Compliance Checklist
               Department of Primary Industries Knoxfield RTO 3876 2009 Internal Audit Contract Compliance Checklist
                                                                                                                                                                                                                                                         Additional Column for use by RTOs
No.                                                                             Answer
        Criteria for compliance against Performance Agreements                                                          Tests                                                              Evidence/Actions Required                                             Improvement Plan or Evidence Retrieved
                                                                              (Yes/No/NA)
      General Obligations ATTP/PETP
1     All RTO Staff supporting the implementation of the ATTP/PETP                          Does your RTO have a printed copy of the 2009 Minimum          List the ways your RTO ensures staff are informed of their obligations under the ATTP         Handbook files updated
      should be aware of the RTO's obligations under the ATTP and/or                        Performance Standards and the 2009 Performance                 and/or PETP Performance Agreement, the Minimum Performance Standards and all                  :J:\TRAINING\ADMINISTRATION\RecFind\RecFind Records
      PETP Performance Agreement, the Minimum Performance                                   Agreement for the relevant Government Funded Training          relevant laws here: When revised Minimum Performance Standards and Performance                Management Table.doc
      Standards and all relevant laws.                                                      Program available for staff reference?                         agreement is revised or updated, all RTO staff are notified via email or verbally.            - Blue RecFind Records Log Folder kept at Administration
                                                                                                                                                                                                                                                         Assistant's desk
                                                                                 Yes        Does your RTO provide an induction program for all staff on                                                                                                  J:\TRAINING\ADMINISTRATION\Presenter's Kit
                                                                                            the 2009 Minimum Performance Standards as per the 2009 Detail your staff induction program here (alternately attach a copy of your staff induction           J:\TRAINING\ADMINISTRATION\AQTF
                                                                                            Performance Agreement and/or any previous agreements? handbook to this document).                                                                            STANDARDS\Standard 4 - admin-records mgt\Version
                                                                                                                                                                                                                                                         Control Register v4 April 2008.xls 2009 contract 2 siubs
                                                                                                                                                                                                                                                         only in TAA Review version control register.

2     All RTO Staff supporting the implementation of the ATTP/PETP                          Does your RTO regularly check for updated RTO memos            Who is the person in your RTO, responsible for checking for new RTO memo's on the             DPI CoPTraining - Learning development Network (sponsor)
      must regularly check for updated RTO Memos through the GFTP                           through the GFTP system home page?                             GFTP System home page? Staff Member Name: Barry Dignam, Lisa Shakes and                       since 2nd August 2007; All staff have secure log in access.
      System home page; and access the ATTP/PETP Information                                                                                               Sheridan Furey                                                                                Trainers as contractors do not have access to web site;
      Workshops where appropriate.                                                          Are staff provided with access to these memos and time to                                                                                                    information is distributed as required. Staff regularly attend
                                                                                            work through them?                                                                                                                                           info sessions.
                                                                                                                                                           Describe the process in your RTO for ensuring all staff are made aware of any new RTO
                                                                                            Are RTO Memos distributed to all staff for reference?          memos here: Email, Verbal

                                                                                            Does your RTO access ATTP/PETP Information Workshops
                                                                                 Yes
                                                                                            where appropriate?                                   When was the last time someone from your RTO attended an ATTP/PETP Information
                                                                                                                                                 Workshop? Staff Member Name: Lisa Shakes - Skills for Victoria Information Session
                                                                                                                                                 Date: 24/07/2009, Barry Dignam - Securing Jobs for Your Future - Skills for Victoria
                                                                                                                                                 Briefing Date: 29/05/2009, Sheridan Furey - PETP Information Date: 28/08/2008

                                                                                                                                                           Check the GFTP Website http://secure.otte.vic.gov.au/gftp2 and list the date of the next
                                                                                                                                                           ATTP/PETP Information Workshop here: None listed as of 27/07/2009


3     The RTO must maintain an electronic Student Management                                Does your RTO have an AVETMISS compliant student               List the names of the staff in your RTO responsible for Student Statistical Reporting here:   Barry Dignam and Lisa Shakes are responsible for statistical
      System that complies AVETMISS 6 and with Skills Victoria's                            management system?                                             Barry Dignam and Lisa Shakes                                                                  reporting. Sheridan Furey assists in data validation.
      current Student Statistical Data Collection Guidelines.                                                                                                                                                                                            J:\TRAINING\icare\AgTrain icare users manual
                                                                                            Does your RTO have a person/s responsible for statistical
                                                                                            reporting?                                                     Record the software package used by your RTO to enable reporting here: ICARE

                                                                                            Do they understand the requirements for statistical
                                                                                            reporting?                                                     Detail the relevant training, experience and skills of staff in your RTO responsible for
                                                                                 Yes                                                                       Student Statistical Reporting here: Barry Dignam - 6.5 years, Lisa Shakes 7.5 years,
                                                                                            For the current Student Statistical Data Collection            Sheridan Furey 1.5 years. All self instruction using RTO materials and ICARE docs.
                                                                                            Guidelines, go to the Statistical section of the following web
                                                                                            page:
                                                                                            http://www.skills.vic.gov.au/corporate/statistics/submit
                                                                                            _data




      Promotional Material ATTP/PETP
4     The RTO must acknowledge, in all promotional or other materials                       Does your RTO ensure that all promotional material relating List the names of the staff responsible for coordinating advertising materials in your RTO       Barry Dignam, Lisa Shakes and Sheridan Furey create and
      (excluding Certificates and Statements of Attainment), that the                       to the contracted training acknowledges the training is     here: Barry Dignam, Lisa Shakes and Sheridan Furey                                               update advertising material -
      Services are provided with funds made available by the                                delivered with Victorian Government funding?                                                                                                                 J:\TRAINING\Media\RTO training brochure V13.pdf
      Government of Victoria. For example - "This training is delivered                                                                                 Attach a copy of a brochure or advertising that includes this acknowledgement.                   J:\TRAINING\COURSES\2009 Courses\MASTER Fliers
                                                                                 Yes
      with Victorian Government funding".




5     Where appropriate, the RTO must produce and distribute                                Does your RTO promotional material encourage people with Attach the names of the staff responsible for coordinating advertising materials in your J:\TRAINING\Media\RTO training brochure V13.pdf
      promotional material to encourage students with physical and/or                       a disability to access and enrol in funded training? For     RTO here: Barry Dignam, Lisa Shakes and Sheridan Furey                               RTO web: www.dpi.vic.gov.au/agtrain and RTO intranet
      intellectual disabilities to access and enrol in the funded training.                 example, "people with disabilities are encouraged to apply".                                                                                      webpage: Primary Source page
      (ATTP only)                                                                Yes                                                                     Attach sample promotional material which demonstrates how your RTO encourages people
                                                                                            Can you provide examples of these advertising materials? with a disability to enrol in funded training to this document.




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                                                                                                                                                                  Page 2 of 18
No.                                                                    Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                             Tests                                                                Evidence/Actions Required                                              Improvement Plan or Evidence Retrieved
                                                                     (Yes/No/NA)
      Fees and Charges ATTP/PETP
6     The RTO must apply the policy on fees and charges as published              Does your organisation charge fees and charges to               List the names of the staff responsible for setting Fees and Charges in your RTO here:      J:\TRAINING\ADMINISTRATION\AQTF
      on the GFTP System.                                                         students as per the relevant Fees and Charges policy?           Barry Dignam and Lisa Shakes                                                                STANDARDS\Standard 3 -
                                                                                                                                                                                                                                              financial\2009FeesandCharges.pdf
                                                                                   Refer to the Fees and Charges Policy at:                       Attach of copy of your RTO Policy on Fees and Charges to this document .                    J:\TRAINING\ADMINISTRATION\AQTF
                                                                                   https://secure.otte.vic.gov.au/GFTP2/Default.aspx                                                                                                          STANDARDS\Standard 3 - financial\Pricing Policy AgTrain
                                                                         Yes                                                                      Select a random sample of students from across a number of qualifications to validate this. V5 (internal info).doc
                                                                                                                                                                                                                                              J:\TRAINING\ADMINISTRATION\Correspondence -
                                                                                                                                                  Attach evidence such as invoices/ receipts that demonstrate the correct application of the RTO\2008 letter Merrick 07P_778 concession.doc
                                                                                                                                                  Fees and Charges policy to this document.                                                   See receipt book
                                                                                                                                                                                                                                              J:\TRAINING\COURSES\2009 Courses

7     If any other charges were levied (such as for consumables), this             Does your RTO keep evidence on file to support any extra       Record any additional charges your RTO imposes on apprentices/trainees here: materials J:\TRAINING\ADMINISTRATION\AQTF
      must be done so in accordance with the Conditions of the Fees                charges?                                                       and catering.                                                                               STANDARDS\Standard 3 -
      and Charges Policy for the relevant year. Evidence must be kept                                                                                                                                                                         financial\2009FeesandCharges.pdf
      on file to support any extra charges.                                        The GFTP Policy on Fees and Charges is available online:       Select a random sample of students from across a number of qualifications to validate this. J:\TRAINING\ADMINISTRATION\AQTF
                                                                                   https://secure.otte.vic.gov.au/GFTP2/Default.aspx                                                                                                          STANDARDS\Standard 3 - financial\Pricing Policy AgTrain
                                                                                                                                                  Make specific reference to the clause(s) of the fees and charges policy which allow the     V5 (internal info).doc
                                                                         Yes                                                                      fees your RTO charges, here:                                                                J:\TRAINING\ADMINISTRATION\Correspondence -
                                                                                                                                                                                                                                              RTO\2008 letter Merrick 07P_778 concession.doc
                                                                                                                                                                                                                                              See receipt book
                                                                                                                                                                                                                                              J:\TRAINING\COURSES\2009 Courses\costing how to.xls
                                                                                                                                                                                                                                              *To ensure fees and charges including materials and
                                                                                                                                                                                                                                              catering are itemised in the flier information
8     The RTO must keep documentation to verify any concessions                    Does your RTO keep evidence of student eligibility for         Please attach examples of the evidence your RTO keeps on file to justify concessions   Concessions are communicated to participants or are
      and/or exemptions granted.                                                   concessions and/or exemptions on file?                         and/or exemptions granted to this document. Concessions are advertisied on website and considered on application / request.
                                                                                                                                                  fliers and fees and charges policy is applied                                          RTO web: www.dpi.vic.gov.au/agtrain - Fees Charges and
                                                                                   Alternately, where a concession or exemption has been                                                                                                 concessions link.
                                                                                   granted under Section 1.9 of the policy, a statement                                                                                                  Student Handbook 2009 pg 7
                                                                         Yes       explaining the reason for the reduced fee should be on file.                                                                                          J:\TRAINING\ADMINISTRATION\AQTF
                                                                                                                                                                                                                                         STANDARDS\Standard 1- quality\Student Handbook
                                                                                                                                                                                                                                         2009.doc
                                                                                                                                                                                                                                         J:\TRAINING\ADMINISTRATION\Correspondence -
                                                                                                                                                                                                                                         RTO\2008 letter Merrick 07P_778 concession.doc
      Internal Audit ATTP/PETP
9     The RTO must conduct an internal audit on its compliance with                Does your RTO complete this RTO Contract Compliance            State where the completed Internal RTO Contract Compliance Checklist is stored within          J:\TRAINING\ADMINISTRATION\AQTF
      the provisions of the ATTP and/or PETP Performance Agreement                 Checklist every six months as required by the 2009             your RTO for future reference and/or use by a GFTP Contract Compliance Auditor:                STANDARDS\audits\Internal Audit checklist -July 09.xls
      every six months, using a checklist supplied by Skills Victoria.             ATTP/PETP Minimum Performance Standards?                       document is stored Hard copy with procedures , and on J: shared directory (accessed by         All previous audits recorded in same file directory
                                                                                                                                                  all staff)                                                                                     J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits
                                                                                   The most recent copy of Internal RTO Contract Compliance
                                                                         Yes       Checklist is available on the GFTP System:
                                                                                   https://secure.otte.vic.gov.au/GFTP2/Default.aspx        List the names of the staff in your RTO responsible for conducting the next Internal RTO
                                                                                                                                            Contract Compliance Checklist , here: Barry Dignam and Lisa Shakes

                                                                                                                                                  Record the scheduled date of the next internal audit here: Jan 2010

10    The RTO must develop an improvement plan to rectify any non-                 Has your RTO developed an improvement plan?                    List the names of the staff responsible for rectifying any non-compliance identified via the   J:\TRAINING\ADMINISTRATION\AQTF
      compliance identified via the internal audit within an agreed                                                                               Internal RTO Contract Compliance Checklist within an agreed timeframe here: Barry              STANDARDS\audits\Internal Audit checklist -Jul 09.xls See
      timeframe.                                                                   Does your RTO have an established process for rectifying       Dignam and Lisa Shakes                                                                         Improvement plan column- Compliance checklist
                                                                         Yes       any non-compliances identified via the Internal RTO
                                                                                   Contract Compliance Checklist?                                 Detail the process for rectifying any non-compliance identified via the Internal RTO
                                                                                                                                                  Contract Compliance Checklist within an agreed timeframe here: develop as required; file
                                                                                                                                                  and place into staff induction / training.




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                                                                                                                                                        Page 3 of 18
No.                                                                  Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                            Tests                                                                 Evidence/Actions Required                                             Improvement Plan or Evidence Retrieved
                                                                   (Yes/No/NA)
      Subcontracting ATTP/PETP
11    Where training is subcontracted to another RTO, is there                    Does your RTO subcontract any government funded                 List the details of the subcontractors your RTO may be using here:                            N/A
      evidence that the subcontractor is in receipt of current                    training?
      government funding under either the 2009 PETP or 2009 ATTP
      program?                                                                    Does your RTO ensure that the subcontractor is a 2009           List all the 2009 PETP Submissions where subcontracting is occurring:
                                                                                  Contracted Provider before entering into a subcontracting
                                                                                  arrangement?                                                    Are all subcontracted RTOs on the 2009 Contracted Provider List? Yes/No

                                                                                    The 2009 list of Contracted Providers is available online:    Attach a copy of any MOUs between your RTO and the subcontracted RTO.
                                                                                    https://secure.otte.vic.gov.au/gftp/index.aspx
                                                                           No
                                                                                    All rules regarding subcontracting can be found in the GFTP
                                                                                    Minimum Performance Standards available online:
                                                                                    https://secure.otte.vic.gov.au/GFTP2/Default.aspx




12    Where training is subcontracted to another RTO, is there                      Does your RTO check the subcontractor's scope of              Attach a copy of the sub-contractor's scope of registration to this document.                 N/A
      evidence that the subcontracted training is on the subcontractor’s            registration before entering a sub-contracting agreement?     This information is available from the National Training Information Service (NTIS) at
                                                                           No
      scope of registration?                                                                                                                      http://www.ntis.gov.au

13    Where training is subcontracted to another RTO, is there                      Does your RTO ensure that it delivers at least 50% of the     Detail the process for ensuring that your RTO delivers greater than 50% of the contracted     N/A
      evidence that at least 50% of delivery and assessment for an                  contracted training?                                          training here:
      individual is delivered by your RTO? [Conversely is there
                                                                           No
      evidence that the subcontracted RTO is delivering 50% or less of              Please note that the subcontractor cannot deliver more than This information should be included in the executed agreement between your RTO and the
      the training to each individual?]                                             50% of the training.                                        subcontracted RTO.

14    Where training is subcontracted to another RTO, is there                      Does your RTO advise Skills Victoria of the name and          List the names of the staff in your RTO responsible for informing Skills Victoria that your   N/A
      evidence that your RTO has reported the subcontracting                        Training Organisation Identification Number [TOID] of each    RTO has entered into a sub-contracting agreement here:
      arrangement to Skills Victoria in writing prior to commencing                 subcontractor and particulars of the training to be
      training?                                                                     subcontracted and who is responsible for the quality          Date, and method through which Skills Victoria was informed of the sub-contracting
                                                                           No       assurance of the training?                                    agreement:

                                                                                                                                                  Attach evidence that Skills Victoria has been informed of the Sub-Contracting
                                                                                                                                                  Arrangement to this document.

15    Where training is subcontracted to another RTO, is there                      Does your RTO have an executed agreement in place             Attach a copy of the executed agreement to this document.                                     N/A
      evidence that there is signed and dated Memorandum of                         where it has entered into a subcontracting arrangement?
      Understanding/Executed Contract between the RTO and the sub-         No
      contractor?
      [AQTF 3.2]

      Trainers and Assessors ATTP/PETP (AQTF 1.4)
16    The RTO must ensure that training and assessment is conducted                 Where a trainer does not hold the Certificate IV in Training List (or attach a separate table) of all the trainers employed by your RTO, and indicate       See RTO Hard Copy Folder - Trainer and Assessor CVs
      by trainers and assessors who have the necessary training and                 and Assessment (TAA) (or BSZ98) have their qualifications whether you currently have a verified copy of their Certificate IV in TAA (or equivalent)         J:\TRAINING\ADMINISTRATION\AQTF
      assessor competencies as determined by the National Quality                   been mapped to the Cert IV competencies?                     qualifications on file or whether you have mapped their qualifications and experience to the   STANDARDS\Standard 4 - admin-records mgt\Presenter
      Council                                                                                                                                    required competencies.                                                                         CV's
                                                                                    Where a trainer or assessor does not hold the Certificate IV                                                                                                J:\TRAINING\ADMINISTRATION\AQTF
                                                                           Yes      in TAA or equivalent, are they working under direct          Attach evidence that trainers or assessors who do not hold the Cert IV in TAA or equivalent    STANDARDS\Standard 7 - RTO staff\Supervision of staff
                                                                                    supervision of a person who has these competencies?          are working under direct supervision of a person who does hold them.                           policyV3.doc
                                                                                                                                                                                                                                                Qualified Trainers and Assessors are list in all Learning and
                                                                                                                                                                                                                                                Assessment Strategies under "Delivery and Assessment
                                                                                                                                                                                                                                                Staff" section




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                                                                                                                                                        Page 4 of 18
No.                                                                   Answer
                Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                              Tests                                                              Evidence/Actions Required                                              Improvement Plan or Evidence Retrieved
                                                                    (Yes/No/NA)
17    The RTO must ensure that training and assessment is conducted               Are they able to demonstrate relevant vocational               List (or attach a separate table) of all the trainers employed by your RTO, and indicate       See RTO Hard Copy Folder - Trainer and Assessor CVs
      by trainers and assessors who have relevant vocational                      competencies, at least to the unit level being delivered?      whether you currently have a verified copy of their vocational qualifications on file, or      J:\TRAINING\ADMINISTRATION\AQTF
      competencies at least to the unit level being delivered or                  If trainers and assessors do not hold the qualification they   whether you have mapped their qualifications and experience to the required                    STANDARDS\Standard 4 - admin-records mgt\Presenter
      assessed (or demonstrated equivalent competencies)                          are delivering, have their vocational competencies been        competencies.                                                                                  CV's
                                                                                  mapped to the unit level being delivered to ensure they can                                                                                                   J:\TRAINING\ADMINISTRATION\AQTF
                                                                                  demonstrate the equivalent competencies?                       If staff do not hold the qualification they are delivering, give an example of how they have   STANDARDS\Standard 7 - RTO staff\Supervision of staff
                                                                        Yes
                                                                                                                                                 demonstrated the relevant vocational competencies                                              policyV3.doc
                                                                                                                                                                                                                                                Qualified Trainers and Assessors are list in all Learning and
                                                                                                                                                                                                                                                Assessment Strategies under "Delivery and Assessment
                                                                                                                                                                                                                                                Staff" section - Staff are subject matter experts in the field
                                                                                                                                                                                                                                                employed by DPI. DPI maintains copies of Qualifications




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                                                                                                                                                       Page 5 of 18
No.                                                                  Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                               Tests                                                             Evidence/Actions Required                                              Improvement Plan or Evidence Retrieved
                                                                   (Yes/No/NA)
18    The RTO must comply with all laws and regulations associated                Are all staff aware of the requirements of the WWC Act         Attach a list of all staff working with children and the date of their working with children   N/A
      with the Working with Children Act 2005                                     2005?                                                          check status. This is not applicable as AgTrain only delivers adult education training.

                                                                                   Have all staff who are required to, and who may potentially
                                                                                   have contact with persons under 18 undertaken a working
                                                                             No
                                                                                   with children check?

                                                                                   Has your organisation retained working with children check
                                                                                   status for all relevant staff?

      RTO Assessments and Curriculum ATTP/PETP [AQTF 1.5]

19    The RTO must ensure that assessments (including RPL) are                     Does your RTO ensure assessment materials and                 List the names of the staff in your RTO responsible for ensuring all assessment                Hard Copy Assessment Validation File - AgVet Chemical
      valid:                                                                       processes are valid?                                          instruments meet the requirements of the training package as outlined at:                      Users Course Validation 14/04/2008, AgVet and CRM
      * assessment is based on evidence relevant to the performance                                                                              http://trainingsupport.otte.vic.gov.au Barry Dignam and Lisa Shakes                            Course Validation 16/06/2008, OMU AOB Curriculum
      criteria; and                                                                                                                                                                                                                             Validation Meeting 22/01/2009, OMU AOB Curriculum
      * the evidence presented is sufficient, authentic and current.                                                                             List the activities that have been undertaken to ensure the validity of your assessment        Validation 15/06/2009 and Firearms Training Carriculum
                                                                             Yes                                                                 instruments.                                                                                   Validation 07/07/2009.
                                                                                                                                                                                                                                                J:\TRAINING\TAA004 Training & Assessment\RPL
                                                                                                                                                                                                                                                Assessor's Kit - TAA40104 Certificate IV in Training &
                                                                                                                                                                                                                                                Assessment.doc; review process example at validation date
                                                                                                                                                                                                                                                4/2/09 LS Firearms training
20    The RTO must ensure that assessments (including RPL) are                     Is assessment conducted by your RTO reliable?                 List the names of the staff in your RTO responsible for reviewing the reliability of           Hard Copy Assessment Validation File - AgVet Chemical
      reliable:                                                                                                                                  assessment instruments: Barry Dignam, Lisa Shakes and Industry Subject Matter Experts          Users Course Validation 14/04/2008, AgVet and CRM
      * assessments are consistent across trainers, locations,                     Does your RTO have a review process to ensure that all                                                                                                       Course Validation 16/06/2008, OMU AOB Curriculum
      methods, time and employers,: and                                            assessment instruments are reliable?                          List the activities that have been undertaken to ensure the reliability of the assessment      Validation Meeting 22/01/2009, OMU AOB Curriculum
      * practices have been established to ensure the consistency (e.g.                                                                          instruments. Validation meetings; chems training we use ChemCert Vic .Inc. moderated           Validation 15/06/2009 and Firearms Training Carriculum
      moderation of assessments).                                            Yes                                                                 materials; RPl using Qld govt and Melb uni pro-formas and Barry Dignam judgement.              Validation 07/07/2009.
                                                                                                                                                                                                                                                J:\TRAINING\TAA004 Training & Assessment\RPL
                                                                                                                                                                                                                                                Assessor's Kit - TAA40104 Certificate IV in Training &
                                                                                                                                                                                                                                                Assessment.doc; review process example at validation date
                                                                                                                                                                                                                                                4/2/09 LS Firearms training
21    The RTO must ensure that assessments (including RPL) are                     Does your RTO ensure assessment materials and                 List the names of the staff in your RTO responsible for reviewing the flexibility of           Enrolment form / Training Plan - pre-training review of
      Flexible:                                                                    processes are flexible?                                       assessment instruments: Barry Dignam and Lisa Shakes                                           individual 's requirements
      * a range of assessment methods are available;                                                                                                                                                                                            PD workshops and Flexible learning framework register of
      * assessment methods can be adapted to meet the needs of                     Does your RTO have a review process to ensure that all        List the activities that have been undertaken to ensure the flexibility of the assessment      training activities to keep up to date. Monitor materials
      different persons (ESL, disabled) or situations (on or off the job);   Yes   assessment instruments are flexible?                          instruments.                                                                                   provided by other providers eg SmartTrain Chems (DPI
      and                                                                                                                                                                                                                                       NSW) for AgVet training online.Resourcegen resource
      * students are aware of these in advance.                                                                                                                                                                                                 geneator website. review process example at validation date
                                                                                                                                                                                                                                                4/2/09 LS Firearms training
22    The RTO must ensure that assessments (including RPL) are                     Are all assessments provided by your RTO fair?                List the names of the staff in your RTO responsible for reviewing the fairness of              J:\TRAINING\ADMINISTRATION\AQTF
      Fair:                                                                                                                                      assessment instruments: Barry Dignam and Lisa Shakes                                           STANDARDS\Standard 8 - assessments
      * the students are aware of the requirements of the assessments              Does your RTO have a review process to ensure that all                                                                                                       J:\TRAINING\Assessment docs\Curriculum Validation
      in advance (time, method, standards); and                                    assessments are fair?                                         List the activities that have been undertaken to ensure the fairness of the assessment         Meeting Template.doc and Unit Validation Checklist
      * there are review, reassessment and appeal processes and the          Yes                                                                 instruments.                                                                                   template.doc.
      trainees/apprentices are aware of these in advance.




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                                                                                                                                                        Page 6 of 18
No.                                                                    Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                             Tests                                                            Evidence/Actions Required                                       Improvement Plan or Evidence Retrieved
                                                                     (Yes/No/NA)
23    The RTO must ensure that all funded courses/qualifications are              Does your RTO keep up-to-date Curriculum or Training          List the Curriculum or Training Package Purchasing Guides that you have on site and      Transport and Logistics - Training Package
      delivered in accordance with the curriculum documentation for               Package Purchasing Guides in an easily accessible place?      where they are kept : Hard copy and electronic in office                                 J:\TRAINING\TLI07 Transport & Logistics/June 2009,
      accredited courses or the Purchasing Guides and the endorsed                                                                                                                                                                       Purchasing Guide J:\FDF03 Food Processing Mar/2009
      components of Training Packages for qualifications.                         Can staff in your RTO check assessment guidelines, the       List the names of the staff in your RTO responsible for ensuring all Curriculum documents Rural Production - Training Package J:\RTE03 Rural
                                                                                  qualifications framework and training packages when they     and Training Packaging Guides are up to date and available for staff: Barry Dignam and    Production 27/06/2008, Purchasing Guide J:\RTE03 Rural
                                                                                  need to?                                                     Lisa Shakes                                                                               Production 10/10/2008 Conservation and Land
                                                                                                                                                                                                                                         Management - Training Package J:\Training\RTD02 29/6/06,
                                                                                  Does the learning program provide sufficient opportunity for Describe the checks conducted when developing Training Plans & Learning and               Purchasing Guide J:\Training\RTD0 01/12/02 Public Sector -
                                                                                  learners to develop competency, as expressed in the          Assessment Strategies to ensure the course/qualifications are delivered in accordance     Training Package J:\TRAINING\CIV Government\Trg Pack 1-
                                                                                  Training Packages?                                           with the Purchasing Guide & Training Package requirements: AgTrain delivers mainly        3, Purchasing Guide J:\TRAINING\CIV Government\May
                                                                                                                                               individual units of competency and when learning and assessment strategies are created 2009 Food Processing - Training Package J:\FDF03 Food
                                                                         Yes                                                                   all Purchasing Guides and Training Oackages relevant are checked and recorded in the      Processing Aug\2007, Purchasing Guide J:\ FDF03 Food
                                                                                                                                               template.                                                                                 Processing Mar/2009 Business Services - Training
                                                                                                                                                                                                                                         Package J:\TRAINING\BSB07 Bus Services TP 04/2008,
                                                                                                                                               What process do you have in place for ensuring you have the latest versions of curriculum Purchasing Guide J:\TRAINING\BSB07 Bus Services TP
                                                                                                                                               documents and Training Packages? All RTO staff are registered to mailing lists and        05/2008 Property Services – Training Package
                                                                                                                                               Industry websites: PICMM/ SICMM/ websites / TP@Work web and e-list, etc                   J:\TRAINING\CIDT Totally Proactive\Training
                                                                                                                                                                                                                                         Packages\9/10/2008, Purchasing Guide J:\TRAINING\CIDT
                                                                                                                                                                                                                                         Totally Proactive\Training Packages\07/07/2009 Outdoor
                                                                                                                                                                                                                                         Recreation – Training Package J:\TRAINING\Firearms
                                                                                                                                                                                                                                         training\UOC and TP\07/07/2009, Purchasing Guide J:\TRAINING\Firearms training\UOC a


      Enrolment Form ATTP/PETP
24    The RTO must complete an enrolment form before training starts              Does the enrolment form used by your RTO contain the 14       Please attach a copy of your RTOs compliant student enrolment form to this document.   J:\TRAINING\COURSES\ENROLMENT
      in accordance with the Student Statistical Data Collection                  standard enrolment questions as detailed in the Statistical   Indicate where they are kept.                                                          DETAILS\Enrolments\MASTERS latest versions
      (AVETMISS) Guidelines.                                                      Data Guidelines/Enrolment Questions?
                                                                                                                                           Record here the last person to verify that this document is up to date: Sheridan Furey
                                                                         Yes      This information is available on line at                 Date of the last review: 30/06/2009
                                                                                  http://www.skills.vic.gov.au/corporate/statistics/submit
                                                                                  _data                                                    Review a random sample of student files to ensure that a compliant enrolment form is
                                                                                                                                           being used.




                                                                                                            J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls

                                                                                                                                                      Page 7 of 18
No.                                                                     Answer
                  Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                             Tests                                                                Evidence/Actions Required                                              Improvement Plan or Evidence Retrieved
                                                                      (Yes/No/NA)
      Pre-Training Requirements ATTP/PETP
25    The RTO must conduct a pre-training review of the current                   Does your RTO ensure that pre-training review information        Attach a copy of a completed pre-training review, as recorded on a student's file to this  J:\TRAINING\COURSES\ENROLMENT
      competencies including literacy and numeracy skills to identify             (date and outcome) is available on all students' files via a     document.                                                                                  DETAILS\Enrolments
      any competencies previously acquired and to ascertain that the              standardised form?                                                                                                                                          J:\TRAINING\COURSES\2009 courses
      proposed learning strategies and materials are appropriate.         Yes                                                                      Detail the process through which participants literacy and numeracy levels are established The nature of our participants indicates that they do not
      Eligibility under the appropriate program guidelines must be                                                                                 here: via enrolment form                                                                   require support. Our enrolment form captures the language
      established.                                                                                                                                                                                                                            skills.

26    The RTO must ensure that it provides a Recognition of Prior                    Does your RTO provide a Recognition of Prior Learning         Outline the process of RPL that your RTO uses. Provide examples of students that have J:\TRAINING\TAA004 Training & Assessment\RPL
      Learning (RPL) assessment process in the pre-training review.                  Process?                                                      been granted RPL: RPL offered or requested. RPL tool and information session arranged Assessor's Kit - TAA40104 Certificate IV in Training &
                                                                                                                                                   (SkillsStore) RPL assessmentt ; RPL result and pathways                               Assessment.doc Repacholi file
                                                                           Yes
                                                                                                                                                   J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\Standard 5 - RCC&RPL\Skills                 J:\TRAINING\ADMINISTRATION\Correspondence -
                                                                                                                                                   Recognition Assessment Procedure V9.pdf                                               RTO\2008 letter H Repacholi 1 RPL TAA.doc
                                                                                                                                                                                                                                         J:\TRAINING\CIDT Totally Proactive\RPL Templates
27    The RTO must retain evidence of any RPL granted.                               Does your RTO keep a copy of the primary documentation        Give an example of some of the student's documents/records your RTO uses to determine J:\TRAINING\TAA004 Training & Assessment\RPL
                                                                                     that the assessor used to record the outcome of the           whether RPL should be granted: Karen Thomas hard copy file                            Assessor's Kit - TAA40104 Certificate IV in Training &
                                                                                     assessment?                                                                                                                                         Assessment.doc J:\TRAINING\TAA004 Training &
                                                                                                                                                   Attach a copy of the primary document/checklist used by your RTO when assessing RPL. Assessment\Assessor OUC RPL Checklist - Training &
                                                                           Yes
                                                                                     This should include the assessment instruments used. Eg.                                                                                            Assessment.doc
                                                                                     Portfolios, employer references, or formal interview or       Select some students that have has RPL granted to ensure that there is evidence to    J:\TRAINING\CIDT Totally Proactive\RPL Templates
                                                                                     assessment.                                                   support the assessment of RPL: CIDT hard copy files

28    The RTO must undertake a Credit Transfer Process identifying                   Does your RTO ensure that students who have previously Attach evidence to demonstrate that your RTO has a process in place and questions                    J:\TRAINING\ADMINISTRATION\Correspondence -
      all modules/units of competency the student has already                        achieved competencies have these reported as credit       students on relevant qualifications they may have achieved.                                       RTO\letter Flatman RPL BSBCMN419A .doc
      completed. (Does not apply to PETP)                                            transfer on the Training Plan and your Student Management                                                                                                   J:\TRAINING\COURSES\ENROLMENT
                                                                                     System?                                                   Provide an example to demonstrate that credit transfer analysis occurs.                           DETAILS\Enrolments Refer ICARE for Credit transfer for:
                                                                                                                                                                                                                                                 Karen Thomas; Helen Repacholi, Susan Emmett.
                                                                                     Does your RTO ensure that in the pre-training review and      In some cases a participant will have achieved competencies at another RTO. These
                                                                                     training plan meeting/s, all apprentice/trainees are asked    competencies must be recognised and reported as credit transfer on the Training Plan and
                                                                           Yes       about previous training and asked to supply Statements of     Student Management System.
                                                                                     Attainment for previous training?
                                                                                                                                                   The RTO must, in the pre-training interview and during the training plan meeting/s, ask the
                                                                                                                                                   apprentice/trainee about previous training and get them to supply Statements of Attainment
                                                                                                                                                   for previous qualifications. Evidence must include specific examples of credit transfer
                                                                                                                                                   and/or reference to your process to ensure that credit transfer is reported.


29    The RTO must document and provide support services and                         Does your RTO review the literacy and numeracy skills of      Provide a recent example of a student within your RTO who has received assistance with        Not applicable - Enrolment and Training Plan captures this
      appropriate assistance to students with special learning or                    all new students, and where necessary provide assistance      literacy and numeracy. Please detail the assistance given to the student, including staff     data if any. RTO has a policy and link to Swinburne Institute
      employment needs.                                                              and extended timelines?                                       members responsible and the dates assistance was given here.                                  to provide support as needed.

                                                                           Yes        Does your RTO record any special literacy and numeracy       Attach a copy of a student's Training Plan where you have provided student support.
                                                                                     assistance provided to students (including the name and
                                                                                     contact of trainers) on their training plan?



      Issuing Compliant Qualifications and Statements of
      Attainment ATTP/PETP (AQTF 2.5)
30    An AQTF compliant Qualification and/or Statement of Attainment                 Do the Statement's of Attainment and Certificates issued by   Identify when your Statement's of Attainment and Certificates were last reviewed and by       J:\TRAINING\ADMINISTRATION\AQTF
      must be issued by the RTO to each student which must relate to                 your RTO relate to the apprenticeship/traineeship on DELTA    whom? Barry Dignam and Sheridan Furey 15/07/2009                                              STANDARDS\internal policies & procedures TOC.doc
      the purchased course.                                                          or the stated qualification on Attachment T? Are your
                                                                           Yes
                                                                                     Certificates and/or Statements of Attainment AQTF             Select a number of trainees and check to see if their Qualifications and/or Statements of
                                                                                     compliant? Refer the AQF Implementation Guidelines            Attainment are compliant.

      Milestones ATTP/PETP
31    The performance against the contracted delivery of an RTO will                 Has your RTO commenced training consistent with the           List the milestone dates here and your RTOs performance: Currently have not delivered         Currently have not delivered any funded training to date and
      be monitored at three milestone points during the year as                      milestone requirements?                                       any funded training to date and already returned one T Attahcment sumbission due to           already returned one Attachment T sumbission due to
      identified in the Minimum Performance Standards.                     Yes                                                                     delivery difficulties in Food Processing Sector, thus no milestones met.                      delivery difficulties in Food Processing Sector, thus no
      Note: Contestable Pool places are not taken into account at                                                                                                                                                                                milestones met. July AVETMISS upload completed for SVTS.
      these milestones).




                                                                                                              J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls

                                                                                                                                                         Page 8 of 18
No.                                                                  Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                             Tests                                                             Evidence/Actions Required                                                Improvement Plan or Evidence Retrieved
                                                                   (Yes/No/NA)
      ATTP - TRAINING DELIVERY REQUIREMENTS
      Business Viability
32    Every year the RTO must have successfully completed the                     Has your RTO got a copy of the completed Business             Attach a copy of the current years Business Viability Assessment and Certificate.               Hard copy in Tender documents for 2009/10 RecFind Files:
      Business Viability Assessment and Certificate to ensure                     Viability Assessment and Certificate for the current contract                                                                                                 HO/05/0057 PETP 2007, CC/04/0027 PETP Documentation
      compliance with the GFTP.                                                   year?                                                         Record the name of that staff member responsible ensuring the Business Viability                2008, CC/04/0141 PETP Documentation 2009
                                                                                                                                                Assessment and Certificate is completed here:
                                                                                  The Business Viability Assessment and Certificate for the
                                                                                  2009 contract year must have been prepared and dated on
                                                                                  or before 28 November 2008.

                                                                                      Is your RTO aware that they must provide up to the
                                                                                      previous 3 years Business Viability Assessment and
                                                                                      Certificates if requested at audit?
      Training Plans
33    The RTO training staff must prepare in conjunction with each                    Does your RTO ensure that all apprentices/trainees have    Attach a copy of the training plan used by your RTO to this document.                          N/A
      apprentice/trainee and employer a Training Plan consistent with                 compliant Training Plans? Note the information on training
      the qualification to be obtained and customised (as required)                   plans provided online:                                     List any changes required to ensure your Training Plan is Skills Victoria compliant here (or
      which is consistent with the outcome of the Pre-Training Review.                http://www.skills.vic.gov.au/corporate/publications/bro highlight on the attached document).
      The Training Plan must be prepared prior to the commencement                    chures_and_fact_sheets
      of structured training (which must be within 3 months of the                                                                               Detail the process for ensuring that all current students in your RTO are moved onto the
      training contract commencement date).                                           Does your RTO identify if the apprentice or trainee is a   new compliant Training Plan here:
                                                                                      school based apprentice or trainee or part time school
                                                                                      based apprentice or trainee and customise training plans   Select a number of apprentices/trainees and check their files to see if their Training Plan is
                                                                                      accordingly?                                               compliant.

                                                                                      If the training schedule changes in any way, the information
                                                                                      in your Student Management System must be updated as
                                                                                      well. The Training Plan must also be changed to reflect any
                                                                                      changes made.
34    The RTO must commence Structured Training within three                          Does your RTO have a process in place to ensure that         Detail the process for ensuring that all apprentices/trainees commence structured training   N/A
      months of the commencement date of the Training Contract for                    structured training commences within 3 months of the         within three months of the Training Contract Commencement Date.
      an Apprenticeship or Traineeship.                                               Training Contract Commencement Date?




35    The Training Plans must be signed by all relevant parties before                Does your RTO have a process in place to ensure that all     Place the names of the training staff in your RTO responsible for preparing training plans   N/A
      the commencement of structured training. A copy of the signed                   training plans are prepared and signed before structured     for new apprentices/trainees here:
      training plan must be provided to all parties before structured                 training commences? It must be clear that all parties were
      training commences.                                                             made aware of the planned training delivery and              List the system in place to ensure that the training plan is prepared and signed before
                                                                                      assessment.                                                  structured training commences.
      (School Based apprenticeships and traineeships also require the
      signature of the school's representative, and a copy must also be               Does your RTO provides copies of the signed training plans List the names of the staff members responsible for ensuring a copy the training plan is
      provided to the Australian Apprenticeship Centre within two                     to the employer and the apprentice/trainee before the      provided to all signatories, as well as to the Australian Apprenticeships Centre.
      months of the commencement of the Training Contract).                           commencement of structured training?

                                                                                      Does you RTO provide a copy of the Training Plan to the
                                                                                      Australian Apprenticeships Centre within two months of the
                                                                                      commencement of the Training Contract?




                                                                                                               J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls

                                                                                                                                                         Page 9 of 18
No.                                                                        Answer
                Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist   Tests                                                             Evidence/Actions Required                                           Improvement Plan or Evidence Retrieved
                                                                         (Yes/No/NA)
36    The Training Plan must include all of the requirements outlined in             Does your RTO provide the apprentice/trainee with a              Attach a number of random samples of training plans. Note the auditor will request a         N/A
      the Minimum Performance Standards including the name and                       training plan that has all of the details outlined in the        number of training plans relating to their randomly selected sample of apprentices/trainees.
      contact details of the RTO and employer, and the title of the                  Minimum Performance Standards?                                   The sample may include apprentices/trainees that commenced in the current contract year
      qualification to be obtained.                                                                                                                   and the previous contract year.
                                                                                     Does the Training Plan include the title of the qualification?   The training plans should not have any correction fluid used on them. All current
                                                                                                                                                      apprentices/trainees must have a compliant training plan.
                                                                                        Does the Training Plan include the name and contact details
                                                                                        of the RTO and employer?                                    Select a number of apprentices/trainees and check their files to see if their Training Plan is
                                                                                                                                                    compliant.




                                                                                                                  J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls

                                                                                                                                                            Page 10 of 18
No.                                                                    Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                            Tests                                                          Evidence/Actions Required                                                        Improvement Plan or Evidence Retrieved
                                                                     (Yes/No/NA)
37    The Training Plan must include the modules/units of competency              Does your RTO provide the name and code for each unit of Print out the Training Package requirements from the Training Support Network site and                     N/A
      to be obtained.                                                             competency on the Training Plan? Do the units match the cross reference with training plan. Provide the analysis here. The TSN site is available at:
                                                                                  Training Package requirements of the nationally recognised http://trainingsupport.otte.vic.gov.au/default.cfm
                                                                                  qualification?
                                                                                                                                             Select a number of trainees and check their files to see if their Training Plan is compliant.

38    The Training Plan must include the nominal SCH Hours for                        Do all of your training plans list the correct nominal hours for Indicate on the sample training plan that nominal hours are provided for each unit of          N/A
      competencies to be obtained.                                                    all competencies and do they agree with those listed in the competency.
                                                                                      purchasing guide?
                                                                                                                                                       Select a number of apprentices/trainees and check their files to see if their Training Plan is
                                                                                                                                                       compliant.

39    The Training Plan must include the scheduled hours for                          Does your RTO include the scheduled hours for achieving        Select a number of apprentices/trainees and check their files to see if their Training Plan is N/A
      competencies to be obtained.                                                    each competency in each unit?                                  compliant.

40    The Training Plan must include the timeframe for achieving                      Does your RTO include the proposed start and end dates         Select a number of apprentices/trainees and check their files to see if their Training Plan is N/A
      competencies.                                                                   for each module/unit of competency?                            compliant.

41    The Training Plan must include the delivery modes to be used.                   Do all training plans provided by your RTO outline the     Select a number of apprentices/trainees and check their files to see if their Training Plan is N/A
                                                                                      delivery modes? Delivery modes in the training plan should compliant.
                                                                                      reflect actual training delivered.

                                                                                      Do you ensure that the apprentice/trainee is made aware of
                                                                                      any changes in the delivery mode? Do you record any
                                                                                      discussions where delivery modes are discussed?
42    The Training Plan must include the training to be undertaken.                   Are the names and codes of all qualifications delivered by     Attach a copy of the current name and code of qualifications from NTIS with cross                N/A
                                                                                      your organisation current and correct?                         reference to the current code and number.

                                                                                                                                                     Select a number of apprentices/trainees and check their files to see if their Training Plan is
                                                                                                                                                     compliant.


43    The Training Plan must include the assessment details and                       Does the training plan identify who provides the training and Select a number of apprentices/trainees and check their files to see if their Training Plan       N/A
      arrangements, and the party/ies responsible for the delivery                    assessment, and how, when and where the assessment            includes these assessment details and arrangements.
      and/or assessment of each module/unit of competency.                            occurs?


44    The Training Plan must include the details (when, how & how                     Does your RTO track withdrawal information via the Training Review a sample of training plans or logs to be sure this information is being recorded.  N/A
      much) of the time allocated outside routine work duties for                     Plan or on a separate document which is signed and dated Refer to Minimum Performance Standards for minimum withdrawal times. In the event that
      structured training.                                                            by the employer and apprentice/trainee?                     the apprentice/trainee is not being provided with appropriate withdrawal periods, and the
                                                                                                                                                  issue can not be resolved by the RTO through consultation with the employer, the RTO
                                                                                                                                                  MUST report the non-compliance to the Manager, Apprenticeships Administration Branch,
                                                                                                                                                  Skills Victoria within 10 working days of becoming aware of this occurring.



45    The Training Plan must record Recognition of Prior Learning and                 Does your RTO record Recognition of Prior Learning (RPL) Review a random sample of Training Plans to be sure RPL is recorded. Place examples of N/A
      the SCHs achieved.                                                              on the training plan?                                    where RPL is recorded on Training Plans.

                                                                                      Are both the apprentice/trainee and employer made aware
                                                                                      of the student contact hours recorded as RPL when they
                                                                                      sign the Training Plan?

46    The Training Plan must include the SCH that apply to Credit                     Where does your RTO record Credit Transfer (CT) on the         Review a random sample of Training Plans to be sure this information is being recorded.          N/A
      transfer.                                                                       Training Plan?

                                                                                      Are both the apprentice/trainee and employer made aware
                                                                                      of the student contact hours recorded as CT when they sign
                                                                                      the Training Plan?

                                                                                      Have student fees been adjusted as a result of credit gained
                                                                                      through Credit Transfer ?




                                                                                                                J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls

                                                                                                                                                           Page 11 of 18
No.                                                                      Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                              Tests                                                             Evidence/Actions Required                                              Improvement Plan or Evidence Retrieved
                                                                       (Yes/No/NA)
47    The Training Plan must include evidence that training progress               Does your organisation record monthly monitoring of          Provide evidence of monthly monitoring against the Training Plan.                                N/A
      against the training plan has been monitored on a monthly basis.             progress against the Training Plan?
                                                                                                                                                Select a number of apprentices/trainees and check their files to see if there is evidence of
                                                                                                                                                monthly monitoring against the Training Plan.

48    The Training Plan must include any other specific requirements                Does your RTO make sure that all Training Plans include     Provide evidence to show that your RTO has advised the student and school that with:             N/A
      to be met in accordance with the Training Contract. (School                   any special requirements that must be met in the training   - part time school based apprenticeships and traineeships the apprentice/trainee must
      based apprenticeships and traineeships and part time school                   plan?                                                       participate in training for a minimum of 13 hours per week averaged over the duration of
      based apprenticeships and traineeships must have this identified                                                                          the training contract.
      on their Training Plan).                                                      Does your RTO where relevant indicate where the             - School based apprenticeships and traineeships, the Apprentice/Trainee must participate
                                                                                    traineeship is a school based apprenticeship or part time   in training for a minimum of 13 hours per week over the duration of the training contract.
                                                                                    school based apprenticeship and advise the student and      This must include at least one day per week which must be timetabled to be spent on the
                                                                                    school of the minimum requirements for training?            job or in training during the normal school week.

                                                                                                                                                Select a number of apprentices/trainees and check their files to see if their Training Plan is
                                                                                                                                                compliant.

49    The Training Plan must be updated, and re-signed by all parties               Does your RTO have a process in place to ensure that        Provide examples of a Training Plan that has been updated, and where all parties have            N/A
      when major changes are proposed.                                              when major changes are proposed, the Training Plan is       agreed to the proposed changes by signing the updated Training Plan.
                                                                                    updated and all parties agree to the changes by signing the
      For School Based Apprentices and Trainees, the RTO must                       updated Training Plan?                                      Detail the process your RTO follows to ensure that Training Plans are updated and re-
      arrange for the school to be a signatory to any substantial                                                                               signed by all parties.
      amendment to the Training Plan.                                               Does your RTO ensure that for School Bases Apprentices
                                                                                    and Trainees that the school signs off on any substantial
                                                                                    changes to the Training Plan?
      Reporting of Training Delivery
50    The RTO must enter into their Student Management System the                   Does your RTO record Credit Transfer on your Student        Provide examples of where CT is recorded. Write the apprentice's/trainee's name and              N/A
      nominal SCH for the modules/units of competency identified for                Management System for each apprentice/trainee who has       date of birth here so that their file may be referred to. Make sure that CT is recorded on
      Credit Transfer.                                                              had CT recorded on their training plans?                    the apprentice's/trainee's training plan.

                                                                                                                                                Who is responsible for completing this?

                                                                                                                                                What process do they follow?
51    The RTO must enter into their Student Management System the                   Does your RTO record RPL on your Student Management         Provide examples of where SCHs recognised under the RPL process are. Write the                   N/A
      number of SCH for the modules/units of competency recognised                  System for each apprentice/trainee who has had RPL          apprentices'/trainee's name and date of birth here so that their file may be referred to.
      through the RPL process.                                                      recorded on their training plans?                           Make sure that RPL is recorded on the apprentice's/trainee's training plan.

                                                                                                                                                Who is responsible for completing this?

                                                                                                                                                What process do they follow?
52    The RTO must report and confirm the previous month's training                 When a apprentice/trainee commences, does your RTO          Outline the process your RTO follows for ensuring that commencement and completion               N/A
      delivered on or before the last day of each month, via the GFTP               report, for each module/unit of competency, the             dates for each module/unit of competency, as well as SCH for competencies to be
      System (unless the apprentice/trainee completes training or                   commencement and completion date, as well as the            obtained, are reported to the GFTP System when a student commences.
      withdraws from training with the RTO).                                        scheduled contact hours for these competencies to be
                                                                                    obtained, via your SMS?                                     Review a sample of apprentices/trainees to ensure that the commencement and
      All claims must be consistent with the Training Plan and your                                                                             completion dates for each module/unit of competency, and the SCH reported are the same
      Student Management System, and be supported by evidence of                    Does your RTO ensure that the dates and SCHs reported       as appear on the signed Training Plan.
      participation.                                                                are per the apprentice/trainees signed Training Plan?
                                                                                                                                                Provide an example of an apprentice/trainee where the Training Plan has been updated.
                                                                                    Does your RTO have a process in place for updating the      Outline the process your RTO followed to ensure the GFTP System had been updated to
                                                                                    GFTP System if the Training Plan is updated?                reflect these changes.

                                                                                    Does your RTO routinely confirm the amount of training      Outline the process for ensuring claims are confirmed on a monthly basis for training that
                                                                                    delivered at the end of each month on the GFTP system?      has been delivered in the previous month.




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                                                                                                                                                      Page 12 of 18
No.                                                                     Answer
                Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                              Tests                                                            Evidence/Actions Required                                            Improvement Plan or Evidence Retrieved
                                                                      (Yes/No/NA)
      Evidence of Participation
53    The RTO must collect and retain for audit purposes, evidence of             Evidence of participation is clearly outlined in the Minimum Review a sample of apprentices/trainees to ensure that evidence of participation is being N/A
      participation for each apprentice/trainee in training. All SCHs             Performance Standards.                                       retained for them. Detail the results of your review and the type of evidence on file in your
      confirmed via the GFTP system must be supported by evidence                                                                              organisation to support the claims.
      of participation.                                                           Does your RTO have evidence to support the training
                                                                                  occurring as reported in your Student Management System
                                                                                  and on the students Training Plan?

      Trainer to Apprentice/Trainee Ratio
54    The RTO must maintain a ratio of not less that 1 full time qualified           Does your RTO maintain a ratio of 1 qualified trainer per 70 The total number of apprentices/trainees needs to be calculated to ensure that there is one N/A
      trainer per 70 eligible apprentices/trainees during the course of              apprentices/trainees?                                        trainer per 70 government funded trainees/apprentices. Calculate the figure and provide
      delivering the training.                                                                                                                    this in the evidence column.
      Completion of Training
55    When all competencies of the structured training have been                     Does your RTO ensure the employer has 'signed off'             Check a sample of completed files and provide evidence of the employer's written         N/A
      achieved the RTO can only issue the qualification to                           apprentices/trainees as competent when they have               confirmation of completion. Detail your procedure to ensure that the certificate of
      apprentices/trainees after the employer has returned a written                 completed their training and before you provide their          competency is placed on the apprentice/trainee file.
      sign off of the apprentice's/trainee's competency as an employee               qualification? Your organisation should have this written
      in the workplace.                                                              confirmation on file for all apprentice/trainee that have been
                                                                                     provided with their Qualifications/Statement of Attainment.



56    AQF qualifications issued following the completion of an                       Does your RTO include the appropriate wording on              Provide a copy of your statement of attainment and certificate with the wording clearly   N/A
      approved training scheme must contain on the certificate below                 certificates?                                                 outlined.
      the qualification title, the words "obtained under an approved
      Victorian Government apprenticeship (or traineeship) training                  If the apprentice/trainee was unemployed/suspended at the Select a number of apprentices/trainees and check their files to see if their statement of
      scheme."                                                                       time of the completion of training the qualification does your attainment and certificate is compliant
                                                                                     organisation omit the words acknowledging 'obtained under
                                                                                     an approved Victorian Government apprenticeship (or
                                                                                     traineeship) training scheme "?


57    The RTO must notify an Australian Apprenticeship Centre (AAC)                  Has your RTO reported changes in status of trainees and/or Check a random sample of files to show your policy and procedures are being                  N/A
      if an apprentice/trainee:                                                      apprentices when appropriate?                              implemented. Provide examples of where your organisation has reported a change in
      * Withdraws/terminates from training;                                                                                                     status of an apprentice/trainee to demonstrate the system of notification in place. Your
      * Transfers to another RTO;                                                                                                               RTO should access the DELTA database at least weekly, to identify new clients that have
      * Changes their address or employer address;                                                                                              nominated the RTO as the training provider.
      * Any changes of employment
      The RTO must notify an AAC and Skills Victoria within a day of
      becoming aware of the death of an apprentice/trainee.


58    When an apprentice/trainee withdraws or discontinues training                  Does your organisation ensure that when an                    Where apprentices/trainees have withdrawn from training with your RTO you need to make N/A
      the RTO must enter via the Student Management System for                       apprentice/trainee withdraws or discontinues training your    sure this is reported. When a apprentice/trainee withdraws or terminates their training,
      each module/unit of competency;                                                RTO enters via your Student Management System SCH             your organisation needs to provide an end date. Provide an example of a withdrawn
      * the SCH delivered to date; and                                               delivered to date?                                            apprentice/trainee, and/or detail the processes in place to ensure that withdrawals are
      * the date on which the withdrawal/discontinuation of training                                                                               reported.
      occurred.                                                                      Does your organisation ensure that when an
                                                                                     apprentice/trainee withdraws or discontinues training your
                                                                                     RTO enters via your Student Management System the date
                                                                                     on which the withdrawal or discontinuation of training
                                                                                     occurred?

59    The RTO must update the DELTA database with the completion                     Does your RTO have a process in place to ensure that the      Select a random sample of apprentices/trainees and attach their DELTA download forms.     N/A
      data and date of issuance of the qualification once a qualification            DELTA database is updated within two weeks of an
      has been issued.                                                               apprentice/trainee completing?
                                                                                     Please go to http://secure.otte.vic.gov.au/deltarto for
                                                                                     information on accessing DELTA.

                                                                                     Contact the Apprenticeships Administration Branch on 1300
                                                                                     722 603 if you require access or guidance on this program.




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                                                                                                                                                         Page 13 of 18
No.                                                                       Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist Tests                                                         Evidence/Actions Required                                               Improvement Plan or Evidence Retrieved
                                                                        (Yes/No/NA)
60    When an apprentice's/trainee/s Training Contract is completed,                Does your RTO have a process in place for ensuring all      Detail the process your RTO follows to ensure that all training delivery is reported and         N/A
      withdrawn or cancelled, final claims for the student must be made             training delivery is reported within 90 days of a students  confirmed within 90 days of the completion, withdrawal or cancellation of an
      within 90 days of the completion, withdrawal or cancellation date             Training Contract being completed, withdrawn or cancelled? apprentices/trainees Training Contract.
      on the Training Contract.
                                                                                    Does your RTO have a process in place to ensure all
                                                                                    training delivery is confirmed within 90 days of a students
                                                                                    Training Contract being completed, withdrawn or cancelled?



      Workplace Based Structured Training Requirements (MPS
      Clause 9)
61    Before the commencement of Workplace Based Training, the                         Do your RTO training staff meet with the workplace           Provide examples of meetings with a workplace supervisor and the evidence that you keep N/A
      RTO must have the trainer meet with the apprentice's/trainee's                   supervisor before training commences?                        on file to substantiate the meeting.
      workplace supervisor.                                                            Your organisation should have evidence of a meeting
                                                                                       between RTO training staff and the workplace supervisor.
                                                                                       The Training Plan must be signed off at this point.
                                                                                       This meeting must occur after the development of the
                                                                                       training plan and before the commencement of training.
62    When the trainer meets with the apprentice's/trainee's workplace                 Does your RTO ensure that when they meet with the            Sample apprentices/trainees who are undertaking workplace based training and check for       N/A
      supervisor they must:                                                            workplace supervisor that all of the supervisor’s            evidence of meetings that includes all dot points. For example a checklist/notes signed by
      * Outline the supervisor’s responsibilities;                                     responsibilities are outlined?                               workplace supervisor.
      * Outline the purpose of the ensuing face to face visits;
      * Outline the key features of the training plan and
      * Sign off the training plan with the supervisor/employer.
63    In addition to the induction visit, the RTO must, after the                      Does your RTO ensure there is a minimum of 4 face to face Evidence on apprenticeships/trainee files should show that at least four visits are             N/A
      commencement of training, make a minimum of four (4) face to                     visits per year with the trainee/apprentice at which training occurring. Evidence may be in the form of a checklist or notes of the meeting signed by the
      face training visits per training year.                                          occurs?                                                       workplace supervisor.
64    During the face to face visits the RTO must:                                     Does your organisation ensure that the face to face visits   Note that while these face to face visits may include assessment, assessment only activity N/A
      * meet with the apprentice/trainee external to their direct work                 comply with the minimum requirements outlined in the         is not sufficient to comply with this requirement. Sample a number of apprentices/trainees
        environment to discuss progress in relation to the Training                    contract?                                                    and detail the training that occurs as a matter of course in these visits.
      Plan;
      * deliver training consistent with the delivery strategy and in
        accordance with the Training Plan, and document the training
        provided (while this may include assessment, assessment only
      activity is not sufficient to comply with this requirement); and
      * verify the visit by obtaining the signature of the
      employer/workplace supervisor and apprentice/trainee and date
      this record.


65    The RTO training staff must make monthly contact by either e-                    Does your training staff make at least monthly contact with Proved examples of trainers meeting with the workplace supervisor and the evidence that N/A
      mail, fax or phone with both the trainee/apprentice and the                      the apprentice/trainee?                                     you keep on file to substantiate the meeting. Detail the process for monthly checking and
      workplace supervisor to:                                                                                                                     documentation to substantiate on file.
      * monitor the progress of training against the Training Plan;                     Does the trainer document all of the information in the
      * document the training/learning activities undertaken during the                adjoining dot points?                                       Evidence of monthly contact must be sighted. Simply stating that the contact took place is
         withdrawal time for the previous month; and                                                                                               not sufficient - the evidence should specify what progress was discussed, and specifically
      * record the dates and time periods the apprentice/trainee                                                                                   document withdrawal time. The withdrawal time should match any on site log of withdrawal
      logged as withdrawal time in the previous month.                                                                                             time as well.

                                                                                                                                                    Note: appropriately qualified training staff must make this contact.




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                                                                                                                                                          Page 14 of 18
No.                                                                       Answer
                Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                               Tests                                                               Evidence/Actions Required                                               Improvement Plan or Evidence Retrieved
                                                                        (Yes/No/NA)
66    The RTO must ensure that where training is at AQF level 3 or                  Does your RTO ensure at monthly contacts that the              In the event that the Apprentice/Trainee is not being provided with appropriate withdrawal        N/A
      above, all apprentices/trainees are withdrawn from routine work               employer is withdrawing the apprentice/trainee for the         periods, and the issue can not be resolved by the RTO through consultation with the
      duties for a minimum of three hours per week, averaged over a                 required training periods?                                     employer, the RTO MUST report the non-compliance to Skills Victoria.
      four week cycle for the purpose of undertaking structured
      training/learning activities (pro rata for part time                          Does your organisation contact Skills Victoria where this is   Is there a log to record that any full time apprentice/trainee has been withdrawn from
      apprentices/trainees and/or only for the duration of competencies             not happening?                                                 routine work duties for a minimum of 3 hours per week average over a 4 week cycle (pro-
      delivered and assessed in the workplace if the training program                                                                              rata for part time) for the purpose of training? If required, the RTOS log could be verified by
      combines on campus and workplace delivery).                                                                                                  a workplace log e.g. trainees record book or timesheet signed weekly by a workplace
                                                                                                                                                   supervisor. The RTO should at the monthly contact enquire as to whether the employee
                                                                                                                                                   from routine work for three hours. If this is not happening it must be reported to
                                                                                                                                                   Apprenticeship Administration Branch, Skills Victoria on 1300 722 603.




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                                                                                                                                                         Page 15 of 18
No.                                                                        Answer
                 Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance ChecklistTests                                                               Evidence/Actions Required                                                Improvement Plan or Evidence Retrieved
                                                                         (Yes/No/NA)
67    The RTO must ensure that where training is at AQF levels 1 and                 Does your RTO ensure at monthly contacts that the              In the event that the Apprentice/Trainee is not being provided with appropriate withdrawal      N/A
      2 or above, all apprentices/trainees are withdrawn from routine                employer is withdrawing the trainee/apprentice for the         periods, and the issue can not be resolved by the RTO through consultation with the
      work duties for a minimum of 1.5 hours per week, averaged over                 required training periods?                                     employer, the RTO MUST report the non-compliance to Skills Victoria.
      a eight week cycle for the purpose of undertaking structured
      training. (pro rata for part time apprentices/trainees and/or only             Does your organisation contact Skills Victoria where this is   Is there a log to record that any full time apprentice/trainee has been withdrawn from
      for the duration of competencies delivered and assessed in the                 not happening?                                                 routine work duties for a minimum of 1.5 hours per week average over a eight week cycle
      workplace if the training program combines on campus and                                                                                      (pro-rata for part time) for the purpose of training? If required, the RTOs log could be
      workplace delivery)                                                                                                                           verified by a workplace log e.g. trainees record book or timesheet signed weekly by a
                                                                                                                                                    workplace supervisor. The RTO should at the monthly contact enquire as to whether the
                                                                                                                                                    employee from routine work for 1.5 hours. If this is not happening it must be reported to
                                                                                                                                                    Apprenticeship Administration Branch, Skills Victoria on 1300 722 603.




      PETP - TRAINING DELIVERY REQUIREMENTS
      Training Plans
68    The RTO must prepare a Training Plan either for a group of                       Does your RTO ensure that all students/groups have           Attach a copy of the training plan used by your RTO.                                            J:\TRAINING\COURSES\2009 Courses\MASTER Training
      students in a submission (collective training plan) or for an                    compliant training plans?                                    List any changes required to ensure your Training Plan is compliant.                            Plans
                                                                             Yes
      individual student.                                                                                                                           Select a number of students and check their files to see if the training plan is compliant.     http://www.skills.vic.gov.au/industry/recruiting/training/plan/

69    The Training Plan must be prepared, and signed by the RTO and                    Does your RTO have a process in place to ensure that all     Place the names of your staff in your RTO responsible for preparing training plans for new      Training plan developed during discussions with extension
      student/s before the commencement of training. A copy of the                     training plans are prepared and signed before training       students here: Barry Dignam and Lisa Shakes                                                     officers. Once course is confirmed the training plan and the
      signed Training Plan must be provided to each student before                     commences?                                                   Detail the system in place to ensure that the training plan is prepared and signed before       assessment plan are finalised and ready for distribution.
                                                                             Yes
      training commences.                                                              Does your RTO provide copies of the signed training plans    training commences.                                                                             Training plan is signed (group) on the day of course
                                                                                       to each student before training commences?                                                                                                                   commencement.

70    The Training Plan must include all of the requirements outlined in               Does your RTO provide the student with a training plan that Attach a number of random samples of training plans.                                             J:\TRAINING\COURSES\2009 Courses\MASTER Training
      the Minimum Performance Standards including the name/s of the                    has all of the details outlined in the Minimum Performance Note the auditor will request a number of training plans relating to their randomly selected      Plans further available J:Training\Courses\2008 - 2007
      students, name and contact details of the RTO and employer (if                   Standards, Clause 7?                                           sample of trainees/apprentices.
      applicable), and the title of the qualification to be obtained.                                                                                 The sample may include students that are currently participating in PETP in 2009, or
                                                                                       Does the Training Plan include the title of the qualification? participated in the PETP program in 2008.
                                                                             Yes       Does the Training Plan include the name and contact details The training plans should not have any white out used on them. All current
                                                                                       of the RTO and employer (if applicable)?                       trainees/apprentices must have a compliant training plan.

                                                                                                                                                    Select a number of students and check their files to see if their Training Plan is compliant.



71    The Training Plan must include the modules/units of                              Does your RTO provide the name and code for each unit of Print out the training package requirements from the training support network site and          J:\TRAINING\COURSES\2009 Courses\09CIDT01 (Games
      competencies to be obtained.                                                     competency on the Training Plan?                            cross reference with the training plan. Provide the analysis here. The TSN site is available Coucil NSW)\09CIDT01 (Games Coucil NSW)\09CIDT01 -
                                                                                       Do the units match the training package requirements of the at http://trainingsupport.otte.vic.gov.au/defaults.cfm                                       CIDT Level 2 Training Plan.doc
                                                                             Yes
                                                                                       nationally recognised qualification?
                                                                                                                                                   Select a number of students and see if their training plan is complaint.

72    The Training Plan must include the scheduled hours for                           Does your RTO include the scheduled hours for achieving   Select a number of students and check their files to see if their training plans are compliant. J:\TRAINING\COURSES\2009 Courses\09CIDT01 (Games
      achieving competencies.                                                Yes       competency in each unit?                                                                                                                                  Coucil NSW)\09CIDT01 (Games Coucil NSW)\09CIDT01 -
                                                                                                                                                                                                                                                 CIDT Level 2 Training Plan.doc
73    The Training Plan must include the commencement date and the                     Does your RTO include the commencement and completion Select a number of students and check their files to see if their training plans are compliant. J:\TRAINING\COURSES\2009 Courses\09CIDT01 (Games
      completion date for each module/unit of competency.                    Yes       dates for each module/unit of competency?                                                                                                                 Coucil NSW)\09CIDT01 (Games Coucil NSW)\09CIDT01 -
                                                                                                                                                                                                                                                 CIDT Level 2 Training Plan.doc
74    The Training Plan must contain the training method (delivery                     Do all Training Plans contain the training method to be   Select a number of students and check their files to see if their training plans are compliant. J:\TRAINING\COURSES\2009 Courses\09CIDT01 (Games
      mode) to be used?                                                      Yes       used? Delivery modes in the Training Plan should reflect                                                                                                  Coucil NSW)\09CIDT01 (Games Coucil NSW)\09CIDT01 -
                                                                                       actual training delivered.                                                                                                                                CIDT Level 2 Training Plan.doc
75    The Training Plan must include the assessment details and                        Does the Training Plan identify who provides the training Select a number of students and check their files to see if their training plans are compliant. J:\TRAINING\COURSES\2009 Courses\09CIDT01 (Games
      arrangements.                                                                    and assessment, and how, when and where the                                                                                                               Coucil NSW)\09CIDT01 (Games Coucil NSW)\09CIDT01 -
                                                                             Yes
                                                                                       assessment occurs?                                                                                                                                        CIDT Level 2 Training Plan.doc

76    The Training Plan must record Recognition of Prior Learning and                  Does your RTO record Recognition of Prior Learning (RPL)      Review a random sample of training plans to be sure this information is being recorded.        J:\TRAINING\COURSES\2009 Courses\09CIDT01 (Games
      the SCHs achieved.                                                     Yes       on the Training Plan?                                                                                                                                        Coucil NSW)\09CIDT01 (Games Coucil NSW)\09CIDT01 -
                                                                                                                                                                                                                                                    CIDT Level 2 Training Plan.doc




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                                                                                                                                                          Page 16 of 18
No.                                                                  Answer
               Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                              Tests                                                             Evidence/Actions Required                                                Improvement Plan or Evidence Retrieved
                                                                   (Yes/No/NA)
      PETP - Reporting of Training Delivery
77    The RTO must not apply funding towards modules/units of                     Your RTO must check with the participant to ensure that        Describe your process to ensure that prior training is disclosed or any current                 J:\TRAINING\COURSES\ENROLMENT
      competency which have been formally recognised or are being                 training has not already been delivered to the participant.    traineeship/apprenticeship is disclosed. Enrolment form is used to question enrolees on         DETAILS\Enrolments\Masters latest versions
      provided under a training contract.                              Yes        Does you RTO check on prior competencies which the             previous or similar training. ICARE student management software picks up duplicate
                                                                                  participant may have been awarded?                             entries.
78    Within one month of the commencement date for each                             Has your organisation reported and confirmed the number     Select a random sample of submissions and check that the SCH have been reported and             To date no training has been funded but last AVETMISS
      submission the RTO must report and confirm the number of SCH                   of SCH delivered within a month of the commencement         confirmed.                                                                                      upload was completed in July 2009.
                                                                           Yes
      that have been delivered.                                                      date.

79    The RTO must report and confirm, on or before the last day of                  Does your RTO report, for each module/unit of competency, Select a random sample of submissions and check that the SCH have been reported and               To date no training has been funded but last AVETMISS
      each month, in the GFTP system, the number of hours delivered                  the commencement and completion date, as well as the      confirmed and that there is evidence of participation to support the SCH claimed.                 upload was completed in July 2009.
      to the students in the preceding month.                                        scheduled contact hours for these competencies to be
                                                                                     obtained, via your SMS?
      All claims must be consistent with the Training Plan and your
      Student Management System, and be supported by evidence of                     Does your RTO ensure that the dates and SCHs reported
      participation.                                                                 are per the students signed Training Plan?
                                                                           Yes
                                                                                     Does your RTO have a process in place for updating the
                                                                                     GFTP System if the Training Plan is updated?

                                                                                     Does your RTO routinely confirm the amount of training
                                                                                     delivered at the end of each month on the GFTP system?



80    The RTO must, after all student contact hours have been                        Does your organisation enter a completion date for each     Select a random sample of submissions that have been recently completed to verify this.         Compliant to allow for assessment periods post course.
      delivered, enter a correct completion date in their Student                    submission in your Student Management System?
                                                                           Yes
      Management System.

80    AQF qualifications issued following the completion of an                       Does your RTO include the appropriate wording on            Provide a copy of your statement of attainment and certificate with the wording clearly         Compliant J:\TRAINING\ADMINISTRATION\AQTF
      approved training program must contain on the certificate below                certificates?                                               outlined.                                                                                       STANDARDS\internal policies & procedures TOC.doc
      the qualification title, the words "obtained under an approved                                                                                                                                                                             Try also 1080 print-out
                                                                           Yes
      Victoria Government Training Program."                                                                                                     Select a number of trainees and check their files to see if their statement of attainment and
                                                                                                                                                 certificate is compliant

      Evidence of Participation
82    The RTO must collect and keep evidence of student participation                Does your organisation keep evidence of participation to    Check a random sample of students in a submission against the claims made to ensure             Evidence as signatures on either / both training Plan (group)
      in training for each module/unit of competency delivered to date               support delivered SCH?                                      that evidence of participation is being retained.                                               or attendance list; Evidence also includes assessment
      for all PETP submissions delivered.                                                                                                                                                                                                        completed where appropriate.
                                                                           Yes       Evidence of participation is clearly outlined in the MPS.   Your RTO must have evidence to support the training occurring as reported in your
                                                                                     Does your RTO only confirm the delivered hours up to the    Student Management System and on the students Training Plan.
                                                                                     nominal hours for a unit of competency where there is
                                                                                     sufficient evidence of participation in training?




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                                                                                                                                                       Page 17 of 18
No.                                                                   Answer
                Department of Primary Industries Knoxfield RTO 3876
        Criteria for compliance against Performance Agreements 2009 Internal Audit Contract Compliance Checklist
                                                                                                              Tests                                                              Evidence/Actions Required                                               Improvement Plan or Evidence Retrieved
                                                                    (Yes/No/NA)
      Training Delivery
83    A PETP submission must commence within one month of the                     Does your RTO ensure that for each submission, training         Look at the submission commencement dates on your Attachment T. Have all submissions Barry Dignam completed variation requests on 5/03/2009,
      commencement date on the Attachment T.                                      delivery commences within one month of the                      commenced within one month of this date? No                                          14/04/2009, 17/05/2009 and 27/07/2009
                                                                                  commencement date on the Attachment T?
      A variation to the commencement date must be lodged on the        Yes                                                                       Attach examples of any variation requests that have been submitted to the GFTP System
      GFTP System, before the contracted commencement date, if                    Does your RTO have a process in place to ensure that if         when a PETP submission was not able to be commenced within one month.
      training delivery cannot commence within one month.                         training can not commence within one month, that a
                                                                                  variation request is lodged on the GFTP System?
84    The RTO must deliver the Services to the target group/s                     Does your RTO deliver to the target group as specified on       Look at Attachment T to check compliance with the criteria for funding. For example:         Compliant - AVETMISS and SDSV creates checks for
      specified in the Attachment T (only relevant for certain Purchase           Attachment T? Does your organisation have a                     Industry Priorities - must be delivered to the target groups identified;                     criteria. Funding is not claimed for non-criteria enrolments.
      Schedule Sectors)                                                           process/procedure to verify that participants qualify as        Persons with Disabilities - staff need to be appropriately experienced and trained, etc; and
                                                                                  belonging to the target group as specified on Attachment T?     Mature Age Priority Training - must be delivered to people aged between 35 and 64 without
                                                                                                                                                  Yr 12 or equivalent enrolled in a qualification at Certificate III or above.
                                                                           Yes
                                                                                                                                                  Detail how your organisation is ensuring compliance against the criteria for funding.

                                                                                                                                                  Ask the questions "What group of participants did you deliver training to?" How do you
                                                                                                                                                  justify the participants as eligible for the submission?

85    The RTO must deliver training to eligible participants as defined           Does your organisation check the eligibility for each           Select a random sample of students and verify that evidence has been retained to support Compliant SDSV creates this check and funding is denied.
      in Attachment T. For all categories, RTOs must deliver training to          participant under MPS clause 3.1?                               eligibility.
      ordinarily Victorian Residents as defined under Section 3.1 of the   Yes
      MPS.

86    The RTO must deliver all their submissions in the correct region            Do you deliver all of your training in the region as required   For each submission detail the address for delivery of training. Attach here.                 Compliant - address details avaliable on course / pro-forma /
      as outlined on the Attachment T                                             and outlined on each submission?                                                                                                                              flier/ invoice
                                                                           Yes


87    The courses the RTO is delivering must be the funded courses                Does your RTO ensure that the appropriately funded              Check the courses you are delivering against those listed on Attachment T.                    Yes - compliant checked in SVTS
      as listed on the Attachment T                                               courses are delivered to the participants ?
                                                                           Yes



                                                                                   IMPROVEMENT PLAN
          Criteria for Compliance against Performance                             IMPROVEMENT MEASURES
                          Agreements
                                                                                                                                                                                                                                                SMART quality indicaors process to be created - Lisa
                                                                                  Implementation of AQTF 2007 SMART indicators                                                                                                                  Shakes
                                                                                  Review version control register                                                                                                                               Update docs and dates etc
                                                                                  Fees and charges policy                                                                                                                                       update to include new funding etc
                                                                                  Training Plan                                                                                                                                                 create one for Weedstop Program




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                                                                                                                                                        Page 18 of 18