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Financial Audit Checklist Xls document sample
Document Sample
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.
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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.
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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.
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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?
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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 ?
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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
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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?
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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
J:\TRAINING\ADMINISTRATION\AQTF STANDARDS\audits\Internal Audit checklist - July 09.xls
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