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DESK AUDIT – RE-REGISTRATION
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RTO DETAILS
RTO Name Yawley Ptd Ltd TOID 20947
Address Suite 4 424 - 426 Nepean Highway FRANKSTON, 3199 VIC
Registration Contact Ms April Alvarez
Phone Number 1300 769 989
OVER VIEW OF RTO
Overview of Organisation Trading name is Assessing and Training Services and was established in 2000.
Training Overview
All training has a work based component with 70% of delivery being work based. The
RTO specialises in Transport and Logistics (Warehousing & Storage) with delivery in
hospitality and retail. All qualifications on scope are Certificate I, II, III or IV. This year
there is an increase in Certificate III Transport and Logistics (Warehousing & Storage)
being delivered across Victoria at 14 sites and is delivered by a combination of work
based and classroom based. All delivery is in Victoria although the RTO has on scope
delivery in each state and the ACT.
Student Numbers Current 129 . 2009 total student numbers 72
Other Relevant Information
Audit Date 29th October, 2010
FOCUS OF AUDIT
QUALIFICATION/UNIT OF COMPETENCE/ACCREDITED COURSE
NTIS Code Qualification/Unit of Competence/Accredited Course (as per NTIS) Delivery
Site
BSB40307 Certificate IV in Customer Contact workbased
SIR40207 Certificate IV in Retail Management workbased
SIR20207 Certificate II in Retail workbased
SIT20207 Certificate II in Hospitality workbased
SIT30707 Certificate III in Hospitality workbased
TLI40207 Certificate IV in Transport and Logistics (Road
Transport)
workbased
TLI40107 Certificate IV in Transport and Logistics (Warehousing workbased
DESK AUDIT – RE-REGISTRATION
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and Storage)
Administration
AUDIT TEAM
Lead Auditor Bernadette Delaney Auditor
VRQA DETAILS
Contact Person Katherine Papastathopoulos Audit Officer
Phone Number 03 9651 3225 E-mail papastathopoulos.katherine.a@edumail.vic.gov.au
DESK AUDIT – RE-REGISTRATION
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EXECUTIVE SUMMARY OF AUDIT OUTCOMES
All compliant except condition 6 which was non compliant.
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Reference Audit Requirement Recommendations Compliance Status
AQTF
Element 1.4
1. Trainers and assessors
are suitably qualified and
have the appropriate
vocational competencies
Suggestion for improvement
It is suggested that trainer matrices includes dates of relevant
work and relevant professional development to demonstrate
current industry skills.
Compliant.
AQTF
Element 1.2,
1.3, 1.5
Guideline
5.1
2. The RTO adheres to all
training and assessment
requirements of the
Course
Suggestions for improvement
It is suggested that all TASs are signed by the RTO Manager.
It is suggested that resources such as staff and
facilities/equipment required to demonstrate competence be
recorded on TAS.
It is suggested that the unit of competency title on SIT30707 –
core unit SITHIND003A Apply and coordinate hospitality
service be corrected to the correct title Provide and coordinate
hospitality service .
It is suggested that the TAS for TLI30107 be corrected on
page 2 where it states 28 units of competency instead of 21
units of competency
Compliant
DESK AUDIT – RE-REGISTRATION
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Reference Audit Requirement Recommendations Compliance Status
AQTF
Element 1.2,
1.5
3 The RTO plans and
implements appropriate
learning and assessment
strategies to meet the
needs of its clients
Suggestions for improvement
It is suggested that the practical assessment tool for
SITXHRM001A Coach others in job skills addressed in further
depth all of the critical aspects of evidence in particular ability
to provide supportive on-the-job coaching with constructive
and supportive feedback and that the
Trainer observation checklist reflect this emphasis.
It is suggested the the oral questions for SIRXMGT003A Lead
and manage people would be improved if they did not
reiterate the performance criteria but rather provided the
learners with a problem or a case study where they had to
provide thoughtful solutions.
It is suggested that the critical aspects of assessment be more
fully integrated into the practical exercise for SIRXMGT003A
Lead and manage people which is far more limited that
suggested by the requirements of this unit of competency.
It is suggested that the practical assessment tool for
SITXCOM001A Work with colleagues and customers
addressed in further depth all of the critical aspects of
evidence in particular “ability to communicate effectively with
customers and colleagues (including those with special needs)
Compliant
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Reference Audit Requirement Recommendations Compliance Status
within a range of situations required for the relevant job role.”
AQTF
Element 1.2
4. The delivery hours for
each qualification are
satisfactory to ensure
proper outcome as per the
requirements of the course
Compliant
AQTF
Condition 9
5. The RTO is delivering
currently endorsed
courses and/or units
Compliant
AQTF
Element 3.2
6. The RTO has a formal
written agreement with all
organisations that provide
training and assessment
on its behalf and that
these agreements are
satisfactory
Not applicable
AQTF 7. Qualification certificates
meet the requirements of
Recommendation Non Compliant
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Reference Audit Requirement Recommendations Compliance Status
Condition 6 the AQTF Essential
Standards and Conditions
for Continuing Registration
It is recommended that testamur for Statement of Attainment
on the back of the certificates be corrected to be statement of
results. As reflected in the protocol in the Australian
Qualifications Framework-‘A Statement of Attainment is issued
by a Registered Training Organisation when an individual has
completed one or more units of competency from nationally
recognised qualification(s)/course(s) – whereas the RTO has
used a Statement of Attainment as a Statement of Results on
the back of a completed Certificate qualification.
AQTF
Element 2.3
Guideline
3.1
8. Clients are provided
with accurate and
sufficient information to
make an informed choice
about their enrolment
and/or entering into an
agreement.
Compliant
AQTF
Element 1.1,
2.1, 3.1
Guideline
2.1, 2.3
9. The RTO continually
assess the quality of its
training and assessment
activities and is active in
implementing
Compliant
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Reference Audit Requirement Recommendations Compliance Status
improvements
VRQA Guidelines For VET Providers - Re-registration Audit Checklist
Guideline
Reference
Guideline Area Documents to be obtained
NOTE: REVIEW OF THESE DOCUMENTS WILL BE
PERFORMED BY THE VRQA
Yes No Document
Reference
1.1 The provider must present a current strategic plan and a detailed business plan which have been approved by its
governing body.
1.1.1 Strategic Plan 1. Approved Strategic Plan for 3-5 years.
o Please determine date of last review of Strategic Plan
Strategic
plan 2010-
2012
1.1.2 Business Plan 2. Approved Business Plan – minimum 3 years.
o Please determine date of last review of Business Plan
Business
Plan 2010-
2013
1.2 The provider must demonstrate its financial viability and its capacity to sustain quality VET operations into the future
1.2.1 &
1.2.2
Financial Plan 3. Current audited or approved/signed financial statements with prior year comparatives.
o Should contain the following:
o cash flow statement, profit & loss statement and balance sheet
o explanatory notes supporting the financial statements
Financial
statement
1.2.3 Declaration of persons
as per Sec 4.3.11(2) of
ETR Act
4. RTO declaration that details all persons that would be involved in the management or provision of courses, that would fall into the categories as listed in section 4.3.11(2) of the Education & Training Reform Act 2006.
Declaration
provided
1.3 The provider must provide information about its management systems
1.3.1 Information
Management
5. Evidence of company incorporation in Australia.
o Copy of company Certificate of Registration and/or Certificate of Incorporation (alternatively evidence of being an incorporated body in receipt of government funds)
o Copy of Certificate of Registration of Business Name
o Copy of full ASIC details
Management
Systems
overview
6. Details of the physical address of the company in Victoria for the purposes of serving notices (cannot be mailbox).
7. Details of the names of Directors, CEO/PEO and senior management members and associated police checks, as well as working with children checks if any students may be under 18 years.
Police and
working
with
children’s
checks not
provided as
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Guideline
Reference
Guideline Area Documents to be obtained
NOTE: REVIEW OF THESE DOCUMENTS WILL BE
PERFORMED BY THE VRQA
Yes No Document
Reference
still being
obtained.
8. Evidence that shows that at least one Director or PEO/CEO have their principal residence in Victoria. (E.g. drivers licence, rental agreement, current rates or utilities bill).
Driver’s
licence of
CEO
9. Contact details for CEO / PEO including during school holidays and other close down periods.
CEO
10. Physical addresses of the location of financial, student and staff records including archives and computer back-up storage.
1.3.2 Financial management
systems and student
fees
11. Details of the financial management system(s) that the RTO is using.
MYOB
12. Details of the RTO’s system for managing student fee receipts and providing student refunds (I.e. policy and procedure document).
Policy &
procedure
not provided-
summary
paragraph
only
1.3.6 Additional requirements
(ESOS Only)
13. Details of (ESOS Only):
o Any education and migration agents that have more than 5% ownership in the RTO (company)
o The extent of the involvement of agents in collecting, managing and refunding student fees
o The system in place for securing student fee payments from the receipt of fees to the students’ commencement of studies.
1.6 The provider must report significant changes in its control, management or operations to VRQA and other regulatory
agencies
1.6.1 Notification of significant
changes to the VRQA
14. Details (I.e. policy and procedure document) of how the RTO will fulfil their obligations to notify the VRQA of any substantial changes to its:
o control, management or operations
o financial viability or debt ratio
o financial Guarantor arrangements
o membership status of any Tuition Assurance Scheme or fee insurance arrangement
o system for securing student fee payments from the
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Guideline
Reference
Guideline Area Documents to be obtained
NOTE: REVIEW OF THESE DOCUMENTS WILL BE
PERFORMED BY THE VRQA
Yes No Document
Reference
receipt of fees to the students’ commencement of studies.
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Desk Audit Re-registration
Acceptance Form
RTO Name: Yawley TOID: 20947
RTO Contact: April Alvarez Contact Phone Number: 1300769 989
Audit Type: Desk Reregistration Audit Date:29th October
Auditor’s Name: B.Delaney
The RTO accepts the findings of the audit in full Yes / No
OR
Where the RTO disputes the audit findings the reasons should be detailed in the “Provider Comments” document attached. This page together with any comments on the audit findings should be
faxed or e-mailed back to the auditor within four days of the audit visit.
Auditor’s Signature: …………………………………… CEO’s Signature: ……………………………………
(or authorised representative)
Name of Auditor: ………B.Delaney……………………………… Name of CEO: ……………………………………..
(or authorised representative)
Date: ………29th October, 2010……………………… Date: …………………………….