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NARA Audits

NARA Audit Model

The NARA audit model provides a contemporary regulatory approach for training organisations that have their registration and audit functions managed by NARA.

 

Initial Registration as an RTO with NARA

To ensure that training organisations seeking initial registration with NARA are properly prepared for a NARA audit, NARA requires all applicants to engage the services of a NARA-approved Quality Consultant. See this List of Endorsed Quality Consultants.

Once the Quality Consultant is confident that the applicant is ready for audit, he/she will provide formal confirmation of this to the relevant NARA Client Relationship Manager, who will then assign an independent Lead Auditor to undertake the applicant’s initial audit.

NARA’s Client Relationship Managers are responsible for overseeing audits and any complaints investigations for specific types of RTOs: private providers, enterprise RTOs, public providers (including TAFEs), providers with overseas students, etc. The aim is to build a level of knowledge within NARA of the circumstances and issues common to different types of providers to inform judgements about good practice and risk.

Once the Lead Auditor is satisfied that an initial application for RTO status meets the AQTF 2007 Essential Standards for Registration (and for South Australian RTOs the Guidelines issued by the Training and Skills Commission) he/she will provide a copy of the Audit Report to the relevant Client Relationship Manager for sign-off. If the Client Relationship Manager is satisfied with the auditor’s recommendation that compliance requirements have been met, he/she will forward the Audit Report to the General Manager NARA for registration on NTIS.

Where an applicant also seeks approval under the Education Services for Overseas Students Act 2000 (ESOS Act) the same process will apply, with the Quality Consultant assisting the applicant to prepare for audit against both sets of requirements (AQTF & ESOS) and the independent Lead Auditor checking compliance against both sets of standards.

 

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Existing RTOs Registered with NARA

Existing RTOs registered with NARA seeking re-registration or major changes to scope of registration must use a NARA-endorsed Quality Consultant in preparation for audit.

However existing RTOs seeking to add qualifications or units of competence from Training Packages they already have experience with will not be required to use the services of a Quality Consultant prior to audit.

NARA will assign the same Lead Auditor (with a rotational team of other auditors and technical experts) to an RTO over the period of their registration. In this way it is hoped that the Lead Auditor will gain a comprehensive understanding of the RTO’s continuous improvement processes and its development as a training organisation.

The State and Territory Government Officials Committee agreed that there is no need for an RTO transferring to NARA to re-register or undergo an audit associated with the transfer. At the time of transfer, an RTO’s existing period of registration will remain the same.

The only change to the RTO’s registration is that NARA becomes the delegated registering body managing its audit and registration.

 

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Process Charts

Three NARA processes have been developed to meet the specific needs of:

 

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Risk Management Strategy

NARA’s Risk Management Strategy follows the AQTF 2007 National Guidelines for Risk Management. A copy of this document and further information on the risk ratings applicable to RTOs can be found at www.training.com.au/aqtf2007

NARA will adopt a risk management approach to the auditing of RTOs to determine the extent to which an RTO will be monitored and audited throughout its registration period.

In line with contemporary models of regulation, RTOs that have a lower risk rating can expect a lower level of quality assurance intervention from NARA.

 

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Sufficiency of Evidence at Audit

The AQTF 2007 does not specify how much evidence RTOs must keep for auditor scrutiny and to demonstrate their compliance with the AQTF 2007 Standards. There are clearly major challenges in the storage of hard copy documentation and other physical forms of evidence for long periods of time.

Therefore to assist RTOs wishing to transfer their registration to NARA, and to provide guidance to NARA’s auditors and endorsed Quality Consultants, NARA has developed Five Principles of Good Practice for determining Sufficiency of Evidence.

5 Principles for Sufficiency of Evidence [54kb]

 

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Site Audits

Depending on an RTO’s risk rating a site audit may be conducted in any of the following circumstances:

  • at the time of the initial Application for Registration;
  • when an RTO applies for an extension to its Scope of Registration;
  • when an RTO applies for Renewal of Registration;
  • as part of a compliance monitoring process to evaluate continued compliance with the AQTF 2007 Essential Standards for Registration;
  • as part of a national strategic industry audit; and/or
  • as part of an investigation of a complaint made against an RTO.

Where a new RTO is registered for the first time by NARA, a follow-up site audit will be conducted within the first twelve months of the RTO’s operation.

 

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Lead Auditors

NARA intends to assign the same Lead Auditor, together with a rotational team of other auditors and technical experts (as required) to an RTO over the period of its registration. This is in the interests of building a comprehensive picture of the RTO’s continuous improvement and development as a training organisation.

 

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NARA Service Standards - 2008

The following initial service standards will apply to NARA processes undertaken during the first six month of NARA’s operations:

  • the processing of applications that require a site audit will be achieved within eight weeks of receipt of the application; and
  • the processing of applications that only require a desk audit will be achieved within four weeks of receipt of the application.

Data and an analysis of NARA processing times after the first six months of operation will be published on the NARA website. The initial service standards will be reviewed at that time in order to ascertain whether or not NARA processing times can be improved.

 

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Schedule of Fees

Please refer to the NARA Fee Schedule.

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Frequently Asked Questions

Answers to Frequently Asked Questions.

Print this page | last updated: 23 Jun 2008 12:17pm