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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

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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

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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

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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

10

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

11

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.

12

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: …………………………….