Each group training organisation (GTO) is required to conduct its own annual self-assessment.
Compliance audits are carried out independent of the department. However, the department and the organisation requiring the audit both have responsibilities in respect of an audit.
Under Section 84(2) of the Further Education and Training Act 2014 (the Act) applicants for recognition as a GTO must include an audit report from an approved auditor.
Section 84(4) of the Act states an 'approved auditor' means an auditor, or a person who is a type of auditor. The department has determined that an approved auditor means an auditor that has been accredited as a 'Lead Auditor' or higher by an appropriate accreditation body, either Exemplar Global (formerly RABQSA) or the International Register of Certificated Auditors (IRCA).
Each organisation selects an approved auditor and organises the audit with them. The auditor and the organisation may invite people to observe the audit.
The Auditor skills profile (PDF, 210KB) outlines the range of skills, knowledge, attitudes and behaviours required for conducting quality audits against the National Standards for Group Training Organisations (PDF, 64KB).
GTOs should ensure that their selected approved auditor receives and reads the Guidelines for the conduct of auditing services (PDF, 667KB).
Approved auditors are also required to:
- project manage the audit
- undertake the audit service, including initial contact, desk audit, site visit and follow up meetings
- document audit observations and evidence sighted
- submit any documents which the department requires
- ensure confidentiality
- provide the quality audit report to the department regarding compliance for initial and/or ongoing recognition
- retain all records from the compliance audit for a period of seven years
- participate in moderating the auditing process within Queensland
- maintain professional qualifications and professional associations in quality auditing.
An observer may include a senior representative from the department or relevant regional office and/or a representative from the Apprentice Employment Network.
Any such observers must sign a confidentiality agreement prior to the audit.
An observer from one of the department's regional offices may advise the auditor in matters relating to the employment and training of apprentices and trainees, and how these matters apply in a GTO.
As part of the preparation for each audit, auditors are required to discuss with the GTO's Chief Executive Officer whether the organisation consents to a senior departmental regional representative attending the opening and closing meetings, or other stages of the audit.
There is an exception to this rule: When the auditor is meeting with apprentices and/or trainees as part of the audit, a regional observer must be invited by the auditor to participate.