2014 Internal Review Tool
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SmartForm Guidelines
2014
RTO Internal Review
Guidelines
Version 1.0
In line with section 9(12) of the
ACT Funding Agreement v1.1
Document Details
Publication Date: 15 October 2014
File Name: 2014 RTO Internal Review Guidelines
Published 15 October 2014
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Table of Contents
Introduction to the 2014 Internal Review Tool ................................................................................................... 3
Important Notes .................................................................................................................................................. 4
Overview of Features .......................................................................................................................................... 5
Completing the 2014 RTO Internal Review Tool ................................................................................................. 6
1.
Introduction ............................................................................................................................................. 6
2.
Compliance with the ACTFA, ACT Standards and ACT Standards Compliance Guide ............................. 7
3.
Test Actions ............................................................................................................................................. 7
4.
Audit result .............................................................................................................................................. 8
5.
Findings and Actions Required ................................................................................................................ 8
Submitting the 2014 RTO Internal Review Tool .................................................................................................. 9
Submission Date ................................................................................................................................................ 10
Maintaining the 2014 RTO Internal Review Tool .............................................................................................. 10
Evaluating the 2014 RTO Internal Review Tool ................................................................................................. 10
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Introduction to the 2014 Internal Review Tool
Under section 9 of the ACT Funding Agreement (ACTFA) RTOs must conduct an internal audit a minimum of
once every calendar year, to assess its compliance with the Agreement and the adequacy of documented
procedures in ensuring consistency of outcomes.
The objectives of the 2014 RTO Internal Review are to:

assist RTOs meet their contractual requirements under the ACTFA

assist RTOs meet the minimum service requirements of each ACT funded training initiative

promote quality training and assessments systems

ensure accurate reporting and record keeping practices
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provide a set of outcomes for RTOs to self-assess compliance and assist in establishing a framework to
identify and develop improvement practices.
All RTOs with an ACTFA must use the 2014 RTO Internal Review Tool (tool) to conduct and record the
outcome of its own annual internal audit. In addition to being a contractual requirement, the tool should
form part of the RTO’s internal controls.
The tool is a SmartForm designed to assist RTOs in self-assessing and evaluating compliance with a selection
of clauses from the ACTFA, as well as the ACT Standards for Delivery of Training (ACT Standards) and the
requirements of ACT funded training initiatives as documented in the ACT Standards Compliance Guides. The
SmartForm also establishes a consistent format to:

present the results of an internal audit

identify the evidence an RTO has to demonstrate compliance

identify any areas of non-compliance or continuous improvement through the use of specific test
actions.
However, RTOs must always refer to the current ACTFA and the specific Compliance Guides for each ACT
funded training initiative in determining the relevant provisions that are required.
Advice for completing the 2014 RTO Internal Review
Tool:
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be objective in reviewing the RTO’s operations against the ACTFA, ACT Standards and ACT Standards
Compliance Guides
plan and outline realistic actions to address identified areas of non-compliance or opportunities for
improvement
ensure answers to test actions requiring a documented response reflect the RTO’s current practices
and/or processes
ensure answers provide sufficient detail to accurately describe current practices and/or processes
there are no word limits applied to test action responses, however as a general rule it should be as
concise as possible. A recommended response length is 2 – 3 paragraphs.
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Important Notes
!

This guide should be used in conjunction with the information provided within the 2014 RTO Internal
Review Tool. It does not contain information on each SmartForm question.

A basic understanding of Microsoft Excel is recommended before attempting to use the 2014 RTO
Internal Review Tool.

To complete and submit the 2014 RTO Internal Review Tool, the RTO must be using Microsoft Excel for
Windows (2007 or later). If you are unable to access Microsoft Excel for Windows (2007 or later), please
contact the ACT Education and Training Directorate (Directorate) on (02) 6205 8555.

Use of the 2014 RTO Internal Review Tool requires a macro-enabled workbook to operate effectively.
Please enable macros to use this tool. Refer to the following link for a guide on enabling macros:
http://office.microsoft.com/en-au/excel-help/enable-or-disable-macros-in-office-filesHA010354316.aspx

Some questions are compulsory and must be answered. These are preceded by an orange asterisk:
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It is important to regularly save progress to ensure any data is not lost. 'CTRL+S' is a quick shortcut to
save progress.

Copy and paste functions are enabled in the 2014 RTO Internal Review Tool. Information can be copied
and pasted from the RTOs own source documents into the tool by using 'CTRL+C' and 'CTRL+V'.

To start a new line in a Text Field (including the Findings and Actions Required sections), use
‘ALT + ENTER’.
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Where a test action requires a document to be attached, only one file can be uploaded. If there are
multiple files they must be combined into one document before being attached.
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To start a new line in a Documentation Form use ‘CTRL + ENTER’.
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Any depictions or pictures of the SmartForm in this guide are only for illustrative purposes.
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For further questions or help with completing the 2014 Internal Review Tool, email [email protected]
or call (02) 6205 8555.
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Overview of Features
The 2014 RTO Internal Review Tool contains eleven separate pages. Common features on each page are:
The Progress Bar
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A progress bar is located at the top of each page. It is designed to assist with usability by indicating how
much of the page has been completed.
Completion Verification

Once all required questions on each page have been completed, a blue ticked box will appear at the
head of the page. The SmartForm will only be able to be submitted when all pages have been
completed.
Section Indicators
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Each page can be navigated to by using the tabs at the top of the SmartForm. You can move within any
section of the form at any time without having completed it in full.
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Completing the 2014 RTO Internal Review Tool
1. Introduction
The first page of the form contains RTO details. The RTO national code can either be selected from a dropdown list or typed in. After entering a valid RTO code, the fields containing the Legal and Trading names, RTO
type, Head office address details and ASQA registration will be automatically pre-filled, based on information
currently held by the Directorate.
Automatic Pre-Fill

If any of the information in the above fields is no longer correct, enter the current details by typing
into the fields. Finally, enter the required information in the Review Details field.
The tool is customised so it only requires compliance information relevant to the RTO to be completed,
based on the training initiatives delivered in 2014.
Customisation

To filter the tool, select only the Training Initiatives delivered in 2014 and click the update button.
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2. Compliance with the ACTFA, ACT Standards and ACT
Standards Compliance Guide
The tool has two compliance sections, with one page addressing the ACTFA and eight pages addressing the
individual section headings within the ACT Standards Compliance Guides.
ACTFA
The ACTFA page contains a selection of questions from specific clauses in the ACTFA. Select ‘yes’ or ‘no’ to
these questions, and then follow the response/evidence prompts in the final column. Where the question
indicates that a ‘no’ response requires the RTO to record the self-assessment result as non-compliant, the
non-compliant Audit Result field will be automatically populated. It is important to note that a noncompliant response to any of the ACTFA questions will result in an overall non-compliance result in the
ACTFA page.
ACT Standards and ACT Standards Compliance Guide
The next eight pages contain the ACT Standards, and depending on the Training Initiatives selected, the
sources of evidence identified within the ACT Standards Compliance Guides that RTOs would use to
demonstrate compliance. RTOs should tick the evidence it has available from these lists. Only relevant
evidence should be ticked as this information may be requested during further audit activity undertaken by
the Directorate.
3. Test Actions
The tool also contains a range of test actions providing RTOs with the opportunity to focus on specific
elements of the ACTFA, the ACT Standards and ACT Standards Compliance Guides by undertaking a set of
prescribed activities to self-assess its compliance.
Test Action Instructions
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The ‘attach’ and ’document’ icons are interactive.
- The ‘attach’ icon opens a link to your computer directory enabling relevant documents to be
uploaded directly to the tool.
- When the ‘document’ icon is selected a pop up window is displayed. Content can be typed
directly into the window, or alternatively can be copied and pasted into the window from a word
document by using the ‘CTRL + C’ and ‘CTRL + V’ functions.
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4. Audit result
The Audit Result field on each of the ACT Standards sections is used to self-record the determination of
compliance or non-compliance. For the self-assessment result to be recorded as compliant, the response
must address the test action in full.
Audit Result
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The ‘Not Applicable’ audit result must only be used where the RTO has not had any training activity
in any of the funded training initiatives in 2014.
5. Findings and Actions Required
When the ‘Test Actions’ for a section have been completed, the ‘Findings’ and ‘Actions Required’ fields must
be recorded. These are mandatory fields requiring input to enable the page to achieve 100% completion.
Findings and Actions Required
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Record result - After completing the test actions on each page, record the self-assessment result in
the Audit Result section in the form of ‘Compliant’, ‘Non-Compliant’ or ‘Not Applicable.’ The result
entered will automatically filter through to the Audit Summary Section on the Submission page of the
tool.
Record findings - Record any notes regarding the findings from the test actions, including the
identification of any opportunities for improvement.
Record action/s - Record compliance actions and/or continuous improvement actions required.
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Submitting the 2014 RTO Internal Review Tool
Before submitting, please read each of the statements in the Declaration. You must indicate your agreement
with each statement by ticking the box next to it.
Declaration
The SmartForm can only be submitted when all pages have been completed. When completed, there are
two options for submitting the SmartForm, which are described below:
2014 Internal Review Tool Submission
Option 1: Microsoft Outlook tick box selected
An email from the RTOs Microsoft Outlook account will automatically be populated, with the completed
SmartForm attached. Once the email is generated, manually select the send button to send it to the
Directorate.
Please note: If the attachments are larger than 9Mb/s multiple emails will generate. Please ensure all
emails are sent.
Option 2: Other email tick box selected
Open the RTOs preferred email platform. Manually create a new email with the following details:
Recipient: [email protected]
Subject: “RTO Internal Review Tool–[Insert RTO Code]–Submission”
Body: Ensure the body of the email contains the word “SmartForm” and the RTO’s legal name
Attach the completed SmartForm to the email and any attachments. A message box will provide a
reminder of the attachments you have generated.
Please note: If the attachments are larger than 9Mb/s please split the attachments into one or more
emails, as required.
Option 3: CSV Submission file selected
The CSV submission file provides an exportable summary of the information provided in the SmartForm.
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Where the ‘unable to submit’ message appears, the tool will indicate the relevant page of the tool that has
not been completed in full.
Submission Date
The RTO Internal Review Tool submissions must be received by 5pm on 27 February 2015. A reminder
notification will be sent approximately one month prior to the due date. Failure to submit by the due date
will be considered a breach of the ACT Standards (Standard 1.4.3) and may result in audit action for the RTO
and/or suspension or termination of the ACT Funding Agreement.
Maintaining the 2014 RTO Internal Review Tool
If, during the course of completing the 2014 Internal Review Tool, the RTO identifies any non-compliance/s,
the actions taken to address each non-compliance and supporting evidence must also be kept on file and
maintained by the RTO. The Directorate may request this evidence and/or review these records at any time.
Evaluating the 2014 RTO Internal Review Tool
The RTO Internal Review Tool assists the Directorate to monitor RTO performance and compliance with the
ACTFA.
Information from the RTO Internal Review Tool may be used by the Directorate to:
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review the RTO’s overall performance against the requirements of the ACTFA
understand the RTO’s continuous improvement efforts and objectives
provide insight into RTO business operations and activities
inform:
o quality assurance and compliance activities
o decision making where a complaint is received regarding the RTO
o decisions relating to ACT funded training initiatives
o the assessment of future ACT funded training initiative allocations administered by the Directorate.
For further information on the RTO Internal Review Tool, please refer to the Audit Guide for Training
Providers in the ACT.
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