RTO Audits – RTO Internal Audit Services by Qualified Auditors

RTO Audit Services

Have you recently received a letter from your regulatory body concerning an audit? Is your RTO well prepared for your upcoming ASQA compliance audit? To most RTOs and their employees, compliance can be a very confusing mess. Our team at RTO Advantage can help you prepare for your next regulatory audit and help you reduce any risks of sanctions against your RTO.

Regular compliance check-ups are important as part of every successful RTO’s business operations. This enables your organisation to understand what systems and processes are working and what needs improvement on. Don’t become another one of ASQA’s RTO cancellation statistic and let us work closely with you to help you navigate through the stringent regulatory environment.

Types of RTO Compliance Audits

You can get a comprehensive remote or on-site compliance audit conducted where we review your systems, processes, strategies and records using the latest ASQA model and practices, and provide you with a comprehensive report of the audit so that you know what your RTO excels in and what rectifications are needed to ensure your compliance to the regulatory framework.

A remote audit is typically recommended for RTOs servicing under 200 online students whilst an on-site audit is typically recommended for RTOs servicing local and international students on-campus, as well as larger RTOs.

For an RTO compliance audit, we will review the following and provide you with a detailed report on your RTO’s standard to compliance with the Standards for Registered Training Organisations 2015:

  • Industry engagement (Clauses 1.5 and 1.6)
  • Marketing and student recruitment (Clause 4.1)
  • Regulatory compliance and governance (Clauses 2.3, 2.4 and 8.2)
  • Student completion, where applicable (Clause 3.1)
  • Student support (Clause 1.7)
  • The suitability of your trainers and assessors (Clauses 1.13-1.16)
  • The supervision undertaken of trainers, where applicable (Clauses 1.17-1.20)
  • Training and assessment (Clauses 1.1-1.3, 1.8, 1.13-1.18 and 1.2)

For a CRICOS compliance audit, we will review the following and provide you with a detailed report on your RTO’s standard to compliance with the National Code 2018:

  • Marketing activities and practices (Standard 1)
  • Recruitment of international students (Standard 2)
  • Overseas student enrolment and written agreements (Standard 3)
  • Education agents (Standard 4)
  • Students under 18 (Standard 5)
  • Student support services (Standard 6)
  • Transfer of enrolments (Standard 7)
  • Student visa requirements (Standard 8)
  • Deferring, suspending or cancelling enrolments (Standard 9)
  • Complaints and appeals (Standard 10)

Should you require a larger scope for audit, contact us to discuss your needs!

Regulatory audit preparation, coaching & assistance for a regulatory audit

Do you feel daunted by the prospect of a pending ASQA performance assessment? Did you previously have a horrific experience with ASQA’s auditors? Get professional audit help from us at RTO Advantage. We have sat through countless audit sessions with ASQA and other regulatory bodies and have the skills and knowledge to help you demonstrate that you are complying with the standards.

We can help you understand what is required of you and help you become familiar with the types of evidences typically requested from you at audit.

What is a compliance audit?

An ASQA (or a regulatory body) compliance audit is undertaken by usually by auditors who are familiar with the types of qualifications you deliver. ASQA conducts these audits to assess your RTO’s ability and ongoing compliance with the National Vocational Education and Training Regulator Act 2011, the VET Quality Framework and where applicable, your compliance with the National Code 2018 and the ELICOS Standards 2018.

The auditors will request for you to show evidence that your RTO is meeting your compliance obligations such as your student attendance records, your TAS, your training and assessment tools (including the ones completed by your students), your assessment validation plan and tools, your trainer matrix, your trainer’s certificates and transcripts, your marketing materials, and your policies and procedures manual. Remember that the auditor does not know where you store your information or where to find the information they require. You will need to produce these evidences to them and sometimes even explain why you have chosen this strategy or process and how it is compliant.

What is a student-centered approach?

ASQA applies a student-centered approach in their audits, which basically means that they want to evidence that you are putting your students’ best interests at the forefront of your operations and business planning. They place a huge focus on the five key phases of the student learning experience, which is, marketing and enrolment, enrolment, support and progression, training and assessment, and completion.

Why Get Help With Your Next ASQA Audit?

ASQA and the other regulatory bodies have shown in recent years that they are more inclined to suspend or cancel an RTO’s registration for any non-compliances found at audit. In the last 5-years alone, there has been a significant increase of over 1,000% of RTOs having their registrations cancelled!

Many RTOs who believed they were meeting their compliance obligations have had to close their doors as they were not focused on systematic quality controls and robust training and assessment practices. ASQA is heavily focused on improving the VET system in Australia and they are not tolerating poor business practices that do not put students first.

How does ASQA decide which RTO to audit?

ASQA relies on its comprehensive risk intelligence gathering processes to determine which RTO to audit. This involves the monitoring of potential threats within each industry and market-relevant to each RTO, positive and negative feedback from both current and former students, and government and industry reviews and findings.

Each RTO has a provider risk profile with ASQA and this risk rating is updated regularly using an assessment matrix. If ASQA considers an audit is required, the intelligence gathered will inform the scope of audit, identify primary areas of concern, support or identify any variance from the evidence provided during the audit process.