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What Triggers a CRICOS Compliance Monitoring Audit?

ASQA generally conducts a compliance audit within two-years of an initial registration to ensure that your RTO is operating as it should, and when they are concerned an RTO is not able to or is not meeting its compliance obligations.

Each CRICOS provider has a risk rating determined by ASQA. This risk rating is awarded based on the information ASQA holds on an RTO gathered from the monitoring of the internal and external environment for potential risks to the RTO, feedback supplied by current and former students, as well as government and industry reviews and findings.

What happens during an ASQA CRICOS audit?

ASQA not only takes a student-centered approach in their compliance audits, but they also customise each audit depending on the risk intelligence they have gathered about your RTO. Typically, during a CRICOS audit, an ASQA auditor will require for you to provide evidence that you are meeting your obligations. You will generally be informed of the scope of the audit prior to the audit activity, and this gives you the opportunity to review and ensure that you will have the evidences ready for the auditor.

Evidences that you will generally need to have ready include your policies and procedures manual, your training and assessment strategies, your training and assessment tools, the completed and marked assessment tools, your trainers’ matrixes and their certificates evidencing their qualifications and professional development activities, as well as your student attendance and management records. There may be occasions where ASQA may speak to your trainers, students and relevant third-parties to confirm the information provided to them.

The auditor will systematically go over each item in the scope of the audit and request for you to show evidence that you are complying with the particular clause or standard. If you are unable to, this can result in a non-compliance against your RTO.

How to prepare for an ASQA CRICOS audit?

Being well-prepared is essential for a smooth audit. Knowing where your records are held, easily accessing the information required by the auditor and understanding your RTO’s operations inside and out is the key to a successful audit. Auditors want to see that you are knowledgeable and know what is happening within your RTO.

Our team at RTO Advantage can help you prepare by reviewing your records to ensure they are compliant and accurate, by coaching you and giving you tips and tools as to how to carry yourself in an audit, and by advising what areas may be in need of rectification so that you are able to show ASQA that even though there has been an error, you have identified it and you have taken steps to remedy the non-compliance. This last part is the most important of them all as if you are caught with a non-compliance during the actual audit, it could result in a sanction against your RTO. 

In most cases, you will be provided with 20 working days from the report being issued to rectify and show compliance. If you do not supply the rectification evidence to ASQA or take steps to remedy the non-compliances, your RTO may face regulatory actions concerning your CRICOS registration.

What happens after the audit?

Your auditor will generally advise you of what they have found during the audit. If there are any non-compliances found, typically you will be advised of this at the close of the audit.

A formal audit report will be issued to you several days after the completion of the audit and if there are any non-compliances, you usually are provided with 20 working days from the date of the audit report to communicate the remedial actions you are taking or have taken to address the non-compliance detected.

You only have one opportunity to provide evidence demonstrating your compliance, this makes it paramount that you do not make any mistakes in the filing of your proof of rectification or risk facing regulatory action against your CRICOS and/or RTO registration.

What happen if non-compliances are found during the audit?

If any non-compliances are found during the audit, you will be advised of this at the close of the audit and in the formal audit report. In most instances, you will be provided with 20 working days from the date the report is issued to prove to ASQA that you are taking or have taken steps to rectify any non-compliances identified.

Keep in mind that you are only provided with one opportunity to provide proof to ASQA that you are or will be compliant. If you are still found to be non-compliant, your registration may be sanctioned or cancelled, depending on the gravity of the non-compliance.

What does your RTO & CRICOS registration package include?

What does your RTO registration package include?

We offer two different packages to suit your budget and needs.

 

RTO

RTO + CRICOS

Expert advice and guidance
(including phone and e-mail support)

Project management of RTO registration

Project management of CRICOS registration

 

Course and training and assessment strategy planning

Training on the software and systems provided, as well as on RTO reporting obligations

Training on the Australian Qualifications Framework, the Standards of RTOs 2015, and the National Code 2018 (if applicable)

Audit preparation and coaching, including a mock audit session
(not including any travel costs)

RTO Policies and Procedures manual

View included items

  • Advertising and Marketing
  • Assessments and Validations
  • Assessment Partnerships
  • Complaints and Appeals
  • Continuous Improvement
  • Core Skills Support
  • Credit Transfer and Recognition of Prior Learning
  • Critical Incident Response
  • Cultural Awareness
  • Deferral, Suspension and Withdrawal
  • Discrimination and Harassment
  • Enrolments
  • Fees and Refunds
  • Financial Management
  • Industry Engagement
  • Information Technology Acceptable Use and Security
  • Insurances
  • Internal Audit and Risk Management
  • Issuing Certificates and Outcomes
  • Legislation
  • Managing Individual Needs
  • Mental Health Management
  • Privacy Protection
  • Protection of Pre-paid Fees / Tuition Assurance Scheme
  • Record Keeping and Access
  • Recruitment and Induction
  • Reporting Obligations
  • Staff Records Retention and Management
  • Student Completion, Progress and Attendance
  • Trainer and Assessor Competency and Currency
  • Training and Assessment Strategy
  • Training Package Transition
  • Training Safety
  • Transfer of Programs or Providers
  • Version Control Policy
  • Work Placement

CRICOS Policies and Procedures manual

View included items

  • All policy templates in the RTO Policies and Procedures manual including the added International Student Supplement for the relevant items
  • Education Agents
  • International Students Under 18
  • Overseas Student Health Cover
  • Tuition Protection Services

 

RTO management and operations forms and templates

View included items

  • Advertisement and Marketing Campaign Action plan and template
  • Assessment Authenticity Declaration template
  • Assessment Mapping template
  • Assessment Plan template>
  • Assessment Validation checklist and form
  • Cancellation, Deferral, Suspension and Withdrawal forms and Response templates
  • Certificate and Statement of Attainment templates
  • Complaints and Appeals form, Response templates and checklists
  • Confirmation of Enrolment templates
  • Continuous Improvement form
  • Course Completion and Graduation Letter templates
  • Credit Transfer form
  • Critical Incident Report form
  • Direct Debit and Payment Schedule form
  • Documents Review Schedule template
  • Enrolment form
  • Enrolment Interview form
  • Induction PowerPoint template
  • Industry Engagement register and Questionnaire template
  • Information Release form
  • Overdue Payment E-mail and Letter templates
  • Payment Refund form
  • Recognition of Prior Learning Package template
  • Records Archive Record checklist and template
  • Staff Details form
  • Staff Induction checklist
  • Staff Professional Development Plan template
  • Student Handbook template
  • Student Unit Evaluation Survey template
  • Trainer Matrix template
  • Training and Assessment Strategy templates
  • Work Placement Induction, Inspection and Report templates

CRICOS management and operations forms and templates

View included items

  • Cost of Living Factsheet template
  • Education Agent Application form
  • Enrolment form for international students
  • Enrolment Interview form for international students
  • GTE Statement of Purpose Factsheet template
  • Letter of Offer and Acceptance template
  • Student Handbook template for international students
  • Visa Pre-Application Process Factsheet template

Website with complete automated enrolment system

Fully set-up AVETMISS compliant Cloud Student Management system
(including set-up and 1-year subscription on the 'Premium Package')

View included items

  • Easily manage your student information and records
  • Compliantly manage your operational, training and assessment records
  • Effortlessly create enrolment and graduation documents with the click of a button
  • Seamless reporting and you can even create your very own personalised reports in a matter of seconds
  • Send emails from the software with the e-mail automatically recorded in the student’s file – no double handling!
  • Up to 10 users
  • Up to 300 enrolments per calendar year
  • Phone and e-mail support
  • Custom reports
  • AVETMISS Data reporting capabilities
  • Automated website enrolment system
  • Student management
  • Trainer management
  • Training and Classroom scheduling and management
  • Assessment management
  • Document storage (up to 50gb)
  • Up to 10 custom document generation templates
  • Finance management with Xero integration
  • Compliance management
  • Continuous improvement register
  • Complaints and Appeals register
  • The first year’s subscription fees on the 'Premium Package' are included in this package. After the 1-year period has ended, the price is $249 per month (including GST)

 

$11,900 + GST

Purchase

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$14,900 + GST

Purchase

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50% on initial confirmation and balance at approval

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