Compliance is vital for RTOs to continue doing business. Following the Standards for RTOs 2015 has its challenges, and some organisations don’t always pass their ASQA RTO audits. In cases of non-compliance, RTOs are subject to sanctions, depending on their extent. In some cases, it even leads to deregistration.
To help you ensure you are knowledgeable and prepared, we’ve compiled everything you need to know about the RTO audit and rectification process, what you can do to prepare, some internal audit examples you can utilise, and other important considerations that will help you remain compliant.
Check out our relevant article Tips in Preparing for your Annual Declaration on Compliance
Key Steps of an ASQA RTO Audit
There are a few scenarios in which ASQA initiates an audit; your RTO is new and seeking registration, your RTO is changing its scope, you are renewing your registration, or you are the unlucky recipient of a random audit. In less desirable circumstances, ASQA may initiate an audit based on information that indicates your RTO may be non-compliant. Here are the key steps you can expect as part of that process.
Planning the RTO Audit
Each audit is customised based on every RTO’s needs. The process starts when the auditor calls you to:
- Confirm the audit date/s and time
- Notify the scope of the audit
- Request for submission of pre-audit evidence or information
- Advise where your interview will take place: onsite or video conferencing
Conducting the RTO Audit
There will be an opening meeting to confirm the reason for the audit and discuss the whole process. Then, collecting and analysing evidence will commence. This includes interviews with key persons within your organisation and a review of the submitted evidence. A closing meeting will then be held to discuss the findings or any issues identified during the RTO audit.
Decision and Next Steps
The auditor will write the audit report to identify whether you are compliant or not compliant. The findings will then be discussed with you as well as the next steps you need to take. If you are found compliant, you will receive a letter from ASQA, and you don’t need to take any further action.
On the other hand, if ASQA finds your RTO non-compliant, you will receive your audit report and a notification letter. Here, you will find the next steps you need to do.
Important note: An hourly charge of $250 per hour per auditor is payable for conducting an RTO audit. This excludes those undertaken as part of the initial registration application.
Preparing for an RTO Audit
ASQA can schedule an RTO audit anytime. The best way to be prepared is to consistently follow compliance practices. Your RTO must maintain sound policies, processes, and systems. You need to ensure you have quality learning resources, your trainers are fully qualified, and the like.
Review your training resources and see if they have the tools and features you need to remain compliant while delivering the best learning experience to your students.
In acquiring your training materials, it’s best to get resources that offer an audit rectification guarantee. This gives you added protection when a regulatory audit finds issue with your training.
Do a regular self-assessment using ASQA’s self-assessment tool to check if you are meeting all the requirements.
Conduct internal audits to make sure you’re well-prepared when the ASQA audit comes. This is a proactive way of maintaining a compliant environment within your organisation. An RTO internal audit can also be considered a “health check” to verify that your operations are in line with RTO standards.
Here are some internal audit examples and actions you can undertake to prepare your RTO:
- Identify the areas to be audited
Internal audits can be a wonderful tool to drive continuous improvement within your RTO. Auditing every single area of the organisation may not be viable, so identifying the right areas to be audited right from the start can help you achieve your desired results. - Create an audit calendar
Each process within the organisation requires a different audit frequency. Some areas may require a daily audit, while others may need to be checked quarterly. Keeping an audit calendar will help ensure you stay on track. - Prepare an audit checklist
An audit checklist usually contains process-related questions that will be asked of the team members involved. A checklist will help you ensure each team member is on the same page. - Record and analyse audit findings
After the audit has been performed, you must record and analyse the audit findings. This way, your RTO can already identify which processes are working fine and those that need immediate attention to be corrected. - Create an action plan
Outline an action plan to guide your RTO and provide recommendations for rectification or improvement. This will help you to take the necessary steps and make the required changes.
Most Common Non-compliance Issues Found During an ASQA RTO Audit
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Assessment Tools
The most common non-compliance issue identified during an audit is the assessment tools. Assessment tools contain everything you need to do the assessment. Your assessment tool should meet the Principles of Assessment and Rules of Evidence under Standard 1.8. You need to provide your learners with the correct materials to complete their tasks, so acquiring the right resources is very crucial to remain compliant.
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Trainers & Assessors
It is not enough that your trainers deliver quality and up-to-date training. They need to be qualified and provide evidence of those qualifications based on Standard 1.13b.
This has been a consistent non-compliance issue due to RTOs not understanding the evidence required. Here are some ways to maintain the skill currency of trainers:
- Ask your trainers to work or volunteer in the industry they are teaching for a short period of time
- Invite workers from the industry to check and validate your trainer’s skills
- Have the industry workers check your students’ work while they are on-site
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Effective Training and Assessment Strategies (TAS)
Your TAS is your roadmap for strategically delivering training and assessment. It’s a guide on how, when, and where to deliver courses. It covers every training product that your RTO delivers, so it is usually the first thing that the auditor asks and investigates. To avoid non-compliance, it is essential to find training resources that have compliance features. Make sure that your TAS covers:
- How the students will be assessed
- All the required resources for training and assessment
- How training will be delivered (face-to-face, online, blended)
- When the assessments are due
- How training is structured
What to do if you were found non-compliant?
RTO Audit Rectification Process
If you were found non-compliant during an audit, ASQA will give your RTO an opportunity to rectify non-compliance issues. ASQA will provide you with a non-compliance letter containing an opportunity to respond to the non-compliance within a short timeframe (usually within 20 days) or request an Agreement to Rectify (ATR) over a longer time period (typically up to 3 months).
During this time, you’re expected to assess your practices and their impact on your students. It is also necessary that you provide evidence to prove that you have already taken action to correct your practices based on recommendations.
Depending on the seriousness of your non-compliance, ASQA will:
- Advise you of their intent to impose a sanction or condition and provide you with an opportunity to respond
- Advise you of their intent to reject your application and provide you with an opportunity to respond
- Reject your application (without an opportunity to respond)
ASQA will send an Evidence Compliance template you can use to describe what you have reviewed and addressed to be compliant, what actions you took to rectify your non-compliance (supported by evidence), and how you have managed the issues impacting other students, including across other training products.
If you disagree with specific findings of non-compliance, you must include this in your response and provide supporting evidence.
An ASQA RTO audit can happen at any time and takes an in-depth look at your RTO before arriving at a final recommendation. Audit results are based on evidence submitted by the RTO and reviewed by auditors. To ensure compliant outcomes and quality training and assessments, it is best for RTOs to always employ compliance practices and apply effective continuous improvement.
When choosing your training materials, always consider looking for high-quality training resources and those with an audit rectification guarantee—like the ones offered by RTO Learning Materials. This will help you a lot during RTO audits.
Read 6 Mistakes RTOs Make When They Purchase Training Resources.
We have a wide range of compliant training resources with a rectification guarantee. If you have further questions and concerns, please feel free to contact us at 1300 808 480 or simply fill in the enquiry form. We will be glad to assist you and provide you with free samples or even a personal walkthrough.
