Anyone working in an RTO is familiar with the aspects of its operations. Whether in marketing, training and assessment, administration, or anywhere else, their work contributes to the organisation’s health and ensures the RTO continues operating.
But who passes judgement on RTOs? And what factors are considered to see how compliant they have been? Who facilitates the whole RTO audit process?
If you have these burning questions in mind, read on. It’s time to become familiar with the industry regulator, ASQA (Australian Skills Quality Authority), and their audit process.
Who is ASQA?
An agency of the federal government, ASQA is the industry regulator for most RTOs all over Australia.
Training providers in Victoria and Western Australia that don’t offer any online courses for interstate and overseas students are instead regulated by their own regulators: the Victorian Registration and Qualifications Authority and the Training Accreditation Council Western Australia.
As part of ASQA’s duties, they regulate training providers that deliver VET qualifications and courses to students in Australia or offer Australian qualifications overseas.
They also regulate providers that deliver VET courses to people living in Australia on student visas, as well as providers that deliver English Language Intensive Courses for Overseas Students (ELICOS).
How do they conduct compliance audits?
As the regulator, ASQA has the authority to conduct scheduled and unscheduled audits, which they call performance assessments.
Scheduled audits typically occur near the end of an RTO’s given registration to determine if their status will be renewed.
Unscheduled audits can take place any time, though RTOs are typically given at least a month’s notice to allow them to prepare.
Before ASQA decides on auditing an RTO, they will first set out the scope of the audit. For this reason, they will gather a sample of all the documentation the RTO possesses, including enrolment and completion data, current and past complaints against the RTO, the RTO’s compliance history, and more.
The entire RTO audit process includes the following 5 steps:
- ASQA contacts the RTO to plan the scope of the performance assessment
- They make initial contact with the RTO
- They request preliminary information
- ASQA plans the scope of the performance assessment
- ASQA holds an opening meeting with the RTO
- The RTO’s compliance with the standards is tested by collecting and analysing evidence via:
- Information requests via email
- Virtual or onsite observations
- Interviews with the RTO’s trainers, assessors, students, and others
- ASQA holds a closing meeting to explain findings
- ASQA will then write an audit report that identifies any non-compliance
- ASQA shares their findings with the RTO and outlines the next steps
How do you prepare for an RTO audit?
When preparing for an ASQA audit, RTOs should review and re-familiarise themselves with the Standards for RTOs 2015, the NVR Act, the AQF Framework, and their relevant state or territory legislation.
ACOFE CONSULTANTS – RTO & CRICOS also recommends carefully reviewing how your RTO complies with the six stages of the student journey and the relevant standards:
- Marketing Compliance
- Enrolment Compliance
- Support and Progression Compliance
- Training and Assessment
- Completion Compliance
- Compliance and Quality Assurance
As part of ongoing compliance processes, your RTO should have gathered relevant data and documents from the other aspects of your RTO year-round.
Using that data and documentation, your RTO should then conduct regular self-assessments to determine what improvements can be made. Ensure that these changes are documented and that all your policies and procedures align with your documentation.
Because the primary goal of an RTO is to provide quality training, an RTO preparing for an audit should pay special attention to ensure their practices align with several important documents:
- The Training and Assessment Strategy/s
- The Trainer Profiles
- The Session Plans
Note that ASQA looks at your RTO’s long-term compliance. The months prior to an RTO audit should be spent gathering evidence, not scrambling to implement compliance processes. Rushing to be compliant only after an audit is scheduled won’t do much good. All RTOs should strive for compliance from beginning to end.
Feeling compliant?
Ensuring RTO compliance is a crucial step for any RTO. Despite this, some elements or tasks can often be forgotten in the daily hustle-and-bustle.
Increased student intake is great for the RTO as a business, but many RTOs neglect to hire enough staff to give them proper care. Similarly, staff can become focused on training students to the point of being unable to validate resources.
If you’re unsure about your RTO’s compliance, take a step back and start assessing the entire organisation in all its aspects. You can even bring in third parties to assist you, provide an unbiased perspective, and act as support during your ASQA audit.
ACOFE CONSULTANTS – RTO & CRICOS has a proven history of helping RTOs pass their ASQA audits. For more information on how we can help you, feel free to reach out to us so you can rest easy knowing your RTO’s future is secure.
