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What happens after an audit

If non-compliance is found at audit, ASQA will notify you in writing. You will be provided with a copy of the audit report.

Recent changes to how ASQA requires RTOs to address non-compliance

In the past, where non-compliance was identified, providers were only required to provide evidence to ASQA that they had updated their procedures or training and assessment strategies.

Under ASQA’s student-centred audit approach, providers are still accountable for updating procedures, and are also required to remedy poor practices, particularly where students have been affected by poor training and assessment practices.

The requirement for remedial action helps to address circumstances where students have been affected by poor training and assessment practices.

If non-compliance is found at audit

If non-compliances are identified, ASQA may require your provider to:

  • address the non-compliance so that future learners will not be negatively affected
  • identify the impact the non-compliance has had on past learners and carry out remedial action to address this impact.

Addressing non-compliance for future learners

Addressing the non-compliance identified for future learners will usually involve:

  • correcting the process or system that has led to the non-compliance
  • implementing the revised process or system to ensure the non-compliance does not impact any future learners.

To demonstrate to ASQA that this has occurred, in most cases you would submit evidence of a new process or system to ASQA and how you have implemented it. You will need to complete this process within 20 working days.

Remedial action

Remedial action will depend on the:

  • impact on students
  • seriousness of non-compliances
  • number of students affected

The remedial action required could include actions relating to current and or past students enrolled with the provider up to six months previously.

For more information, please refer to the Fact sheet—addressing non-compliances following an audit

The audit report

ASQA’s audit reports:

  • follow the five-stage student journey
  • reference all action your organisation is required to take at the beginning of the report
  • use an ‘exceptions’ approach (no detail will be recorded where compliance has been demonstrated).

If you are unsatisfied with the decision made about your audit

Opposing an ASQA decision about an audit or application

If you are dissatisfied with a decision made by ASQA, you have a number of options:

  • If the decision relates to an application—consider the reasons for the decision, address the outstanding areas of non-compliance and submit a new application
  • Ask ASQA to reassess its position (applies to certain decisions only)
  • Ask ASQA to review the decision (applies to certain decisions only)
  • Apply to have the decision reviewed by the Administrative Appeals Tribunal (AAT).

ASQA will inform you of your options when advising you of our decision.

Providing feedback on your audit

You will also be provided with the opportunity to provide feedback on the audit process (not the outcome). ASQA conducts a quarterly audit survey that contributes to the continuous improvement of the audit process and helps to ensure consistency.

Access the results of previous audit surveys.