How to prepare for an audit

It is important to note that ‘audit preparation’ immediately before your audit is unlikely to affect the outcome significantly. ASQA auditors will be focusing on your long-term practices and behaviours as they relate to the student learning experience.

The audit outcome will depend on how the student learning experience complies with the Standards and Clauses, and whether you meet your regulatory and governance responsibilities.

What can I do to prepare for an audit?

As long as you are applying sound policies and processes, preparing for an audit should not be necessary.

Training providers should, at all times, be:

  • delivering quality at each stage of the student experience
  • meeting required standards.

To ensure that your RTO is delivering quality training and assessment and meeting the required standards, we encourage you to:

  • undertake regular self-assessment—you can use the ASQA self-assessment tool to do this
  • ensure practices and behaviours align with your documented systems and processes
  • ensure you are familiar with ASQA's published audit resources.

How much notice will I receive of an audit?

ASQA schedules compliance audits at its discretion, with the authority of an ASQA Commissioner or nominated delegate. We will send notification of an audit via email to your CEO’s registered contact address on training.gov.au.

In most cases, the standard notification period for a compliance audit is one to three months.

In some cases, the notice may be shorter, or ASQA may provide no notice. For example, we may conduct an audit without notice if:

  • intelligence indicates students are at risk
  • there are significant concerns about a provider’s practices.

What happens before a site audit?

Before physically visiting your site, the ASQA auditing team:

  • will inform you which training products and sites they intend to review as part of the audit
  • will seek information from a broad range of data sources, including other government agencies
  • may request further information—this might include training and assessment strategies, delivery data or student information to administer a student survey.
A site visit is only one component of a compliance audit. It is important to note that your audit can include information collected before and after the site visit. For example, information collected about your organisation’s marketing and advertising practices from your website and social media may inform ASQA’s assessment of your marketing and advertising practices.
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