ASQA conducts compliance audits to assess Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS) providers' ongoing compliance with the standards required for registration.
ASQA will conduct a compliance audit if an assessment has determined there is a risk of the provider failing to comply with the relevant standards for registration. Compliance audits are scheduled at ASQA’s discretion, with the authority of an ASQA Commissioner or nominated delegate.
The audit is conducted at your nominated premises. The auditor (or audit team, which may include industry specialists) examines your ongoing compliance with the Education Services for Overseas Students Act 2000 (ESOS Act) and the National Code, and, where relevant, the ELICOS Standards 2018.
The auditor may also investigate:
- the integrity of marketing material and student information
- how you monitor course progress and attendance
- the adequacy of facilities and equipment
- how you manage the activities or your education agents.
How does ASQA charge for CRICOS compliance audits?
ASQA's legislation does not currently provide for charges for CRICOS compliance audits.
How much notice will I receive before a compliance audit is scheduled?
Compliance audits are often conducted as a result of serious concerns about a provider. These concerns may have been raised through substantiated complaints or as a result of an ASQA registration audit. In cases where ASQA considers the provider poses a serious risk, the audit may be conducted with little or no notice.
How can I be prepared for a compliance audit?
ASQA’s student-centred audit approach means that than the quality of your training provider’s practices and behaviours at each stage of the student journey largely determines the audit outcome. (This means that ‘audit preparation’ immediately before your audit is unlikely to significantly affect your audit outcome)
To ensure that you are delivering quality training and assessment and meeting the required standards in the National Code 2018 (and the ELICOS Standards 2018 where relevant), you are encouraged to:
- undertake regular self-assessment against the relevant standards
- ensure practices and behaviours across your organisation align with your documented systems and processes
- ensure you are familiar with ASQA's published resources about the audit process
- understand the requirements of the National Code 2018—this should include becoming familiar the with the National Code 2018 resources published by the Department of Education and Training.
After the audit
The auditor will document the audit findings in an audit report. You will be provided with a copy of the audit report. If non-compliance has been identified, the report will describe the gap in compliance and the nature of further evidence ASQA requires.
In most cases, you have 20 working days from the date that the audit report is issued to provide additional or amended evidence to demonstrate full compliance. Only one opportunity to provide the requested evidence is provided.
If you do not provide the requested evidence within the specified timeframe, your application may be rejected or ASQA may take regulatory action in relation to your registration, for example, by suspending or placing conditions upon your registration.
Feedback on the audit process
You will also be provided with the opportunity to provide feedback on the audit process. ASQA conducts a quarterly audit survey. This contributes to the continuous improvement of the audit process and helps to ensure audit consistency.