Evidence reviews and performance assessments

Evidence reviews and Performance assessments

Evidence reviews and Performance assessments (audits) are some of the tools we use to understand training provider risk and performance.

Our Regulatory Risk Framework details other compliance and monitoring methods we use.

Why we conduct a review or assessment

We conduct reviews and assessments so our stakeholders can have confidence in the integrity of training providers and the qualifications they deliver.

We may conduct a review or assessment:

• if you’ve made an application to be a provider, change your scope or renew your registration

• if we have data or information that indicates you may be at risk of not meeting each of your regulatory obligations

• as part of our monitoring process to sample random providers.

In all cases we conduct an initial appraisal before deciding whether to apply scrutiny through review or assessment in response to potential risk.

Cost of review or assessment

An hourly charge is payable for reviews and assessments, excluding performance assessments conducted as part of an Initial registration application.

The cost includes:

• planning and conducting and the review or assessment

• preparing a report

• other related business processes which require staff members’ time.

Learn more about fees and charges

Evidence review

Evidence reviews allow us to request and review evidence to determine the likelihood, impact and extent of risks to quality training.

Evidence reviews don’t make a determination on compliance. They are a tool we use to reach a decision about an application or action. If you disagree with our decision following an evidence review, you have the opportunity to ask for further scrutiny through decision review.

For information on decision review see our Regulatory Practice Guide - Approach to review of decisions.

Performance Assessment

Performance assessments tell us if you’re compliant with the standards and legislation and give your students assurance their education investment has value and purpose.

If we identify non-compliance during your performance assessment, our return to compliance focus gives you opportunities to respond and make changes to rectify non-compliance.

What we assess

When we assess you, we’ll consider how you perform against the Standards and legislation.

Standards explain requirements that all providers need to meet.

The standards we assess your performance against are:

• Outcome Standards (legislation)
• Compliance requirements(legislation)
• Credential Policy(TGA)
• National Code of Practice for Providers of Education and Training to Overseas Students 2018
• ELICOS Standards 2018

Legislation your performance is assessed against

For RTOs

For providers registered on CRICOs or ELICOS providers

We take a sampling approach to performance assessments.

This means to understand your performance we will:

• usually look at some, but not all standards
• sample evidence across your training products.

The clauses and training products we sample as part of your performance assessment are known as the ‘scope’ of the assessment. 

How we scope your assessment

We decide the scope of your performance assessment and the clauses and training products we intend to sample by reviewing:

• enrolment and completion data
• compliance history
• current and past complaints
• intelligence from other regulators and agencies
• applications that will be considered as part of the performance assessment, where applicable.

The performance assessment process from start to finish

The performance assessment (audit) process includes 5 key steps, they include:

1. we contact you and plan the scope of your performance assessment
   a. we make initial contact with you
   b. we request preliminary information
   c. we plan the scope of the performance assessment
   d. we hold an opening meeting with you
2. your compliance with the standards is tested by collecting and analysing evidence via:
   a. information requests via email
   b. virtual or onsite observations
   c. interviewing you, your trainers, assessors, students and others
3. we hold a closing meeting to explain findings to date
4. we write a performance assessment report that identifies compliance and non-compliance
5. we share our findings with you and outline the next steps.

Cost of a performance assessment

An hourly charge is payable for the conducting of performance assessments, excluding performance assessments conducted as part of an Initial registration application.

The cost includes:

• planning and conducting and the performance assessment
• preparing the performance assessment report
• any other business process related to the performance assessment incurring a staff member’s time.

Learn more about performance assessment fees and charges