Performance assessment process

This page explains the performance assessment (audit) process and what to expect during your assessment.

What we consider during your assessment

The performance assessment process considers 3 key questions:

Does your practice align with the requirements of the standards and legislation?
Do you have a system for ensuring ongoing compliance with the standards and legislation?
Do you regularly monitor, review and continuously improve (self-assure) to ensure compliance with the standards and legislation?

Key stages of your performance assessment

There are typically 5 stages in a performance assessment.

The process starts when we first contact you, through to our findings and your performance assessment report.

Initial contact

When we start a performance assessment our assessor will contact you to discuss:

the reasons for the performance assessment
the performance assessment process
dates for the opening meeting and interview days
where your interview will take place: On-site or video conferencing.

We will email you these details as well as our first request for information, which may include:

student contact information to interview or survey your students
up to date information about student enrolment and completions.

Opening meeting

This meeting is between you and the assessment team which conducts your performance assessment.

We will take you through the assessment process in detail and provide you an opportunity to ask questions and provide more information about your organisation.

Evidence collection

We will collect evidence by reviewing documents, conducting interviews and making observations.

The assessor will clarify and validate this evidence with you during your interviews.

Evidence collection by information requests

After your opening meeting, the assessor will request more information from you.

Evidence requested will vary depending on the scope of your performance assessment, but may include:

policies and procedures, and training and assessment strategies
photographs of the premises
student files, including enrolment forms and completed student assessments
trainer or assessor records
other documents and evidence relevant to the scope of your performance assessment.

Evidence collection by observation

The assessor may collect evidence via observation at your site or virtually. This will vary depending on the scope of your performance assessment, but may include your:

facilities
physical and virtual training and assessment equipment and resources.

Evidence collection by interview

Your interview may be held at your premises or by video conference. Depending on the scope of your performance assessment, you may have more than one interview.

The interview process helps us to:

understand how your organisation operates
clarify the information you have provided
explore your organisation’s performance against the relevant standards.

We may also interview your:

management
trainers and assessors
students over the age of 18

Closing meeting

We will hold a closing meeting as part of the interview process. During this meeting we will discuss any issues identified during the performance assessment to date.

After your closing meeting the assessment team will:

review any additional evidence
prepare your performance assessment report
make recommendations to the decision-maker

Next steps

ASQA will compile the assessment findings and provide these findings to you.

If we find you are compliant, we will inform you in writing, close the performance assessment and send you an invoice for payment.

If we initially find you are non-compliant, you may be given an opportunity to rectify non-compliance.

How to respond to initial findings of non-compliance

A 20-day rectification period may be offered by ASQA when non-compliance findings are initially reported (e.g. initial findings of a Performance Assessment).

If at the end of the rectification period you can submit evidence that satisfies ASQA that your organisation has returned to full compliance within that 20-day period, no further regulatory action will be taken, and the Performance Assessment will be closed.

If rectification evidence is not received during the 20-day rectification period, or ASQA deems it not to have resolved the non-compliance/s, the performance assessment will be closed as non-compliant, you will be issued an invoice and moved into a compliance resolution pathway.