ASQA’s new audit model
ASQA is implementing a new approach to audit during 2016 and early 2017.
This fact sheet sets out how this new approach will affect your training provider during the audit process. Under the new approach:
- your audit will be structured around your practices and behaviours in relation to five key phases of the student experience—marketing and recruitment; enrolment; support and progression; training and assessment; and completion
- the depth and scope of your audit will be customised for your training provider and will be informed by your compliance history and detailed risk intelligence
- ASQA will seek your cooperation in gaining input to your audit from your current and former students via interviews, focus groups and a survey
- where non-compliances are identified you may be expected to take action to redress any harm caused to students.
You can find more information on how this audit model was developed, and how the revised model supports improved vocational education and training (VET) sector quality, at www.asqa.gov.au/audit
How will ASQA customise the audit process?
ASQA will use our risk intelligence database and other information to determine the focus and scope of audit for each training provider.
In preparing for your audit, ASQA may analyse:
- information from current and past complaints
- your training provider’s compliance history
- any relevant media reports
- enrolment and profile data
- your funding sources and amount of Government funding, and
- intelligence from other regulators and agencies.
ASQA’s pre-audit evidence gathering will also include gathering data about your training provider’s practices in relation to certain key activities (such as marketing and enrolment) from websites and social media.
When planning the audit, ASQA will also look at your use of any brokers or third-party arrangements. ASQA might seek this pre-audit information in a variety of ways—for example, through research, by issuing a request to your training provider, or by issuing a notice that compels your training provider to provide relevant information.
ASQA will also seek input (before, during or after the audit) from some or all of your students through methods that may include student surveys, interviews and focus groups. ASQA will then use this intelligence to determine:
- the ‘depth’ of the audit (this may include how long the audit is scheduled to take), and
- which qualifications and phases of the student experience will be the focus of the audit.
What are the key phases of the student experience?
Your audit will be structured around your training provider’s practices and behaviours in relation to the phases of the student experience shown below. Your auditor will determine the standards and qualifications to be audited which may be amended during the audit process, if required. As a registered training organisation you are required to meet all the requirements of the VET Quality Framework, including all Standards for Registered Training Organisations (RTOs) 2015.
Visit www.asqa.gov.au/audit or contact newauditmodel [at] asqa.gov.au for more information.