ASQA conducts compliance audits to assess RTOs' ongoing compliance with the National Vocational Education and Training Regulator Act 2011 (the NVR Act) and the VET Quality Framework (which includes the Standards for Registered Training Organisations 2015).
Compliance audits are scheduled at ASQA’s discretion, with the authority of an ASQA Commissioner or nominated delegate.
It is important to note that ‘audit preparation’ immediately before your audit is unlikely to significantly affect your audit outcome.
ASQA’s student-centred audit approach means that the quality of your RTO’s practices and behaviours at each stage of the student journey largely determines the audit outcome.
To ensure that your RTO is delivering quality training and assessment and meeting the required standards, you are encouraged to:
- undertake regular self-assessment (you can use the ASQA self-assessment tool to do this)
- ensure practices and behaviours across your provider align with your documented systems and processes
- ensure you are familiar with ASQA's published resources about the audit process and about delivering high-quality training and assessment, including the Users’ guide to the Standards for RTOs 2015 and relevant fact sheets.
Under ASQA’s student-centred audit approach, audits are likely to be triggered by information from ASQA’s risk intelligence.
ASQA will generally conduct a compliance audit:
- if your RTO was registered prior to 1 July 2018, within two years of initial registration, or
- if an assessment has determined there is a significant risk of the RTO failing to meet its regulatory obligations.
- when an assessment has determined there is a risk of the RTO failing to meet its regulatory obligations. For example, the initial assessment may be triggered by:
- the receipt of serious complaints against the training provider
- a recommendation by a Commissioner or Manager, Regulatory Operations (for example, a recommendation based on the outcome of a previous ASQA audit).
Under ASQA’s student-centred audit approach, audits are most likely to be triggered by concerns from ASQA risk intelligence. ASQA may initiate an audit in response to concerns about a provider based on its risk profile and a range of inputs.
Compliance audits are charged at rate of $275 per auditor per hour.
- If any part of the audit is conducted outside Australia, reimbursement of all reasonable costs incurred by ASQA, including the cost of travel, will be required.
The charge applies to time spent by ASQA on planning the audit, conducting the audit, preparing the audit report and other related business processes.
ASQA cannot provide an estimate of the cost of your audit in advance.
ASQA will invoice you when the audit is finalised.
Compliance audits are often conducted as a result of serious concerns about an RTO. These concerns may have been raised through complaints, as a result of a previous ASQA audit, or through intelligence received.
In cases where ASQA considers the RTO’s practices pose a serious risk, the audit may be conducted with little or no notice.
ASQA 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.
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.