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Prepare for an audit

ASQA undertakes two distinct types of audits—registration audits and compliance audits.

Registration audits

ASQA conducts registration audits to ensure that RTOs are operating (or will operate) effectively within their scope of registration.

You will be required to undergo an ASQA registration audit:

  • when you apply for initial registration as a registered training organisation
  • in some cases, when you apply to renew your registration, and
  • in some cases, when you apply to make changes to the scope of your registration.

The registration audit will involve a visit to one or more of your delivery sites. Each site visit usually takes between one and two days. This may vary according to the size and scope of the RTO.

Registration audits—frequently asked questions

How does ASQA charge for registration audits?

The cost of registration audits is factored into ASQA's application fees—you are not charged an additional fee for a registration audit.

How much notice will I receive before a registration audit is scheduled?

The lead auditor will contact you to set a date for the audit. In most cases, the date for the audit will be set for between one and four months from the time the auditor contacts you. The auditor will contact you again between 10 and 20 working days before the audit to confirm the audit date and advise on other key information, including the scope of the audit.

How can I prepare for a registration audit?

Will ASQA audit my CRICOS and VET registration at the same time?

In most cases, if you have submitted the CRICOS and vocational education and training (VET) registration applications at the same time—that is, within one business day of each other—and risk assessment determines that an audit of each application is required, ASQA will consider your VET and CRICOS registrations at the same audit.

Compliance audits

ASQA conducts compliance audits to assess RTOs' ongoing compliance with the standards. 

ASQA will conduct a compliance audit:

  • within two years of initial registration (this is the 'post initial audit'), or
  • if an assessment has determined there is a risk of the RTO failing to comply with the relevant standards.

Compliance audits are scheduled at ASQA’s discretion, with the authority of an ASQA Commissioner or nominated delegate.

The auditor will discuss with you the most appropriate site/s to visit to conduct the audit. The auditor (or audit team, which may include industry specialists) examines your ongoing compliance with the VET Quality Framework.

The auditor may also investigate the:

  • effectiveness of management systems, delivery strategies and other materials
  • proposed implementation of delivery strategies meets training package and/or accredited course requirements
  • suitability of facilities and equipment, and
  • credentials of nominated delivery personnel.

Compliance audits—frequently asked questions

When might ASQA conduct a compliance audit?

ASQA conducts compliance audits:

  • within two years of initial registration (this is the 'post initial audit'), or
  • when an assessment has determined there is a risk of the RTO failing to comply with the relevant standards for registration. For example, the initial assessment may be triggered by: 
    • the receipt of one or more serious complaints against the training provider, and/or
    • a recommendation by a Manager, Regulatory Operations (for example, a recommendation based on the outcome of a finalised registration audit).

How does ASQA charge for compliance audits?

Compliance audits are charged at the following rate:

  • a base rate of $1000, and
  • $250 per auditor per hour after the first four hours, and
  • any official ASQA travel costs. 

ASQA cannot provide an estimate of the cost of your audit in advance, as the final cost of your audit depends on the time taken to conduct the audit, including the time taken by the auditor to: 

  • analyse and report on any rectification evidence, and/or
  • analyse and report on any evidence provided in response to an ASQA notice of intention to impose a sanction.

ASQA will invoice you when the audit is finalised.

If non-compliances are identified, an audit is 'finalised' after ASQA finishes analysing and reporting on any rectification evidence you submit.

If non-compliances remain outstanding after rectification, ASQA will issue a notice of intention to impose a sanction. If your organisation submits a response, ASQA will consider the response and then issue a further invoice.

Currently, no charges apply to compliance audits of CRICOS registration.

How much notice will I receive before a compliance audit is scheduled?

Compliance audits are often conducted as a result of serious concerns about an RTO. These concerns may have been raised through substantiated complaints or as a result of an ASQA registration audit. In cases where ASQA considers the RTO poses a serious risk, the audit may be conducted with little or no notice. 

How can I be prepared for a compliance audit?

Ensure you are familiar with ASQA's published resources about the audit process and about delivering high-quality training and assessment. These include:

You may choose to conduct a self-assessment, using the ASQA audit report template—VET (PDF 1.77MB)

After the audit

If non-compliance is found at audit, ASQA will notify you in writing. You will be provided with a copy of the audit report. 

You have 20 working days to provide additional or amended evidence to demonstrate  full compliance. If you do not do this, 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 (not the outcome). ASQA conducts a quarterly audit survey. This contributes to the continuous improvement of the audit process and helps to ensure consistency.