New and existing providers that are complying with the conditions and standards of registration can expect a lower level of regulatory intervention, while those posing a high risk of not complying can expect increased scrutiny from ASQA auditors
ASQA identifies, analyses and evaluates key risks to assure quality in accordance with the VET Quality Framework, the National Code of Practice for Registration Authorities and Providers of Education and Training to Overseas Students 2007 (the National Code) and the Education Services for Overseas Students Act 2000 (ESOS Act).
What types of audits does ASQA undertake?
ASQA undertakes two distinct types of audits:
- registration audits, and
- compliance audits.
What is a registration audit?
Where a provider makes an application for:
- initial RTO or CRICOS registration
- renewal of RTO or CRICOS registration, and
- change to scope of RTO or CRICOS registration.
ASQA may conduct a registration audit to assess whether the provider is compliant with the relevant standards.The cost of a registration audit is included in the relevant application assessment fee.
What is a compliance audit?
A compliance audit is conducted proactively by ASQA to assess a provider’s ongoing compliance with the standards required for registration. Compliance audits are scheduled at ASQA’s discretion with the authority of an ASQA Commissioner.
The cost of ASQA undertaking a compliance audit of an RTO is chargeable to the RTO. ASQA has the authority to undertake compliance audits of RTOs outside of Australia. Compliance audits are also conducted of CRICOS providers; however, no charges apply.
The following table outlines when audits are conducted and the purpose and focus of registration audits.
REGISTRATION AUDITS | ||||||
Initial registration | Renewal of registration | Change scope of registration | ||||
When is the audit conducted? | When the application has been assessed as meeting financial viability and Fit and Proper Person Requirements. | If the application is assessed as meeting financial viability and Fit and Proper Person Requirements and a risk assessment indicates that an audit should be conducted. Some of the factors reviewed in the risk assessment include:
| Only when a risk assessment of the following factors (among others) indicates an audit should be conducted:
| |||
What is the purpose of the audit? | To inform a recommendation about the organisation’s compliance with the application requirements, i.e.:
| To inform a recommendation about the organisation’s ongoing compliance with the application requirements, i.e.:
| To inform a recommendation about the organisation’s compliance with the application requirements, i.e.:
| |||
| REGISTRATION AUDITS | |||||
| Initial registration | Renewal of registration | Change scope of registration | |||
What is the focus of the audit? | Evidence of the preparedness of the applicant organisation to operate as an RTO and/or to deliver training to international students studying in Australia. The audit involves a review of evidence provided by the applicant to inform a recommendation about, among other things:
| Evidence of the ongoing effective deployment of systems for the delivery of quality training and assessment. The audit will review evidence provided by the applicant to inform a recommendation about, among other things:
| Evidence of the preparedness of the organisation to deliver the units/qualifications/courses contained within the application. The audit will review evidence provided by the organisation to inform a recommendation about, among other things:
| |||
What is the audit process?
Planning the audit
Once ASQA conducts a risk assessment and determines an audit is required, the lead auditor will usually contact the provider to advise of the scheduled audit and set an audit date (which could be up to several months away), although ASQA does have the authority to conduct an audit of a provider with little or no notice.
The scope and complexity of an audit will vary according to its purpose and the risk rating of the provider being audited. Audits are usually conducted via site visits, although desk-based audits of provider evidence are conducted from time to time. The audit may include a visit to local and interstate delivery sites. ASQA has authority to audit delivery sites located outside Australia.
During an audit, information may be sourced from the provider itself, its students, industry organisations, ASQA’s compliance systems (such as the complaints register), and other risk analysis systems.
Approximately 10-20 days before the audit date, the lead auditor will contact the provider to:
- confirm the audit date/s and commencement time
- advise the name of other auditors in the audit team and/or technical advisers (if relevant)
- notify the scope of the audit – the qualifications and/or courses to be sampled and sites to be visited, and
- request the submission of pre-audit evidence/information.
Conducting the audit
The audit usually involves a visit by an auditor (or team of auditors) usually to the applicant’s/provider’s head office as well as to one or more delivery sites/proposed delivery sites.
The site visit will commence with an opening meeting to confirm the reason, scope and process for the audit and then move on to the process of evidence collection and analysis, which may include interviews with key staff and students and the review of documented evidence. Essentially, the onus is on the applicant or registered provider to provide evidence of how it is:
- delivering training and services
- meeting the learning needs of its students
- continuously improving outcomes (RTOs only), and
- complying with the requirements of the conditions and standards of registration.
The site visit concludes with an exit meeting to communicate key findings and gaps in compliance and to confirm the next step.
An audit report is then prepared and if non-compliance has been identified, the provider will be given one opportunity to provide further evidence of compliance. That evidence will be considered in the formulation of a recommendation about the applicant or registered provider’s initial or ongoing compliance.
Source: www.asqa.gov.au
