RTO Internal Audit
Knowing your RTO compliance status is critical to manage the risk of compliance. But most RTO’s managers don’t have access to accurate audit reports until ASQA conducts a compliance assessment (audits), and by them, it may be too late.
We provide not only an independent assessment of your RTO’s performance and outcomes; but peace of mind, and experts’ advice on how to improve your compliance systems, capabilities, and culture.
We are a leading Consulting and Training organisation. We have conducted more than 400 audits, and have managed Insources Institute (RTO 30122), delivering Diploma of Quality Auditing, have been trained more than 500 lead auditors over the last 20 years.
Our auditors benefit from our experience of more than two decades working for and within the VET sector.
We specialise in quality auditing against:
RTO Internal Audit benefits
Internal audits are a critical part of an RTO Compliance Program used to monitor performance against compliance requirements. RTO internal audits help managers to identify and rectify non-compliances before those non-compliances become a threat for the RTO’s future. Internal audits programs help RTOs to evaluate and improve the effectiveness of compliance, quality, and governance processes.
The RTO Audit process.
The RTO Internal Audit it’s a lot more than just the fieldwork. Includes five steps that are methodically followed to ensure the RTO obtains the full benefits from the service. These steps are aligned with ISO standards and the Institute of Internal Auditors best practices. Insources RTO Internal Audit steps:
This meeting is used to determine the audit focus, to ensure the audit report will provide the evidence required by the RTO and will answer the RTO’s questions. A documented Audit Plan is completed and used as an action plan for the audit.
Insources’ auditor will assess some documented evidence before the fieldwork. This evidence is established during the audit planning meeting and normally includes samples of training and assessment strategies, assessment tools, trainers’ documents, student records, policies, procedures)
The structure followed includes an opening meeting, collection of evidence, and a closing meeting. During the fieldwork (site audit), the auditor collects evidence by reviewing documents onsite, having interviews with RTO staff and learners, observing operations, and inspecting facilities and equipment.
A comprehensive audit report is provided to the RTO within 10 days from the fieldwork. This report includes the audit findings, an action plan to rectify non-compliances (if required), recommendations for improvements, and valuable statistical information about the RTO compliance performance.
The RTO is provided with up to three months to implement the actions suggested in the audit report, during this period, Insources’ auditor will provide support and will review the effectiveness of these actions. The initial audit report is updated including whether the initial non-compliances have been rectified.
RTOs usually maintain a yearly audit program that establishes the audits to be conducted during a calendar year period, their criteria and scope, based on the RTO-specific compliance risks.
A combination of “targeted audits” is normally used, selecting different courses and clauses for each internal audit. RTOs audit programs must be responsive to the dynamic RTO compliance risks behaviours and environment. RTO’s managers must obtain a full picture of the RTO compliance performance, that will be used for regulatory reporting (example: Annual Declaration on Compliance), preparedness for some regulated projects (example: application for re-registration, or to add a training product to scope), or as part of the RTO’s self-assurance and continuous improvement processes.
RTO Internal Audit Options
Our standard RTO audit packages are:
This audit provides RTOs with an audit report and action plan to confidently prepare the CEO Annual Declaration on Compliance, or the preparation for a re-registration process.
The full RTO Standards audit usually includes 1-2 days fieldwork (depending on the RTO's scope of registration and other conditions such as locations, or number of students).
This audit provides CRICOS RTOs with an audit report and action plan to confidently prepare an application for CRICOS, or in preparations for RTO/CRICOS re-registration.
The full RTO Standards audit usually includes 2-3 days fieldwork (depending on the RTO's scope of registration and other conditions such as locations, or number of students).
This audit provides RTOs with an audit report and action plan to effectively monitor compliance, strength self-assurance by providing a third line of protection, and continuously improve the RTO compliance systems and capabilities.
The partial RTO Standard 1 audit includes 1-day fieldwork.
All audits (Full RTO Standards audit, Full RTO Standards + CRICOS audit, Partial RTO Standard 1 audit) includes expert advice that goes beyond a standard compliance report. We provide examples of best practices, an action plan to rectify any identified non-compliances, and exploit opportunities for continuous improvement.