5 Steps to Organising an Internal RTO Audit!

For Registered Training Organisations (RTOs) in Australia, audits are an important part of ensuring compliance and maintaining training standards. Teams can recognise gaps and implement best practices for the RTO by following a proper path. Here are some steps that are designed to support consistent improvement throughout the entire process:

Creating an Internal Audit Itinerary

As a part of the first step, you have to establish what needs to be audited. You must adhere to the standards of RTOs and contracts for your RTO’s financial backing. You will also have to compile an archive of the external VET requirements, arrangements and instructional records that your RTO must conform to. Here are some elements you must include in your audit itinerary:

• Gathering external frameworks: Look after the relevant training package requirements and licensing regulations.
• Set timelines and responsibilities: Each audit task needs to have a proper allocated time, and team members should be assigned to fulfil those responsibilities.
• Document primary risks and priorities: High-risk areas, such as new courses and high student turnover, need to be taken care of.

Preparations for an Internal Audit

Preparing for your ASQA audit always begins with staying compliant. Here is a list of key aspects that will help your RTO stay compliant:

1. Review the Standards for RTOs 2015

You are required to review these standards for your organisation to understand them better. This also gives you an idea of where your organisation is positioned according to them.

2. Become Familiar with ASQA’s Audit Resources

These fact sheets provide you with detailed information about ASQA’s student-centred approach and FAQs. These FAQs help you understand the audit process better through general information and assistance regarding RTOs.

3. Keep Detailed Records

You have to keep a track of your organisation’s performance, internal documentation and student data. Files associated with student information need to be kept updated, secure and accurate.

4. Collect Student Feedback Regularly

Your organisation can continuously improve by offering a high-quality learning experience. Knowing more about the ASQA’s student surveys enables you to structure your feedback in an organised manner.

Let us have a look at each of the steps involved in organising an internal RTO audit:

Initial Meeting

The ASQA assessor performs the initial contact with the provider organisation to discuss the audit process. The location of the interview is also decided, which can include both onsite and virtual observations. The ASQA will also ask for student enrollment information and completion numbers. This student information will be utilised to conduct interviews and survey them accordingly.

Here are a few points on how ASQA approaches performance assessment audits:

• ASQA applies a risk-based and customised way of quality assurance. This means that ASQA does not evaluate all standards in every audit.
• Focus is made on a particular set of standards that give insights into your RTO’s overall performance.
• ASQA selects evidence from a wide range of training products instead of reviewing everything.

Through these steps, the performance assessment audit can be either narrowed or broadened further. This scope is also dependent upon the identified risks to your students and their learning outcomes.

Opening Meeting

The assessor who is conducting the performance assessment audit will walk you through the audit process of your organisation and answer your queries. Often, there is more than one interview in the process, required to establish the timeframe and scope of your performance.

Evidence Collection

The RTO auditor is responsible for collecting evidence relevant to the provider. The assessor has to analyse the evidence that has been requested and has to be clarified and validated during provider interviews.

Given below is a table that highlights three evidence collection methods in RTO audits:

It is important that you involve staff members in the process of an internal audit. They can provide their valuable feedback and inform about any major compliance issues they might have identified.

Closing Meeting

The ASQA and the assessor will conduct a closing meeting with you as part of the interview process. During this meeting, both the organisation and the assessor will discuss issues that have been recognised during the performance audit. Here is a list of tasks that will take place after the closing meeting:

• Any additional evidence requested during the audit will be reviewed.
• Prepare a report of your assessment. The report will contain a detailed description of findings to identify any compliance gaps.
• Make recommendations to the ASQA.

Reports are also required to be shared with senior management, ensuring that all relevant staff members are aware of the associated outcomes.

Assessment Determination and Next Step

Once the entire assessment is complete, the assessor provides findings and recommendations directly back to the ASQA. In the next step, the organisation considers the assessor’s audit and further identifies compliance and non-compliance of the provider.

The provider then receives a notification letter once the entire process is completed. If the provider has been shown to be compliant, no further action is required by them.

Conclusion

An internal audit strengthens the ability of your RTO to deliver quality education to its students while it maintains compliance. This process enables you to identify the risks early and helps your RTO to grow continuously. These audits are also responsible for bringing about excellence, accountability, and improvement of outcomes for learners.

An experienced RTO accountant Perth can enhance the way you prepare yourself for an RTO audit and maintain thorough compliance with regulations.