1506

03

Background This factsheet has been developed to provide information for Queensland school RTOs who are registered through the Queensland Curriculum and Assessment Authority (QCAA) as delegate for the Australian Skills Quality Authority (ASQA).

Other RTOs must refer to ASQA: www.asqa.gov.au.

The VET Quality Framework, including the Standards for Registered Training Organisations (RTOs) 2015, is available at: https://www.comlaw.gov.au/Details/F2014L01377.

Audits Audits are conducted to assess whether school RTOs comply with the VET Quality Framework, particularly the Standards for Registered Training Organisations (RTOs) 2015.

Two types of audits are conducted: registration and compliance. These audits may be carried out on site (site audit), or through correspondence (desk audit).

Registration audits The QCAA may conduct a registration audits at:

• initial RTO registration

• renewal of RTO registration

• change to scope of registration.

Compliance audits The QCAA may conduct a compliance audit:

• within two years of initial registration

• for monitoring purposes

• if it has been determined there is a risk of the RTO failing to comply with the Standards.

Audit preparation Auditors seek to take a snapshot of your RTO’s operations, which includes training, assessment, administration and support services related to your registration. Gathering of evidence includes reviewing the coordinated set of documented policies and procedures (including assessment materials and tools) that ensure assessments are consistent and compliant. Auditors will also interview the Principal, RTO manager, students, trainers and assessors and other staff or parties who provide services.

The school RTO must be compliant at all times so there should be little preparation other than responding appropriately and promptly to requests from the auditor and to prepare the audit schedule once you have been provided with the scheduling information and template.

QCAA VET Audits VET factsheet

QCAA VET Audits VET factsheet

Queensland Curriculum & Assessment Authority July 2015

Page 2 of 3

Other practical preparations for a site audit include:

• ensuring that all RTO information is readily available on request

• ensuring that the RTO manager is available for the audit at all times

• ensuring relevant staff and student availability, including the Principal (Chief Executive)

• arranging for a suitable interview room with adequate power, lighting and desk space

• arranging for parking, water and other hospitality requirements.

If third-parties are involved in RTO operations, you will also need to ensure their availability for the audit and arrange for transport if necessary.

The QCAA School RTO quality checklist provides guidance on RTO responsibilities and evidence requirements: www.qcaa.qld.edu.au/24388.html.

Audit process Planning the audit The scope and complexity of the audit will vary according to audit purpose and the RTO’s risk rating. Most audits are conducted on site, but desk audits are also conducted.

Site audits include a visit to the school and may require visits to other delivery sites as well as with third parties where relevant. Desk audits involve the school sending evidence in to an auditor for review at the office.

In most cases the school RTO will be notified at least 20 working days prior to a site audit and five working days prior to submission of evidence for a desk audit.

However, the QCAA has the authority to conduct an audit of a school RTO with little or no notice.

Typically, at least 20 working days prior to a site audit, the auditor will contact you to:

• advise you of the type of audit

• advise of the audit date/s

• request the submission of pre-audit information.

The lead auditor will then contact you 10 days prior to your site audit to:

• provide an audit schedule template

• provide the name of any other auditors in the audit team (if relevant).

Conducting the audit An audit is an evidence-based process and may include interviews with key RTO staff, students and third parties (as outlined in the audit schedule template provided prior). It will also include a review of documented evidence of compliance with the Standards.

Site audits will commence with an opening meeting with the Principal (CEO) and RTO Manager.

The site audit will conclude with a closing meeting with the Principal (CEO) and RTO Manager where the auditor will outline the key findings and any gaps in compliance. They will also confirm the next steps in the audit process.

QCAA VET Audits VET factsheet

Queensland Curriculum & Assessment Authority July 2015

Page 3 of 3

Finalising the audit The QCAA auditor will moderate audit findings and make a decision about compliance with the relevant standards. You will receive a copy of the audit report which identifies compliance and any non-compliances. If non-compliance is identified, the school RTO has one opportunity to provide additional or amended evidence to demonstrate full compliance, within 20 working days of receipt of the report. If an application for initial or renewal registration has been approved, the school RTO will be issued with a Certificate of Registration. If an application is not approved, the school RTO will receive notification of this in writing, outlining the reasons for the decision.

More information If you would like more information, please visit the QCAA’s VET webpage at www.qcaa.qld.edu.au/576.html, or ask the VET team a question here: www.qcaa.qld.edu.au/34062.html.