FACT SHEET 18 - The audit process May 2010

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• Publié par: Irkoi
• Nombre de lectures: 35
• Langue: English

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Fact Sheet 18 – The AQTF Audit Process
Purpose
An integral part of the process to be followed in becoming a registered training organisation (RTO) and
maintaining registration is the participation in audits.

In South Australia, the registration audit process is managed by the Quality and Tertiary Education Policy
Directorate (QTEP) on behalf of the Training and Skills Commission.

The Australian Quality Training Framework (AQTF) states that a training organisation will generally be
audited when it first applies for registration, again within the first 12 months of initial registration, and then
at renewal of registration which takes place every five years.

Audits may also occur at other times such as monitoring or strategic audits, or when an RTO wants to
extend its scope of registration, i.e. add qualifications or courses to those it is already approved to deliver.
Extension to scope and re-registration applications are assessed in accordance with the AQTF National
Guideline for Risk Management.

How can I prepare for a site audit?
Refer Fact Sheet 2: Preparing for an AQTF Site Audit

Who will conduct the audit?
Audits are conducted by an audit team which can vary in composition according to the type and scope of
the audit. However, it will always comprise a Departmental lead auditor and an external auditor(s) and/or
an industry technical adviser who will have substantial experience in the vocational education and training
(VET) sector and relevant industry knowledge. See the AQTF Audit Handbook for more detail on Audit
team competencies.

When you are notified by QTEP of an impending audit, you will be provided with the opportunity to confirm
that you are satisfied with the membership of the audit team and that there is no conflict of interest with any
of the members scheduled to conduct the audit.
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What will be the focus of the audit?
If you are an existing RTO, the focus of an audit will be on the outcomes achieved by your organisation.
Auditors will evaluate the evidence provided by you against the AQTF Essential Conditions and Standards
of Continuing Registration (the AQTF Standards), the Conditions of Registration and the quality indicators.
In some circumstances, the Guidelines for RTOs Registered in South Australia will also be assessed.

If you are a new applicant making an initial application, the auditors will be looking at what processes have
been put in place to ensure that compliance with the AQTF Essential Conditions and Standards for Initial
Registration will be met.

How long will the audit take?
An audit can take a couple of hours or a couple of days depending on its scope and complexity. For most
audits, you should set aside a full day to avoid being rushed.

What will happen during the audit?
The audit will commence with an opening meeting between the auditors and senior staff of your
organisation to outline the audit process and agree on the most efficient way of completing the audit tasks.

During the audit, the auditor(s) will talk to staff, students and review evidence to determine the extent to
which your organisation is achieving quality training and assessment outcomes in line with the Standards
and the operating context of your RTO.

For an initial registration, the auditor(s) will assess your organisation’s capacity to meet the requirements of
these Standards.

The audit will conclude with an exit meeting which is a verbal debrief to your staff on the audit findings.
The auditors will identify any examples of good practice, non-compliance, and opportunities for
improvement. You will also have an opportunity to comment on the audit conclusions.

What will happen following the audit?
The auditor will formalise their audit findings in a report for the Delegate, Training and Skills Commission
(the Delegate), who will make a determination. This determination and the audit findings report will be
forwarded to your organisation’s Chief Executive Officer.

If your organisation is compliant with the Standards, no further action by you is required. Where non-
compliance has been identified, you will be given an opportunity to rectify this. Any opportunities for
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improvement identified in the audit findings report will be looked at during the next site audit of your
organisation.

How do I deal with the non-compliances identified during the audit?
Where non-compliances have been identified in the audit findings report, your organisation will be required
to submit evidence to the Lead Auditor outlining how these have been addressed. This gives you the
opportunity to present additional evidence or to provide further information which will give the auditor a
better understanding of your organisation’s position in regard to the reported non-compliance.

How long do I have to rectify any non-compliance?
You are given 28 calendar days from the date the Delegate signs the audit report to address identified non-
compliance. Evidence to address non-compliance should be provided to the Lead Auditor and will need to
be assessed by the audit team. Their findings will be reported in a second report to the Delegate.
Occasionally, a further site visit may be required.

What happens next?
Where appropriate action has been taken that satisfactorily addresses any non-compliance, no further
action is required. The audit process is complete and you will be notified accordingly. Where appropriate,
the Training.gov.au website (TGA) (www.training.gov.au) will be updated to reflect your scope of
registration.

Failure to satisfactorily rectify non-compliances within a reasonable timeframe is likely to have implications
for your organisation’s registration. Conditions may be imposed on your registration, or, in critical
situations, registration may be suspended or cancelled. The Delegate will provide 28 days written notice of
their intention to impose this sanction.

Should your registration be cancelled, you will need to formally re-apply to QTEP for registration and your
application will be assessed as part of a new registration process.

What can I do if I am not satisfied with the Delegate’s decision?
Your organisation may appeal a decision of the Delegate through the Administrative and Disciplinary
Division of the District Court. You should seek your own independent legal advice in relation to such an
appeal.




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How can I provide feedback on the audit process?
At the conclusion of the site audit, the Lead Auditor will give you a questionnaire which allows you to
provide feedback on the audit process and the conduct of the audit. We will use this feedback to monitor
and review the audit process and make improvements where appropriate.

Should you wish to make a complaint about the service you receive from QTEP staff, please put your
concerns in writing to the Director, Quality and Tertiary Education Policy Directorate (QTEP), GPO Box 320
Adelaide SA 5001.

Further information

These AQTF documents can be downloaded from the AQTF website at www.training.com.au
 AQTF Audit Handbook
 AQTF Essential Conditions and Standards for Initial Registration
 ndards for Continuing Registration
 AQTF Users’ Guide to the Essential Conditions and Standards for Initial Registration
 nd Standards for Continuing Registration
 AQTF National Guideline for Risk Management

The Guidelines for RTOs registered in South Australia and a range of other QTEP fact sheets can be
downloaded from www.training.sa.gov.au .

For general advice on the AQTF audit process, contact the Client and Information Services Unit, QTEP on
8226 3065, email: [e-mail] .

If you are already engaged in a specific audit process, your enquiries should be directed to the Lead
Auditor assigned to your audit.














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