ASQA audit – an integral component of RTO compliance

Oct 5th 2015 at 2:38 AM

To become a Registered Training Organisation is a unique opportunity to lend valuable contribution to your concerned line of business and area of expertise. Nevertheless, all RTOs work in an extremely regulated and high compliance environment. Even a minor hiccup in terms of conformity can be detrimental to the organisation’s future. ASQA (Australian Skills Quality Authority) is the principle body that regulates and governs all Registered Training Organisations in the country. ASQA audit is done to know whether RTOs are maintaining the required standards for registration as laid down by ASQA.

After conducting risk evaluation and coming to the conclusion that an audit is required, the chief auditor informs the organisation about the impending audit and schedule the date for the same. Although ASQA has the authority to audit a RTO without prior intimation a notice period of five days is generally allowed. It also provides guidelines to the organisations regarding the requirements of the audit.

The scope and intricacy level of the audit differ according to its purpose and the risk rating given by the auditing team during the ASQA audit. Audits are usually conducted through site visits. During an audit, the visiting auditors will survey the facilities, examine the assessment and record keeping system and interview the trainees. They can also verify the documents like Workforce and Occupational policies.

The audit begins with general interaction with the provider to confirm the reason and scope of the audit, followed by the assessment of facilities and records.  The visiting team gathers evidence after thorough analysis that includes discussion with students and staff members and review of documented evidence.

There are two types of audits undertaken by ASQA to monitor the RTOs.

1. Registration Audits – In this the RTOs file an application for initial RTO registration or renewal of the same. This audit is conducted for validating an organisation’s adherence with the applicable requisites such as the necessary standards for preliminary registration and continuing registration. The core aim of this audit is to examine the current appropriateness of management systems, delivery plans and other resources. The auditors check whether the present execution of delivery strategies meets accredited course mandates. Another important aspect of registration audit is the verification of proficiency level of nominated delivery workforce.

2. Compliance audit – This ASQA audit is conducted with the specific purpose of evaluating the providers’ ongoing adherence with the regulations mandatory for registration. These audits are arranged at ASQA’s discretion within the jurisdiction of an ASQA commissioner.


It is imperative for all RTOs to understand that they work in a highly regulatory environment that does not permit any sort of non compliance. Therefore, it is advisable for them to be fully prepared for an ASQA audit.

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