Audits

TAC is responsible for ensuring RTOs comply with the requirements of the Standards for​ Registered Training Organisations (RTOs) 2015​​.

TAC's audit process aims to ensure the compliance of an RTO with the necessary Standards for RTOs and TAC policies.​​

The types of audits that may occur are:

Client initiated audits (from RTO applications)

- initial registration
- ​​amendment to scope
- renewal of registration (every seven years)

TAC initiated audits

- post initial audit (undertaken within the first 24 months of registration)
- in response to complaints
- strategic industry audits
- compliance monitoring audits (CMA)

Audit processes:
Audit process flowchart - desk audit
Audit process flowchart - site audit

 

Consultants at audits

Many organisations employ a consultant to help prepare for a Standards for RTOs audit.​ During an audit, the auditor is required to assess how the systems the ​organisation has in place meet the requirements of the Standards for RTOs​. It also assesses the understanding of these systems by staff. 

For the auditor to be confident that this will occur, the interaction at the audit is to be between the auditor and the organisation, and not between the auditor and the consultant. A consultant may attend an audit to provide support, but cannot:

  • ​provide responses to the auditor on behalf of the organisation 

  • enter into discussions regarding the conduct, progress or findings of the audit, unless the legally responsible person of the RTO has delegated authority to the consultant.​​


​Professional Development

Undergoing an RTO Audit can be a stressful experience, but it doesn't have to be if you are well informed and prepared for the audit. Further information on the audit process and what to expect at audit is available at one of TAC's professional development sessions available here​.​

Last modified: 1/09/2017 1:06 PM

 Content Editor