Audits are undertaken at TAC's discretion to ensure the compliance of an RTO with the Standards for Registered Training Organisations (RTOs) 2015 and TAC policies. Should your RTO require an audit you will be notified in writing of the type of audit to be undertaken and the reason for it.
The different types of TAC initiated audits are:
Post initial audits
For RTOs that applied
for initial registration prior to 1 August 2018, a post initial audit will be
conducted within the first 24-months of registration. The post initial audit
ensures that systems that were reviewed at the initial registration audit
continue to meet the Standards for RTOs.
TAC investigates only complaints that relate to an RTOs compliance with the Standards for RTOs. If it is determined that there are grounds for the complaint and the matter needs to be investigated further, an audit may be required. The RTO will be advised of the complaint and the steps in the investigation process.
For further information:
TAC Complaints Handling for RTOs.
Compliance monitoring audits (CMA)
Compliance monitoring audits (CMA) allow for the monitoring of ongoing compliance with the requirements of registration as a result of the outcomes of previous audits.
RTOs will be considered for a CMA if one of the following criteria applies:
1. On application from an RTO to remove sanctions applied by Council;
2. When an RTO has been found critically non-compliant
overall at audit and a follow up audit is necessary to ensure the actions taken by
the RTO have been deployed;
3. When two consecutive significant or higher non-compliant outcomes have been identified against the same qualification or industry area within a three year period;
4. When Council has determined that the outcome of an audit indicates that a broader audit sample is required due to the identification of risks that could be detrimental to those undertaking VET with the provider.
If the RTO meets the criteria, the matter will be sent to the Council for consideration.
All CMAs endorsed by the Council will be charged in line with the CMA fees schedule as outlined in the TAC fees and charges.
Compliance monitoring audits (CMA) Policy
Strategic Industry Audits
In regulating the vocational education and training sector in WA, TAC assesses risks presented by RTOs, courses, qualifications and the VET system.
Where system risks are identified, TAC may instigate a Strategic Industry Audit (SIA) of particular training areas or issues.
Below are the findings of the most recent SIAs undertaken by TAC:
RTO Third Party Arrangements
Marketing and Governance Audit Strategy
High Risk Work Licences in WA SIA
VET in schools delivery in WA SIA
Aged care and home and community care qualifications in WA SIA
Qualifications which lead to an electrician's licence in WA SIA
TAA40104 Certificate IV in Training and Assessment SIA
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