An audit may be conducted by a single Auditor or by an audit team comprised of a lead Auditor, one or more co-Auditors and an observer/s may also attend. Technical experts may also be called upon by the Auditor when seeking technical advice or expertise in regard to an industry specific requirement outlined in the training product.
Roles and Responsibilities of the Audit Team
The following outlines the roles and
responsibilities of the audit team for site audits
The role of the lead Auditor is to:
- confirm the scope of the audit with TAC and brief the audit team;
- contact the RTO or applicant and make an appointment for audit;
- identify and confirm resources (including audit team members and audit documentation) required to conduct the audit;
- review documentation and develop a schedule for the audit in conjunction with the RTO or applicant;
- conduct the entry meeting;
- manage audit team resources by ensuring there is effective communication between the audit team, and the RTO or applicant's representative to ensure the audit team have access to relevant materials, sites and personnel;
- conduct the exit session with the RTO or applicant and confirm follow-up;
- provide information to the RTO or applicant about the complaint process and follow-up action required; and
- prepare the audit report with support from the audit team and submit to TAC.
The role of the co-Auditor is to:
- participate in the entry and exit meetings;
- identify and gather information;
- analyse and evaluate information;
- report findings; and
- undertake other duties as requested by the lead auditor.
Observers are drawn from TAC and occasionally from other sections within the Department of Training and Workforce Development. Further to this, new Auditors undergoing induction or new members of TAC staff may attend audits as observers.
Auditors can also request an observer to accompany them to any audit should they feel the need.
The role of the observer is to:
- ensure that the correct audit process is followed;
- guard against bias, error and omission by providing a third-party view of the site visit;
- in the event of a formal complaint by the RTO, provide a third party account;
- provide clarification on site visit issues to the TAC Secretariat where required; and
- participate in the entry and exit interview with the RTO.
Knowledge and Skills of Auditors
TAC establishes a panel of RTO Auditors through a public tender process.
Auditors are required to demonstrate they have VET knowledge and skills as well as the necessary knowledge and skills to apply audit principles, procedures and techniques when undertaking TAC audits. Auditors must hold relevant auditor competencies and continuously demonstrate current and relevant vocational competencies in the conduct of audits.
Members of the TAC audit panel are required to undertake ongoing professional development and attend regular mandatory auditor moderation meetings.
TAC Auditors and must observe the TAC Code of Practice for RTO Auditors and Accreditation Reviewers.
28/01/2021 6:52 PM