Once registered, the audits that could occur during an RTO's registration include:
- audits required as a result of changes to the RTO's scope of registration;
- audits commissioned by TAC as part of its ongoing risk management approach; and
- an audit conducted within 24 months of initial registration (for RTOs that applied for initial registration prior to 1 August 2018).
The extent to which each RTO is monitored and audited by TAC during its registration period is based on an assessment of risk to the quality of training and assessment outcomes and the national VET sector. The process for doing this is described in the TAC Risk Framework.
There are a number of different types of audit
that may be scheduled by TAC, and these fall into two categories: audits resulting
from applications and those initiated by TAC.
Audits Resulting from Applications
When an application is received, the TAC will undertake a desktop review to determine if the application is complete. If the application requirements have been met, TAC will conduct a risk assessment to determine whether an audit is necessary in line with the TAC Risk Framework and Regulatory Strategy.
Based on the outcome of the risk assessment an audit may be required.
Audits resulting from applications include:
- Initial registration audits
- Amendment to scope audits
- Renewal of registration audits
Audits Initiated by TAC
Audits initiated by TAC are undertaken most commonly to monitor compliance or respond to an identified risk. 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 categories of TAC initiated audits include:
In some instances an RTO will be required to undergo a monitoring audit. Monitoring audits are generally targeted audits endorsed by TAC that focus on specific training products or Standards. These audits are often initiated to ensure that the actions proposed by an RTO to rectify non-compliances have been deployed, or to address particular training areas or concerns that have been raised by industry.
TAC only investigates complaints that relate to an RTO's compliance with the Standards for RTOs. An audit can be initiated in response to a complaint if an internal review determines that there are grounds for further investigation or that there are potential breaches of the Standards. The RTO will be advised of the complaint and the process for the investigation.
Information about complaint audits is available in the TAC Complaints Policy.
Strategic Reviews provide an in-depth analysis of systemic issues pertaining to a specific industry area or other systemic VET issues. The consideration of risk at the local level allows WA to respond to locally or nationally identified quality issues and intervene in a timely manner.
Strategic Reviews previously undertaken by TAC include:
(2019) - RTO third Party Arrangements
(2017) - Marketing and Governance Audit Strategy
(2014-2015) - High Risk Work Licences in WA SIA
(2014) - VET in schools delivery in WA SIA
(2012-2013) - Aged care and home and community care qualifications in WA SIA
(2012) - Qualifications which lead to an electrician's licence in WA SIA
(2010) - TAA40104 Certificate IV in Training and Assessment SIA
Compliance Monitoring Audits
Compliance Monitoring Audits (CMA) allow for the monitoring of compliance with the Standards for RTOs as a result of non-compliances identified at previous audits or when seeking removal of a sanction.
A CMA can be initiated when one of the following criteria applies:
- On application from an RTO to remove sanctions applied by Council;
- When an RTO has been found critically non-compliant at audit, and a follow up audit is necessary to ensure the actions taken by the RTO have been deployed;
- When two consecutive significant or higher non-compliant outcomes have been identified against the same qualification or industry area within a three year period;
- When TAC 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 learners 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 CMA policy.
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