Category of Audit

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; and
  • audits commissioned by TAC as part of its ongoing risk management approach;

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:


Monitoring audits

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.


Complaint audits

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

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:

(2021) - Community Services

(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 suspension.

RTOs will be considered for a CMA if one or more of the following criteria applies:

1. When an RTO has been found critically non-compliant at audit.

2. When two consecutive significant or critical non-compliant outcomes have been identified at audit against the same training product/s or industry area within a three-year period.

3. When the 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.

4. On application from an RTO for reassessment of the Council's decision to suspend a provider's registration.

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.

Further information is available in the  CMA policy.


Last modified: 9/11/2021 3:42 PM

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