Overall Level of Non-Compliance

The overall finding of an audit is based on the extent to which the evidence reviewed demonstrates compliance with the Standards for RTOs.  

The overall finding is either compliance or non-compliance, defined as follows:

When the overall finding is non-compliance, auditors will also assign an overall level of non-compliance and this is recorded on the report The levels of overall non-compliance are identified as:

Minor Non-Compliance

In this case, the requirements of the Standards for RTOs have not been met based on the evidence reviewed but there is no (or minor) adverse impact on learners and/or other consumers of goods and services produced in the training environment or the current (or future) workplace.

Evidence viewed could indicate that one or more of the following has occurred:

  • the non-compliance identified does not demonstrate a serious breakdown of the RTO's systems for the provision of quality training and assessment;
  • continuous improvement systems are in place; and/or
  • data from the quality indicators or other sources shows that clients are generally satisfied with services and outcomes from the RTO.

 

Significant Non-Compliance

In this case, the requirements of the Standards for RTOs have not been met based on the evidence reviewed and there are indications of a significant adverse impact on learners and/or other consumers of goods and services produced in the training environment or the current (or future) workplace.

Evidence viewed could indicate that one or more of the following has occurred:

  • training and assessment systems are not sufficiently focused on quality training and assessment outcomes and meeting individual learners' needs in some areas of the RTO's operations;
  • systems to continuously improve the RTO's operations are inadequate;
  • data from the quality indicators or other sources shows that a range of clients have expressed dissatisfaction with services and outcomes from the RTO; and/or
  • previously identified minor non-compliance has not been rectified or evidence of improvement within the applicable period has not been provided.

 

Critical Non-Compliance

The requirements of the Standards for RTOs have not been met based on the evidence reviewed and a critical adverse impact on learners and/or consumers of goods and services produced in the training environment or the current (or future) workplace is occurring or has occurred.

Evidence viewed could indicate that one or more of the following has occurred:

  • training and assessment systems are not achieving quality training and assessment outcomes and are not meeting individual learners' needs;
  • there is a breakdown in, or absence of, effective management systems;
  • there is no systematic approach to continuous improvement; and/or
  • data from quality indicators or other sources shows that there is widespread or persistent dissatisfaction with services and outcomes.

     

Critical Non-Compliance (Risk of Injury or Death)

The requirements of the Standards for RTOs have not been met based on the evidence reviewed and a critical adverse impact which may indicate risk of injury or death to learners and/or consumers of goods and services produced in the training environment or the current (or future) workplace is occurring or has occurred.

Evidence viewed could indicate that one or more of the following has occurred:

  • training and assessment systems are not achieving quality training and assessment outcomes and are not meeting individual learners' needs;
  • there is a breakdown in, or absence of, effective management systems;
  • there is no systematic approach to continuous improvement;
  • data from quality indicators or other sources shows that there is widespread or persistent dissatisfaction with services and outcomes; and/or
  • there is a risk of injury or death to people in the training environment or the current (or future) workplace.

In such instances, the level of risk and potential impact on learners and/or other consumers of goods and services produced in the training environment or the current (or future) workplace may warrant immediate rectification.

Where an Auditor has identified a risk of injury or death, the Auditor will contact TAC immediately so the non-compliance can be managed appropriately.

The Auditor will be asked to report to TAC the risk and the likelihood of the risk of injury or death occurring. The Auditor may also be required to submit the audit report to TAC within a shortened timeframe. In addition, the RTO may be required to provide evidence of rectification within a shortened timeframe, depending on the risk and the likelihood of the risk occurring.

The Management of Critical Non-Compliance Policy outlines the rectification timeframe based on the likelihood of risk of injury or death occurring.

More information on the level of non-compliance, how an Auditor determines the overall level of non-compliance, what to do when a non-compliance has been identified and how to address the non-compliances is available in the Managing Non-Compliance against the Standards for RTOs Fact Sheet. 

Last modified: 10/05/2021 12:18 PM