The following information is to guide RTOs/applicants in preparing for a site or desk audit.
Undergoing an audit can be a stressful experience, but it doesn't have to be if you are well informed and prepared for the audit. TAC offers a number of resources to assist you with preparing for your audit:
No two people, business practices or providers are the same. The Auditor will generally not be familiar with a particular RTO's operations and is therefore reliant on organisational representatives to provide clear and logical information about how the business operates.
Once it has been determined that an audit is required, there are a number of things that an RTO should consider in preparing for the audit.
- achieving compliance with the
Standards for RTOs;
- meeting training package requirements;
- delivering training to industry standards;
- meeting the learning needs of clients; and
- continuously improving outcomes.
- It is a good idea to provide the Auditor with a snapshot of your business, such as the scope of delivery, number of students, modes of delivery, staffing, facilities, client groups, special features, etc.
- Decide which staff members, learners and clients will be best placed to provide supporting evidence, and ensure they will be available.
- Participation in an audit can be stressful. Work with staff to help them feel more at ease with the audit process and let them know what to expect.
- It is most likely that the Auditor will track the progress of learners and will identify learners and, where relevant, clients such as employers, to be interviewed to determine the extent to which the provider is achieving its outcomes.
- Allocate a staff member to be the Auditor's guide during the visit. The guide supports the process by ensuring staff are available at planned times, assisting with auditor requirements and acting as the liaison between the auditor and the provider's staff.
- Allocate a workspace for the Auditor to analyse evidence and conduct interviews.
- Advise the Auditor of any special access arrangements, such as safety clothing, white card, security or parking arrangements.
If a desk audit is required, you will receive a notification from TAC. The notification will advise you of the scope and scale of the audit and in some instances allow you an opportunity to submit further evidence directly to the Auditor by a specified date. The Auditor will be advised of the timeframe for the submission of additional evidence.
It is up to you to determine what evidence you will submit to demonstrate compliance with the
Standards for RTOs. However, the evidence provided should be clearly referenced/indexed to assist the Auditor to understand which Standards/clauses the evidence submitted is addressing.
If the evidence is not provided to the Auditor by the nominated date, the Auditor will conduct the audit against the
Standards for RTOs, based on the evidence previously submitted with the application.
A guide to evidence that you could provide to the Auditor for an amendment to scope of registration application is available in the
Amendment to Registration Application Guide. Please note that the list in the guide is not exhaustive or prescriptive.
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