Audit procedures to check a registered training organisation’s (RTO) compliance with the Australian Quality Training Framework 2007 (AQTF 2007) Essential Standards for Registration can vary between the states and territories, but the general principles of these procedures remain constant.
An audit will comprise:
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an opening meeting
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evidence gathering
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an exit meeting.
Audit times vary according to the complexity of the RTO’s business. On average, audits take five to six hours to complete, although some audits can take two days.
The opening meeting
During the opening meeting, the auditor will confirm the purpose and scope of the audit and describe the methods the audit team will use to gather evidence of the RTO’s compliance with AQTF standards. The lead auditor, the chief executive officer of the RTO and the staff member appointed to accompany the audit team must attend the opening meeting.
Evidence gathering
Auditors gather evidence through a variety of techniques such as:
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examining RTO documents and records
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talking with trainers, learners and the employers of learners
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observing the RTO’s practice
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viewing RTO resources and facilities.
During the audit, the audit team makes notes of their observations and should discuss their findings with the RTO staff member accompanying them.
The RTO must fully cooperate with the audit team and the audit process, taking all reasonable steps to present evidence that demonstrates its compliance.
The RTO will be given opportunities to provide additional evidence where the initial evidence does not confirm compliance with the AQTF standards.
The exit meeting
In the exit meeting, the auditor provides the RTO with written or verbal feedback on the findings. In response, the RTO can ask questions and provide more information. This process allows the auditor and RTO to discuss strategies for addressing findings.
The chief auditor, the chief executive officer of the RTO and the staff member appointed to accompany the audit team must attend the exit meeting.
