Choosing Excellence with AssessRight Internal Audit Service

Why RTOs need to Conduct Internal Audits?

ASQA can schedule an audit anytime. The best way to be prepared is to consistently follow compliance practices. Your RTO must maintain sound policies, processes, practices and systems.

Here are some reasons why your RTO needs to conduct an Internal Audit:

  • To evaluate and ensure that your RTO consistently aligns with the regulatory standards and quality benchmarks established by the Australian Skills Quality Authority (ASQA), the ESOS framework, and the Standards for RTOs.
  • To identify areas where your RTO systems, processes or practices are not compliant with standards or regulations and make arrangements for improvement.
  • To identify underperforming personnel and assist them in rectifying their practices.
  • To confidently answer and submit your CEO Annual Declaration on Compliance.
  • To prepare your RTO for external ASQA audits, ensuring compliance with ASQA’s standards.
  • To assess your RTO’s readiness for registration, re-registration or the addition of training products to scope audits.
  • To avoid risks of non-compliance during ASQA audits such as sanctions or even cancellation of registration.

At AssessRight Solutions, we recognise the importance of this process and stand ready to guide your RTO towards sustained excellence. Our tailored Internal Audit Service is designed to navigate the complexities of compliance, ensuring that your educational institution not only meets but exceeds the standards set by regulatory bodies.

The Frequency of Internal Audits

Internal audits should ideally be conducted at least once a year as part of the RTO’s quality assurance and continuous improvement plan.

How it Works

Getting started with our Internal Audit services is straightforward process:

  1. Contact Us: Feel free to reach out to us at hello@assessright.com.au, and we'll promptly provide you with our Internal Audit Price List, which encompasses the various Plans we offer. The fees associated with these plans are contingent on the number of training products that require sampling.
  2. Discussion Meeting: Following your initial contact, we'll schedule a phone call to delve into the scope and nature of your Internal Audit, aligning it with the chosen Plan. This discussion serves as an opportunity for us to thoroughly understand your needs and requirements including the specific training products you believe require assessing.
  3. Approval and Invoice: Upon reaching a consensus on the service scope, we'll present you with an invoice based on the selected Plan. Your approval of the service will signal the green light to proceed to the next stage.
  4. Audit Commencement: Once we receive confirmation of payment, we swiftly initiate the audit process. One of our seasoned Compliance Consultants will conduct a thorough examination, ensuring compliance and identifying areas for improvement.

At AssessRight Solutions, we believe in a transparent and efficient process to support your RTO in achieving and maintaining compliance. Contact us today to streamline your Internal Audit experience.

Our Desk-Based Internal Audit Process

Embark on a smooth and efficient journey with our Internal Audit process:

First Stage – Initial Discussion: The process kicks off with a comprehensive discussion between the auditor and the RTO representative/s. This dialogue aims to pinpoint the focus of the audit and provides a detailed overview of the entire audit process. Following this discussion, the auditor will prepare and send you an Internal Audit Notice. This notice serves as an action plan, outlining the roadmap for the upcoming audit.

Second Stage – Document Exchange: The auditor will send you a set of documents and attachments, including tailored questions related to your RTO's systems, processes, and practices. To streamline the process, you'll be responsible for completing these documents and uploading the required evidence to your designated location/link, for example, One Drive.

Third Stage – Evidence Assessment: The auditor thoroughly assesses the documented evidence provided. This evidence typically encompasses samples of training and assessment strategies, assessment tools, trainers' documents, student records, policies, procedures, and much more. This stage may involve additional evidence or more discussions with the RTO’s CEO and managers to ensure a comprehensive evaluation.

Fourth Stage – Audit Report Submission: Within 10-20 working days from the completion of the third stage, the auditor will submit the Internal Audit Report via email. This detailed report encapsulates training products and students sampled, evidence analysis, findings and required actions derived from the audit process.

Fifth Stage – Rectification of Non-Compliances: Based on the Internal Audit Report, the RTO addresses and rectifies any identified non-compliances. This stage is crucial for ensuring that your organisation aligns seamlessly with regulatory standards.

Optional Stage - Rectification Support (if required): We also provide rectification support as required. This will incur additional costs based on the involvement and support required.

Sixth Stage – Completion and Final Notice: As the RTO rectifies non-compliances, the Internal Audit process concludes. The auditor issues the Final Notice of Completion, signifying the successful completion of the audit journey.

Note: The duration of the internal audit may vary depending on the scope, typically taking around 3 to 6 weeks.

At AssessRight Solutions, we prioritise efficiency and transparency throughout every stage of the Internal Audit process. 

Scope of the Internal Audit

The Internal Audit scope will include:

a) The assessment of your training products, units and students’ assessments and records, within your chosen Plan.

b) The assessment of your RTOs systems, processes, strategies and practices, in accordance with the following clauses from the Standards for Registered Training Organisations 2015:

  • Training and assessment (Clauses 1.1, 1.2, 1.3 and 1.8)
  • Industry engagement (Clauses 1.5 and 1.6)
  • Validation of assessment practices and judgements (Clauses 1.9 and 1.10)
  • The suitability of trainers and assessors (Clauses 1.13, 1.14, 1.15 and 1.16)
  • Transition from superseded training products (Clause 1.26)
  • Quality assurance and continuous improvement (Clauses 2.1 and 2.2)
  • Student completion and certification (Clause 3.1)
  • Marketing and recruitment (Clause 4.1)
  • Enrolment and pre-enrolment information (Clause 5.1 and 5.2)

Additional National Code 2018 Standards

For CRICOS RTOs, you may add any of the following National Code 2018 Standards to your selected Plan with an additional fee per Standard:

  • Marketing information and practices (Standard 1)
  • Recruitment of international students (Standard 2)
  • Overseas student enrolment and written agreements (Standard 3)
  • Education agents (Standard 4)
  • Students under 18 (Standard 5)
  • Student support services (Standard 6)
  • Transfer of enrolments (Standard 7)
  • Student visa requirements (Standard 8)
  • Deferring, suspending, or cancelling enrolments (Standard 9)
  • Complaints and appeals (Standard 10)
  • Additional requirements (Standard 11)

Fee Structure and Inclusions

AssessRight Internal Audit fees are based on the number of training products according to your selected Plan and any Additional National Code 2018 Standards you require.

The Plans include the assessment of your RTOs systems, processes and practices against the above clauses from the Standards for Registered Training Organisations 2015. 

Contact us to receive our Internal Audit Service Price List, which includes our Plans and the fees for the National Code 2018 Standards.

Choosing Excellence with AssessRight Solutions

Here's why partnering with AssessRight Solutions for your RTO Internal Audits is a strategic choice:

  1. Seasoned Professionalism: Our team comprises seasoned professionals with extensive experience in RTO compliance. This wealth of experience ensures a profound understanding of the unique challenges within the sector, providing you with expert guidance.
  2. Tailored Solutions for Unique RTOs: Recognising the distinctiveness of every RTO, our audit services are meticulously customised to address your specific needs. We understand that a one-size-fits-all approach doesn't suffice, and our tailored plans reflect this commitment.
  3. Proactive Approach to Compliance: At AssessRight Solutions, we don't merely react to compliance issues; we adopt a proactive stance. Our aim is to assist you in staying ahead of regulatory changes and industry trends, ensuring that your RTO is well-prepared for evolving challenges.
  4. Unparalleled Expertise: Partnering with AssessRight Solutions grants you unparalleled expertise in RTO Internal Audit services. Elevate your compliance standards with our comprehensive approach, propelling your organisation towards sustained success.
  5. Preparation and Risk Reduction: Our internal audit services are designed not only to assess but also to help you prepare for your next regulatory audit. By identifying and addressing potential issues proactively, we assist in reducing the risks of sanctions against your RTO.
  6. Unbiased and Objective View: We uphold a professional duty to provide an unbiased and objective view. As an independent entity from the day-to-day operations of your RTO, we can effectively evaluate and report, ensuring transparency and accuracy.
  7. Remote Audit Capability: Regardless of your location in Australia, we offer the flexibility of conducting remote RTO Internal Audits. This ensures convenience without compromising the thoroughness of our assessment.

Choose AssessRight Solutions for a partnership that goes beyond compliance – a partnership focused on proactive excellence, tailored solutions, and sustained success.

Benefits of our RTO Internal Audit Service

Discover the unparalleled benefits of partnering with AssessRight Solutions for your RTO Internal Audits:

  1. Proactive Risk Management: Our meticulous audit processes are crafted to identify and proactively mitigate risks. By foreseeing potential compliance issues, we safeguard your RTO against unforeseen challenges, providing a robust foundation for sustained success.
  2. Efficiency Enhancement: Through a thorough assessment and optimisation of your operational processes, we contribute to the streamlining of workflows. This not only enhances the overall efficiency of your RTO but also elevates performance levels, ensuring a seamless and productive educational environment.
  3. Regulatory Excellence: Regulatory changes are inevitable, but staying ahead is our expertise. Benefit from our expert guidance that ensures your RTO is not just keeping up with but exceeding compliance standards. This forward-thinking approach guarantees that your institution remains a beacon of regulatory excellence.

Partner with AssessRight Solutions and experience a transformative approach to Internal Audits — where risks are managed proactively, operations are optimised, and regulatory compliance becomes a hallmark of your educational institution.

The Impact of Non-Compliance

Failing to address compliance issues can lead to significant consequences for RTOs. These consequences may include:

  1. Cancellation or Suspension of Registration: Non-compliance could prompt regulatory decisions to cancel or suspend the registration of your RTO. This action signifies a serious breach of compliance standards and can have profound implications for the continuity of your educational services.
  2. Conditions Placed on Registration: Regulatory bodies may impose conditions on the registration of your RTO as a response to identified non-compliance. These conditions act as corrective measures, compelling your institution to address specific issues within a defined timeframe.
  3. Non-Renewal of Registration: Failure to rectify compliance issues may result in regulatory decisions not to renew your RTO's registration. This could jeopardise the long-term viability of your institution and impact its ability to provide recognised training programs.
  4. Other Administrative Sanctions: In addition to the aforementioned consequences, regulatory bodies may apply various administrative sanctions based on the nature and severity of non-compliance. These sanctions could encompass a range of measures aimed at ensuring adherence to regulatory standards.

It's crucial for RTOs to treat compliance seriously, as the repercussions of non-compliance extend beyond administrative measures, impacting the overall standing and operation of the institution. At AssessRight Solutions, we are committed to assisting your RTO in proactively managing compliance, mitigating risks, and maintaining a steadfast commitment to regulatory excellence.