Audit and Compliance
How is compliance monitored?
Audit is the quality assurance process used to monitor RTO compliance with requirements of registration. An audit is conducted:
- on a risk management basis during the five-year registration period
- on initial registration, extension to scope and during the first year of registration
- during the final year of your registration to confirm compliance with AQTF 2007 Essential Standards in time for RTO renewal of registration for a further period.
Before an audit is conducted, a VRQA auditor will contact you to arrange a suitable time to conduct the audit. At the end of the audit, the auditor will discuss their findings with the RTO and provides an opportunity for comment prior to forwarding the audit report to the VRQA.
The VRQA reviews the audit report and formally advises the outcome of the assessment including details of any further response required.
Non-compliance of an RTO
Where issues of non-compliance are identified in the audit report, the RTO is required to rectify them. A further audit to verify that the RTO has rectified all issues of non-compliance will then be arranged. The cost of addressing compliance issues and obtaining a verification report are to be met by the RTO.
If the RTO is unable to demonstrate that it is compliant with the AQTF 2007 Essential Standards for Registration, itsr registration may be suspended or cancelled. The RTO is consulted in relation to any action to suspend or cancel it's registration.
Monitoring compliance through investigation of complaints
The VRQA is obliged to investigate formal complaints against an RTO. An RTO will be advised in writing of any complaints against them. Where appropriate, an investigation may be required, which may involve an audit. RTOs are formally advised of all decisions in relation to the investigation of a complaint and any requirements that must be met.
Cancellation or suspension of registration
The Education and Training Reform Act 2006 (PDF - 1.4Mb) empowers the VRQA to suspend or cancel the registration of an RTO. If registration is suspended, an RTO may not promote their organisation as an RTO and may not enrol new students. The organisation may however continue to provide training services to existing students. If registration is cancelled, the organisation cannot then issue nationally recognised qualifications. An RTO may apply to the Victorian Civil and Administrative Tribunal (VCAT) for a review of a registration decision.