1) Internal audits and reviews help identify gaps, prepare for external registration or re-registration, and find areas for improvement. They are a planned, systematic, and documented process to assess compliance with standards. 2) An audit samples different parts of the organization, such as training strategies, resources, trainer competence, assessment, records, and third parties. It analyzes evidence collected against standards. 3) The audit process includes planning, opening, collecting evidence, analyzing evidence, providing feedback, developing a report, and reviewing rectification until finalized. Audits verify the organization achieves quality training outcomes through a continuous improvement approach.

1. Planning and Conducting
Internal Audits & Reviews
Maree Thorne

2. To identify gaps (potential non-compliances)
 Contractual obligations
 RTO standards
 Services (non conforming product)
To prepare or determine readiness for registration or re-
registration (reporting to the regulator)
To identify areas for improvements
Drive evidenced based decision making
‘Knowing WHY makes WHAT and HOW clear’
WHY?

3. An Audit is:
From AQTF Auditor Handbook, April 2012
http://www.industry.gov.au/skills/NationalStandards/Documents/AQTFAuditHandbook.pdf
‘a planned, systematic and documented process used to
assess an RTO’s compliance with the [Standards]’
‘an evidence-based assessment of the RTO’s operations
against the [standards] and it is not a punitive exercise’
‘a useful means for improving the quality of training,
assessment and client services’

4. Audit What? Risk Assessment
• Complaints? Feedback results?
• High risk – Licence? Funding? 3rd party delivery?
• High / low volume?
• RPL?
• Low / high completion rates?
• Contracts
Procedural reviews, student files (record keeping), educational
quality, data integrity, staff competence, contractual
compliance……

5. What?
Not every audit will audit every standard –
(audit is a ‘sampling’)
- Training and assessment strategies (1.1 -
1.7)
- 1.3 Resources
- Trainer/assessor competence
- Assessment (& record keeping)
- Third parties
- Website, marketing and info prior to
enrolment

6. The Audit Process:
• Plan the audit
• Open the audit
• Collect evidence
• Analyse the evidence collected
• Provide feedback
• Develop the audit report
• Review ‘rectification’ evidence
(The ‘Audit Process’ continues until ‘finalised’)

7. HOW?
• Be prepared. Understand the standards / contract / legislation/
procedures
• List what evidence might be relevant
• Determine sequence, questions
• Who is to be involved - provide notice / liaise
• ‘desk’ or site (most appropriate to why and what)
• Listen, listen, listen
• Record evidence
• Provide (clear & honest) feedback
• Report (?)

8. Evidence
‘It does not matter what processes the RTO uses to achieve an outcome, as long
as there is a clear cause and effect relationship between the processes and the
outcomes’ (Audit Handbook, p.15)
Role of the auditor is to verify evidence that organisation is achieving quality
training & assessment outcomes and is using a continuous improvement
approach to ensuring ongoing achievement of these outcomes.
Standards specify WHAT, not how (the quality of the services & outcomes being
achieved, rather than the inputs to get there )
Evidence (documentation, interviews – able to be supported)
• Relevancy
• Alignment
• Sufficiency

9. The quality stamp