ASQA Audit Questions: What You Need to Know

An ASQA audit can be a daunting prospect for every RTO to go through, but it’s important to know what to expect so you can be better prepared and go through the audit smoothly.

Let us provide you with an overview of the key questions the Australian Skills Quality Authority may ask during an audit for you to better prepare.

But before that, it’s also good to know what ASQA’s objectives are and the process which they follow when undergoing an audit. This will give you a deeper understanding of the importance of the audit.

What are ASQA’s audit objectives?

ASQA’s audit objectives can vary from one audit to the next, but will generally focus on assessing the quality of education and training provided by Registered Training Organisations and ensuring that RTOs are meeting the requirements of the National Vocational Education and Training Regulator Act 2011.

Audits are conducted in accordance with the ASQA Audit Manual. You can expect that an audit will include assessing:

• the governance, management and administration of the RTO
• the qualification and unit standards offered by the RTO
• the resources used by the RTO to deliver education and training
• how well the RTO is meeting its legal obligations.

ASQA may audit your business to ensure you are in compliance with various systems and processes. The audit will target the five phases of the student experience, namely:

• Marketing and Recruitment
• Enrolment
• Support and Progression
• Training and Assessment
• Completion

The audit also provides an opportunity for ASQA to engage with RTOs and discuss any issues of concern if there are any.

What is the ASQA audit process?

The ASQA audit process typically comprises three stages: pre-audit, on-site audit, and post-audit.

The pre-audit phase involves reviewing documentation such as your RTO’s policies and procedures, while the on-site audit involves meeting with management and staff and conducting on-the-ground inspections. The post-audit phase includes issuing a report detailing ASQA’s findings and recommendations.

What are the Common Questions Asked in an ASQA Audit?

1. What are your policies and procedures?

ASQA will want to see evidence that you have clear policies and procedures in place for applicable aspects of the business.

This includes everything from recruitment and training to customer service and complaint handling.

Make sure you have copies of your policies and procedures ready and be prepared to explain how they are implemented in practice.

2. Do your staff have the required skills and qualifications?

ASQA will check that your staff have the required skills and qualifications to do their jobs. Make sure you can provide evidence of your staff’s qualifications, and be prepared to answer any questions ASQA may have about their training.

3. Are your services and courses registered to scope?

ASQA will want to ensure that the training provider’s courses and services are in fact all registered to scope.

If an RTO wishes to add or remove qualifications, units of competency or accredited courses within their scope of registration, providers can apply through asqanet. If a training package product is revised, a change to the scope of registration may also be necessary.

4. How do you investigate and correct non-compliance issues?

ASQA will want to know how RTOs investigate and correct non-compliance issues the provider may have or previously had.

This is important as RTOs must have a procedure in place as to how they’d correct issues regarding non-compliance even before an ASQA audit.

5. Do you have a “complaints handling” procedure?

ASQA requires RTOs to have a “complaints handling” procedure in place. This procedure must be implemented effectively and must include a mechanism for dealing with complaints from students, employers, and the public.

Be prepared to explain how your complaints handling procedure works in practice.

6. Do you have insurance?

ASQA requires all RTOs to have liability insurance in place. Make sure you can provide proof of your insurance policy, and be prepared to answer any questions ASQA may have about your cover.

7. Do you have a quality management system?

ASQA requires all RTOs to have a quality management system in place. This system must be effective and must include procedures for monitoring and reviewing the quality of your courses and services.

Be prepared to explain how your quality management system works in practice.

8. Are your facilities and equipment up to standard?

ASQA will check that your facilities and equipment meet all applicable standards. Make sure you can provide evidence of your compliance, and be prepared to answer any questions ASQA may have about your facilities and equipment.

9. Are your marketing materials compliant?

ASQA requires all RTOs to use marketing materials that are compliant with ASQA’s standards. Be prepared to provide copies of your marketing materials, and be prepared to answer any questions ASQA may have about their content.

10. Do you have a code of conduct?

ASQA requires all RTOs to have a code of conduct that outlines the standards of behaviour expected of employees and students. This code must be implemented effectively and must include a mechanism for dealing with breaches of the code.

Be prepared to explain how your code of conduct works in practice.

 

These are just samples of the types of questions ASQA may ask during an audit.

Make sure you’re familiar with all of ASQA’s requirements and be prepared to answer any questions the auditors may have.

For more information, please visit ASQA’s website at asqa.gov.au.