LinkedIn PX
rto compliance audit

Ensuring Regulatory Compliance: A Guide to RTO Audits

Regulatory compliance is crucial for Registered Training Organisations (RTOs) to maintain credibility and ensure quality education and training. One way this is managed is through RTO audits, which evaluate an RTO’s compliance with regulatory standards and determine whether the RTO is eligible for registration or re-registration.

ASQA (Australian Skills Quality Authority) regularly audits RTOs to ensure compliance with regulatory standards, including the Standards for Registered Training Organisations 2015. Audits can be triggered by re-registration of the RTO, addition to scope applications and student complaints, among other triggers.

The RTO compliance audit process thoroughly evaluates an organisation’s training and assessment strategies, trainer and assessor qualifications, financial viability, student support services, and compliance with legislation and regulatory requirements.

What to Expect in an RTO Audit

An RTO audit in Australia is an assessment of an RTO’s compliance with the Standards for Registered Training Organisations (RTOs) 2015.

ASQA, Australia’s national vocational education and training regulator, conducts desk and on-site audits to evaluate RTO’s compliance and quality of training and assessment.

Here’s what you can expect:

  • During the desk audit, ASQA assesses your RTO’s compliance with the standards and the quality of training and assessment you provide.
  • The on-site audit involves an assessment of your RTO facilities, training, and assessment practices and the outcomes of the training and assessment provided.
  • The audit results in an audit report that outlines your RTO’s level of compliance with the standards and any areas for improvement.
  • Depending on the audit findings, your RTO’s compliance team may need to undertake rectifications to address issues or risks identified.

Your RTO should ensure ongoing compliance with the standards to avoid the risk of an audit and maintain your registration as a training provider.

RTO Audit Checklist: Key Areas to Focus on for Successful Compliance

  • Conduct a self-assessment before the audit to identify areas that need improvement.
  • Update training and assessment materials to the latest industry standards.
  • Ensure qualified trainers and assessors with the necessary skills and experience deliver high-quality training.
  • Maintain accurate and comprehensive records of training and assessment activities.
  • Regularly monitor student outcomes and feedback to improve training and assessment quality.
  • Provide audit-ready evidence of compliance, including policies, procedures, and records.
  • Address any issues or concerns identified during the audit promptly and effectively.
  • Maintain ongoing standards compliance to avoid future audits and retain training provider registration.

By undergoing your own internal RTO audits, you can pre-emptively identify areas for improvement and make necessary changes to ensure you deliver high-quality education and training to your students. Make sure your RTO’s resources, systems and processes are ready for the challenge of a formal regulatory audit!

Significant Deadlines and Events to Remember to Boost Your RTO Compliance

We have curated a list of crucial RTO compliance reporting deadlines and major events to elevate your training delivery in Australia.

Here are compliance schedules you should not miss:

28 February – Total VET Activity AVETMISS Data Deadline

3 March – Annual Declaration on Compliance, Sydney

6 March – Annual Declaration on Compliance Workshop, Brisbane

7 March – Annual Declaration on Compliance Workshop, Melbourne

8 March – Annual Declaration on Compliance Workshop, Adelaide

9 March- Annual Declaration on Compliance Workshop, Tasmania

10 March – Annual Declaration on Compliance Workshop, Perth

31 March – Annual Declaration on Compliance Deadline

30 June – Learner and Employer Survey Date Deadline


Major VET events you could attend to elevate your RTO:

2-3 March – VET Policy and Compliance Summit

7-9 June – ITEC23 Conference

21-27 August – National Skills Week

24-25 August – EduTECH

September (TBD) – Community Colleges Australia (CCA) Annual Conference

2-3 November – National VET Conference

November (TBD) – TAFE Director’s Australia Convention

Staying compliant with RTO regulations is crucial for maintaining your training provider registration.

By following the best practices and tips covered in our guide to RTO audits, you can ensure that your compliance efforts are streamlined and effective.

Our comprehensive calendar of essential deadlines, conferences, and industry events will equip you to master RTO compliance audit reporting in 2023 and beyond. We sponsor many of these major industry events as a commitment to providing premium services and resources to RTOs.

eSkilled LMS is your trusted source for staying up-to-date with the latest industry developments and practices, providing valuable RTO resources, student management system, learning management system and online learning materials.

Book a personalised walkthrough.