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Auditing of your RTO registration

It is a requirement of Standard for Registered Training Organisations 2015 that RTO’s submit an application to renew their registration.
The first renewal audit is conducted after the first 12 months of becoming an RTO.
The next renewal audit will be due after 5 years in operation. keep-calm-keep-it-simpleThereafter every 5 years the audit will be due again.
Audits can also be triggered by a complaint, extension to scope or simply a monitoring audit.

RTOs must submit an application to renew at least 90 days prior to their expiry date. 
Failure to submit an application 90 days prior to the expiry date will result in your registration expiring.

Phoenix Compliance strongly advise all RTOs conduct an internal audit before the actual ASQA audit due date.
Phoenix provides this 'internal audit' service. They will identify any non-compliances and will show you how to rectify each item. 
This will help to ensure a brilliant ASQA audit result.


Compliance audits

ASQA conducts registration audits to ensure that providers are operating (or will operate) effectively within their scope of registration and to assess providers' ongoing compliance with the standards.

ASQA will conduct a compliance audit if an assessment has determined there is a risk of the provider failing to comply with the relevant standards. Compliance audits are scheduled at ASQA’s discretion, with the authority of an ASQA Commissioner.

The auditor (or audit team, which may include industry specialists) examines your ongoing compliance with the VET Quality Framework.

The auditor may also investigate the:

  • effectiveness of management systems, delivery strategies and other materials
  • proposed implementation of delivery strategies meets training package and/or accredited course requirements
  • suitability of facilities and equipment, and
  • credentials of nominated delivery personnel.


Phoenix Can Help? 

 How ASQA assesses applications for renewal of RTO registration

1. First you must submit to an assessment of your business and financial viability risk by an ASQA-approved external agency.
    Phoenix can help you to provide all the information and the financial documentation that the agency requires to review.
    The agency provides a report and recommendation to ASQA about the likelihood of your RTO as a training provider.

2. Then ASQA reviews the suitability of the nominated senior and/or influential personnel to confirm that each meets the
    Fit and Proper Person requirements.
    ASQA may investigate the organisation's business status through the Australian Securities and Investments Commission (ASIC).

3. If all requirements are satisfied, ASQA then considers the following three factors:

    a) whether the qualifications/units sought in the application will lead to industry licences
    b) your RTO's risk rating
    c) the length of time elapsed since the last full scope audit conducted on your RTO.

Some applications for renewal of registration are approved at this stage, while others may require an on-site audit.

4. The on-site audit is conducted at your premises.
    Your RTO's compliance is reviewed and aligned with the VET Quality Framework across a sample of your scope of registration.
    The auditor will examines the strategies (TAS), resources and materials your organisation uses to deliver a range of the qualifications or units listed on your scope of registration.

    Phoenix can help you prepare and check these documents before the actual audit to ensure they comply with the standards.

5. The auditor may interview RTO personnel and/or clients to review the:

    • effectiveness of management systems, delivery strategies and other materials or resources
    • adequacy of records retained
    • suitability of facilities and equipment
    • credentials of nominated delivery personnel - qualifications along with commercial experience

    Phoenix can help prepare your staff for this interview.

6. The ASQA auditor will prepare a report listing compliances met and areas of non-compliance.
    You have only 21 days to fix or address each non-compliance and report back to ASQA.

    Phoenix can help you address each non-compliance and prepare a response report for ASQA.

7. When your application is accepted, ASQA will send your organisation a new Certificate of Registration and a scope of registration report, along with any additional conditions to the registration.

Phoenix specialises in auditing and setting up ISO 9001 Compliance Management Systems that can make your on-site audit as painless as possible.

Get it right the first time!  


Phoenix Compliance Management
ABN: 50 404 528 700

Chris Stephens - Director

Mob: 0450 300 824
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Address: Level 4, 53 Berry St,
North Sydney NSW 2060