After the Audit

Audit Reports

At the conclusion of every audit, the Auditor will write a formal report that forms a detailed record of the scope, evidence and findings of the audit, personnel interviewed, including students, employers (where relevant) and staff in attendance for the entry and exit meeting, and the actual audit findings. This report will be submitted to TAC.

TAC requires audit reports to contain information that is:

• factual and only based on the evidence provided by the RTO or applicant or its representatives, or observed by the Auditor;
• written in a way that enables the reader to understand what the audit outcome is for each Standard and clause and where rectifications are required in cases of non-compliance; and
• written in plain English using appropriate language and technical references.

An audit report can at times be overwhelming because it may be lengthy and contain a lot of information.  It is important that both Auditors and RTOs are familiar with the format and structure of an audit report to be able to read and interpret it accurately. This will enable RTOs to more accurately target rectification areas within the report and identify how they intend to address areas of reported non-compliance.

It should be noted that rectification evidence is only required for the Standards and clauses for which non-compliances have been reported. Opportunities for improvements identified in the audit report are suggestions only, and RTOs are not required to submit any evidence to the Auditor in response to these.

On completion of a site audit, the Auditor will provide the organisation with a verbal summary of the audit findings during the exit meeting. The Auditor informs the RTO or applicant that the information provided at the exit meeting is a preliminary assessment only, and that the official audit report will include more comprehensive information on the audit findings. Auditors are not required to provide a verbal summary of audit outcomes for desk audits.

For both site and desk audits, on audit completion the audit report will be provided to the RTO or applicant directly from TAC.

All audit reports and supporting audit evidence are subject to Freedom of Information applications. Audit reports may also be provided to relevant government agencies for secondary purposes that are directly related to, or provide benefit to the Council’s primary function of quality assuring vocational education and training.

Audit Reporting Timelines

TAC's processes include a range of post-audit reporting timelines for both Auditors and RTOs.

In general, the Auditor has 10 working days from undertaking a site audit or receipt of information for a desk audit, to provide the completed report to TAC. For both site and desk audits the audit report will be provided to the RTO or applicant directly from TAC . More information is available in the TAC Audit Process Flowcharts below.

In addition, completed evidence review reports are to be provided to TAC within 10 working days of receipt of evidence. 

Audit Outcome

If an RTO is non-compliant at an audit with significant or critical levels of non-compliance, TAC will find that the RTO is non-compliant, and:

• propose to reject (for applications) or, propose to sanction the RTO; and
• provide the applicant/RTO with 20 working days to respond to the Council's proposal and provide any supporting evidence for review.

TAC will then consider an appropriate regulatory response. In making a decision, TAC will take into account:

• the RTO's history of compliance and deployment of quality systems;
• the outcomes of the evidence review; and
• any information provided by the RTO in its response to the proposed action to reject or sanction. 

If an RTO is non-compliant at an audit with minor non-compliance, TAC will provide the RTO with an opportunity to address non-compliances without the proposal to reject or sanction.

TAC will not progress or approve applications for initial registration, renewal of registration or amendment to registration while non-compliances remain.

RTOs who have demonstrated compliance at audit will receive their audit report from TAC. 

  More information on the level of non-compliance, how an Auditor determines the overall level of non-compliance, what to do when a non-compliance has been identified and how to address the non-compliances is available in the TAC Fact Sheet Managing Non-Compliance against the Standards for RTOs.

Audit Report

An audit report can at times be a large document. The format is detailed and, with the inclusion of lists of evidence sighted and details of the audit findings, reports can easily accumulate into many pages. The report template is made up of the following three sections:

Section 1 - Audit Details

• Organisation details and overview
• Audit date & Site Audited
• Standards audited
• Interviews Conducted
• Scope of Delivery applied for

Section 2 - Summary of Overall Audit Outcomes

• Overall Level of Compliance
• Auditors Justification
• Non-compliant Standards

Section 3 – Audit Report

• Compliance with Standard 1 is reported against each training product (qualification/unit of competency/accredited course) included in the scope of audit.

The reader of the audit report needs to consider the audit findings for each training product in isolation and in context. Any reported non-compliant Standards and clauses will be noted and details of the evidence and audit findings will be documented. RTOs or applicants will need to consider the findings and develop their own plans for the corrective actions to be taken in response.

The remaining Standards (Standards 2 – 8) apply to the organisation as a whole, rather than specific training products.

Opportunity for Improvement (OFI)

An opportunity for improvement or OFI is best described as a compliant element of an RTO's management and/or training system that, in the Auditor's opinion could be strengthened, streamlined or otherwise improved.

OFIs do not require any action on the part of the RTO. However, RTOs are encouraged to give OFIs serious consideration in view of the Auditor's knowledge and experience. A provider may consider an OFI a continuous improvement opportunity or possibly an intervention to prevent future issues from arising.

In the interest of transparency and as a formal record, OFIs are recorded by the Auditor and included in the audit report.

Strengths

Audits provide the opportunity for RTOs or applicants to showcase what they are doing to achieve quality results.

In cases where, in the Auditor's opinion, evidence shows exceptional outcomes, strengths are recorded and included in the audit report.

The overall finding of an audit is based on the extent to which the evidence reviewed demonstrates compliance with the Standards for RTOs.  

The overall finding is either compliance or non-compliance, defined as follows:

Compliance

The evidence reviewed indicates that the requirements of the Standards for RTOs have been met.  

Non-Compliance

The evidence reviewed indicates that the requirements of the Standards for RTOs have not been met.

When the overall finding is non-compliance, auditors will also assign an overall level of non-compliance and this is recorded on the report The levels of overall non-compliance are identified as:

Minor > Significant > Critical > Critical (risk of injury or death)

Minor Non-Compliance

In this case, the requirements of the Standards for RTOs have not been met based on the evidence reviewed but there is no (or minor) adverse impact on learners and/or other consumers of goods and services produced in the training environment or the current (or future) workplace.

Evidence viewed could indicate that one or more of the following has occurred:

• the non-compliance identified does not demonstrate a serious breakdown of the RTO's systems for the provision of quality training and assessment;
• continuous improvement systems are in place; and/or
• data from the quality indicators or other sources shows that clients are generally satisfied with services and outcomes from the RTO.

Significant Non-Compliance

In this case, the requirements of the Standards for RTOs have not been met based on the evidence reviewed and there are indications of a significant adverse impact on learners and/or other consumers of goods and services produced in the training environment or the current (or future) workplace.

Evidence viewed could indicate that one or more of the following has occurred:

• training and assessment systems are not sufficiently focused on quality training and assessment outcomes and meeting individual learners' needs in some areas of the RTO's operations;
• systems to continuously improve the RTO's operations are inadequate;
• data from the quality indicators or other sources shows that a range of clients have expressed dissatisfaction with services and outcomes from the RTO; and/or
• previously identified minor non-compliance has not been rectified or evidence of improvement within the applicable period has not been provided.

Critical Non-Compliance

The requirements of the Standards for RTOs have not been met based on the evidence reviewed and a critical adverse impact on learners and/or consumers of goods and services produced in the training environment or the current (or future) workplace is occurring or has occurred.

Evidence viewed could indicate that one or more of the following has occurred:

• training and assessment systems are not achieving quality training and assessment outcomes and are not meeting individual learners' needs;
• there is a breakdown in, or absence of, effective management systems;
• there is no systematic approach to continuous improvement; and/or
• data from quality indicators or other sources shows that there is widespread or persistent dissatisfaction with services and outcomes.
  
   

Critical Non-Compliance (Risk of Injury or Death)

The requirements of the Standards for RTOs have not been met based on the evidence reviewed and a critical adverse impact which may indicate risk of injury or death to learners and/or consumers of goods and services produced in the training environment or the current (or future) workplace is occurring or has occurred.

Evidence viewed could indicate that one or more of the following has occurred:

• training and assessment systems are not achieving quality training and assessment outcomes and are not meeting individual learners' needs;
• there is a breakdown in, or absence of, effective management systems;
• there is no systematic approach to continuous improvement;
• data from quality indicators or other sources shows that there is widespread or persistent dissatisfaction with services and outcomes; and/or
• there is a risk of injury or death to people in the training environment or the current (or future) workplace.

In such instances, the level of risk and potential impact on learners and/or other consumers of goods and services produced in the training environment or the current (or future) workplace may warrant immediate rectification.

Where an Auditor has identified a risk of injury or death, the Auditor will contact TAC immediately so the non-compliance can be managed appropriately.

The Auditor will be asked to report to TAC the risk and the likelihood of the risk of injury or death occurring. The Auditor may also be required to submit the audit report to TAC within a shortened timeframe. In addition, the RTO may be required to provide evidence of rectification within a shortened timeframe, depending on the risk and the likelihood of the risk occurring.

The Management of Critical Non-Compliance Policy outlines the rectification timeframe based on the likelihood of risk of injury or death occurring.

  More information on the level of non-compliance, how an Auditor determines the overall level of non-compliance, what to do when a non-compliance has been identified and how to address the non-compliances is available in the TAC Fact Sheet: Managing Non-Compliance against the Standards for RTOs. 

Where an audit report identifies non-compliance, TAC may grant the provider the opportunity to provide additional evidence within a specified timeline to demonstrate compliance.

Where the overall level of non-compliance is considered minor, significant or critical, RTOs have 20 working days from the date of receipt of an audit report to provide additional evidence to the Auditor.  Non-compliances that are considered critical with a risk of injury or death may receive a reduced timeframe for provision of evidence as outlined in the Management of Critical Non-Compliance Policy.

It is up to the RTO or applicant to determine what evidence it submits to demonstrate compliance with the Standards for RTOs. To assist Auditors, the evidence provided must be clearly referenced to the Standards/clauses to which the non-compliances relate.

  More information on the level of non-compliance, how an Auditor determines the overall level of non-compliance, what to do when a non-compliance has been identified and how to address the non-compliances is available in the TAC Fact Sheet: Managing Non-Compliance against the Standards for RTOs. 

The evidence provided will be reviewed by the Auditor against the Standards for RTOs. The Auditor is required to provide a report to TAC outlining the outcomes of the rectification. This report is referred to as the Evidence Review report.  The report will indicate whether the RTO has remaining non-compliance or has been able to demonstrate compliance.

If the RTO or applicant does not provide the evidence to the Auditor by the nominated date, the Auditor will submit an evidence review report indicating that all non-compliances remain outstanding. 

Where non-compliance remains after evidence review TAC will consider whether to provide another opportunity for rectification, reject the application, apply sanctions and/or endorse follow up action.

Decisions by TAC about the application of sanctions on an RTO or applicant's registration are determined on a case by case basis and will depend on a range of factors, including:

• the specific nature of the non-compliance;
• evidence presented to TAC;
• impact on learners, clients and stakeholders; and
• the impact on the quality of vocational education and training services.

More information is available on the application of sanctions. 

Please note, that for the duration of time that any non-compliance exists, the Council is unable to approve any amendment to your registration unless action to address all relevant non-compliance is being progressed to the Council’s satisfaction (Standards for VET Regulators 2015, Clause 1.6a).

Initial / Renewal

If TAC approves an RTO's registration, correspondence advising of registration will include a certificate of registration and an outline of the RTO's scope of registration.  The RTO's details will also be published on the national VET register www.training.gov.au. 

Registration as an RTO under the Standards for RTOs indicates that the RTO complies with nationally agreed standards for the quality of training, delivery, assessment and recognition, and contributes to community confidence in the products and services that the RTO provides.

Unless otherwise stated by TAC:

• initial registrations are approved for a period of 2 years; and
• renewal of registrations are approved for a period of 7 years. 

Amendments

If TAC approves an amendment to registration application, the RTO will receive correspondence outlining the additional training products that have been added to the RTO's scope of registration.

The RTO's details on the national VET register www.training.gov.au will be updated accordingly.

TAC may determine on the basis of the non-compliances identified at audit that a monitoring audit or compliance monitoring audit is required to ensure ongoing compliance.

Disputing Audit Findings

On reading the audit report, RTOs or applicants may at times consider that the audit findings contained in the report are not an accurate reflection of what was presented to the Auditor or observed by the Auditor. RTOs are able to dispute the audit findings provided they do so within five working days of receipt of the audit report.

In the first instance, RTOs or applicants are encouraged to seek clarification from the Auditor regarding the audit findings. At times this clarification can remove any confusion or misunderstandings.

If the clarification has not provided a resolution, the RTO or applicant must contact the Manager Regulation if they intend disputing an audit finding. A dispute can then be lodged using the TAC Dispute of Audit Findings form to the Manager Regulation.

More information on disputing an audit is available in the Dispute of Audit Findings Policy and Procedure.

To lodge a dispute, complete the TAC Dispute of Audit Findings form below and forward by email to tac@dtwd.wa.gov.au, Attention: Manager Regulation.

Appealing a Council Decision

If you are dissatisfied with a Council decision and believe the Council has erred in its application of, or failed to apply criteria or procedures as outlined in the Council's established policies and procedures you may choose to lodge an appeal.

Appeals must be lodged in writing to the State Training Board within 21 calendar days from the date you were notified of the decision.

More information on appealing a Council decision is available in the Appealing a Council Decision Information Sheet.

​​​Complaints against RTOs

The Training Accreditation Council (TAC) can investigate complaints about registered training organisations (RTOs) that relate to compliance with the Standards for Registered Training Organisations (RTOs) 2015.

For information about making a complaint against an RTO click here.

Making a complaint about TAC

Our aim is to provide a quality service to our clients with the aim of continuous improvement.

Complaints and feedback about ​​our services, ​policy or practices can be made verbally,​​ or sent in writing to:

Director, Training Regulation
​Training Regulation Directorate
​Department of Training and Workforce Development
Locked Bag 16, OSBORNE PARK DC, WA 6916
Email: taccomplaints@dtwd.wa.gov.au
Telephone: 08 9224 6510

​​It is important that you provide as much detail as possible about your complaint, it may help us to respond to your complaint if you tell us what outcome you are seeking from your complaint.

​If you have not made a complaint to a public sector agency before, guidelines and information sheets​ available on the website of the ​Western Australian Ombudsman may help you.

Complaints about the conduct of staff and contractors

The Department of Training and Workforce Development is the employing authority for staff and contractors performing Training Accreditation Council services. Complaints about the conduct of staff members or contractors are taken seriously by the department.

Enquiries and complaints ​about our staff or contractors should be made by:

Online complaints form

Or by post to:
Department of Training and Workforce Development
Locked Bag 16
Osborne Park DC 6916

Call us:
08 6551 5000
For callers outside of Australia: +618 6551 5000

Freedom of Information (FOI)

Under the Freedom of Information Act 1992 (the Act), government agencies are required to assist people to make applications for access that comply with the Act. Under the Act, you have a ​right to apply for:

• documents held by the department
• your personal information contained in department documents
• the amendment of your personal information contained in documents which you consider to be inaccurate, incomplete, out of date or misleading.

FOI applications must:

• be submitted in writing
• provide enough information so that the documents requested can be identified
• ​​​give an Australian address to which notices can be sent​
• be lodged at the department with any application fee payable.​

Applications and enquiries should be addressed to the FOI Coordinator.

Email: foi.coordinator@dtwd.wa.gov.au 

Further information on the FOI process is available here and in the Department of Training and Workforce Development's Information Statement. 

You can also visit the website of the Office of the Information Commissioner​ if you would like further information about FOI.​