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Five Steps to Organising an Internal RTO Audit

Updated: Jan 24


internal audit
Internal audits for RTOs

Continually improving the quality of the systems at your RTO is essential in securing conformity with standards, financial backing and other VET prerequisites. Regularly scheduled internal audits are essential in preserving a setting that maintains all the necessary standards.


Running regular internal audits can also be treated as an effective way to ensure that all procedures work accurately, methodically and professionally in conformance with the RTO’s guidelines. Follow these five steps in handling an internal audit at your RTO:


1. Create an internal audit itinerary.


Establish what is required to be audited. You will be required to audit against the Standards for Registered Training Organizations and any contracts for your RTO's financial backing. Compile an archive of all of the external VET requirements, arrangements and instructional records that your RTO must conform to. Also, add industry obligations relevant to your qualifications and your RTO’s guidelines and measures.


How often internal audits are implemented is established by your RTO's regulations/documents/guidelines or business policies.


Establishing who will be in charge of implementing the audits is also important. Based on availability and experience. Using consultants with specialties and experience can be best if your RTO has been recently established, has a new contract for financial backing, or has even had to deal with non-compliance. It is best to ensure availability and get quotes when using consultants.


When all this information has been compiled, organize your internal audits best to accommodate your institution's schedule and calendar of events so that any specific professionals that may help in the audit are available and that any planned events do not coincide and hinder the performance of the audit.


Get confirmation from management that your audit can proceed as scheduled and inform all the relevant departments and members of the scheduled internal audit. This will help ensure their availability and help them prepare any and all documents and samples they would need to include.


Establish what is required to be audited. You will be required to audit against the Standards for Registered Training Organizations and any contracts for your RTO's financial backing. Compile an archive of all of the external VET requirements, arrangements and instructional records that your RTO must conform to. Also, add industry obligations relevant to your qualifications and your RTO’s guidelines and measures.


Establishing who will be in charge of implementing the audits is also important. Based on availability and experience. Using consultants with specialties and experience can be best if your RTO has been recently established, has a new contract for financial backing, or even has had to deal with non-compliance. It is best to ensure availability and get quotes when using consultants.


When all this information has been compiled, organize your internal audits best to accommodate your institution's schedule and calendar of events so that any specific professionals that may help in the audit are available and that any planned events do not coincide and hinder the performance of the audit. Get confirmation from management that your audit can proceed as scheduled and inform all the relevant departments and members of the scheduled internal audit. This will help ensure their availability and help them prepare any and all documents and samples they would need to include.


2. Preparations for an internal audit


The individual or team responsible for carrying out the audit must be completely prepared before beginning the audit. Make sure to thoroughly go over all the elements being audited against. Conditions, requirements, and tools often change in VET, so ensure that your checklists and auditing tools are ready and updated regularly. If you are unsure, lack experience, or simply need interpretation on an issue related to conducting an internal audit, it is best to attend a course or webinar to develop and perfect the skills required.

3. Manage the internal audit by employing evidence that is documented and interviews


During the internal audit, compare the actual prerequisites to your documents, samples, records and all other evidence. Also, monitor training and appraisal processes as they are being enforced. Don't forget to meet with pertinent personnel and record their interviews in order to compare their experiences with the norms, policies, methods and other applicable contracts. Keep questions consistent and also enquire about non-compliances encountered in the chronicled evidence.


4. Log and disclose your conclusions


Log the conclusions of your investigation of the evidence and conversations with staff and include any possible samples. Complete an analysis that includes a rundown of the findings and if and how they adhered to the conditions and obligations.


5. Implement amendments and enhancements


Arrange for amendments to non-compliances as quickly as possible. Incorporate revisions to policies and measures and contribute extra guidance and instruction for team members.


Some additional tips to think about in conclusion include:

  • Implement your internal audit as quickly as possible or as often as required.

  • Don’t expect everything to be compliant before checking with an internal audit. It is best to find non-compliance on your own and amend it before bigger issues arise.

  • Strive to create an environment where compliance, enhancement and quality are embodied and where members can openly discuss errors, non-compliance and other potential worries.


If you would like to learn more about how we can support your RTO with an internal RTO audit, contact us today at 1300 833 424 or email info@rtointelligence.com.au

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