Performance assessment (audit)
Performance assessments (audits) are one of the tools we use to understand training provider performance.
Our Regulatory Risk Framework details other compliance and monitoring methods we use.
We made changes to the way we conduct performance assessments in 2021. Our Approach to assessing performance – Regulatory practice guide explains these changes.
Why we conduct a performance assessment
We conduct performance assessments so our stakeholders can have confidence in the integrity of training providers and the qualifications they deliver.
Performance assessments tell us if you’re compliant and give your students assurances their education investment has value and purpose.
They are a comprehensive way of checking you meet your requirements with the standards and legislation.
If we identify non-compliance during your performance assessment, our return to compliance focus gives you opportunities to respond and make changes to rectify non-compliance.
We may conduct a performance assessment:
- if you’ve made an application to be a provider, change your scope or renew your registration
- if we have data or information that indicates you may be at risk of not meeting each of your regulatory obligations
- as part of our monitoring process to sample random providers.
What we assess
When we assess you, we’ll consider how you perform against the Standards and legislation.
Standards explain requirements that all providers need to meet.
The standards we assess your performance against are:
- Standards for Registered Training Organisations (RTOs) 2015
- National Code of Practice for Providers of Education and Training to Overseas Students 2018
- ELICOS Standards 2018
Legislation your performance is assessed against
For RTOs
For providers registered on CRICOs or ELICOS providers
We take a sampling approach to performance assessments.
This means to understand your performance we will:
- usually look at some, but not all standards
- sample evidence across your training products.
The clauses and training products we sample as part of your performance assessment are known as the ‘scope’ of the assessment.
How we scope your assessment
We decide the scope of your performance assessment and the clauses and training products we intend to sample by reviewing:
- enrolment and completion data
- compliance history
- current and past complaints
- intelligence from other regulators and agencies
- applications that will be considered as part of the performance assessment, where applicable.
The performance assessment process from start to finish
The performance assessment (audit) process includes 5 key steps, they include:
- we contact you and plan the scope of your performance assessment
a. we make initial contact with you
b. we request preliminary information
c. we plan the scope of the performance assessment
d. we hold an opening meeting with you - your compliance with the standards is tested by collecting and analysing evidence via:
a. information requests via email
b. virtual or onsite observations
c. interviewing you, your trainers, assessors, students and others - we hold a closing meeting to explain findings to date
- we write a performance assessment report that identifies compliance and non-compliance
- we share our findings with you and outline the next steps.
Cost of a performance assessment
An hourly charge is payable for the conducting of performance assessments, excluding performance assessments conducted as part of an Initial registration application.
The cost includes:
- planning and conducting and the performance assessment
- preparing the performance assessment report
- any other business process related to the performance assessment incurring a staff member’s time.
