Best practice of VET internal audit to stay compliant

Best practice of VET internal audit to stay compliant Leave a comment


In this blog, I will discuss the different best practices that different RTOs are using to stay compliant and deliver quality education.

As a consultant and a learner, I liked to learn from everyone including auditors, consultants, CEO’s, Compliance managers, and other RTO professionals.

Some RTOs are following great internal audit practices that help them to be compliant and stay compliant.

Best practice: Most RTO’s will do the internal audit once a year and finish them in one go. These practices do not allow them to dig deeper to locate the root cause and implement changes that will improve the compliance and quality of RTO training and assessment.

Do not try to do an internal audit in one attempt – rather, divide them into small, ‘bite size’ chunks.

Quote – “Any goal can be achieved if you break it down into enough small parts” Brian Tracy.

Do monthly RTO internal audits for a few clauses and create an annual internal audit calendar. You can add these in Google, Outlook, or any other individual or team calendar.

For example:

Audit clauses Resources required including HR Date Comments
SRTOs 2015

Clause 4.1, 3.5 5.1,5.2,5.3,7.3

Marketing material
Policies related to marketingStudent handbook
Fees and refund, enrolment,
pre-training reviewCredit transfer and other enrolment-related policies.
Enrolment form and PTR form LLN toolHR:

  1. Compliance manager
  2. Admin and student support officer
15/02/22 May need graphic designer and website person for update

Benefits of this internal audit model:

  1. Monthly checks will be less time consuming, and feedback or improvements can be easily implemented.
  2. This takes less time so RTO can manage the operation effectively
  3. Any non-compliance issue can be resolved quickly
  4. RTO culture can be improved
  5. Other RTO staff also learn compliant practices
  6. Monthly internal audit evidence will also help you in the external audit.

Note: make sure you keep the relevant evidence for the internal audit for your records and external audits.

Suggested Read: How to audit your RTO resources to meet compliance requirements?

The information presented on the VET Resources blog is for general guidance only. While we strive for accuracy, we cannot guarantee the completeness or timeliness of the information. VET Resources is not responsible for any errors or omissions, or for the results obtained from the use of this information. Always consult a professional for advice tailored to your circumstances.

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