Audit frequently asked questions
Will I be audited?
A risk assessment is conducted on each application and will determine if you will be audited. Auditors are committed to recognising and improving quality across the system to ensure positive outcomes for students and industry. The need for an audit will depend on when the training organisation was last audited and other risk factors. Monitoring audits will be scheduled throughout the registration period of a registered training organisation. An audit may also be conducted to investigate a complaint allegation.
Are there different types of audits?
Yes. There are two types of audit: a site audit and a desk audit. A site audit occurs when an auditor(s) from the Queensland Department of Education and Training, and if required, a technical adviser(s) visit a training organisation. A site audit involves a comprehensive check of registration requirements, including examination of documentary evidence. A desk audit involves a training organisation supplying evidence (usually related to human and physical resources, assessment and client information). This evidence is examined by the departmental auditor and/or the technical adviser.
How long do I have to prepare for an audit?
When an audit is scheduled to monitor ongoing compliance or to assess a registration application, a maximum of 20 days and minimum of 10 days notice will be provided. A complaint investigation audit may be conducted with no prior notice.
How long does an audit visit take?
The length of an audit visit can vary from a few hours to several days. The time taken for the audit depends on how well your organisation's evidence is prepared and the size and scope of the audit.
How do I prepare for an audit?
You will be audited against the Australian Quality Training Framework (AQTF) Essential Conditions and Standards for Registration. Auditors will assess an organisation's compliance with the AQTF Essential Conditions and Standards for Registration. Organisations will need to demonstrate their compliance, either through documentation, discussion or interviews. The Queensland Department of Education and Training suggests that you prepare for an audit by ensuring you can demonstrate compliance against each element of the Essential Conditions and Standards (where required). In particular you should have a learning and assessment strategy, evidence of the competence of your trainers and assessors, learning resources and full assessment tools for two units of competency for each qualification audited as well as other evidence.
Am I audited if I want to change my scope of registration?
Not always. The Queensland Department of Education and Training will conduct a risk assessment of your application and let you know if an audit is necessary. Depending on the level of risk, the department may decide to conduct a site audit, a document review or to approve your application without an audit activity.
What can I do if I am not satisfied with a decision?
If you are not satisfied with a decision of the Registration Management Entity (a delegated body of the Training and Employment Recognition Council), you may choose to apply to the Queensland Civil and Administrative Tribunal for a review of the decision. Alternatively, you can also choose to lodge another application once you have corrected the non-compliances identified through the audit process. Read the guide on Applications to the Queensland Civil and Administrative Tribunal to review training recognition decisions.
What happens if my organisation is found to be non-compliant with the AQTF?
The Queensland Department of Education and Training will send the training organisation a table detailing the non-compliances and what needs to occur to rectify these non-compliances. The non-compliances must be rectified in a prescribed timeframe. Typically, an organisation will submit additional documentation as evidence of compliance. More information on Australian Quality Training Framework non-compliance.
What ongoing monitoring is required to ensure compliance?
After gaining initial registration your organisation can expect to undergo a monitoring audit within the following 12 months. The Queensland Department of Education and Training will contact you to make these arrangements. The department uses a risk management approach to the scheduling of monitoring auditors throughout the registration period of a registered training organisation. The department will contact you to make these arrangements should a monitoring audit be scheduled.
How long do I have to rectify non-compliances?
Non-compliances need to be rectified within 15 working days of receiving the notice of non-compliance or 22 working days from the date of the audit, whichever is greater. Occasionally, the complexity and nature of the non-compliance will not allow the issue to be rectified within this timeframe. In this case, registered training organisations must negotiate an extension to the timeframe with the auditor, who will seek approval for the extension from the manager of audit services.
Will I be told about a complaint before I am audited?
Yes. The audit team leader will provide your organisation with details of the complaint being investigated.
Who do I speak to about contract compliance after the audit is completed?
Your contract manager is responsible for providing advice on contract matters after the audit is finalised.
Who can I contact if I want to make a complaint about the audit process?
To make a complaint contact the complaints team by telephone on 1300 369 935 or email TO.complaints@deta.qld.gov.au