Business Coach

Internal Audit I RTO Compliance Audit

RTO Mentor provides a range of RTO internal audit compliance services to Australian RTOs to help you prepare for and pass your next regulatory audit.

We want to help you find any weak points before the regulator auditors do. Internal audits can be once off, or regular internal compliance audits to maintain your ongoing RTO compliance, or have an experienced RTO consultant on site during your audit to help you through the audit process.

It doesn’t matter if you are registered under ASQA or TAC WA, the audits are against the Standards for RTOs.

  • Do you have a pending re-registration audit and not sure if you are compliant?
  • Are you on top of your game, yet wish to have an independent eye look over your RTO?
  • Do you need a “practice run” audit to familiarise yourself and your team with the audit process, before the real thing?
  • Has it been a while since you reviewed your organisation against the standards?

An RTO internal Audit is what you require. It is core to our function, and should be core to yours. An internal audit is a valuable insight and tool to provide you with details of where you are not meeting the mark, and guidelines on how to meet compliance. An independent internal audit will ensure your RTO remains fully compliant and you can show continuous improvement.  RTO Mentor provides audit compliance solutions to assist you with your RTO business. They have years of experience, and auditing qualifications that can save you much anguish of when the Regulator auditor arrives. It isn’t just about managing compliance it is about improving your business systems and therefore your compliance.

Work directly with one of our team on your RTO compliance.

RTO Internal Audit - How RTO Mentor can help

Audit Strategy planning

We help training businesses to meet compliance, time and time again through conducting internal audits and providing solutions just for you. At RTO Mentor we know we’re good at what we do. Clients pass Regulatory audits following our visits and they love the way we present information for them to follow. That is what makes us stand out from the crowd of RTO consultants. For many we have become a trusted solution. We have a team of highly skilled auditors who can help your organisation find better solutions and improve your existing processes.

full regulatory audit

The audit is conducted against the Standards your RTO operates under.  It happens over 3 days, with one being in your office. We identify two training products and two units to be audited.

remote internal audit

RTO Mentors experienced RTO audit team will assist your team to gather evidence, to review your systems and processes against the Standards for RTOs. All conducted via desktop review. 

single process such as assessment

Often an audit of a single process within your RTO is what you need. They can be remotely conducted or onsite. Single process audits are just that – looking at a snapshot of your RTO processes and auditing that.

Full regulatory internal audit

The audit is conducted against the Standards your RTO operates under.  It happens over 3 days, with one being in your office. We identify two training products and two units to be audited.

The Audit includes:

  • Pre-preparation off site– review of training and assessment strategies, your website and other marketing tools available such as social media, review of assessment tools and student information.


  • On site– one day. Whilst much of the review work has been done there are often many questions to ask, and suggestions to make. We look at your business, your students, talk to trainers (if available) and discuss business improvement processes.  The audit is conducted to meet the regulator’s standards. This is your opportunity to learn and grow under the guidance of an experienced auditor.


  • Comprehensive audit report, including all findings against the Standards.


  • Recommended Action plan. Following the audit the next important step is to have an action plan. A comprehensive list of actions to meet non-compliances and opportunities for improvement is developed and presented within the next few days of the audit.


Remote Internal RTO Compliance Audit

Sometimes it is not possible to have someone visit your site. A remote internal compliance audit of your Registered Training Organisation’s systems and processes can still be conducted. RTO Mentors experienced RTO audit team will assist your team to gather evidence, to review your systems and processes against the Standards for RTOs. Depending on the focus of the audit it could include policies and procedures, student information, website review, compliance documents, trainer profiles and training and assessment strategies and tools. Once the internal RTO audit is completed you will receive an audit report with the findings of your audit, plus an action list of recommended rectifications. Your RTO consultant will meet with you (via skype or other internet based system) to explain the audit report findings, and discuss any non-compliance found and possible rectification strategies.

Single process audits 

Often an audit of a single process within your RTO is what you need. They can be remotely conducted or onsite. Single process audits are just that – looking at a snapshot of your RTO processes and auditing that. It could include any area of compliance such as:

  • assessment systems / validation
  • marketing
  • student support
  • trainers / assessors
RTO Consultant RTO Mentor

Create a better RTO business by improving the processes

A key factor to success in business is developing and maintaining effective processes and standards. We can help your RTO business with improving current processes, and the implementation of new processes. Merinda is an expert in processes and can assist you to develop entire process programs and help your team implement them business wide.

In all of these solutions RTO Mentor can assist you with implementing the rectifications recommended in the audit report. If you are looking at setting up your own RTO and need guidance and mentoring of a experienced RTO Compliance Consultant, contact Merinda on 0439 544 105 

Want to talk to Merinda NOW!

Book in for a FREE 30 minute consultation to discuss your RTO.

Does your RTO have an outstanding Human Resource management process?

The key to retaining good staff is to make sure that you encourage their professional development and training. Looking after your staff has so many more benefits than ticking off the RTO Standards.  When your employees can see ways to improve themselves, or improve their position, or salary whilst in employment with you, they are likely to have high job satisfaction. This benefits you and your RTO through increased productivity and concern about quality. Your whole Human Resource management process is important within your RTO, as in any business, it brings unimaginable benefits. People are essential to the success of any business, and especially so in an RTO, where you need trainers and assessors. Getting the right people are key to your success, and the reason students rave about you. So often this part of the RTO gets neglected. The performance of employees can be a liability or asset to a company. They can really big the difference between getting new students, and filling courses, or not. I recall an RTO I was called in to help when they had a complaint emailed to them about one of their trainers. Now this RTO actually had known this trainer was saying inappropriate things for about 12 months before an actual complaint was made. What made this complaint so bad was it was from a client who never wanted to deal with them again. The client made up 80% of their business. We worked together on solutions, and rectifications, and thankfully we were able to bring back the business, even if they said they would never have this particular person back on their site. Bad huh?   Yes.   What I found even worse, was that they actually knew about the behaviour 12 months before, and had not done anything about it. That mistake could have cost them 80% of their business. Having an RTO is just not about meeting compliance, it is about running a business that truly looks out for all the stakeholders. Reviewing your Human Resource processes is just as important as reviewing your validation schedule, your customer service and your enrolment data. Although Staff Training is just a small part of the Human Resource process, it is really interesting to take a close look at it. This includes looking at the following key areas: Recruitment and selection Performance management Learning & professional development Succession planning Compensation and benefits Human Resources Information Systems The above are all basic areas, yet sadly I see they are being neglected within RTOs, as they actually are not specified within the RTO Standards. By recruiting well, and then on-boarding the team member allows them to understand your business, and most importantly allows them to perform at their best. This is a win for you. Once the employees are on board, and they’ve been given all the necessary help to know the job, the next step is having an effective performance management process. This is not just a once a year catch up. It is about understanding the employees, talking to them often, and getting feedback from them, and from others who work with them. Employees who are empowered to their full potential, improve the efficiency, sustainability, and profit margin of any business. By making this a continuous process you are able to see employees who consistently underperform. Sometimes they may not be a good fit for their role, or the RTO culture. When you’ve tried strategies to work with them with no success, then maybe these employees need to be let go. Training can improve business performance, profit and staff morale.  Advantages to your business include: You choose what new skills your workforce acquires. You can target skills to meet the needs of your business for now and in the future You may be able to get government funding to help meet training costs Training your staff can result in better customer service, better work safety practices and productivity improvements You have longevity of staff showing you value them enough to invest in them.   Training has many benefits for your staff  They acquire new skills, increasing their contribution to the business and building their self-esteem The training they do can take them into other positions within the organisation – positions with better prospects and/or better pay They’re motivated and come with fresh ideas When they’re being trained on your time, they see that you value them enough to invest in them.  You become a valued employer. A good company is seen as one that retrains rather than churns. Succession planning helps you and your students so that you are ready with contingencies in case of key employees leaving the business. If, for example, a crucial trainer quits his/her job, having someone who can step up will guarantee continuity and can save the RTO significant money.   Retaining and motivating staff is key for your RTO. One of the areas that needs to be addressed is ensuring equity and fairness of pay within the RTO and considering external factors. Obviously this must be balanced with the RTO budget and profit margins. Pay increases need to be monitored on occasions conduct a pay audit. Keeping track of your employees in a digital format supports the business. For me it’s a no brainer as I’ve been working with HR system for over 30 years (yes, OK that is for some time!). I can’t work without them. So I’m just saying they add value, and save you time. Think of these basics as building blocks that all contribute to each other. Collectively, these HR fundamentals enable your RTO workforce to perform at its very best. Enabling you to increase your targets and bottom line results.

Read More »

3 tips to help you increase your RTO

Your RTO Success depends on you constantly looking at your business. Working on your business, managing the numbers and reviewing the metrics.    Your RTO Success relies on you looking at the following:  Maintain your Focus for the Long Term.  Focusing on the students is a positive and much can be achieved by listening to what they want. This information will provide you with a long term strategy – what courses they want, how they want them, and when. Yes we sure do need to buckle up and get ready for the ride, seize the moment and transform it into an opportunity — an opportunity to sharpen the focus of your RTOs vision and long-term goals. You might be pleasantly surprised what the students have to say. Maintaining Your Focus on Service Quality. Service quality continues with the student focus. Establish systems that provide service, and continue to provide what the client wants. Maybe it is time to change them up and amend those training and assessment strategies and internal processes to deliver the greatest value to your customers and clients. My best advice is to listen to your clients and they will tell you how you can improve. Consider ways to support them and their learning.  Keeping up with Innovation. One of the key aspects of the current environment is the innovation that is out there to support the students and the trainers. It seems there is an app or online tool for everything, and so many that can be used to provide a better student experience. Whether they are used to create and share lessons on your tablet, flipping classrooms, creating your own animated videos or allowing students to imagine, write, illustrate and share their own stories. Then of course there are the many social media platforms where students/ trainers can bring together content and share in various ways. Perhaps now is the time to start researching those apps, and maybe implementing one or two into your training delivery model. The RTOs who can harness the power of digital data, and keep compliance will be the big winners. Don’t be afraid to make mistakes (remember your continuous improvement). Be bold, think big and learn along the way.   Let’s Talk about your business How is the energy you are putting into your business? Is it running a bit low?   Are you feel like the right clients wont come to you? Or your revenue isn’t growing, or worse, it’s staying the same, month after month? You can’t seem to build the right team, or structure… and basically so much about it it is frustrating?   Interested to find out how we can help you? MORE by clicking the button… Click here

Read More »
RTO Consultant RTO Mentor

Should I start an RTO business from scratch, or buy an existing one?

There are so many considerations, however I would like to provide you with a guide that may make the decision easier. The best way to do this is to consider all of the possible advantages and disadvantages of buying an RTO before making a decision.

Read More »
RTO Consultant RTO Mentor

Good Practice in RTO Assessment

It is not mandatory that you map to the unit of competence. It is however mandatory that you demonstrate how you will meet the unit of competence. Therefore most RTOs undertake mapping.

Read More »
RTO Consultant RTO Mentor

11 tips to make your training stick

It is always a good idea to go out and do your own research and come to your own well evidenced conclusion! Ultimately, mapping should be just one way you are ensuring that your training and assessment are meeting the required standards and ensuring high quality outcomes for your RTO and more importantly, your students! Quality training and assessment leads to quality outcomes.

Read More »

Share this: