Updated Jan 08, '12, '20
According to risks identified by the Training Accreditation Council across all WA Registered Training Organizations, many programs can be defined as high risk situation for one reason or another.
While you should automatically investigate high risk situations, you might identify other kinds of risks that you should also investigate. That is, this list is not exhaustive, and it does not get you out of identifying other risks.
As a rule of thumb, be cautious if an auditee says, We have no problems.
It means that they are probably covering something up or don't understand their own program.
High risks are as follows:
| Risks | Why it's a risk |
|---|---|
| The RTO is new, and its staff are inexperienced in the training sector. | Possibility that they don't know what they are doing or couldn't implement new systems. |
| This is the RTO's first time teaching particular units. | Will their preparation work in practice? |
| The RTO has only one instructor in a field of expertise. | What if that person drops out? |
| The RTO is teaching in a "higher" qualification (Diploma or above). | Can they adequately deliver and assess? |
| The RTO is starting multiple new programs at the same time. | Can they handle the workload, especially if something goes wrong? Will their preparation work in practice? |
| The RTO has an intensive schedule (short intensive courses or full-time Austudy students). | If something goes wrong, they have inadequate time to fix it. |
| You are teaching students who are quite different from those with whom you are accustomed (e.g. different cultural or linguistic background, socio-economic or age group). | Will their delivery work for those students? How do they know? |
| RTO staff are unfamiliar with training sector protocols. | Probable non-compliance with requirements. |
| You are using distance education. | High drop-out rate is normal. It is also difficult to monitor students' actual learning experience. |
| You are depending on technology with which you are unfamiliar (e.g. other people's music equipment rather than your own). | You might not be able to use it for instruction. |
| A program is not really your core business. | It might not get the attention it needs. |
| Courses that have a higher education flavour and are not strictly vocational. | Possible non-compliance with training sector protocols. |
| Courses are accredited, as opposed to those using endorsed units. | Possible incongruence with industry expectations. |
| The RTO has a history of serious non-compliance. | Pattern of behavior. You should find out the reasons. |
| Multi-campus operations, especially interstate campuses. | Communication may be difficult. |
The Training Accreditation Council also identified other risks:
| Risks | Why it's a risk |
|---|---|
| Overseas programs | They are difficult to monitor |
| Partnerships (where the training organization works with corporations in which it places trainees) | Lack of control over non-RTO partners |
| Information Technology programs | IT people focus on IT skills but are less focused on other skills. |
| Schools | It is difficult to require school students to perform to industry standards. |
| No AQTF audit within three years | Non-compliances can creep in. |
| Licensing and regulatory requirements. | Training must also comply with other standards. |
| Programs subject to strategic industry audit | Already identified as a compliance risk. |
| Frequent change of ownership | Possibility of major changes that do not comply with requirements. Possibility of new people who aren't familiar with relevant compliance systems and requirements. |
| Additional compliance requirements from other government agencies | Training must also comply with other standards. |
Affecting frequency of audit:
Affecting scope of audit