Welcome to the RTO Superhero Podcast with me, Angela Connell Richards. Today we look at a mindset that still holds many RTOs back. Many leaders say they will fix issues later. They plan to clean up before re-registration. They wait for ASCA to make the first move. That approach fails under the current audit model. The regulator does not wait. They watch your data and your trends. They act when risk rises. If you wait, you lose control. Today you will hear how risk-based auditing works, why audits can happen at any time, what reactive compliance gets wrong, and how to shift into proactive self-assurance. Let us start with the old cycle. Many RTOs used to update policies before re-registration. They prepped documents after getting an audit notice. They fixed issues during rectification. That pattern worked when audits followed long cycles. It does not work now. The sector moved to a data-informed model, ASCA users data from enrollments, completions, complaints, and public records. They form a risk profile long before speaking with you. They can start an audit without notice. They can act when your trend lines shift. If your mindset is to fix issues later, then you are already exposed. Now let us explain risk-based auditing. ASCOR looks at what you deliver, who you deliver it to, how you perform, and where your systems may fail. They check high-risk training products. They check delivery modes with known problems. They check reviews and complaints. They act early if signals rise. Triggers vary. Adding a new program is a trigger. Teaching a high risk product is a trigger. A complaint is a trigger. Funded training with weak outcomes is a trigger. Public claims that raise questions are a trigger. You may expect an audit in five years. They may schedule one in five weeks. Timing is driven by risk, not your cycle. Reactive compliance creates its own problems. Many RTOs keep policies that sound current but do not guide practice. Trainer credential files remain incomplete. Mapping stays half finished. Validation is pushed to next quarter. Marketing materials do not match reality. Complaints are handled in conversation, but not recorded. Then an audit starts and the scramble begins. Teams rush to find evidence. Leaders rush to update documents. Trainers rush to explain gaps. Stress grows fast. The regulator does not check plans. They check practice. They check records. They check evidence that shows what really happened. So how do you shift to a stronger model? First build a review calendar. Set reviews for policies. Program plans, trainer credentials, validation and learner feedback. Hold these reviews monthly or quarterly. Keep them small, simple, and steady. Second, record every check you complete. If you do not record it, it did not happen. Keep a central register. Note what you reviewed. Who joined the review? What changed and why. Third, treat complaints and feedback as signals. One learner message may show a pattern. Log it, check it, and act on it. Fourth, use risk tools to see where pressure builds. Not all products hold the same risk. You need a clear view of where to focus. Now let us look at an example. A provider added a new support program. They had strong trainers. They had a clean record. They forgot to update the program plan. They delayed their resource review. They did not brief the team. A student raised a placement concern. That concern triggered a full audit. The audit exposed gaps in plans, delivery support, and resource alignment. The provider expected no audit until the next cycle. Their risk position triggered an early check. Their lesson was clear. Compliance is built each week, not each cycle. Proactive compliance protects the RTO. It protects your learners. It supports your trainers. It reduces stress at audit. It aligns your system with the regulator's view. It gives you clarity when risk rises. Leaders must change how they think. You cannot wait for notices. You cannot wait for deadlines. You cannot wait for the next cycle. You act early. You act often. You use data to guide your next step. Let us add more depth here. Proactive compliance means your leadership team meets with shared data. You bring learner progress reports. You bring withdrawal lists. You bring feedback notes. You bring validation reports. You bring trainer support notes. You bring complaints. Then you ask clear questions. What changed? What does the change mean? What action will close the gap? What evidence will show improvement? These questions guide your system. Another key point is team ownership. Compliance cannot sit with one person. Each manager owns their area. Each trainer owns their practice. Each support team member owns their records. Shared ownership builds consistency. Consistency builds quality. Quality reduces risk. Risk also rises when systems grow. New qualifications add pressure. New trainers add pressure. New cohorts add pressure. You must brief your team before delivery starts. You must update your plans. You must check your resources. You must test your assessments. You must align your placement agreements. These steps prevent drift. Let us look at delivery drift. Drift occurs when actual delivery shifts from the program plan. It may be small changes, it may be timing changes, it may be resource changes. Some changes help learners. Others create gaps. You must identify drift. You must guide trainers. You must record each adjustment. This prevents risk from building. Support for learners also matters. Learners who fall behind show early signals. Slow progress, poor attendance, repeated questions, or rising stress all signal risk. If you track these signals, you can act early. You can offer support, you can adjust delivery, you can reduce risk, you must record each step. Validation offers another lens. Validation reveals issues in assessment design or delivery. When reports sit untouched, risk grows. When findings are not implemented, risk grows. You must complete the cycle. You must update the tools. You must support the trainers. You must record each improvement. Let us talk about complaints again. Complaints are not threats. They are warnings. They show where expectations and reality differ. They show where support may need to improve. They show where clarity may be missing. You must log them. You must investigate them. You must record actions. You must check outcomes. Regulators look for trend lines. You need to act before trends rise. Marketing compliance also matters. Claims must match reality. Website details must stay current. Flyers must reflect delivery. Errors in marketing often lead to early checks. You must align your external message with your internal practice. Let us finish with a simple leadership routine. Hold a short review every month. Bring your risk items. Ask what shifted. Ask what the shift means. Ask what action you need. Ask what evidence shows it. This builds a stable system. This builds confidence. This builds audit readiness. Thank you for joining me today. Stay sharp, stay proactive, and stay compliant.