Service provider auditing

If you are an external service provider participating in one of VicRoads programs you will be audited by the Registration and Licensing Compliance Group.

External service providers participating in the following VicRoads programs will be audited by the Registration and Licensing Compliance Group. 

  • Dealer Certification Scheme
  • Licensed Vehicle Testers
  • Vehicle Identity Validation
  • Vehicle Assessment Signatory Scheme
  • Accredited Heavy Vehicle & Motorcycle Training Providers
  • Authorised VicRoads Agencies
  • Major Registration and Licensing Service Contracts
  • Alcohol Interlock Device Contract

The compliance group will work to ensure that the above mentioned VicRoads external service providers are meeting their respective legislative, contractual and operating requirements.

Audit overview

An audit is an examination of an organisation’s business operations to ensure that it is performing to an agreed set of requirements. Compliance Officers from the group gather evidence to support an assessment of your performance against the requirements of your agreement with VicRoads.

The audits will normally be carried out on your business premises and involve a review of your work procedures and service outputs.

Frequency and timing of audits

Both the frequency and timing of VicRoads audits are based on risk profiling. Factors used in determining this risk profile will vary depending on the type of program you participate in.

In many instances, VicRoads will notify you in advance of an upcoming audit. However, we will also undertake some unscheduled auditing where our Compliance Officers will arrive unannounced.

What happens during an audit

VicRoads Compliance Officers will generally conduct an audit in the following manner.

Entry interview

During this interview the Compliance Officer will discuss and explain the audit’s objectives, scope, likely duration, and process.

Audit fieldwork

Throughout the audit the Compliance Officer will collect evidence using sampling, computer-assisted audit techniques, interviews, observations, questionnaires, checklists and risk control testing.

Access to appropriate personnel, records and properties will be essential to the efficient and effective conduct of the audit.

Exit discussion

After completion of the fieldwork, an exit discussion may be held to inform you of the interim findings of the audit including any corrective actions that may require urgent attention.

Audit report

A final audit report will be issued to you several weeks after the completion of the fieldwork. This report will document the findings, recommendation and associated corrective actions resulting from the audit. You will be requested to correct any areas of non-compliance identified.

Dispute findings or corrective action requests

Should you dispute any of the findings or corrective action requests you will have an opportunity to discuss these issues with our staff.

How to prepare for an audit

Undertaking the following actions will assist both parties in managing the audit process.

  • Ensure that you and your staff understand the requirements of your agreement with VicRoads.
  • Ensure your business activities are in keeping with the requirements of your agreement with VicRoads.
  • Establish and maintain appropriate records management procedures.
  • Make all applicable information and personnel available to our compliance staff. 

Registration and Licensing Compliance Group contact details

Email: r&[email protected]

Address: Registration and Licensing Compliance Group, VicRoads, 60 Denmark Street Kew, VIC 3101

Was this page helpful?

Take a moment to tell us why. If you'd like a response to your feedback, please message us instead.