Due care and diligence
RTO auditors and accreditation reviewers will carry out their duties in a manner which is:
Activities will be conducted in a systematic manner, based on an appropriate sampling strategy where appropriate, to ensure confidence in findings, conclusions and recommendations.
The primary role of RTO auditors and accreditation reviewers is to determine whether the training provider or course owner has complied with the requirements of the relevant standards, based on evidence provided. Wherever possible, evidence will relate to outcomes from implementation of systems and processes. If the implementation has not achieved the outcome/s required, examination of the systems or processes may be required. Where systems or processes have not been implemented (e.g. during an audit relating to initial registration as an RTO), the systems and processes will be examined to confirm whether, when these are fully deployed, they will result in compliance with the requirements of the relevant standards.
Findings about compliance are based on valid, current, sufficient and authentic evidence.
No preconceptions are held about the form evidence may take and judgments will be based solely on the evidence presented, without bias.
The judgment about how evidence is related to compliance will be guided by these questions:
- Is the evidence clearly related to the relevant standard?
- Is the evidence current?
- Has sufficient evidence been provided for a judgment about compliance to be made?
- Is the evidence authentic?
The judgment will be determined by focusing on the following points:
- 'This is the standard'
- 'This is the evidence you have provided'
- 'Here is a gap and it is for these reasons'.
Evidence requirements will accommodate the organisation's size and scope of operations, and the context in which it operates. There is no 'one size fits all' approach.
Fair, open and transparent
The training provider or course owner will be informed about the process in advance and given a reasonable opportunity to provide evidence of compliance. The training provider or course owner will be informed of the processes for lodging complaints and appeals.
Where on-site activities are conducted, training providers will be provided with notice of at least 10 working days, unless unusual circumstances apply or the training provider agrees otherwise.
The process and outcomes will be made clear to the training provider or course owner by:
- ensuring they understand the process and the implications of non-compliance
- informing them about the opportunity to address any non-compliance identified
- encouraging questions and providing clear and unambiguous responses
- advising the training provider or course owner who they can contact if they have any questions or concerns.
To download a copy of the Code of Practice for RTO Auditors and Accreditation Reviewers, please click here.