Can consultants to the provider participate at an audit?

Answer

Yes, a consultant may participate in the audit proceedings together with the RTO.

However, an RTO’s executive officers and high managerial agents must be vested with sufficient authority to ensure the RTO complies with the Standards for Registered Training Organisations (RTOs) 2015 (Standards for RTOs) at all times.

  • An executive officer includes a person who is concerned with or takes part in the management of the RTO.
  • high managerial agent means an employee or agent of the organisation with duties of such responsibility that his or her conduct may fairly be assumed to represent the organisation in relation to the business of providing courses.

As part of ensuring an RTO complies with these requirements, executive officers and high managerial agents need to (either individually or jointly) have an in-depth knowledge of the organisation’s operations.

While a consultant is able to participate in the audit process together with the RTO, the primary interactions between an auditor and the RTO should be with those people who have an ongoing involvement in the day-to-day operations of the RTO. This includes discussions with the RTO’s CEO, managerial staff and employees (including contractors).

Was this page helpful?