Victorian WorkSafe Authorised Registered Training Organisations

CONDITION 7

Condition 7: The Authorised RTO must conduct an annual independent audit in the manner prescribed by WorkSafe.

• 7.1 You must appoint an Auditor, who is a person or organisation:

  (a) independent of the High Risk Work Assessment functions of the Authorised RTO and affiliated Authorised IAs;

  (b) audits to AS/NZS ISO 9001:2015 or other equivalent standard approved in writing by WorkSafe; and

  Note: approvals can be requested by contacting hrwassessors@worksafe
  .vic.gov.au

  (c) acceptable to WorkSafe.

• 7.2 You must instruct the Auditor to carry out an audit, in the form prescribed (if any) or acceptable to WorkSafe. The audit must assess the RTOs compliance with:

  (a) the Conditions and Condition Compliance Requirements set out in this document;

  (b) Assessment Instruments, the Guide for Assessors and Procedures;

  (c) tools, advice and guidance published or endorsed by WorkSafe;

  (d) the conduct of Assessments including, in particular, the requirements of National Assessment Instrument (NAI)s;

  (e) the RTOs treatment of personal and confidential information, including the Privacy Act 1988 (Cth) (if applicable); and

  (f) the RTOs own internal compliance policies.

• 7.3 You must ensure the audits for each financial year are completed and submitted to WorkSafe by 31 October each year, or as otherwise specified in writing by WorkSafe.

  Note: WorkSafe may, at its discretion, extend or amend its requirements under Condition 7.3 relating to the preparation of submission of audit reports.

• 7.4 You must submit a copy of the audit prepared under Condition 7.2 to WorkSafe by email to hrwassessors@worksafe.vic.gov.au together with:

  (a) a list of any non-compliance found in the audit; and

  (b) details of your proposed resolution of each incidence of non-compliance; and

  (c) steps taken to ensure each type of incidence does not reoccur;

  (d) upon request, any additional information in relation to the audit.