3RTO compliance management#
To maintain registration, a RTO is required to participate in Transport and Main Roads performance and compliance requirements as set out within the licence agreement.
Compliance and performance activities include:
- desktop audits
- on-site compliance audits
- access to and copying of training and assessment records
- review of RTO monthly reports
- provision of relevant documentation, and
- observations of training and/or assessment delivery.
Desktop and on-site compliance audits are undertaken by Transport and Main Roads Technical Training and Development staff. The objective of these audits are to assess compliance to the obligations set out in the licence agreement.
Transport and Main Roads and the licensee attend a close out meeting on the final day of any on-site audit. A written report is provided by the department within 10 working days. This report identifies both minor and major non-compliances.
A licensee is required to rectify non-compliances within an agreed timeframe by submitting and implementing a rectification plan. All rectification plans are assessed and approved by the department.
Failing to provide an appropriate rectification plan within agreed timeframes may affect a licensee's licencing status.