Provide requested information to ASQA
The RTO cooperates with the VET Regulator:
- by providing accurate and truthful responses to information requests from the VET Regulator relevant to the RTO’s registration
- in the conduct of audits and the monitoring of its operations
- by providing quality/performance indicator data
- by providing information about substantial changes to its operations or any event that would significantly affect the RTO’s ability to comply with these standards within 90 calendar days of the change occurring
- by providing information about significant changes to its ownership within 90 calendar days of the change occurring, and
- in the retention, archiving, retrieval and transfer of records.
The RTO ensures that any third party delivering services on its behalf is required under written agreement to cooperate with the VET Regulator:
- by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services, and
- in the conduct of audits and the monitoring of its operations.
What this Standard means for your RTO
Your RTO must cooperate with ASQA in responding to requests for information, undergoing audits and managing records.
You must notify ASQA within 90 days of changes to the following:
- executive officer or high managerial agent
- financial administration status e.g. liquidators being appointed
- legal name or type of legal entity
- ownership, directorship or control
- anything that may affect the fit and proper person status of an influential representative of the RTO
- any fundamental funding/revenue source (eg government funding contract allocation)
- the RTO’s business strategy driven by a change to government policy
- delivery to apprentices or trainees employed under a training contract, or
- any other significant event.
Notify ASQA of changes using the Notification of Material Change or Event (via asqanet) that includes advice about what information and evidence must be attached in each case.
Make sure you notify ASQA immediately if the contact details for your RTO change. The contact details published on the National Register are what ASQA will use to contact your RTO. ASQA is not able to provide any information about your RTO’s registration to anyone other than the published contacts. Use the Notification of change of provider details (via asqanet) to advise of any changes.
You must securely retain all completed assessment items relating to each unit or module for six months from the date the decision on competence for the individual unit or module was made. If you can’t retain the actual item (e.g. construction projects or perishable items), retain evidence, such as photographs, that the standard of the item or work completed justifies the assessment outcome. Completed assessment items, such as assignments, should not be handed back to learners until the six-month period has expired, although you could provide them with a copy.
ASQA auditors will not require you to provide completed assessments that are more than six months old (unless you have been specifically directed by ASQA to retain these records for longer), but you may have to retain these records for longer if you deliver training under a funding contract or are subject to additional record retention requirements. Find out more about these requirements on www.asqa.gov.au.
Note that other recordkeeping obligations may exist.
Your RTO must collect and report on a range of data about your business and operations, including:
If requested, you must provide ASQA with the following types of information about your RTO:
- business registration records e.g. Australian Securities and Investments Commission (ASIC) reports
- information demonstrating that the organisation satisfies the Financial Viability Risk Assessment Requirements
- information demonstrating relevant people associated with the organisation satisfy the Fit and Proper Person Requirements
- information on strategies, resources and other materials used to conduct training and assessment
- documents demonstrating trainer and assessor credentials
- information about delivery operations such as modes, venues, funding, student types and activity conducted
- evidence about record management systems
- public liability insurance coverage
- the names of current or past students, who may be surveyed about satisfaction levels, and
- any other information required to demonstrate compliance with the VET Quality Framework.
Should your organisation stop operating as an RTO, you will need to transfer sufficient digital records to ASQA to confirm what each learner has completed. Information about withdrawing your registration is available from www.asqa.gov.au.
If your RTO uses third parties to provide services, you must ensure they cooperate with ASQA in undertaking audits and in retaining and providing records or other information. Your RTO is responsible for ensuring any third party meets these requirements.
A guide to compliance
RTOs are not required to have policies or procedures in this area. In general, compliance with these clauses would be demonstrated by the RTO cooperating with ASQA in the normal course of business by providing relevant information.
If your organisation is seeking registration as an RTO, you are not required to provide specific evidence in this area.
However in submitting an application to become an RTO, your organisation is committing to comply with these requirements.