Preparing your RTO for Re-Registration – Part 1

The process of Re-registration (Part 1) 

If re-registration time is coming up for your RTO and you’re unsure about where or how to start preparing, we’ve put together this four part series as a go-to-guide to help.  Although there are many things you will need to review when it comes to re- registration time, we’ve outlined 4 key areas to focus on when preparing your RTO for re-registration:

  1. Process of re-registration – from ASQA perspective
  2. Suitable timeframes for starting your preparations and what to think about in relation to when to get started.
  3. Checklist of how to prepare
  4. Key things to look for when you are preparing – going to go over some of the key compliance areas in an RTO and tell you some of the regular issues we see, and/ or current trends in what auditors are looking for.

We have broken up these articles into each of the above steps. This article focuses on the first step in preparing your RTO for re-registration.

The process of re-registration from an ASQA perspective.

Apply for re-registration (at least 3 months prior to expiry)

  • At least 3 months before expiry
  • Provide Fit and Proper Person Declarations
  • Advise of any changes
  • Pay fees
  • New Fit and Proper Person declarations are required for your key, senior people.

Application reviewed / information sought from the RTO

  • On ASQA net. You’ll be asked to advise of any changes to your details, contact details, key people.
  • Application is then reviewed by ASQA.
  • Additional information may be sought from RTO such as enrolment/ completion numbers etc.

Audit or no audit

  • Some RTOs will have a site audit prior to registration expiry.
  • Some RTOs do not have an audit and their registration period is simply extended. However normally these RTOs are then audited within the next 1-2 years for a ‘compliance monitoring’ audit.

ASQA uses an RTO’s compliance history to determine whether or not to audit. Last year all RTOs were sent an email by ASQA showing their compliance history. This doesn’t mean you can rely on that. If you have good compliance history, no audit. They use a range of other risk indicators as well, so the best thing you can do is to prepare.

Of course you won’t really know in advance whether to expect an audit or not, so always best to start preparing anyway. Even if no audit for re-registration, ASQA may decide to conduct an audit following your re-registration to monitor compliance. And even if you don’t get an audit now or even in the next few years, it’s a good opportunity for your own peace of mind to make sure everything is compliant and you are on track.

Why Prepare? My RTO is always compliant!

We all know that RTOs need to be compliant at all times and you probably know or think that you have systems in place to manage compliance or you wouldn’t have been registered in the first place.

When you are preparing for registration or any audit it is about taking a step back and looking at things objectively. It’s about managing risk. Knowing where you are at and if you find any areas of concern, you have a chance to put appropriate measures in place, in enough time that it won’t just be a last minute effort at audit

Check that what you think is happening – is actually happening!

It’s about looking at the systems you put in place all those years ago. Do they still meet today’s requirements and expectations? The standards may not have changed (although they probably have since registered) but ASQA expectations may have changed, there may be new guidance on compliance requirements etc.

In addition, preparing for audit is also about checking that what you think is happening in your RTO and the systems and controls you think are in place, really are there and nothing is slipping through the cracks. Another part of preparing for an audit is to check that staff aren’t missing steps or not doing things. It’s also about going back to the standards and cross referencing the standards to what is actually happening in your RTO.

Do you have questions about your compliance requirements? Contact 1300 676 870 for some advice today. 

Part 2 will look at suitable timeframes for starting your preparation.

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