Your RTO self-assurance processes should confirm compliance with the SRTOs 2015 and ensure performance and student outcomes are meeting industry expectations. The systems and processes you implement in your RTO are contingent on the number of training products on scope, the size of your organisation and the risks associated with the training and assessment services you offer. ASQA expects RTOs to have appropriate self-assurance processes in place to manage risk in your business. Self-assurance is not self-regulation and ASQA continue to ensure that RTOs meet their obligations and adhere to legislative requirements in their regulatory activities. The following advice highlights critical processes to implement to self-assure your RTO.

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Annual declaration of compliance:

Part of the process of completing the annual declaration of compliance requires confirmation that your RTO is systematically monitoring compliance with the SRTOs 2015. You should include an analysis of data you have obtained from your RTOs internal audits, reviews or quality checks when you review your self-assurance practices. RTOs can utilise ASQA’s Self-Assessment Tool to identify if you currently meet compliance obligations and have also done so in the past year. It is a useful tool to assist in preparation of the annual declaration each year.

Course reviews:

RTOs should review delivery of courses to gain insight into how you are performing by using AVETMISS data such as completion rates and student outcomes. You can effectively identify improvements required to practices, systems and processes by analysing this data. Other valuable data sources include student survey results and other feedback gathered from students and employers. Quality Indicator Data collected annually also helps RTOs to continuously improve services for clients. RTOs can use outcomes of validation activity and internal audits to determine if specific courses have areas of concern that need addressing.

Managing your scope of registration:

Risk assessing your scope of registration at least annually can determine if you continue to be sufficiently resourced and are managing your licence to operate as an RTO in accordance with Clause 1.3. Changes to your RTOs scope can be constant and reflect on-going training package changes, additions and removals from scope. Additionally your enrolment data should indicate whether there is on-going demand for the training products you are registered for and let you know if you need to make amendments to scope.

Internal audits:

Your internal audit programme if implemented effectively will provide valuable data that highlights risks in your training and assessment. CEOs need assurance that risks are being managed appropriately and there are sufficient RTO internal controls and governance processes in place. The data collected in internal audits provides RTO management with critical information on the organisations compliance status. It also drives a regular cycle of continuous improvement within an organisation and accountability for meeting regulatory obligations and legislative requirements. Internal audits also identify areas where efficiencies or innovations need to be made.

Utilising compliance experts:

Whether you outsource experts like EDministrate or you have dedicated compliance staff in-house it is essential that your RTO has the capability and the right expertise to quality assure its operations. The risk of non-compliance with regulatory obligations and legislative or contractual requirements is real and has severe consequences for your RTO that can lead to financial, legal and reputational impacts on your business. The role of compliance staff is vital in protecting your RTO from compliance risk and regulatory action.