RTO Application Evidence Requirements

The following reflects the application evidence requirements for initial registration as a domestic RTO with the National VET Regulator (ASQA) from 1st July 2018:

The application for initial registration requires specific evidence to be uploaded to accompany the application. All of this evidence must be fully prepared and compliant before it is submitted to the regulator. The regulator will undertake a desk audit on this evidence and will determine how they progress with the application based on this initial desk audit.

It is critically important that this evidence is fully developed and compliant. The following evidence must be submitted with the application:

• Entity records including:
  • ASIC company certificate
  • ASIC company historical extract
  • ABN certificate
  • ASIC business name registration
  • ASIC company certificate of parent entities
  • ASIC company historical extract of parent entities
• Financial Viability Risk Assessment (click) with the following supporting documents:
  
  • business plan which provides the following information:
    • a company overview, description of the business including funding sources, target market, identified student cohort, key clients and industries, proposed courses, operating locations, equipment and facilities
    • business goals and objectives
    • strategic long-term direction of the organisation as a registered training organisation
    • market analysis of industry including locations, methods of delivery, industry demand and competitor analysis
    • analysis of business strengths, weaknesses, opportunities and threats
    • information about the organisation structure including position titles and names of staff members
    • Proposed RTO Details, including:
      • entity details
      • type of training organisation
      • group structure
      • key personnel
      • delivery sites
      • fee payment protection arrangements
      • status of current superannuation liabilities
      • status of PAYG/GST liabilities
      • basis of accounting
      • insurance coverage including public liability and WorkCover
      • unresolved legal disputes
      • contingent liabilities in existence
      • contingent access to funding options
    • financial projections for at least the next 24 months, including:
      • profit and loss forecast
      • balance sheets
      • cash flow forecasts
      • bank account, debtors and creditors
      • forecast student numbers and course fees
      • forecast operating expenses
    • Financial viability supporting evidence requirements:
      • Business Plan/Strategic Plan
      • Audited financial statements (last two years)
      • Current management accounts
      • Bank statements – within 1 week of application lodgement
      • Bank statements – as at most recent financial year end
      • Bank statements – as at most recent month end
      • Bank reconciliations – as at most recent financial year end
      • Bank reconciliations – as at most recent month end
      • ATO Portal – integrated client account
      • ATO repayment plan
      • Aged debtors ledger- as at most recent financial year end
      • Aged debtors ledger- as at most recent month end
      • Aged creditors ledger- as at most recent financial year end
      • Aged creditors ledger- as at most recent month end
      • Deed of guarantees or other legally enforceable instruments
      • Signed nominated accountants certificate
• ASQA Self-assessment for Registration as a Registered Training Organisation (click) including the following supporting evidence:
  • the planned course brochures that will be used for the purposes of advertising and marketing for each training product
  • the planned learner handbook that will be supplied to prospective learners prior to their enrolment to inform them about their rights and obligations
  • the planned fee schedule that will be supplied to prospective learners prior to their enrolment to inform them about fees and related charges
  • customised learner enrolment application and declaration/agreement
  • customised enrolment interview form to determine the learners training and learner support requirements
  • policy and procedure relating to:
    • marketing and advertising
    • learner enrolment
    • fees and payments and refunds
    • learner support services
    • core skills assessment
    • competency assessment
    • issuing AQF certificates
  • details of staff members or external providers who are nominated to provide support services
  • third party agreements with external support service providers (if applicable)
  • training and assessment strategies for each training product being applied for. Each training and assessment strategy must provide evidence about:
    • the training product code and title
    • describe the target cohort / learner
    • entry requirements
    • nominated units of competency
    • pre-requisites or co-requisites
    • sequence of unit delivery
    • details of the amount of training
    • statement of rationale justifying the amount of training
    • strategies to vary the amount of training for learners with different needs
    • work placement arrangements / requirements
    • planned assessment activities, methods and events
    • plan assessment resources
    • other resources required for training and assessment including learning resources, human resources and physical resources such as equipment
    • arrangements for ongoing review and continuous improvement of the training and assessment strategy
    • arrangements for work placement and structured workplace learning
  • detailed course program that identifies the planned learning and assessment activities and shows how these are sequenced and structured over the course duration
  • details of class scheduling arrangements including timetabling documents for each delivery location
  • a list of the developed learning resources that support the delivery of each unit of competency including learning references, learner guides, presentation tools, practical activity instructions, et cetera
  • details of workplace resources where these are being accessed within a workplace including all facilities and equipment relating to the range of planned work of the learner
  • details of work placement arrangements including templates to be used for determining the suitability of workplace, supervision requirements, minimum equipment and resource requirements, scope of work requirements, et cetera
  • evidence of ownership, lease or access agreement for any planned delivery sites where training and assessment will be conducted
  • contractual agreement with an employer where training and assessment is to be conducted at specific employer premises
  • evidence of Local Government approval to utilise planned delivery sites for the purposes of vocational education and training. This may come in the form of an occupation certificate or specific access and approval letter provided by Council. For a CRICOS application 9B building certification is recommended
  • Details of planned student and teacher ratios
  • floorplans of proposed delivery sites showing areas to be used for classroom training, practical application and skill development, amenities and breakout areas
  • evidence of employment agreements or contracts with all planned trainers and assessors including employees and contractors
  • evidence of industry engagement that has been undertaken to inform the relevance of the training and assessment being provided. This needs to include the details of the industry representatives that were engaged with, the lessons learned and evidence of how these lessons were taken into account in the development of the course.
  • When applying for individual units of competency, the complete assessment tools and resources for each unit of competency.
  • When appying for a qualification, a list of the complete assessment tools and resources for each unit of competency.
  • Evidence that verifies the competency and currency of nominated trainers, including a certified and scanned copy of relevant vocational qualifications and certificates, training and assessment qualification, certificates relating to recent professional development, evidence of industry currency and ongoing practice
  • example AQF certificate including both a qualification certificate and example statement of attainment
  • evidence of arrangements to collect and report AVETMISS data and quality indicator survey data

• Fit and Proper Person Requirements Declaration (click) from the following persons:
  • Executive officer/s. An executive officer is any person who takes part in the management of your organisation or is partly responsible for the management or decision making for your organisation.
    • Examples of ‘executive officers’ that must complete a Fit and proper person declaration include:
      • a director of the company
      • a secretary of the company
      • a chief executive of the RTO
      • a principal executive officer of the CRICOS provider
    • Examples of ‘executive officers’ where ASQA may request completion of a FPP declaration include:
      • a compliance manager
      • a marketing manager
      • a training manager
  • High managerial agent/s. A high managerial agent is an employee or agent who represents your organisation in relation to the business of providing courses.
    • Examples of ‘high managerial agents’ where ASQA may request completion of a FPP declaration include:
      • a consultant or employee with an ongoing role related to regulatory compliance
      • a consultant or employee who represents your organisation at audit
      • an agent who recruits students on behalf of your organisation, or
      • people employed by third-party organisations who fulfil any of the roles described above on behalf of your organisation
      • people employed by third-party organisations who provide training and/or assessment on behalf of your organisation.
  • Owners and executive officers. The term ‘owner and executive officer’ includes:
    • any person who owns 15 per cent or more of your organisation
    • any person who is entitled to receive 15 per cent or more of dividends paid by your organisation
    • any trustees of a trust associated with the organisation
    • relevant persons in associated entities.

• CRICOS Providers. The following additional evidence is required in support of an application for approval as a CRICOS provider:
  • Documented process and policy to be implemented for assessing suitability of students prior to enrolment
  • International student pre-enrolment information, such as a student handbook
  • International student fee and refund information
  • International student Letter of Offer template
  • International student orientation program
  • International student support arrangements
  • International student welfare support
  • International student critical incident procedure
  • Mechanisms for managing and monitoring course progress
  • Copies of written agreements with education agents
  • mechanisms for managing the welfare of and accommodation for students aged under 18

On the 14th Dec 2018, the National VET Regulator released the following General Direction which inform the requirement for this evidence requirement:

ASQA General Direction – Resourcing requirements—for applicants seeking initial registration or change to scope of registration

Good training,

Joe Newbery

Published: 14th January 2019

Copyright © Newbery Consulting 2018. All rights reserved.

Back to Articles