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RTO Compliance Checklist

Marketing

This chapter focuses on a student’s experience of marketing and recruitment, the first phase of their journey.
Students and employers need clear, accurate and readily accessible information to make informed choices about the training that will best meet their needs.

Some Policies/documents to check: Marketing & Advertising Policy 
Marketing checklists 
Course Information/ brochures
RTO Website 

Enrolment

This chapter focuses on the student’s enrolment experience with their registered training organisation (RTO), the second phase of the student’s journey.
Under the Standards for Registered Training Organisations 2015 (the Standards) relevant to the enrolment phase of the student journey, RTOs are responsible for:
Informing & protecting students 
protecting pre-paid fees by students
providing credit for prior studies

Some Policies/ documents to check: 
Pre-enrolment Process
Enrolment & Induction Process
Student offer letter & Agreement 
LLN Process & Polciy

Support & Progression

This chapter focuses on how registered training organisations (RTOs) support students’ progression in their learning. This is the third phase of the student journey.
Under the Standards for Registered Training Organisations 2015 (the Standards) relevant to the support and progression phase of the student journey, RTOs are responsible for:
Supporting students 
keeping students informed
managing complaints and appeals

Some Policies/ documnets to check: 
Complaints & Appeals Process 
Student Welfare Policy 
Student Handbook 
Orientation Process

Training & Assessment

This chapter focuses on the training and assessment phase of the student’s experience. High-quality training and assessment means students are well equipped for employment or further study; their qualification is seen as credible when they enter the job market; and they are judged by employers as holding the skills and competencies specified in their qualification.
In turn, high-quality training and assessment means that employers can have confidence that vocational education and training (VET) graduates in the workplace will safely and productively apply the skills described by their qualification.

Completion

This chapter focuses on the completion phase of the student’s experience with their registered training organisation (RTO); the end of their training and assessment; and the issuance of their certification. This is the fifth and final phase of the student’s journey.
The integrity of qualifications issued is critically important to students (and their employers). They need to be confident that their training and assessment has been high quality. Students want to receive their certification in a timely way to ensure they are not disadvantaged in seeking employment.
Under the Standards for Registered Training Organisations 2015 (the Standards) relevant to the completion phase of the student journey, RTOs are responsible for:

providing secure certification
participating in the student identifier scheme (USI)

Regulatory & Governance

The Standards for Registered Training Organisations 2015 (the Standards) and clauses relevant to registered training organisations’ (RTOs) regulatory compliance, reporting and governance practice underpin the good management of RTOs—and, as a result, their effective functioning and sustainability as businesses.
These Standards support RTOs to provide high-quality student experiences and learning outcomes.
Under the Standards relevant to regulatory compliance and governance, RTOs are responsible for:


ensuring authorised executive officers are in place and meet Fit and Proper Person Requirements
satisfying Financial Viability Risk Assessment Requirements
complying and reporting
recording, monitoring and reporting third-party arrangements
holding public liability insurance
meeting Data Provision Requirements
providing requested information to ASQA

Want to check your compliance status 

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ASQA User Guide

ASQA Website

Index to Standards/ Clauses as referenced 

in ASQA User Guide