Self-assurance systems and processes in your RTO should ensure that you are meeting your compliance obligations with the SRTOs 2015 and provide quality outcomes for students and industry. The systems and processes you implement in your RTO depend on the size and scale of your operations. 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 practical advice suggests ways to implement self-assure within your RTO.
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Annual declaration of compliance:
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.
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.
Reviewing your courses:
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.
RTO 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:
RTOs need the right expertise to quality assure their operations whether you have dedicated compliance staff in-house or you outsource compliance experts like EDministrate it is essential that your RTO has this capability. 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.
Other feature articles:
5 keys for running an effective internal audit programme in your RTO
Cheat sheet for validating assessments prior to use
The do’s and don’ts of creating an internal audit programme for your RTO
Preparing your ASQA CEO annual declaration response
References:
https://www.asqa.gov.au/working-together/consultation-self-assurance