ASQA Annual Declaration on Compliance Leave a comment

The CEOs of RTOs across Australia are lining up to make another declaration, and it’s time for the annual declaration on compliance.

As an RTO’s CEO, are you confident that your RTO meets all the current compliance requirements with the ASQA Standards? Or are you seeking help?

All Australian RTOs must submit an annual declaration on compliance with the RTO Standards applicable to the organization before 31st March 2021.

What is an annual declaration on compliance?

An annual declaration is an online form that needs to be duly filled by all Australian RTOs. It is a mandatory process, and to complete it, an RTO must assess its compliance with the Standards, and it takes a little longer if an RTO is not regularly undertaking self-assessments. Otherwise, an annual declaration takes about 15-30 minutes to complete.

The annual declaration online form will be available until 31st March 2021 at midnight only.

An annual declaration is an essential tool for the training provider and ASQA as well.

  • It is an opportunity for the training provider to undertake a self-assessment processes and ensure that whatever information ASQA has about your operations is true to the core.
  • For ASQA, the annual declaration helps identifying issues that are emerging in the VET sector.

The Annual Declaration on Compliance is a statement by an RTO about whether they comply with the Standards for Registered Training Organisations (RTOs) 2015 and if it complies with the Standards of all certifications issued in the last 12 months.

When an RTO submits this annual declaration, it must also report ASQA that:

  • Records held by ASQA of your RTO operations are correct.
  • You systematically and periodically monitor your compliance with the Standards.
  • Informs ASQA of whether any issues identified have been corrected.
  • That you have taken all the corrective actions where ever required.

The CEO or the person who is legally responsible for the RTO registration must complete the annual declaration.

If an RTO fails to submit this annual declaration, it is considered a breach of registration conditions.

The declaration requires the CEO or person who is legally responsible for the RTO to testify that:

  • The information provided to is accurate.
  • In case the information provided is not correct, ASQA must be notified about the necessary changes.
  • All the owners and all the high-level managerial agents meet the ‘Fit & Proper Person Requirements’.

The CEO must ensure that the RTO complies with all national Standards  and the measures they are taking to rectify in case of non-compliance and deficiencies specifically in the following area:

  1. Training and Assessment Strategies
  2. Industry consultation
  3. Trainers and assessors
  4. Pre-enrolment information
  5. Validation schedule
  6. Training and Assessment materials
  7. Language, literacy and numeracy and support requirements
  8. Transition planning
  9. RTO, Forms and Manuals, Policies and Procedures, Records management system and Practices.
  10. AVETMISS compliant database
  11. Statement of attainment, compliant testamurs, and record of results
  12. Reports and collection of Quality Indicators and Total VET activity data

As the CEO of an RTO, you must complete the declaration and sign it (as per the Statutory Declarations Act 1959) that you :

“Accept responsibility for ensuring the organisation complies with the VET Quality Framework and all other applicable conditions of registration and ensure your organisation cooperates with ASQA in all audit and monitoring activities.”

How to prepare to complete the annual declaration on compliance

Before you attempt to complete the annual declaration on compliance, you must assess your RTO’s compliance with the registration Standards and conditions.

You may use the ASQA self assessment tool to conduct an internal audit. This tool will assist you to check that your RTO is meeting all the clauses of SRTOs 2015 and records any non-compliance.

Please refer the following link to access ASQA’s self assessment tool:

You may use any other internal audit tool as well.

At VET Resources, we understand that you, as a CEO, have many responsibilities. Let us take the stress away and assist you with identifying the main areas of compliance, questions about  the RTO’s procedures, and identifying any non-compliances.

Topics of questioning would include, but will not be limited to the following areas:

  • Internal audit findings
  • Training and Assessment Strategies and practices
  • Third-Party monitoring
  • Complaints and Appeals
  • Issuance of qualifications
  • Training product reviews
  • Validation
  • Records management
  • Continuous improvement

What happens if non-compliances have been identified?

Step 1: Identify the areas of non-compliance – often if you find one clause non compliant then it will affect other clauses as well.

For example: If your Training and assessment strategy has some issues, it may affect clause 1.1 to 1.4 and 2.2 and other clauses.

Step 2: Conduct a meeting with the team

In this step, you need to discuss the non compliance areas and identify changes required in the systems and processes. This meeting will assist you to get clarity on actions required for rectification.

Step 3: Prepare a project plan for rectification

In this step, the project manager is to create a project plan including action areas, staff required, timeframe and priority.

This is an important document that will assist you with clarification to ASQA for identifying non-compliance and it will provide you with information to complete the CEO declaration accurately.

Step 4: Brief relevant staff for the work required and allocate clear roles and responsabilities

Step 5: Take action according to the plan

Step 6: Monitor the progress

If you feel overwhelmed and need additional support then please contact our VET Resources expert by visiting the website

Suggested Read: Understanding ASQA Performance Assessment: What You Need to Know

The information presented on the VET Resources blog is for general guidance only. While we strive for accuracy, we cannot guarantee the completeness or timeliness of the information. VET Resources is not responsible for any errors or omissions, or for the results obtained from the use of this information. Always consult a professional for advice tailored to your circumstances.

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