Are you aware of ASQA’s record keeping requirements

As a registered training organisation (RTO), you are required to comply with ASQA’s record-keeping requirements. But why are these requirements so important?

ASQA’s record-keeping requirements are designed to protect the quality of vocational education and training (VET) in Australia. By complying with these requirements, you can help to:

• Demonstrate your RTO’s compliance with the Standards for Registered Training Organisations (RTOs) 2015
• Support ASQA’s risk-based approach to regulation
• Improve the quality of your RTO’s operations
• Protect the reputation of your RTO and the VET sector as a whole

In this blog, we will discuss ASQA’s record-keeping requirements in detail. We will cover the following topics:

• The data provision requirements outlined in Standard 7, Clause 7.5
• The data provision requirements outlined in Standard 8, Clauses 8.1-8.2
• How to comply with ASQA’s record-keeping requirements
• A roadmap for complying with ASQA’s record-keeping requirements in 2024

This blog is a step to help all the RTOs get ready with ASQA’s record keeping requirements and also to help the founders and CEOs who are planning to open an RTO in 2024.

But first, we will go through when ASQA requires data from an RTO.

When does ASQA ask for an RTO’s data

• When you first register with ASQA. ASQA will need to collect data about your RTO, such as your contact information, scope of registration, and trainers.
• When you renew your registration with ASQA. ASQA will need to collect updated data about your RTO, as well as data on your performance over the past registration period.
• When you change your scope of registration. If you add or remove courses from your scope of registration, you will need to provide ASQA with updated data.
• When you are undergoing a performance assessment by ASQA. ASQA may request additional data from you as part of a performance assessment.
• When ASQA is investigating a complaint about your RTO. If someone complains to ASQA about your RTO, ASQA may request data from you to investigate the complaint.
• When ASQA is conducting research on the VET sector. ASQA may request data from RTOs to support its research on the VET sector.

In addition to these specific examples, ASQA may also request data from RTOs at any time for any reason. It is important to be prepared to provide ASQA with data whenever it is requested.

What type of data ASQA may require

• Business registration information
• Proof of financial viability
• Information demonstrating that key personnel meet the Fit and Proper Person Requirements
• Information on training and assessment strategies, facilities, and other materials
• Documentation of trainers’ credentials
• Information on delivery operations, such as modes of delivery, venues, funding, student types, and activities
• Evidence of appropriate records management systems
• Public liability insurance coverage
• The names and contact information of current and former students, who may be surveyed about their satisfaction levels.

Why does ASQA require data from RTOs?

ASQA requires data from RTOs to monitor the quality of VET in Australia and to ensure that RTOs are complying with the Standards for Registered Training Organisations (RTOs) 2015. The data that ASQA collects is used to:

• Identify areas where RTOs need to improve
• Target ASQA’s regulatory activities
• Inform the development of VET policy
• Provide public information about the quality of VET in Australia

How to comply with ASQA’s data requirements

To comply with ASQA’s data requirements, you should:

• Develop a system for collecting and managing data
• Ensure that your data is accurate and up-to-date
• Respond to requests for data from ASQA in a timely manner
• Keep your data records for the period required by ASQA

Now that you know when and why you as an RTO need to do record keeping its time to learn what records to maintain. We will start from

The data provision requirements outlined in Standard 7, Clause 7.5

As a registered training organisation (RTO), you are required to comply with ASQA’s record keeping requirements. These requirements are outlined in Standard 7, Clause 7.5 of the Standards for Registered Training Organisations (RTOs) 2015.

Clause 7.5 outlines the data provision requirements for RTOs. This data is mandatorily required by ASQA at different times during the year and course of your RTO’s registration.

You must provide two types of data:

• Australian Vocational Education and Training Management Information Statistical Standard (AVETMISS) data
• Quality indicator data

AVETMISS data is a national standard that ensures that all registered training organisations (RTOs) in Australia collect and report data in a consistent and accurate way. The NCVER uses this data to track the VET sector’s performance and inform policy decisions. – Source: ASQA

Quality indicator data provides information about how RTO students and employers experience their services. This data is collected through surveys and is used by RTOs to identify areas where they can improve.

As an RTO, you are required to collect and report both AVETMISS data and quality indicator data. This data is essential for ensuring the quality of VET in Australia.

How can you be compliant

– Report your VET activity to AVETMISS. You can use data logging tools and support available on NCVER and the ASQA website.

– Submit a ‘nil activity’ report if you as an RTO did not issue any VET completion certification and there was no VET activity.

– If you deliver training that is legally not required to be AVETMISS compliant then report completion data and aggregate competency instead.

– If your RTO is funded by the state or tertiary governments then you will report through state training authority as required by the state.

For applicants of the initial RTO registration

For initial registration applicants, you will have to prove with evidence that you have an installed student management system which is capable of AVETMISS data lodging. ASQA will also need evidence of how you will report learner engagements and all quality indicator surveys.

The data provision requirements outlined in Standard 8, Clauses 8.1-8.2

Since there are two clauses that have different requirements, we have given them one below the other for your convenience.

Clause 8.1

Registered training organisations (RTOs) must cooperate with the VET Regulator in accordance with Clause 8.1 of the Standards for Registered Training Organisations (RTOs) 2015. This means that RTOs must:

• provide accurate and truthful information to ASQA when requested
• assist ASQA during performance assessments and audits
• provide quality/performance indicator data to ASQA
• notify ASQA of any substantial changes to their operations or events that could significantly affect their ability to comply with the RTO Standards within 90 calendar days of the change occurring
• notify ASQA of any significant changes to their ownership within 90 calendar days of the change occurring
• retain, archive, retrieve, and transfer records in accordance with ASQA’s requirements

Clause 8.2

As a registered training organisation (RTO), you must ensure that any third parties delivering services on your behalf are required under written agreement to cooperate with the VET Regulator. This means that they must:

• Ensure that their third-party providers keep accurate and up-to-date records of all aspects of their delivery of services.
• Provide ASQA with access to these records upon request.
• Assist ASQA during performance assessments and audits of their third-party providers.

How can you be

RTOs can comply with ASQA’s requirements for third-party providers by:

• Entering into a written agreement with their third-party providers that includes a requirement to cooperate with ASQA.
• Providing their third-party providers with information on ASQA’s requirements and how to comply with them.
• Monitoring their third-party providers’ compliance with ASQA’s requirements.

Need help with ASQA’s record-keeping requirements for your RTO?

At VET Advisory Group we offer all the assistance an RTO needs during its course of registration. We offer end-to-end solutions to RTOs that are tailored to your unique needs and demands. Contact us.

Conclusion

ASQA’s record-keeping requirements are important because they help to ensure that RTOs are complying with the RTO Standards and providing quality training to students. By keeping accurate and up-to-date records, RTOs can demonstrate to ASQA that they are meeting their obligations and that they are committed to providing quality training.

If you are an RTO, it is important to ensure that you are complying with ASQA’s record-keeping requirements. This includes keeping accurate and up-to-date records of your students, your financial transactions, and your training and assessment activities. You should also ensure that your third-party providers are complying with ASQA’s record-keeping requirements.

By complying with ASQA’s record keeping requirements, you can help to protect your students and the reputation of the VET sector.

Key takeaways

• You must keep your RTO’s tax records for at least seven years.
• You must keep your RTO’s student assessment items and records for at least five years.
• You should develop a system for storing and managing your RTO’s records in a safe and secure location.
• You should regularly review your RTO’s records to ensure that they are accurate and up to date.
• You should destroy any records that you are no longer required to keep in a secure manner.

Frequently Asked Questions

What tools are available on the NCVER website to help RTOs submit AVETMISS compliant data?

There are a number of tools available on the NCVER website to help RTOs submit AVETMISS compliant data, including:

• A free online AVETMISS data entry tool for RTOs with fewer than 100 students
• A free online AVETMISS data validation tool for RTOs to validate their data before submission

These tools can help RTOs ensure that their data is accurate, complete, and in the correct format before they submit it to ASQA.

Expert tip: It is important to note that even if you are using a data entry tool, you should still review your data carefully before submitting it to ASQA. This is because the data entry tool may not identify all errors in your data.

How long do I need to keep my tax records of my RTO?

You must keep your RTO’s tax records for at least seven years from the end of the income year to which they relate. This is because the Australian Taxation Office (ATO) has the power to audit your tax records for up to seven years.

How long do I need to keep student assessment items and records in my RTO?

You must keep your RTO’s student assessment items and records for at least five years from the date on which the student completes their course. This is because you may need to provide these records to ASQA if you are audited or if a student requests access to their records.

However, there are some exceptions to these record-keeping requirements. For example, you do not need to keep student assessment items and records for students who have completed a short course (less than 12 weeks) or for students who have withdrawn from their course.