Skip to main content
  • RTO Standards Guide
  • Accredited Course Standards Guide
  • asqanet
  • asqaconnect
Australian Government Australian Skills Quality Authority

Main navigation

  • RTOs
    Close
    RTOs
    • What is an RTO?
    • How to become an RTO
      • Prepare your initial RTO registration application
      • Submit your initial RTO registration application
      • How we assess initial RTO registration applications
      • Initial RTO registration decisions
    • Renew RTO registration
      • How to renew your registration
      • How we assess your registration renewal
      • Late registration renewal application
    • Change RTO scope
      • Change RTO scope | Add training products
      • Change RTO scope | TAE Training Package evidence
      • Change RTO scope | Application process
      • Change RTO scope | Remove training products
      • When training products change
    • Withdraw registration
    • Requirements and responsibilities
      • Complying with legislation
      • Complying with ASQA requirements
      • Qualifications and statements of attainment
      • Data collection and provision
      • Other licensing and registration requirements
    • Change RTO details
      • Change business address
      • Change key staff or their contact details
      • Change legal or business name
      • Change scope of registration
      • Change to financial status
      • Change to legal entity type, ownership, and mergers
      • Keep delivery locations updated
    • Focus on compliance - Spotlight On
      • Series 1 | Trainers and assessors
      • Series 2 | Assessment Validation
      • Series 3 | Assessment
      • Series 4 | Student support
      • Series 5 | Marketing and advertising
    • Users’ guide to the Standards for RTOs 2015
      • Introduction to the RTO standards users' guide
      • Chapter 1—Marketing and recruitment
      • Chapter 2—Enrolment
      • Chapter 3—Support and progression
      • Chapter 4—Training and assessment
      • Chapter 5—Completion
      • Chapter 6—Regulatory compliance and governance practice
      • Appendix 1—Index to Standards/clauses as referenced in the users’ guide
      • Self-assessment tool
    • ASQA delegations
    • More support
  • ESOS providers
    Close
    ESOS providers
    • What is an ESOS provider?
    • How to become an ESOS or ELICOS provider
      • Prepare your initial ESOS or ELICOS application
      • Submit your ESOS or ELICOS application
      • How we assess initial ESOS and ELICOS registration applications
      • Initial ESOS and ELICOS registration decision
    • ESOS requirements
      • Education agents
      • Learner Transitions
      • Legislative obligations
      • Maintaining your registration
      • Obligations when facilitating student transfers
      • Overseas student attendance
      • Provider default obligations
      • Quality Indicators
      • Reporting obligations summary
      • Resourcing requirements—for applicants seeking initial registration or change to scope of registration
      • Retention requirements for completed student assessment items
      • Third party arrangements for training and/or assessment of VET courses
      • Written agreements with overseas students
    • English-language courses (ELICOS)
    • Change ESOS registration
      • Change ESOS registration | Application process
      • Change ESOS registration | Documentation requirements
      • Change ESOS registration | Fees
    • Renew registration
    • Change CRICOS details
    • How we process applications
    • Withdraw registration
    • More support
  • Course accreditation
    Close
    Course accreditation
    • What is an accredited course?
    • Apply for course accreditation
      • Step 1—VET course concept
      • Step 2—Course development
      • Step 3—Course submission
      • Step 4—Application assessment
      • Step 5—Decision
      • Users’ guide to developing a course document
    • Manage a course
      • Amend a course
      • Cancel a course
      • Extend a course
    • Renew a course
      • Step 1—Intention to renew
      • Step 2—Course redevelopment
      • Step 3—Submit course renewal
      • Step 4—Application assessment (renewal)
      • Step 5—Decision (renewal)
    • Course owner responsibilities
    • Users’ guide to the Standards for VET Accredited Courses
      • Foreword
      • About the Standards
      • About this guide
      • National course document template
      • Standards
      • Accredited courses guide appendices
    • More support—Course accreditation
  • Students
    Close
    Students
    • How ASQA can help students
    • Choosing a course and provider
      • Credit transfer and recognition of prior learning (RPL)
    • Provider closures
    • Student records
      • Closed RTOs that may have provided student records
      • I am unable to find my student records or provider
      • Student record verification for third parties
      • Construction Induction (White) card
    • More support
      • Courses and providers
  • Guidance & resources
    Close
    Guidance & resources
    • Focus on compliance - Spotlight On
      • Series 1 | Trainers and assessors
      • Series 2 | Assessment Validation
      • Series 3 | Assessment
      • Series 4 | Student support
      • Series 5 | Marketing and advertising
    • Online learning
      • Planning online learning
      • Marketing and enrolment for online learning
      • Online student support
      • Online training and assessment
    • Resources
      • Users' guide to Standards for RTOs 2015
      • Users’ guide to Standards for VET Accredited Courses
      • Users’ guide to developing a course document
      • Fact sheets
      • FAQs
      • Forms
      • Guidance for Providers
      • Guides and tools
      • Presentations
      • Publications
      • Videos and webinars
      • Podcasts - ASQAcast
    • Third-party agreements
      • Third-party written agreements
      • Third-party agreements for VET in schools
    • ESOS requirements
      • Quality of training experience
      • ESOS Return to Compliance for face to face training
    • Annual Declaration on Compliance
    • Practical training and assessment
    • Determining appropriate training & course duration
      • Volume of learning
      • Amount of training
    • Managing natural disaster and pandemics
  • How we regulate
    Close
    How we regulate
    • Our approach
    • Risk-based regulation
    • Self-assurance
      • Self-assurance through the Standards
    • Risk priorities
      • Non-genuine providers and bad-faith operators
      • International delivery
      • Academic cheating
      • Recognition of prior learning
      • Shortened course duration
      • Student work placement
      • Online delivery
      • Setting our risk priorities
      • Previous risk priority and strategy documents
    • Strategic reviews
      • Past strategic reviews
    • Our regulatory practice
      • Record of decisions prior to 1st March 2021
    • How we engage and educate
      • Provider Roundtable
      • Stakeholder Liaison Group
      • Consultation
    • Performance assessment (audit)
      • How to prepare for a performance assessment
      • During your performance assessment
      • After your performance assessment: If you’re compliant
      • After your performance assessment: If you’re non-compliant
    • Provider profiles
    • Revised Standards for RTOs
      • Draft Regulatory Guidelines
      • Opportunities to engage
      • Preparing for the revised Standards
  • About us
    Close
    About us
    • ASQA overview
      • Our role
      • Our values
      • Key legislation
      • Our leadership and organisation
      • National Vocational Education and Training Regulator Advisory Council
      • Working together for better regulation
      • Work with us
    • VET sector overview
      • National register of VET
      • Training packages
    • Fees and charges
      • Current ASQA fees and charges
      • Annual registration charge
      • Transition arrangements
      • Cost Recovery Implementation Statement (CRIS)
      • How we consult on fees and charges
      • ELICOS fee relief
    • Reporting and accountability
      • Regulation reporting
      • Annual reports
      • Corporate Plan
      • Gifts and benefits register
      • Consultation
      • Service Charter and service standards
      • Surveys
      • Corporate publications
      • Privacy policy
      • APS employee census results
      • Financial reporting
      • Freedom of information
      • Vulnerability Disclosure Statement
      • Harradine report
      • Information publication scheme
      • Child Safety Policy
      • ASQA Emissions Reduction Plan
    • Contact us
      • Media enquiries
      • Request for ASQA engagement
    • News and events
    • Complaints
      • Complaints about training providers
      • Complaints about ASQA
    • Report a Tip-off
    • Using this website
      • Accessibility
      • Disclaimer
      • Site map
      • Copyright
Media name
Approach to Compliance Regulatory Practice Guide
File
Approach to Compliance Regulatory Practice Guide.pdf
Australian Government Australian Skills Quality Authority
Logo Working Together

Footer

  • RTOs
  • Guidance & Resources
  • How we regulate
  • About Us
  • CRICOS
  • RTO standards
  • Our regulatory practice
  • Contact us
  • Students
  • Course accreditation
  • Privacy
  • Using this website

Subscribe to our newsletter

  • Twitter
  • LinkedIn
  • YouTube
Logo Working Together
Aboriginal flag Flag TI

The Australian Skills Quality Authority acknowledges the traditional owners and custodians of country throughout Australia and acknowledges their continuing connection to land, sea and community. We pay our respects to the people, the cultures and the elders past, present and emerging.