How we assess initial RTO registration applications

We apply a rigorous risk-based assessment methodology to assess initial registration applications. 

We assess initial applications to determine:

• preparedness to be fully compliant with the VET Quality Framework from the date of registration, and 
• commitment and capability to maintain compliance in a sustained way over time.

When processing initial registration applications, ASQA may assess, decide, and grant applications in the order we deem appropriate. This means that applications are not always processed in the order of receipt. 

For example, ASQA may prioritise consideration of applications which are time sensitive, address skills shortages, or will deliver in particular parts of Australia where the existing delivery of particular training products is limited. We also ensure that applications which require greater scrutiny due to potential integrity risks are considered in greater detail, which can impact on the order in which applications are considered and decided.

The assessment process

The assessment process is used to gather and assess application information and covers the three key features shown below.

Pre-assessment checks

Before your application is accepted and referred for assessment, we conduct pre-assessment checks to ensure that your application is valid and complete, with all the required information and evidence.

If your application is incomplete, we will let you know, and you will be given 5 calendar days to provide missing information or evidence. If you do not provide the requested documents within the specified timeframe your application will be invalid and will be withdrawn.

Meet your assessor

Your application will be assigned to an assessor once the assessment fee has been received in full. 

Once assigned, your assessor will contact you to explain the assessment process and book in key dates for your assessment. 

Opening meeting

The opening meeting takes place after your assessor has familiarised themselves with details in your application. 

At this stage the assessor will identify and request any additional information or evidence they require to conduct the assessment, and you will be given 5 calendar days to respond with the requested documents. 

ASQA’s management of your application reflects the guiding principle that applying for registration as an RTO is voluntary. That means the obligation is on you as the applicant to provide ASQA with accurate and complete information it needs to properly assess the application against the regulatory requirements. It also means quickly responding to ASQA’s requests about your application including all requests for further information. 

Assessment interviews and site visits

Once you provide the information and evidence requested during the opening meeting, your assessor will conduct a thorough assessment of all the evidence you have provided against the VET Quality Framework. This will be followed by interviews with you and may involve other key people involved in your organisation. 

All applicants will be interviewed. Depending on the nature of your application, you may be required to participate in more than one interview. During interviews your commitment and capability for providing quality education and training will be evaluated by our assessors to inform risk assessment of your application. 

Depending on the scope and circumstances of your application, ASQA may also undertake a site visit.

Applicant participation

Interviews and site visits may be conducted either in person, or via teleconferencing. Applicants are expected to be available and participate in all requested interviews and site visits during the assessment period. 

During interviews and site visits, assessors will ask a range of questions to:

• deepen their understanding of how your organisation intends to operate
• clarify information and evidence you have provided
• explore your organisation’s ability to be compliant with the relevant regulatory and legislative requirements. 

They may also request that you demonstrate access to locations, facilities, and equipment either in person or via video link. 

Closing meeting

Once the assessment interviews are complete and the assessor has considered all the information and evidence in your application, they will finalise the assessment outcomes and arrange a closing meeting with you. During the closing meeting you will be informed of the assessment outcomes, including any issues which were identified during the assessment process. 

If there are risks associated with your application, you may be offered an opportunity to respond prior to the closing meeting. This will require you to take action to address the risks and submit evidence of having done so within a specified timeframe. Where there are significant or complex areas of non-compliance with the Standards, opportunities to respond are unlikely to be extended.

After the closing meeting, your assessor will prepare your initial registration assessment report and make recommendations to the decision maker about whether your application should be granted.