Accountability Requirements

Requirement

14. The RTO must submit an annual declaration on compliance with the VET Quality Framework to the VET Regulator within the relevant reporting period.

Guidance

Requirement 14 of the Revised Standards for RTOs requires RTOs to provide TAC with an annual declaration on compliance.

The declaration is in relation to whether the RTO:

1. currently meets the requirements of the Standards across all its scope of registration and if not, action taken or planned to address the non-compliance; and
2. has met the requirements of the Standards for all Australian Qualifications Framework (AQF) certification documentation issued in the last financial year.

By submitting the annual declaration, the RTO's Legally Responsible Person is confirming that:

• the RTO systematically monitors and evaluates training and assessment strategies and practices; and
• uses the outcomes of monitoring and evaluation to inform improvements in business and educational practice.

Systematic evaluation should be based on evidence from a range of sources, including outcomes of validation, complaints and appeal processes, feedback from learners, clients, trainers and assessors and quality/performance indicator data collected under the Data Provision Requirements.

The annual declaration covers the RTO's entire scope of operations, including all services provided on its behalf by other organisations under third party arrangements, and for all locations where the RTO operates in Western Australia, Victoria or overseas.

Completing the Declaration

The Annual Declaration on Compliance for RTOs registered with TAC is due by 30 September for the previous financial year.

RTOs that do not submit an annual declaration by the due date may be deemed to be non-compliant with the Standards .

Additional Resources:

Website: RTO Reporting Requirements 

Related Standards

• Standard 4.1 - leadership and accountability
• Standard 4.4 - Continuous improvement

Requirements

15. The RTO must notify the VET Regulator in writing, and as soon as practicable but no later than 10 business days after the RTO becomes aware of the matter, if:

    1. there is a substantial change to its operations or any event that would significantly affect the RTO’s ability to comply with these standards, or
    2. there is a change to the name or contact details of a person who exercises a degree of control or influence over the management or direction of the RTO, or
    3. there are, or are likely to be, other material changes to the operations of the RTO, including changes of ownership.

    The RTO must provide such information as the VET Regulator requests in relation to these matters.

Related Standards

• Standard 4.1 - leadership and accountability
• Standard 4.4 - Continuous improvement

Requirements

16. The RTO must ensure that where services are provided on its behalf by a third party, the provision of those services is subject to a written agreement which includes:
    1. the names of the parties
    2. the start and end date of the agreement
    3. the obligations of the parties
    4. the quality assurance and monitoring mechanisms
    5. a requirement that the third party cooperate with the VET Regulator:
       1. in the conduct of audits and the monitoring of its operations
       2. by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services
    6. conditions and restrictions relating to the use of logos, including the Nationally Recognised Training logo and the RTO’s branding in the delivery of services and advertising and the issuing of AQF certification documentation.
17. The RTO must notify the VET Regulator:
    1. of any written agreement entered into under clause 15 within 30 calendar days of that agreement being entered into or prior to the obligations under the agreement taking effect, whichever occurs first; and
    2. within 30 calendar days of the agreement coming to an end.

Related Standards

• Standard 1.8 - facilities, resources and equipment
• Standard 2.1 - information provided to learners
• Standard 2.8 - feedback, complaints and appeals
• Standard 4.1 - leadership and accountability
• Standard 4.2 - leadership and accountability
• Standard 4.4 - continuous improvement

Requirements

18. Where fees are prepaid, there are systems in place to ensure refund of these fees if the RTO is unable to deliver the agreed training and assessment.
19. Where the RTO requires, either directly or through a third party, a prospective or current VET student to prepay fees in excess of a total of $1,500 (being the threshold prepaid fee amount), the RTO must meet the following fee protection requirements:
    1. If the RTO is a Government Entity or an Australian University and is unable to provide services for which the VET student has prepaid, the RTO must have a policy outlining how the VET student will:
       1. be placed into an equivalent course such that the new location is suitable to the VET student; and the VET student receives the full services for which they have prepaid at no additional cost to the VET student, or
       2. be paid a refund of any prepaid fees for services yet to be delivered above the threshold prepaid fee amount.
    2. All other RTOs must implement one or more of the following arrangements:
       1. The RTO holds an unconditional financial guarantee from a bank operating in Australia where:
          1. the guarantee is for an amount no less than the total amount of prepaid fees held by the RTO in excess of the threshold prepaid fee amount for each VET student for services to be provided by the RTO to those VET students; and
          2. all establishment and ongoing maintenance costs for the bank guarantee are met by the RTO.
       2. The RTO holds current membership of a Tuition Assurance Scheme approved by its VET Regulator which, if the RTO is unable to provide services for which the VET student has prepaid, must ensure:
          1. the VET student will be placed into an equivalent course such that the new location is geographically close to where the VET student had been enrolled and the VET student receives the full services for which they have prepaid at no additional cost to the VET student; or
          2. if an equivalent course cannot be found, the VET student is paid a refund of any prepaid fees for services yet to be delivered above the threshold prepaid fee amount.
       3.  Any other fee protection measure approved for the RTO by the VET Regulator.

Related Standards

• Standard 2.1 - information provided to learners
• Standard 4.1 - leadership and accountability
• Standard 4.3 - risk management
• Standard 4.4 - continuous improvement

Requirement

20. The RTO must hold public liability insurance that covers the scope of its operations throughout its registration period. 

Related Standards

• Standard 4.1 - leadership and accountability
• Standard 4.3 - risk management
• Standard 4.4 - continuous improvement

Requirement

21. The RTO must comply with Commonwealth, State and Territory legislation and regulatory requirements relevant to its operations.

Related Standards

• Standard 4.1 - leadership and accountability
• Standard 4.3 - risk management
• Standard 4.4 - continuous improvement