Business system

CONDITIONS OF REGISTRATION RISK CHECK

The Conditions of Registration are part of the AQTF standards. They are embedded through the RTO Quality
Framework™. There is a risk that one or more conditions might not be receiving appropriate attention, so this check
should be carried out once a year to ensure that all Conditions are being met.

One person does not have to do every check. This document can be filled out electronically. The completed document
is to be filed with Quality documents: completed.

Risk Treatment Date checked

1. Governance
The RTO’s chief executive must ensure that the RTO Ensure Managing body
complies with the AQTF 2007 Essential Standards for has used Agenda
Registration, and with any other national guidelines template twice in past
approved by the National Quality Council. This applies to all year
of the operations in its scope of registration as listed on the
National Training Information Service.

2. Interactions with the registering body

The RTO’s chief executive must ensure that the RTO Managing body may
cooperates with its registering body: not be involved in Ensure Chair of Managing
RTO compliance body signed off on last
• in the conduct of audits and the monitoring of its Strategic plan and Annual
operations Performance summary
• by providing accurate and timely data relevant to
measures of its performance
• by providing information about significant changes to its
operations
• in the retention, archiving, retrieval and transfer of
records consistent with its registering body’s requirements.

3. Compliance with legislation

The RTO must comply with relevant Commonwealth, State New legislation Check procedures for
or Territory legislation and regulatory requirements that relevant to training identifying new
are relevant to its operations and its scope of registration. industry and/or legislation and notifying
It must ensure that its staff and clients are fully informed scope is not staff as set out in
of these requirements where they affect their duties or incorporated into Business system are
participation in vocational education and training. procedures being followed

4. Insurance
The RTO must hold insurance for public liability throughout Insurance may be in Check currency of
its registration period. place initially but insurance and see a copy
lapse in following is with Quality documents
years

5. Financial management
The RTO must protect fees paid in advance and have a fair RTO accounts are Check RTO accounts are
and reasonable refund policy. The RTO must have its absorbed into separate line items
accounts certified by a qualified accountant to Australian General accounts
Accounting Standards, at least annually, and provide the
certificate of accounts to its registering body on request. If Processes for Check refund policy is
the registering body reasonably deems it necessary, the refunds not being being followed
RTO’s chief executive must provide a full audit report of its followed
financial accounts from a qualified and independent
accountant. Accounts not Check last year’s
certified annually accounts were certified

6. Certification and issuing of qualifications and

Statements of Attainment
The RTO must issue to people it has assessed as Parchments may Check parchment
competent in accordance with the requirements of the have been compliant format/contents were
Training Package or accredited course, a qualification or originally but included in last Records
statement of attainment (as appropriate) that: reprints have system monitoring
altered them
• meets the Australian Qualifications Framework (AQF)
requirements
• identifies the RTO by its national provider number from
the National Training Information Service
• includes the Nationally Recognised Training (NRT) logo in
accordance with the current conditions of use. Certification register Check Certification

RTO Quality Framework™ – Conditions of Registration risk check

Version 1: 2008. Page 1 of 2
 not being register was included in
The RTO must retain learners’ records of attainment of maintained last Records system
units of competence and qualifications for a period of 30 monitoring
years.

7. Recognition of qualifications issued by other RTOs

The RTO must recognise the AQF qualifications and Credit transfer Check Credit transfer
statements of attainment issued by any other RTO. processes not being processes were included
followed in last Client services
system monitoring

8. Accuracy and integrity of marketing

The RTO must ensure that its marketing and advertising of Marketing Check marketing
AQF qualifications to prospective clients is ethical, accurate department is processes were included
and consistent with its scope of registration. The NRT logo unaware of AQTF in last Client engagement
must be employed only in accordance with its conditions of requirements about system monitoring
use. consistency with
scope and use of
logo

9. Transition to Training Packages / expiry of

accredited courses
The RTO must manage the transition from superseded Qualifications may Check Training Packages
Training Packages within 12 months of their publication on fall off scope with were included in last
the National Training Information Service and also manage changes to Training Training system
the transition from superseded accredited courses so that Packages monitoring
it delivers only currently endorsed Training Packages or
currently accredited courses. May be delivering
superseded
qualifications

General comments, if any

RTO Representative’s signature………………………………………………… Date…………………

[This person has responsibility for seeing that recommendations are carried out and significant improvements are
noted in the Improvements register]

RTO Quality Framework™ – Conditions of Registration risk check

Version 1: 2008. Page 2 of 2