Application to renew RTO registration

Application to renew RTO registration
Table of Contents
Introduction...................................................................................................................................................................... 3
ASQAnet ......................................................................................................................................................................... 3
Before applying to renew registration ............................................................................................................................. 4
Application to renew RTO registration ............................................................................................................................ 5
Section 1
Section 2
Applicant details .................................................................................................................................... 5
1.1
Registration numbers .................................................................. Error! Bookmark not defined.
1.2
Australian Business Number (ABN) ............................................................................................ 5
1.3
Name of legal entity applying for registration .............................................................................. 5
1.4
Australian Company Number (ACN) ........................................................................................... 5
1.5
Type of legal entity ...................................................................................................................... 6
1.6
Registered business (trading) name(s) ....................................................................................... 7
1.7
Address of head office of entity applying to renew registration .................................................. 7
1.8
Principal place of business of entity applying to renew registration (if different from head office)7
Ownership, management structure and control of the organisation ............................................... 7
2.1
Details of natural persons who own/are the legal entity applying to renew registration ............. 7
2.2
Details of other entities (not natural persons) that own the legal entity applying to renew
registration ................................................................................................................................... 8
2.3
Other existing business registrations ......................................................................................... 8
Section 3
Applicant history .................................................................................................................................... 9
Section 4
RTO details, scope and operating context .......................................................................................... 9
4.1
Type of training organisation ....................................................................................................... 9
4.2
Chief executive .......................................................................................................................... 10
4.3
Contact for general enquiries .................................................................................................... 10
4.4
Registration contact person ...................................................................................................... 11
4.5
Proposed regular delivery site/s (within and outside Australia, where different to principal place
of business ................................................................................................................................ 11
4.6
Proposed scope of registration ................................................................................................. 11
Guide - Application to renew RTO registration, January 2015
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4.7
Current and proposed operating context .................................................................................. 11
4.8
Current and recent activity ........................................................................................................ 12
Section 5
Statutory declaration by chief executive ........................................................................................... 12
Section 6
Application fee and submission ......................................................................................................... 14
Guide - Application to renew RTO registration, January 2015
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Introduction
This guide has been developed to help registered training organisations (RTOs) apply to the Australian Skills Quality
Authority (ASQA) to renew their registration.
There are a number of documents that need to be attached to your application. This symbol
has been used
throughout the guide to indicate that an attachment is required.
This guide should be read in conjunction with:

the Standards for NVR Registered Training Organisations (RTOs) 2015

the registration and audit information provided on ASQA’s website.
When completing your application, you will also need to refer to:

the national register—training.gov.au

the AQF

National Centre for Vocational Education Research
If you have questions about your Application to renew RTO registration, contact ASQA on 1300 701 801 or at
[email protected]
ASQAnet
Applications to renew RTO registration should be lodged using ASQA’s online application and registration
management system, ASQAnet.
ASQAnet can be accessed at:

rms.asqa.gov.au
If you want to submit an application without using ASQAnet, you may contact the ASQA Info line to request an
application form. In accordance with the ASQA schedule of fees 2014 and the ASQA Instrument Fixing Fees No.1 of
2013 if you do not submit this application in ASQAnet, you will be charged a data entry fee of $500. Payment of
application fees by BPAY and electronic funds transfer (EFT) is only available to applicants using ASQAnet.
Guide - Application to renew RTO registration, January 2015
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Before applying to renew registration
All registered training organisations (RTOs) seeking to renew registration must submit a renewal application at least
90 days prior to the registration expiry date. This is a requirement of the National Vocational Education and Training
Regulator Act 2011 (the Act). There are implications for failing to submit an application by this date, including the
expiry of your registration.
ASQA sends a reminder letter via email to all RTOs six months before their registration expires. However, maintaining
current registration, including submitting a renewal application, remains the sole responsibility of the RTO. A reminder
letter is a courtesy and failure to receive this reminder letter does not remove the responsibility from the RTO.
Once ASQA has received a complete renewal application form, for which all applicable fees have been paid, the
organisation remains registered (ie beyond the expiry date) until ASQA decides the application.
In order to maintain registration, RTOs must comply with the VET Quality Framework on an ongoing basis and
operate in accordance with the relevant provisions of the Act. Therefore, RTOs must continuously update their
knowledge of the national VET system which includes training packages, the Australian Qualifications Framework
(AQF) and the Standards for Registered Training Organisations (RTOs) 2015. They must also be able to demonstrate
they are delivering quality training and assessment outcomes and continuously improving their training and
assessment outcomes in order to meet the needs of industry and learners.
Applicants with a principal place of business in Victoria or Western Australia can only apply for registration with ASQA
if they conduct delivery outside of these states (including online) or to overseas students visiting Australia on a student
visa.
Guide - Application to renew RTO registration, January 2015
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Application to renew RTO registration
Unless otherwise indicated, you must provide a response to each question and to each part of each
question.
Section 1
Applicant details
This section requests the details of your RTO, including the type of legal entity, type of training provider and the
relevant addresses.
1.1
Australian Business Number (ABN)
An Australian Business Number (ABN) is a unique identifier issued by the Australian Business Register. It is an eleven
digit number that, in the case of a company, includes the company’s ACN.
In the case of a trust, the ABN of the registered trustee organisation must be included here, not the ABN of the trust.
1.2
Name of legal entity applying for registration
This is the name of the entity that appears on all official documents or legal papers and may be different from the
trading name.
It is the name of the individual person or organisation which is legally permitted to enter into a contract and assumes
legal responsibility for any failure to meet its contractual obligations.
In the case of a trust, the legal name for the registered trustee organisation must be included here and not the name
of the trust.
1.3
Australian Company Number (ACN)
An Australian Company Number (ACN) is a unique nine-digit identifier issued by the Australian Securities and
Investments Commission (ASIC) to every company registered under the Corporations Act 2001 (Cwlth).
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1.4
Type of legal entity
The following table describes different types of legal entities, along with the evidence that must be submitted with this
application to establish identity.
Type of legal entity

Evidence that must be attached to this
application

Copy of driver’s licence

Copy of Certificate of Incorporation issued by
ASIC, and

ASIC Historical Company Extract which includes
details of the company as at the time of lodging
this application. This extract can be ordered
through the ASIC website

Copy of Certificate of Incorporation issued by
ASIC, and

ASIC Historical Company Extract which includes
details of the company as at the time of lodging
this application. This extract can be ordered
through the ASIC website
Incorporated association (incorporated under the relevant
state/territory associations incorporations Act and has
“Inc.” in the name)

Copy of Certificate of Incorporation issued by the
relevant state/territory department
Partnership

Copy of driver’s licence for each partner

An extract from the trust deed document that
provides sufficient information to verify the trustee
and the trust

Copy of Certificate of Registration issued by the
relevant state/territory department
Natural person (sole trader)
Pty Ltd company (a proprietary company limited by
shares incorporated under the Corporations Act
2001(Cwlth), regulated by the Australian Securities and
Investments Commission (ASIC) and has “Pty Ltd” in the
name)
Ltd company (a public company incorporated under the
Corporations Act 2001(Cwlth), regulated by the Australian
Securities and Investments Commission (ASIC) and has
“Limited” or “Ltd” in the name)
Trustee
Please note: Registration will not be considered for a Trust, which
is not a legal entity. Registration can only be granted for a named
trustee as the legal entity. For example, Bob’s Training Pty Ltd as
trustee for the Bob Jones’ Family Trust may be registered.
Cooperative association
Guide - Application to renew RTO registration, January 2015
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1.5
Registered business (trading) name(s)
This is the name under which an entity trades, for example, ABC Pty Ltd trading as ‘RTO Training’. An entity may
have more than one registered business/trading name. List all of the registered business/trading names under which
you intend to perform RTO functions.

1.6
For each business/trading name listed, attach a copy or extract of the record of registration of a business name
issued by ASIC, which provides current and correct business name details.
Address of head office of entity applying to renew registration
The head office details you provide must include Australian address details. These will be included on the national
register, training.gov.au.
1.7
Principal place of business of entity applying to renew registration (if different from
head office)
This must be the address from which your RTO’s business is controlled and managed. This address must be a street
address and not a post office box.
Section 2
Ownership, management structure and control of the organisation
This section requires the identification of:

the owners (natural persons and other entities) of the organisation applying for registration

key individuals and entities that will exercise a degree of control or influence over the management or
direction of the organisation.
The details provided in this section may be used by ASQA to assess the transparency of ownership and management
structures of the organisation.
2.1
Details of natural persons who own/are the legal entity applying to renew registration
This section requires the identification of the person who owns or people who own (either in full or in part) the
organisation seeking to renew registration.
The details of every owner, along with their contact details and a description of the role they undertake in relation to
the RTO, must be included here.
The definitions from the Act given to each of these titles, as they relate to an RTO, are provided below.
Executive officer—
(a) a person, by whatever name called and whether or not a director of the organisation, who is concerned in, or
takes part in, the management of the organisation; or
Guide - Application to renew RTO registration, January 2015
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(b) if the organisation is a body corporate:
(i)
a person who, at any time during a period for which the organisation is registered, owns 15 per cent or
more of the organisation; or
(ii)
a person who, at any time during a period for which the organisation is registered, is entitled to receive
15 per cent or more of dividends paid by the organisation; or
(c) an administrator, receiver and manager, or liquidator of the organisation (other than a receiver and manager,
or liquidator, appointed by a court); or
(d) if the organisation is a body corporate—the administrator of a deed of company arrangement executed by an
organisation; or
(e) if the organisation is a body corporate—a trustee or other person administering a compromise or arrangement
made between the organisation and another person or other persons.
High managerial agent—an employee or agent of the organisation with duties of such responsibility that his or her
conduct may fairly be assumed to represent the organisation in relation to the business of providing courses (‘course’
means a course of vocational education and training).
A person or entity which exercises a degree of control or influence over the management or direction of the RTO
includes those who make, or participate in making, decisions that affect the business of the applicant, or who have the
capacity to affect significantly the future operations and financial standing.
For companies, the details of all directors and shareholders must align to records held by the Australian Securities and
Investments Commission (ASIC).
A Fit and Proper Person Requirements declaration must be completed by each executive officer and high
managerial agent and attached.

2.2
Details of other entities (not natural persons) that own the legal entity applying to
renew registration
This section requires you to identify all entity other than natural persons that own (either in full or in part) the
organisation seeking to renew registration. Include the details of every owner that is not a natural person, along with
its percentage share.
Refer to the table in Section 1.5 of this guide and attach the type of evidence that correlates to the entity type
that is an owner of the organisation seeking registration.

2.3
Other existing business registrations
This section requires you to identify if your entity is also registered under Commonwealth or state/territory legislation,
for example as–

A higher education provider
Guide - Application to renew RTO registration, January 2015
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


A CRICOS registered provider
Approved to offer VET Fee Help
A registered school under state or territory legislation
Section 3
Applicant history
Complete this section in full, even if details have not changed since your previous registration application.
This section requires information on whether an owner, executive officer, high managerial agent or person who will
exercise a degree of control or influence over the management or direction of the organisation (or associate of any of
these entities) has:

a current association with any other RTO, or organisation that has applied for registration, with ASQA or a
state registereding body, or

a past association with any other current or former RTO.
Section 4
RTO details, scope and operating context
This section relates to the intended operations of the organisation, including the type of training organisation, relevant
personnel, location of delivery (including outside of Australia), training products sought, and operating context.
ASQA will consider the information provided in this section will be considered when assessing the application and may
also be used in the risk assessment of the organisation.
4.1
Type of training organisation
Use the following AVETMISS-based definitions to select the type of training organisation that best suits your
organisation (select one type only).

School—a school is established or recognised under an Act of Parliament for the purpose of providing
courses of instruction in preschool, primary or secondary education. This includes government, Catholic and
independent schools and Australian Technical Colleges.

Private provider—an education/training business which is a privately operated registered training
organisation.

Professional association—may exist for every industry to provide professional and career development
activities and for establishing and/or monitoring industry standards and professional codes of practice (for
example, Institute of Chartered Accountants, industry unions).

Industry association—a national industry association that represents the interests of its members (for
example: Internet Industry Association, industry unions etc).

Equipment and/or product manufacturer or supplier—provides certification and training for employees and
non-employees (for example, CISCO, Microsoft).
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
Technical and further education institute, skills institute or polytechnic—an institute created by an Act of
Parliament and that has responsibilities specified in that and other legislation. These institutes are public
bodies, in receipt of government funding.

Community-based adult education—a not-for-profit, community-based organisation with a primary focus on
adult education.

University—all Australian universities are established or recognised under state or territory legislation except
the Australian National University, which is constituted under an Act of the Federal Parliament. Includes NonGovernment Catholic and Non-Government Independent Universities.

Enterprise—an enterprise or the training function or department of an enterprise that is registered to provide
nationally recognised training. Training is delivered to its employees, cadets or volunteers only. This includes:
4.2
o
Enterprise—government (for example, Department of Defence).
o
Enterprise—non-government (for example, Woolworths, Qantas).
Chief executive
This is the most senior executive of the RTO. This is the person legally responsible for the organisation as an RTO
and its compliance with the VET Quality Framework and the National Vocational Education and Training Regulator Act
2011.
This is the person responsible for ensuring that the organisation cooperates with ASQA:

by providing accurate and truthful responses to information requests from ASQA relevant to its operations,

in the conduct of audits and the monitoring of its operations,

by providing quality/performance indicator data,

by providing information about significant changes to its operations or any event that would significantly affect
its ability to comply with the standards,

by providing information about significant changes to its ownership,

in the retention, archiving, retrieval and transfer of records,

by providing statements of the organisation’s financial viability when requested,

by notifying ASQA of any written agreements it enters into for the delivery of services on its behalf by other
organisations, and

by providing an annual declaration on its compliance with the standards.
The name and contact details of this person will be included on the national register, training.gov.au.
4.3
Contact for general enquiries
This is a person or group (e.g. reception/enquiries) who can be contacted by prospective students or other interested
parties enquiring into the services provided by the RTO.
The contact details provided will be included on the national register, training.gov.au.
Guide - Application to renew RTO registration, January 2015
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4.4
Registration contact person
This is the person whom ASQA will contact if any information is required about the RTO’s registration.
4.5
Proposed regular delivery site/s (within and outside Australia), where different to
principal place of business)
Provide the details of each delivery site (and of a contact person for each site) from which the RTO will provide regular
training and assessment services. Include locations within and outside Australia.
4.6
Proposed scope of registration
‘Scope of registration’ means the recognised training products that an organisation is registered to provide. It allows
an RTO to provide:

training delivery and assessment services, and to issue the relevant VET qualifications or VET statements of
attainment, or

assessment services only, and issue VET qualifications or VET statements of attainment.
Your existing scope of registration details will automatically be included as part of your renewal application.
You cannot apply to add any qualifications, courses or units of competency to your existing scope of registration as
part of this application to renew registration.
If you wish to add qualifications, courses or units of competency to your scope of registration, please submit an
‘Application to change RTO scope of registration’.
Complete this table if you want to remove qualifications, accredited courses, units of competency or skill sets from the
RTO’s current scope of registration. (Accurate and full codes and titles must be used; refer to the national register for
codes and titles.)
A renewal of registration is an opportune time to review your current scope of registration and consider what products
are needed/required on scope to meet its business and training and assessment goals. Refining scope to include
essential products will also limit the ongoing costs as the RTO must have the required resources in place for each
product within scope. Availability and suitability of resources may be examined as part of a site visit prior to the
application to renew being approved and will be examined as part of monitoring audits undertaken on the RTO
throughout the period of registration.
4.7
Accredited courses
This section requires you to produce evidence of current permission to renew your registration for any accredited
course that your organisation is not the copyright owner of.
4.8
Current and proposed operating context
Guide - Application to renew RTO registration, January 2015
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This section relates to current operations, and intended operations if the organisation’s application to renew
registration is granted. It gathers information such as the intention of the RTO to engage other organisations to
perform services on its behalf, to deliver to overseas students studying in Australia and about modes of delivery.
4.9
Current and recent activity
This section requires information about the RTO’s current and recent training and/or assessment delivery activities.
Both questions must be answered.

If there are students currently enrolled with the RTO, and/or students have completed training and/or
assessment with the RTO within the last 12 months, a Delivery Activity Data Summary must be completed and
attached.
Section 5
Statutory declaration by chief executive
This statutory declaration must be completed by the chief executive of the organisation applying to renew registration.
If the legal entity applying is a person, that person must complete the declaration. Among other things, the chief
executive must declare that, if registered, they accept responsibility for ensuring compliance with the VET Quality
Framework.
The CEO Statutory Declaration includes a statement that declares that the organisation will acquire public liability
insurance if its application for registration is approved and will hold insurance throughout the registration period.
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Checklist for submitting your Application to renew RTO registration
To avoid any delay in the processing of your application, please ensure that your application is complete and correct.
Check that all of the required documents have been attached. Applications which are not accompanied by the
required attachments and fees will be considered incomplete and formally rejected by ASQA. Note that ASQA does
not place incomplete applications on hold for applicants.
Section 1
Applicant details
1.1 – 1.7
Full and accurate responses have been provided to all questions
1.5
Evidence of the type of legal entity is attached
1.6
A copy or extract of a record of registration of a business name, as issued by the relevant
authority for each business/trading name, has been attached
Section 2
Ownership, management structure and control of the organisation
2.1 – 2.3
Full and accurate responses have been provided to all questions
2.1
A Fit and Proper Person Requirements declaration has been completed by each executive
officer and high managerial agent and attached
2.2
A certificate of incorporation and historical company extract has been attached for each
shareholder that is a Pty Ltd or Ltd company
Section 3
Applicant history
3.1 – 3.2
Full and accurate responses have been provided to all questions
Section 4
RTO details, scope and operating context
4.1 – 4.6
Full and accurate responses have been provided to all questions
4.7
If qualifications, accredited courses, units of competency or modules are being removed,
full and correct codes and titles have been used
4.8
Responses have been provided to all questions
4.9
Responses have been provided to both questions and a Delivery Activity Data Summary is
attached
Section 5
Statutory declaration by chief executive
Tick
The statutory declaration has been signed by the chief executive and witnessed by an
authorised person
General
A cheque in the amount of the prescribed application fee is included or the Credit card
information section of this form has been completed.
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Section 6
Application fee and submission
Applications for renewal of registration must be accompanied by a non-refundable prescribed application fee, details
of which are contained within the ASQA schedule of fees.
If the application fee is not paid at the same time as lodging the application, the application will be deemed incomplete
and your application will be rejected.
Applications to renew RTO registration should be lodged using ASQA’s online application and registration
management system, ASQAnet.
ASQAnet can be accessed at:

rms.asqa.gov.au
If you want to submit an application without using ASQAnet, you may contact the ASQA Info line to request an
application form. In accordance with the ASQA schedule of fees 2014 and the ASQA Instrument Fixing Fees No.1 of
2013 if you do not submit this application in ASQAnet, you will be charged a data entry fee of $500. Payment of
application fees by BPAY and electronic funds transfer (EFT) is only available to applicants using ASQAnet.
Postal applications
Fill out the Credit card information section at the end of the application form if you wish to pay your fee by credit
card.
If you do not wish to pay by credit card, include a cheque (personal, business or bank) for the prescribed application
fee, payable to the Australian Skills Quality Authority, with your application.
Send your application and any attachments required to:
Registration
Australian Skills Quality Authority
GPO Box 9928
Melbourne VIC 3001
Email applications
Email your application, including the relevant attachments, to [email protected] Fill out the Credit card
information section of the application form if you wish to pay your fee by credit card.
If not paying by credit card, you must post a personal, business or bank cheque for the prescribed application fee,
payable to the Australian Skills Quality Authority to:
Registration
Australian Skills Quality Authority
GPO Box 9928
Melbourne VIC 3001
Please ensure the name on your application and your contact details are included with your cheque.
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