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Jacqui Austin President Australian Training Officers Association

Ensuring compliance with your conditions of registration by arming yourself with the best strategies. Jacqui Austin President Australian Training Officers Association. Topics to be addressed. • Maintaining compliance with the VET quality framework

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Jacqui Austin President Australian Training Officers Association

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  1. Ensuring compliance with your conditions of registration by arming yourself with the best strategies Jacqui Austin President Australian Training Officers Association

  2. Topics to be addressed • • Maintaining compliance with the VET quality framework • • Examining compliance monitoring audits: Know what to expect • • Ensuring your strategies, resources and materials are in shape for when this happens

  3. AQTF and VET Quality Framework. • All RTOs, and applicants who wish to become an RTO, are required to meet the same set of national standards for regulation. Depending on their regulator, these standards will either be the AQTF Essential Conditions and Standards for Initial / Continuing Registration or the VET Quality Framework. Whilst they are structured differently, there is no substantial difference in effect or intent between the AQTF and the VET Quality Framework.

  4. History • Australian Skills Quality Authority (ASQA) replaced State registering bodies such as VETAB • ASQA began operations on 1 July 2011 – it has a comprehensive risk management approach to audit. • VET Quality Framework is similar to the Australian Quality Training Framework (AQTF)

  5. Auditing and Compliance Compliance and audits ASQA will conduct compliance monitoring audits of RTOs. Usually, the first compliance monitoring audit is conducted about 12 months after an RTO's initial registration. In determining if and when a monitoring audit is to be conducted, ASQA considers a number of risk indicators, including: the RTO’s history of meeting its compliance requirements the length of time since its last full audit factors relating to its governance structures and delivery activity. 

  6. Maintaining compliance • A registered training organisation (RTO) must ensure it complies with the conditions of its registration throughout the period of its registration. These conditions can include those that apply to all RTOs and are described within the National Vocational Education and Training Regulator Act 2011, and those imposed by ASQA on the registration of a particular RTO. • RTOs must: • comply with the VET Quality Framework, which comprises: • the Standards for NVR Registered Training Organisations • the Australian Qualifications Framework (AQF) • the Data Provision Requirements • the  Fit and Proper Person Requirements • the  Financial Viability Risk Assessment Requirements • Notify ASQA of material changes • give ASQA information that is lawfully requested • cooperate with ASQA • comply with ASQA’s general directions • comply with any other conditions that ASQA may impose. • RTOs will be notified in writing of any conditions (or changes to conditions) imposed on their registration.

  7. Material change defined • A material change includes changes to an RTO’s or a CRICOS provider’s: • chief executive officer/principal executive officer/executive officer/high managerial agent • financial administration status • legal name or type of legal entity • ownership, directorship and/or control (including sale of RTO business). • An event that may significantly affect the RTO’s ability to comply with the VET Quality Framework would include events such as: • information arising that may impact on the ‘Fit and Proper Person’ status of an influential representative of the RTO or CRICOS provider • commencing or dissolving an arrangement with another organisation to conduct training and/or assessment on the RTO’s behalf • significant change to a fundamental funding/revenue source of the RTO (eg. Government funding contract allocation) • significant change to the RTO’s business strategy driven by a change to Government policy • commencing delivery to apprentices or trainees employed under a training contract, or • Another significant event not classified elsewhere.

  8. General directions – currently 3 (Student assessment, Quality indicators , Transition and teach out) • A general direction may be given by ASQA, as the National VET Regulator, on the way in which the VET Quality Framework and other conditions defined in the National Vocational Education and Training Regulator Act 2011 are to be complied with. • It is a condition of registration that an ASQA registered training organisation (RTO) must comply with any such general directions.

  9. Auditing and Compliance The VET Quality Framework comprises Standards for NVR Registered Training Organisations Australian Qualifications Framework Fit and Proper Person Requirements Financial Viability Risk Assessment Requirements Data Provision Requirements.

  10. Auditing and Compliance The Standards for NVR Registered Training Organisations replaced the former AQTF standards The Standards for NVR Registered Training Organisations are used by ASQA as a key instrument in protecting the interests of all students undertaking vocational education and training in Australia. The Standards for NVR Registered Training Organisations are now the standards guiding nationally consistent, high-quality training and assessment services in the vocational education and training system. (ASQA website)

  11. Standards for NVR Registered Training Organisations • The Standards relevant to registered RTOs are the Standards for Continuing Registration (SNR15-25) • Very similar to the previous AQTF standards

  12. Standards for NVR Registered Training Organisations • SNR 15 The RTO provides quality training and assessment across all of its operations • SNR 16 The RTO adheres to principles of access and equity and maximises outcomes for its clients. • SNR 17 Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the RTO operates.

  13. Standards for NVR Registered Training Organisations • SNR 18– Governance • SNR 19 – Interactions with the National VET Regulator • SNR 20 – Compliance with Legislation • SNR 21 – Insurance

  14. Standards for NVR Registered Training Organisations • SNR 22 – Financial Management • SNR 23 – Certification & Issuing of Qualifications & Statements of Attainment • SNR 24 – Accuracy and Integrity of Marketing • SNR 25 – Transition to Training Packages/Expiry of Accredited Courses

  15. On ASQA website • Comparative analysis • How the standards are numbered and ordered has changed from the AQTF. The Standards for NVR Registered Training Organisations include both initial and continuing registration requirements. • While the some of the terminology and layout is new, the actual standards remain largely unchanged from those in the AQTF. The Standards for NVR Registered Training Organisations express all requirements as standards. Unlike in the AQTF, there is no differentiation between ‘conditions' and ‘standards’. • The Initial registration comparison table compares the Standards for NVR Registered Training Organisations—Essential Standards for Initial Registration and the AQTF Essential Conditions and Standards for Initial Registration. • The Continuing registration comparison table compares the Standards for NVR Registered Training Organisations—Essential Standards for Continuing Registration and the AQTF Essential Conditions and Standards for Continuing Registration.

  16. Data Provision Requirements RTOs are also required to submit annual data on the following: Quality Indicators Data • Competency Completion – Completion data • Learner Engagement – Learner Surveys • Employer Satisfaction – Employer Survey These measures are used to assess risk by the National VET Regulator http://www.nssc.natese.gov.au/vet_standards/quality_indicators_for_rtos

  17. Key Evidence for compliance include: • Continuous Improvement • Internal Audits • Industry Consultation • Training and Assessment Strategies • Assessment Tools • Industry Current and qualified Trainers and Assessors • Compliant Student Information • Student Assessment tasks • Current training package codes

  18. http://training.gov.au/ • To look up RTOs • Training Packages and • qualifications

  19. NATIONAL SKILLS STANDARDS COUNCIL • REVIEW OF THE STANDARDS FOR THE REGULATION OF VOCATIONAL EDUCATION AND TRAINING • ANALYSIS OF SUBMISSIONS see blog for URL

  20. Review Update #3 – September 2012 • The NSSC has undertaken an analysis of the 114 submissions received to the NSSC consultation paper, which closed on Friday 13 July 2012, with a summary report of the analysis and synthesis of the submissions now publicly available. • Further, if there are any particular submissions which you wish to view in full, a list of those respondents who consented to sharing their submission is now available. To request a copy of an individual submission please contact the NSSC by email at nssc_standards_review@natese.gov.au. • The information collected from the initial consultation process will inform the next stages of the review. An overview of the anticipated steps for the review of the standards for the regulation of VET process is also available. Further information regarding consultation processes for future stages of the review will be made available on this website in due course. • Previous Review Updates • Review Update #1 - June 2012 • Review Update #2 - July 2012

  21. http://www.nssc.natese.gov.au/vet_standards

  22. Fit and Proper Person Requirements • The Fit and Proper Person Requirements are designed to ensure that key registered training organisation (RTO) personnel have the characteristics and principles necessary to ensure the delivery of high-quality services and outcomes for VET graduates. • These requirements are set to protect and inspire confidence in the VET system, and to safeguard Australia’s reputation as a premier provider of VET (both locally and internationally). • For relevant applicants and RTOs, the Fit and Proper Person Requirements replace the fit and proper person requirement in Conditions of Registration (COR) 1 in the Australian Quality Training Framework (AQTF). • The Fit and Proper Person Requirements are now a legislative instrument made by the Federal Minister for Tertiary Education, Skills, Jobs and Workplace Relations under subsection 186(1) of the National Vocational Education and Training Regulator Act 2011. • The new Fit and Proper Person Requirements apply similar tests to those found in AQTF COR 1 to determine standards of behaviour by individuals who are in a position to influence an RTO's management. • However, the Fit and Proper Person Requirements also now provide clarity on which persons should be subject to these tests. The requirements have been strengthened to allow other relevant matters to be factored into these decisions.

  23. Fit and Proper Person Requirements 2011- legislative instrument • (a) whether the person has been convicted of an offence against a law of the Commonwealth or of a State or Territory and if so, the seriousness of the offence; • (b) whether the person has ever had his, her or its registration on the National Register cancelled or suspended; • (c) whether the person has ever had a condition imposed on his, her or its registration on the National Register; • (d) whether the person has ever breached a condition of registration in Subdivision B of Division 1 of Part 2 of the Act; • (e) whether the person has ever become bankrupt, applied to take the benefit of a law for the benefit of bankrupt or insolvent debtors, compounded with his or her creditors or assigned his or her remuneration for the benefit of creditors; • (f) whether the person has ever been disqualified from managing corporations under Part 2D.6 of the Corporations Act 2001; • (g) whether the person was involved in the business of the provision of courses by another provider who is covered by any of the above paragraphs at the time of any of the events that gave rise to the relevant prosecution or other action; • (h) whether the person has ever provided a State or Territory registering body and/or the National VET Regulator with false or misleading information or made a false or misleading statement to a State or Territory registering body or the National VET Regulator, and whether the person knew that the statement made or information provided to the State or Territory registering body or VET Regulator was false or misleading; • (i) whether the person has ever been found not to be a fit and proper person for the purposes of the Education Services for Overseas Students Act 2000; • (j) whether the public is likely to have confidence in the person's suitability to be involved in an organisation that provides or assesses national qualifications; and • (k) any other relevant matter.

  24. Financial Viability Risk Assessment Requirements • The Financial Viability Risk Assessment Requirements 2011 aim to ensure that an applicant or RTO has the necessary financial resources to operate as an ongoing concern and deliver quality training and/or assessment services throughout the registration period. • The new Financial Viability Risk Assessment Requirements provide clearer guidance to relevant applicants and RTOs on the common indicators for financial risk assessment, and on the information that may be included in assessment of financial viability. • The Financial Viability Risk Assessment Requirements 2011 are now a legislative instrument, made by the Chief Commissioner, ASQA, under subsection 158(1) of the National Vocational Education and Training Regulator Act 2011. • The Fact sheet—financial viability explains the criteria ASQA uses to assess an organisation's financial viability.

  25. Intent • The National VET Regulator requires a NVR registered training organisation to demonstrate its financial viability at any point in time, upon request. • The assessment of an organisation’s financial viability risk is directed at evaluating the likelihood of its business continuity, and its capacity to achieve quality outcomes. In particular, the assessment informs a judgement about whether the organisation has the financial resources necessary to: • a) acquire the requisite assets and physical resources to deliver all qualifications on its scope of registration • b) employ sufficient appropriately qualified staff to cover the courses for which it takes enrolments • c) provide appropriate levels of student services to students • d) remain in business to ensure that each student can achieve completion • e) meet the above requirements, even in an unsure environment.

  26. Data Provision Requirements 2011 AVETMISS Compliance • The Australian Vocational Education and Training Management Information Statistical Standard (AVETMISS) for VET providers is a national data standard for VET providers that ensures the consistent and accurate capture of VET information about students, their courses, units of activity, and qualifications completed. It provides the mechanism for national reporting of the VET system. • For a copy of the AVETMIS Standard go to <http://www.ncver.edu.au> and select Statistical Standards – VET Providers. • (Note: the relevant version of the AVETMIS Standard for the purpose of this instrument is the one in place at commencement of this instrument.) • For help in applying the AVETMIS Standard, RTOs can contact the AVETMISS helpdesk: support@ncver.edu.au, Phone 1800 649 452. • DPR 4 Student records management system • 4.1 Both applicants seeking initial registration under the Act, and NVR registered training organisations, must have a student records management system that has the capacity to provide the National VET Regulator with AVETMISS compliant data.

  27. Examining compliance monitoring audits: Know what to expect • The audits are conducted at the RTO’s premises and review the RTO’s compliance with the VET Quality Framework across a sample of its scope of registration. ASQA examines the strategies, resources and materials used to deliver a sample of the qualifications or units of competency in the RTO’s scope of registration. • The auditor (or audit team, which may include industry specialists) may interview RTO personnel and/or clients to review the: • effectiveness of management systems, delivery strategies and other materials • adequacy of records retained • suitability of facilities and equipment • credentials of nominated delivery personnel. • If the RTO does not comply, it has an opportunity (within 20 working days) to provide additional or amended evidence to demonstrate its full compliance. ASQA analyses the additional evidence before it makes a decision about compliance with the VET Quality Framework.

  28. Contact details • ms.jacqui.austin@gmail.com • http://auditingcompliance.wordpress.com

  29. Questions

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