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14/08/2017
1
RTO Managers
Session 3
Webinar overview
• Third party arrangements1
• Marketing and transition planning2
• Extension to scope application process3
• Managing registration4
• Guiding staff to conduct internal reviews5
• Fee collection arrangements6
• Educational and support services7
• Key VET sector updates8
Third Party Arrangements
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Relevant Standards
Clauses 2.1 – 2.4
• Quality control of training and assessment
• Written agreement
• Resources
Clauses 8.2 – 8.3
• Written agreement
• Cooperation with the VET Regulator
• Notification within 30 calendar days or prior to the obligations taking effect
A third party is any organisation that provides
services on behalf of the RTO
Training and/or
assessment
Training and/or
assessment support services
Educational support services
Learner recruitment
activities
Features of a good third party arrangement
A common vision
Effective communication
Management commitment
Defined roles & responsibilities
Clear, achievable outcomes
Clear compliance
requirements
Revision of agreement
Division of tasks
Slide credit: Carol Hunter, 2015 Virtual VET Summit
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Key components of written agreements
•Description of collaborating organisations
•Objectives and scope
•Nature of collaboration
•Definitions and interpretations
•Terms of agreement
•Organisation and management of agreement
Slide credit: Carol Hunter, 2015 Virtual VET Summit
Key components of written agreements
• Resources and facilities
• Financial arrangements
• Quality assurance
• Communication and exchange of information
• Intellectual property
• Marketing and publicity
Slide credit: Carol Hunter, 2015 Virtual VET Summit
Key components of written agreements
• Settlement of disputes
• Review and evaluation
• Further headings
• Effective dates and signature
• Schedules
Slide credit: Carol Hunter, 2015 Virtual VET Summit
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Systematic Monitoring
RTO’s responsibility
Self-assessments
Regular meetings and communication
Independent audit
RTO audit of third party
Notifying the Regulator30 calendar days
• ASQA - asqanet
• TAC – RTO3 notification of third party agreement form
• VRQA – Form F – Notification of third party arrangements
Marketing
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Marketing Qualifications
Standard 4
• Accurate and accessible information about an RTO, its services and performance is available to inform prospective and current learners and clients.
Overall Processes
Determine what will be offered by your RTO
Apply for change to scope of registration as required
Develop marketing material with Clause 4.1 requirements in mind
Some items in Clause 5.2 may also be relevant
Use a Marketing Material Checklist to ensure compliance
Date stamp all marketing material
Ensure it goes through an approval process
Record on a Marketing Register
Marketing Audit
Check current materials for accuracy
• Check training.gov.au to make sure qualifications have not been superseded
• Identify any units or qualifications that need updating on material
• Do not advertise anything that is not on your scope of registration
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• The NRT logo only with the nationally recognised courses (if using a booklet put it on the particular page, not the front of the booklet)
• Accurate codes and titles for qualifications and units of competency along with their currency (current or superseded)
• Entry requirements and pre-requisites• Requirements and obligations of the student
• Course outcomes• Pathways• Duration of the course and timetable information • Mode of delivery and location• Competency-based assessment information• Fees involved, cooling off period and refund policy (or reference to this)• Additional requirements such as work placement or extra time for functions or
events• Third party information if applicable (ie RSA or First Aid) and the student’s rights• Reference to the Complaints and Appeals policy (where to find it)• Upon successful completion of the course students will receive a qualification and
record of results• Disclaimer that students will receive a Statement of Attainment if they do not
achieve the full qualification (must be successful in at least one unit of competency)
• Disclaimer that the information is correct at the time of publication however it is subject to change
What to include
If the qualification on offer is through a third party arrangement with another provider it must be made very clear that it is not being offered under the scope of registration of the RTO. The other provider, along with their RTO code and contact
details, must be identified.
Further information
• Users’ Guide to the Standards for RTOs 2015 – Standard 4 & Standard 5ASQA
• Fact Sheet – Marketing and advertisingASQA
• Fact Sheet - MarketingTAC
Transition Planning
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Updating Registration
Qualifications deemed as equivalent will automatically
be added to scope
Anything that is not equivalent will need to be
applied for
Check training.gov.au
General Direction – Learner Transition
Learner Transition
• Released 1 April 2015
Transition timeframes
• 12 months to transition to replacement qualifications/courses
• 2 years to complete deleted qualifications/courses
Interim 18 Month Transition
Endorsed between 1 September 2015
and 31 March 2016
List of qualifications
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General Direction – Learner Transition
Situation Time allowed
A training package, qualification or accredited course is replaced with a new version
12 months to complete or move across to the new version (or 18 months if applicable)
A training package, qualification or accredited course is deleted/expires without replacement
2 years to complete – no new enrolments can be taken from the date of deletion/expiryCertificates/SoAs must be issued within the 2 year timeframe
A skill set, short course or unit of competency is deleted/expires without replacement
12 months to complete – no new enrolments can be taken from the date of deletion/expirySoAs must be issued within the 12 month timeframe
A unit of competency is superseded or deleted, however it is listed as a core or named elective in another qualification
You must continue to deliver the unit of competency while it is named in the packaging rules until they are updated.
What do you need to do?
• Map the differences between the two qualifications
• Update enrolment forms and all documentation provided to learners
• Marketing material
• TAS documents
• Staff Profiles
• Assessment documentation & learning materials
• Validation plans
• Industry engagement
• Website information
• Apply to change scope (if needed)
• Communication strategy - advise learners (in writing) if they are to be transitioned and the implications for them
Transition Plan
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Change of Scope
Applications
Consider…
? Why do you want to add this training product to scope?
? Have you conducted market research?
? Is there demand from learners?
? Is there demand from employers?
? Have you considered timeframes?
? Have you ensured you have sufficient resources?
For all regulators
RTOs must ensure they meet the legislative and licensing requirements relevant to each training product
http://www.asqa.gov.au/vet-registration/understand-the-requirements-for-registration/other-licensing-and-registration-requirements.html
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When do you need to apply?
New training product for your RTO
Superseded but not equivalent
Self-managed delegation
• ASQAnet
– Applications
– Change Registration
Evidence to submit
Training and assessment strategy
• Client group and how training will be delivered to meet client needs
• Industry engagement
• Trainer/assessor competence and currency
• Physical resources and venues
• Learning resources and sequence of delivery
• Evidence gathering techniques
• Validation outline
• All other requirements as per the Users’ Guide
For additional TAE evidence requirements click here
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• Form E Standing Application
– Form E Guide
– Must be on scope already
• Form B
– Form B Guide
– Fees calculator (no fees for equivalent items)
– Evidence of readiness to deliver training
– Removal of training products
• Transition advice (FAQs)
• Additional Approvals
Evidence of readiness to deliver
Trainers and Assessors
Training and Assessment Strategies
Facilities consistent with training package requirements
Resources consistent with training package requirements
Fully developed assessment tools
Approval for accredited courses (if applicable)
• Equivalent training products - automatic
• Non-equivalent - RTONet or RTO2 Form
– Application Process Flowchart
– Application Guide
– Fees
– Evidence of readiness to deliver
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Evidence of readiness to deliver
Trainers and Assessors
Training and Assessment Strategies
Facilities consistent with training package requirements
Resources consistent with training package requirements
Assessment instruments for 2 industry specific units of competency (high risk if applicable)
Approval for accredited courses (if applicable)
Delivering Stand-alone Units
Units must be on scope; or
Listed as a core in packaging rules of a product
on scope; or
Listed as a named elective in packaging rules of a
product on scope.
Key Point
Have everything ready to go when
you apply!
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Managing registration
Scope of registration
• Monitoring your scope
• Addition of items
• Removal of items
• Transitionhttps://www.asqa.gov.au/news-publications/publications/general-
direction-learner-transition
• Transition items on your scope
• Equivalent items (automatic addition)
• Not-equivalent items (must apply)https://www.asqa.gov.au/vet-registration/make-changes-registration/transition-items-your-scope-registration
Standard 7
executive officer or high managerial agent meets FPPR requirements and ensures that RTO complies with the Standards for RTOs at all times
https://www.asqa.gov.au/sites/g/files/net2166/f/f/Fit_and_Proper_Person_Requirements_declaration.doc?v=1500520173
satisfies the Financial Viability Risk Assessment requirements
https://www.asqa.gov.au/vet-registration/apply-registration/demonstrate-financial-viability
The RTO has effective governance and administrative arrangements in place:
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Standard 7
complies with Fee Protection requirements , where applicable
https://www.asqa.gov.au/standards/about-standards-rtos-2015/standard-seven/clause-7.3
holds Public Liability insurance
provides accurate and current information as required by Data Provision Requirements
https://www.asqa.gov.au/vet-registration/meet-data-provision-requirements
The RTO has effective governance and administrative arrangements in place:
Standard 8
accurate and truthful responses to information requests
cooperates in the conduct of audits and other monitoring
provides quality/performance indicator data as required
The RTO cooperates with the VET Regulator and is legally compliant at all times:
Standard 8
provides information about substantial changes to RTO operation (within 90 calendar days)
ensures that third parties are aware of their obligations to cooperate with Regulator
notifies Regulator about implementation (and ending) of third party arrangements within 30 calendar days
The RTO cooperates with the VET Regulator and is legally compliant at all times:
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Standard 8
provides an annual declaration on compliance (when this comes into effect)
complies with relevant Commonwealth, State or Territory legislation and regulatory requirements relevant to its operations
ensures its staff and clients are informed of any changes to legislative or regulatory requirements
The RTO cooperates with the VET Regulator and is legally compliant at all times:
Some key components of managing registration
•Monitor scope of registration by adding and
deleting as required
•Comply with transition arrangements
•Monitor Regulator requirements
•ASQA – General directions; fact sheets; latest
news
•VRQA – Information Sheets
•TAC – Policies and Guidelines
Training Product Reviews
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As per your
annual planning
For each training product
delivered
If you offer a qualification with 2
different streams then review both
Staff involved
RTO Manager
Curriculum Leaders
Trainers
Assessors
Training Product Reviews
What do the Standards say?
Sta
ndard
2.2 • The RTO:
• systematically monitors the RTO’s training and assessment strategies and practices to ensure ongoing compliance with Standard 1; and
• systematically evaluates and uses the outcomes of the evaluations to continually improve the RTO’s training and assessment strategies and practices. Evaluation information includes but is not limited to quality/performance indicator data collected under Clause 7.5, validation outcomes, client, trainer and assessor feedback and complaints and appeals.
Systematic
• Should be planned
• Compliance Calendar
– Industry Engagement
– Validation
– Moderation
– Feedback / surveys
– Internal Reviews
– Internal Audit
– …
• Use a checklist
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What to review…
Training and Assessment Strategy
• Use a checklist
• Access training package and implementation guide
Trainers and Assessors
• Qualifications & competence
• Currency
Evidence of industry engagement and feedback
• Proformas
• Minutes of meetings, etc
What to review…
Validation schedule (and evidence of validation if applicable)
Assessment
• Instruments & Tools
• Benchmarks
• Student work
PLUS…
• Training and Assessment Strategies (TAS)
• Staff Profiles
• Assessment (including assessor guides and student work)
• Evidence of industry engagement for TAS, assessment and staff currency
• Evidence of validation for TAS, assessment, judgements and physical resources – need to analyse the outcomes and act on them
• Quality Indicator data
• Feedback from learners and trainers & assessors
• Complaints and appeals information
Standard 1
• Qualification booklets
• Website information
• Flyers
Marketing material
Transition arrangements
Internal Reviews
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Fee Collection Arrangements
What do the Standards say?
Clause 5.3
• Where the RTO collects fees from the individual learner, either directly or through a third party, the RTO provides or directs the learner to information prior to enrolment or the commencement of training and assessment, whichever comes first, specifying:
• all relevant fee information including:
• fees that must be paid to the RTO; and
• payment terms and conditions including deposits and refunds;
• the learner’s rights as a consumer, including but not limited to any statutory cooling-off period, if one applies;
• the learner’s right to obtain a refund for services not provided by the RTO in the event the:
• arrangement is terminated early; or
• the RTO fails to provide the agreed services.
What do the Standards say?
Clause 7.3
• Where the RTO requires, either directly or through a third party, a prospective or current learner to prepay fees in excess of a total of $1500 (being the threshold prepaid fee amount), the RTO must meet the requirements set out in the Requirements for Fee Protection in Schedule 6.
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What does this mean?
• $1500 limit refers to fees collected from learners only
• If collected from the employer (to train their employees) then the $1500 limit does not apply1
• May need to set payment points if the total fees are more than $1500
• Can never collect more than $1500 in advance at any time
2
• If more than $1500 is going to be collected in advance then protection measures must be put into place (Schedule 6)3
What does this mean?
• Information about fees must be provided prior to enrolment or commencement of training (whichever is earliest) - EVIDENCE4
• Information provided must include all fees such as materials supplied by the RTO, enrolment fees, administration fees, etc - EVIDENCE5
• Students must be informed about how and when fees must be paid, how to request a refund and when they would be eligible for a refund, and all VSL information - EVIDENCE
6
What does this mean?
• These rules also apply if fees are being collected by a third party – your RTO is responsible for ensuring fees are protected (regardless of when the RTO receives the payment)
7• If you collect fees online (ie shopping cart), then it
must be ensured your system does not allow learners to prepay more than the $1500 if you do not have other protection measures in place
8
• Government entities and universities collecting more than $1500 in advance must have policies and procedures in place to protect students9
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Schedule 6
Unconditional Bank Guarantee
• Calculated based on the total amount of prepaid fees in excess of $1500 per learner the RTO would hold at any time
Tuition Assurance Scheme
• ACPET (ASTAS)
• TAFE Directors Australia
Regulator Approved Alternative
• Meets the principles underpinning appropriate fee protection measures (NQC 2011)
Educational & Support Services
Where does this fit in the Standards?
• Clause 1.7
– The RTO determines the support needs of
individual learners and provides access to the educational and support services necessary for the individual learner to meet the requirements of the training product as specified in training packages or VET accredited courses.
Users' Guide to the Standards for RTOs
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Educational and Support Services
May include, but are not limited to:
• pre-enrolment materials
• study support and study skills programs
• language, literacy and numeracy (LLN) programs or referrals to these programs
• equipment, resources and/or programs to increase access for learners with disabilities and other learners in accordance with access and equity
• learning resource centres
• mediation services or referrals to these services
• flexible scheduling and delivery of training and assessment
Users' Guide to the Standards for RTOs
Educational and Support Services
Continued…
• counselling services or referrals to these services
• information and communications technology (ICT) support
• learning materials in alternative formats, for example, in large print
• learning and assessment programs contextualised to the workplace, and
• any other services that the RTO considers necessary to support learners to achieve competency. Competency means the consistent application of knowledge and skill to the standard of performance required in the workplace. It embodies the ability to transfer and apply skills and knowledge to new situations and environments.
Users' Guide to the Standards for RTOs
What do you need to do?
Identify any support individual learners need prior to their enrolment or commencement (whichever is earliest), advising of any costs that may be incurred by the student for the extra support (if any)
Provide access to that support throughout that training
Information to learners must outline any limitations to the support available through the RTO
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Specifically…
• Have a process for identifying support requirements for individual students prior to enrolment or on commencement
– Testing
– Self-assessment/identification
– Quizzes
Third Party Arrangements
• What if you need outside help to provide the support?
• Written agreement
• Does not include:
– Student counselling
– Mediation
– ICT support(see page 88 of Users’ Guide)
Users' Guide to the Standards for RTOs
Key VET sector
updates
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Key VET sector updates
ASQA Updates
Student-centred audit approach
Third Party Arrangements
Amendments to Standards and Key legislative changes
Review of legislation
ASQA Update
ASQA Update - Issue 46, July 2017
Extended transition period—HLT41412 Certificate IV in Cast
Technology
Reminder: Notifying ASQA of third-party arrangements
Annual ASQA Survey 2017
Updates to trainer and assessor credential requirements to
come into effect from April 2019
ASQA releases findings of national strategic review into course
duration
Government announces review of VET legislation
ASQA’s Student-centred audit approach
Student experience
Practices and behaviours
Systems and processes
Risk based
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Third Party Arrangements
Written agreement
Notify ASQA
30 days
Online form
Amendments to the Standards
• Standards for Registered Training Organisations (RTOs) Amendment 2017
• Strengthening trainer/assessor skills
• Implications for trainers and assessors, individuals working under supervision and persons conducting validation
Key legislative changes
By 1 April 2019 trainers/assessors:
• A diploma or higher level qualification in adult ed; OR
• TAE40116 Certificate IV in Training and Assessment; OR
• TAE40110 Certificate IV in Training and Assessment and
– one of the following: TAELLN401A/TAELLN411 Address adult language, literacy and numeracy skills AND
– One of the following: TAEASS502A/TAEASS502B/TAEASS502 Design and develop assessment tools
For further information, and updates to the RTO Standards
http://www.karenandrewsmp.com.au/Newsroom/Media/ID/975/Strengthening-trainer-and-assessor-skills
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Review of vocational education regulation
• Independent review
• Led by Professor Valerie Braithwaite
• Expert Advisory Panel
• Assess suitability of NVETR legislative
framework (NVETR Act 2011)
• Public submissions invited
• Report by end of 2017
Terms of Reference
www.education.gov.au/nvetr-act-review
What we covered…
• Third party arrangements1
• Marketing and transition planning2
• Extension to scope application process3
• Managing registration4
• Guiding staff to conduct internal reviews5
• Fee collection arrangements6
• Educational and support services7
• Key VET sector updates8
Next session…
• Human Resource Requirements1
• Physical resource requirements2
• Complaints & appeals3
• Quality indicator & continuous improvement surveys4
• Internal audit5
• Data gathering, checking, submission and certification6
• Key VET sector updates7
Released 13
November 2017
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Live Q&A session with Carol Hunter
21 August 201711.00am – 12.00pm
(AEST: QLD)
Contact us
1/52 Jeffcott Street
Wavell Heights QLD 4012
P 07 38660888
F 07 38660899
W velgtraining.com
