08 _ Interaction with the VET Regulator policy and procedure

Purpose of the policy

This policy outlines appropriate cooperation and interaction with the VET Regulator, the Australian Skills Quality Authority (ASQA), in accordance with the Standards for Registered Training Organisations (RTOs), 2015.

Policy

Allara Learning is registered by the Australian Skills Quality Authority (ASQA) and therefore must comply with requirements set down by ASQA under the VET Quality Framework and the Standards for Registered Training Organisations 2025 and as such must cooperate with the VET Regulator.

Allara Learning will establish arrangements to ensure appropriate cooperation and interaction with ASQA. The General Manager is responsible to coordinate arrangements to achieve this. The primary effect of cooperating with the regulator is to keep ASQA informed of material or significant changes to Allara Learning’s operations.

Cooperating with ASQA

Providing accurate information in response to requests

The Chief Executive Officer (CEO) is required to sign declarations when submitting applications for changes to Allara Learning’s registration. As these declarations have legal relevance, Allara Learning has implemented a three-stage process for ensuring the accuracy of information submitted:

The Executive Assistant to the CEO ensures applications and documentation are completed in accordance with requirements for the applications made to be made.
The information is then reviewed by the General Manager to ensure that the necessary resources and materials are in place and to confirm that the information to be submitted is true and correct.
The CEO conducts a final review of the submission. Once satisfied that the content of the submission is true and correct, that all resources and materials are in place, and that the accuracy of information has been confirmed, the declaration is to be signed and submitted with the remainder of the submission.

Audit and monitoring of its operations

The General Manager shall act as the designated point of contact during ASQA audits and monitoring activities. They will:

coordinate the preparation for external audits; and
ensure all documentary evidence requested is provided; and
relevant staff are accessible to support the conduct of the audit; and
coordinate the response to any request for information or corrective action because of a compliance audit.

Accurate and timely reporting

In accordance with the National Vocational Education and Training Regulator (Data Provision Requirements) Instrument 2020, Allara Learning must collect, and report on, a range of accurate and complete data about your business and operations, including:

quality indicator data
total VET activity (AVETMISS) data.
Proof of legal entity
Financial viability risk assessment information (please refer to Financial Management Policy).
Business Name Registration Certificate.
Australian Company Number (ACN).
Australian Business Number (ABN).
Address and contact details.
Fit and Proper Person information.
Information to demonstrate compliance with Standards for Registered Training Organisations.
Quality Indicator data

The General Manager is responsible to maintain this information and establish mechanisms to ensure it is available for reporting to ASQA on request.

Changes to registration /contact / location details

Situations which represent a change to registration details include:

Registered training name/s.
Address and/or contact details of the RTO's head office.
Principal place of business (if different from the head office).
Contact details of General Manager or equivalent person.
Contact details of 'day-to-day' contact person.
Contact details of high-managerial agents.
Location and/or contact details of permanent delivery sites (for delivery to domestic students only).
Commencement or cessation of offshore delivery.
Commencement of delivery in other states or territories.

The General Manager is required to notify ASQA by completing a notification through asqanet. Notifications are to be made within 90 calendar days of the changes occurring.

Significant changes to its operation

Situations which represent a significant change to operations include changes to:

General manager.
High managerial agent.
Financial administration status.
Legal name or type of legal entity.
Ownership
Directorship and/or control (including sale of RTO).

The General Manager is responsible to report changes to operations to ASQA by completing the notification of material change or event through asqanet. Notifications are to be made within 90 calendar days of the changes occurring.

Outsourced arrangements (Partnership)

If Allara Learning enters an outsourced arrangement or a partnership with another entity, the CEO is required to notify ASQA by completing the notification of material change or event through asqanet.

ASQA may request further information about the arrangement, such as a copy of the agreement between the parties. This reporting requirement is only applicable where the partnership involves the use of Allara Learning’s scope of registration.

Notifications are to be made within 30 calendar days of the agreement being entered into or prior to the obligations under the agreement taking effect (whichever occurs first).

ASQA will be notified within 30 calendar days of the agreement coming to an end. Refer to Third Party Agreement Policy.

Changes to Financial Viability

Allara Learning will notify ASQA immediately if there are significant changes to its financial viability. This includes:

Net tangible assets fall below 2% of Revenue.
Working capital falls below 2.5% of Revenue.
Debt Ratio is greater than 1.00.
Profitability falls below 0%.
Change in financial guarantor arrangements.
Change in mechanisms for securing student fees paid in advance.

Documentary Evidence

In addition to the notification requirements listed above, in most circumstances supporting documentary evidence is also required. The following table provides a guide to this supporting evidence when making notification to ASQA.

Situation	Documentation required
Change to legal name	Details updated in asqanet with: An ASIC historical company extract An ASIC historical company extract for any parent company if the parent company is not a natural person. ASIC certificate of registration of trading name showing the change of ownership with the new entity name. An organisational chart that reflects the ownership structure and reporting lines of the RTO.
Change to legal trading name	Details updated in asqanet with: ASIC certificate of registration of trading name (may have been issued by a state or territory)
Change to address and/or contact details of the RTO’s head office	Details updated in asqanet
Change to principal place of business (if different from the head office)	Details updated in asqanet
Change to contact details of chief executive officer, 'day-to-day' contact person or high-managerial agents	Details updated in asqanet (assuming that the CEO is the same)
Change to location and/or contact details of permanent delivery sites (for delivery to domestic students only)	Details updated in asqanet
Change of chief executive officer	Details updated in asqanet with: Chief executive officer declaration (downloaded through asqanet) Fit and proper person requirements declaration (downloaded through asqanet)
New executive officer or high managerial agent	Details updated in asqanet with: Fit and proper person requirements declaration (downloaded through asqanet) An ASIC historical company extract An ASIC historical company extract for any parent company if the parent company is not a natural person. An organisational chart that reflects the ownership structure and reporting lines of the RTO.
Change of legal entity	Application for initial registration
Change to ownership, directorship and/or control (including sale of RTO business)	Details updated in asqanet with: An ASIC historical company extract An ASIC historical company extract for any parent company if the parent company is not a natural person. An organisational chart that reflects the ownership structure and reporting lines of the RTO. Chief executive officer declaration (downloaded through asqanet) Fit and proper person requirements declaration (downloaded through asqanet)
Commencement or cessation of offshore delivery	Details updated in asqanet. No formal evidence requirements, however ASQA will likely request additional evidence.
Change to financial administration status	Details updated in asqanet. No formal evidence requirements, however ASQA will likely request additional evidence.
Entering an outsourced arrangement (partnership)	Details updated in asqanet with a Partnership agreement / memorandum of understanding