Interaction with the National 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, in accordance with the Standards for Registered Training Organisations (RTOs), 2015.

Definitions

Allara – Allara Investments Pty Ltd, trading as Allara learning and is inclusive of; Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG) and W G learning Pty Ltd, RTO Provider No: 91178 (WGL).

TTG - Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG)

WGL– W G learning Pty Ltd, RTO Provider No: 91178 (WGL)

Scope - means Scope of registration and consists of; the list of training package qualifications, units of competency or state accredited courses which a training organisation is registered to provide the services offered: either training and assessment, or assessment only.

ASQA - means, The Australian Skills Quality Authority is the National VET Regulator the body established by the National Vocational Education and Training Regulator Act 2011.

Training product - means, a course, AQF qualification, skill set currently or unit of competency previously endorsed by the Industry and Skills Council or its delegate in accordance with the Standards for Training Packages.

Scope

The policy applies to all Allara Learning’s (Allara’s) operations inclusive of Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG) and W G learning Pty Ltd, RTO Provider No: 91178 (WGL). It applies to all stakeholders and staff involved in the governance of the RTO operations.

Policy

Allara is registered by the Australian Skills Quality Authority (ASQA) and therefore must comply with requirements set down by ASQA under the VET Quality Framework. As per Standard 8 of the Standards for Registered Training Organisations (RTOs) 2015, Allara must cooperate with the VET Regulator and must be legally compliant at all times.

Allara will establish arrangements to ensure appropriate cooperation and interaction with ASQA. The Quality Assurance 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’s operations.

Cooperating with ASQA

Providing accurate information in response to ASQA requests

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

The Quality Assurance Consultant ensures that Allara is fully compliant with the requirements for the applications made. This includes ensuring that the necessary resources and materials are in place or that information to be submitted is true and correct.
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 Chief Executive Officer conducts a final review of the submission as a third quality assurance measure. 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.

Audits and the monitoring of its operations

The Quality Assurance Consultant shall act as the designated point of contact during ASQA audits and monitoring activities. The Quality Assurance Consultant is to coordinate the preparation for external audits and ensure all documentary evidence and access to staff is provided to support the conduct of the audit.

The Quality Assurance Consultant shall also coordinate the response to any request for information or corrective action because of a compliance audit.

Accurate and timely data

The Data Provision Requirements released by ASQA are a separate legislative instrument that outline Allara’s responsibilities to report the following data:

Australian Vocational Education and Training Management Information Statistical Standard (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 (please refer to the Continuous Improvement Policy).

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 Quality Assurance Consultant is required to notify ASQA by applying for a change of registration 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 Quality Assurance Consultant 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 enters an outsourced arrangement or a partnership with another entity, the Chief Executive Officer 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’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 should also be notified within 30 calendar days of the agreement coming to an end. Refer to Third Party Agreement Policy.

Changes to Financial Viability

Allara 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