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The Compliance Policy was formulated by the college as a commitment to provide high quality training and assessment to our learners in accordance with the Standards for Registered Training Organisations (RTOs). This policy has been developed in alignment with ACFPT’s values and its mission statement. This policy was developed in consultation with the Skills Service Organisations and Industry Reference Committees, and in accordance with Commonwealth and State legislation and all relevant regulatory requirements. Staff are invited to contribute suggestions and feedback to assist in shaping and reviewing this policy. The college may choose to make additional workplace instructions available to support this policy.
The purpose of the Compliance policy is to ensure:
- The standard of training and assessment practices delivered by the college meet the compliance and quality requirements of training packages and/or VET accredited courses
- The college practices meet the Standards for Registered Training Organisations (RTOs) 2015
- Compliance obligations and expected responsibilities for staff have been communicated effectively
- The integrity of the VET sector
- Compliance practices are in line with the objectives of the business outlined in the Strategic Organisational Plan
- Compliance monitoring practices are established
- Staff are aware of the emphasis the college places on meeting compliance requirements
- The college is always legally compliant with the VET Regulator
- The college conducts its operations in accordance with ASQA
- The college complies with the relevant Commonwealth, State and Territory legislation and regulatory requirements
- Staff and learners are informed of any changes to legislation and regulatory requirements relevant to the college operations
- The college provides and accurate and current information as required by the Data Provision Requirements
- Compliance breaches will be dealt with in an appropriate manner
The compliance policy provides guidelines to all individuals including but not limited to:
- Staff members
The College monitors compliance across the following areas:
- Certification, Issuing of results and Accreditation
- Fees and Funding
- Access and equality
- Applications for enrolment
- Training and Assessment
- Record keeping
- Management Systems
- Financial Management
- Fees and Funding
The college will endeavour to implement and monitor compliance practices to ensure that the standard of training and assessment practices delivered meets the compliance and quality requirements of training packages and the VET Quality Framework.
- The Standards for National VET Regulator (NVR) Registered Training Organisations
- The Fit and Proper Person Requirements
- The Financial Viability Risk Assessment Requirements
- The Data Provision Requirements, and
- The Australian Qualifications Framework
- The College’s training and assessment resources and procedures will maintain a high standard of compliance with the VET E-standards for Training at all times.
- The College will ensure quality mapping of all units on its course is undertaken when third party resources are used.
- The College will update the Training and Assessment Strategies accordingly.
- The principal is responsible for the implementation, communication of, monitoring and assessing of compliances practices and procedures in line with national VET requirements.
- The principal is responsible for notifying staff of any changes to regulatory requirements and/or legislation within a sufficient timeframe. All staff and clients are informed of changes to legislative and regulatory requirements that affect the service delivered.
- The principal is responsible for ensuring the College’s practices are in line with the Commonwealth National Vocational Education and Training Regulator Act 2011 and the Queensland Vocational Education and Training Act 2012.
- The College will maintain and supply appropriate information and be responsible for all communication to registering and governing bodies, statutory memberships and legal bodies such as ASQA and the VET Regulator.
The college cooperates with the VET Regulator to ensure it is always legally compliant by providing:
- Accurate and truthful responses to information requests from the VET Regulator relevant to the RTO’s registration
- The VET Regulator with the required conduct of audits and the monitoring of its operations
- Quality/performance indicator data
- Information about substantial changes to its operations or any event that would significantly affect the RTO’s ability to comply with these standards within 90 calendar days of the change occurring
- Information about significant changes to its ownership within 90 calendar days of the change occurring
- Records management procedures for the retention, archiving, retrieval, and transfer of records
- The regulator of any written agreement entered into under Clause 2.3 for the delivery of services on its behalf within 30 calendar days of that agreement being entered into or prior to the obligations under the agreement taking effect, whichever occurs first, and notifying the regulator within 30 calendar days of the agreement coming to an end
- An annual declaration on compliance with these standards to the VET Regulator and in particular whether it currently meets the requirements of the Standards across all its scope of registration and has met the requirements of the Standards for all AQF certification documentation it has issued in the previous 12 months
- Training and assessment strategies and practices that ensure all current and prospective learners will be trained and assessed in accordance with the requirements of the standards
The college cooperates with ASQA to ensure it is always compliant and ethical by providing:
- Accurate and truthful responses to information requests relevant to the RTO’s registration
- Accurate and truthful responses to information in the conduct of audits and the monitoring of its operations
- Quality/performance indicator data to ASQA as required
- Information about substantial changes to its operations or significant changes to its ownership or any event that would significantly affect the RTO’s ability to comply with these standards within 90 days of the change occurring
- Policies and procedures that are in line with ASQA requirements in relation to the retention, archiving, retrieval, and transfer of records
The college will also ensure that ASQA is advised of any significant changes in ownership or management or operations such as:
- Financial viability or governance and management structure
- Changes to any financial guarantor arrangements
Currently the college does not have any third-party arrangements in place for delivery of service. If the college decides to do so in future, the college will ensure compliance by providing:
- Accurate and factual responses to information requests from ASQA relevant to the delivery of services
- Accurate and factual responses to information requests from ASQA relevant to the conduct of audits and the monitoring of its operations
The college will ensure that version control is applied to all operational information and training and assessment materials that relate to its scope of registration to manage their accuracy and integrity. As all the relevant information is reviewed or updated, it will then be implemented with a new version number and a date. All revised documents that are no longer used will be stored in the archived folder. All stakeholders are advised of the revised version release by email notification. The principal is responsible for ensuring internal audits are conducted in accordance with the college’s Internal Audit Policy.