AQTF to ASQA. What is Required to Upgrade and Comply? 8 by Carmel Thompson The Southern Cross Connection

Transcription

1 AQTF to ASQA What is Required to Upgrade and Comply? by Carmel Thompson The Southern Cross Connection 8

2 On the surface the process of transition from Australian Quality Training Framework (AQTF) Standards to ASQA s Standards for NVR Registered Training Organisations (NVR) should be relatively simple as very little has changed. However, since the implementation in NSW, Northern Territory and Australian Capital Territory on 1st July 2011 nothing could be further from the truth. Implementation problems have included long delays in processing initial and continuing registration applications, equally long delays with extensions to scope (even very low level qualifications) as well as frustration and difficulty in trying to input data into ASQAnet. RTOs have found the process frustrating and expensive from a business perspective (and I have not even looked at the higher fee structure yet!). We have been given a number of reasons why the delays were being experienced, but basically we are told they are teething problems. New staff, moving premises, unfamiliarity with client group etc. However I would just like to comment that RTOs are in the Business of Education and you cannot keep prospective students/ clients on hold indefinitely. We need a system that works and works efficiently in order to satisfy the needs of our clients. To start with, we urgently need: Fast and efficient processing of applications Review of the fee structure Documentation requirements which reduce the substantial amount of red tape and time involved in putting together the information required to accompany the submission. RTO Success Aug

3 CHANGEOVER DATES & TRANSITION ARRANGEMENTS NSW, Northern Territory & ACT: Changed over to ASQA on 1st July 2011 for RTOs, ELICOS Providers, CRICOS Providers and Course Accreditation. Tasmania: Changed over to ASQA on 15th February 2012 for RTOs, ELICOS Providers, CRICOS Providers and Course Accreditation. South Australia: Changed over to ASQA on 26th March 2012 for RTOs, ELICOS Providers, CRICOS Providers and Course Accreditation. Queensland: Changed over to ASQA on 1st July 2012 for RTOs, ELICOS Providers, CRICOS Providers and Course Accreditation. Queensland RTOs are still in shock at the speed of the transition, with less than a week s notice. There was much conjecture and uncertainty about the implementation date over the past several months, with a State election thrown in none of us knew what to expect. When we contacted DET (now DETE), we were told to stick with AQTF Standards until advised to the contrary. Notification to Queensland RTOs on the ASQA website advises that ASQA will directly contact each transitioning provider with detailed information on the transition process. I believe this has already been done and those applications that are in the process for initial and continuing registration have also been advised they will be processed through ASQA. Information Sessions on ASQA Transition Arrangements in Queensland are being held - Brisbane 27 July, Townsville 2 August and Cairns 3 August. But hurry as they are filling up fast. Victoria & Western Australia: Unlike other states, Victoria and Western Australia have not referred their powers in the regulation of VET to the Commonwealth. The legal and practical effect of this is that RTOs operating in Victoria and/or Western Australia may be subject to regulation by either their state regulator, ASQA or, in some cases, both their State regulator and ASQA. The National Vocational Education and Training Regulator Act 2011 (the Act) sets out which RTOs, including those operating in Victoria and/or Western Australia, will be subject to regulation by ASQA. WHAT HAS CHANGED FOR RTOs? INITIAL REGISTRATION: 1. Standards SNR4-14 (previously AQTF Essential Conditions and Standards for Initial Registration) Numbering and sequencing of elements have substantially changed. 2. Fit & Proper Person Statutory Declaration to be provided for the applicant s senior officers and directors of substantial shareholders who are in a position to influence the management of the applicant. 3. The applicant must provide financial projections for the first two years of operation and the outcome of a review of those projections by a qualified Accountant to Australian Auditing and Assurance Standards. 4. Applicants to undergo a Financial Viability Risk Assessment. Specific measures used to assess financial viability are Net Tangible Assets, Working Capital Ratio, Current Ratio, Debt Ratio and Profitability. So applicants should consult their accountant prior to submission of their documentation and access the Fact Sheet on Financial Viability Risk Assessment on the ASQA Website. 5. The applicant must have a student records management system that has the capacity to provide the registering body with AVETMISS compliant data. CONTINUING REGISTRATION: 1. Standards SNR15-25 (previously AQTF Essential Conditions and Standards for Continuing Registration) Numbering and sequencing of elements have substantially changed. 2. Fit & Proper PersonStatutory Declaration to be provided for the applicant s senior officers and directors of substantial shareholders who are in a position to influence the management of the applicant. 3. If requested, the applicant must be able to provide budgets and financial accounts certified by a qualified Accountant to Australian Auditing and Assurance Standards. 10

4 4. The applicant must have a student records management system that has the capacity to provide the registering body with AVETMISS compliant data. 5. Changes to guidelines regarding Retention of Student Records. Fact Sheet recently sent out to RTOs see Record Keeping Section in this article. For most RTOs the transition will also involve upgrading their internal documentation. Wherever the content of documents is aligned to AQTF Standards, you will need to realign to the ASQA Standards. This will probably involve reviewing and making changes to: Wording, numbering and cross referencing in Policies & Procedures Internal Audit Report references Code of Practice Training and Assessment Strategies. ASQAnet ASQAnet is ASQA s online registration system and is available to RTOs and applicants wishing to become RTOs to make the following applications: Application for initial RTO registration Application to renew RTO registration Application to change scope of RTO registration Application to withdraw RTO registration If using ASQANET for an application that requires a fee, applicants and RTOs will be required to pay this fee online before the application can be submitted. ASQA uses the secure Government Easy Pay service to manage payments made through ASQANET. Feedback from RTOs and ASQA Compliance Consultants generally last year found the software frustratingly difficult to use. Users reported slow system speed, difficulty in uploading requested documents, uploaded documents going missing and difficulty making changes. As a result a range of support materials have been developed to help you use ASQANet. These video tutorials will take you through the steps of registering to use ASQANet, logging in, managing your details and submitting registration applications. They have been developed in two formats: Windows Media Videos (WMV) best suited to Windows Media Player MPEG-4 Movies (MP4) best suited to QuickTime Player To support these tutorials, and assist users who are unable to use the video tutorials, a range of quick guides also provide a step-by-step introduction to using ASQANet. ASQA FEES The ASQA fees might be a shock to the system as in most cases RTOs advise fees are substantially higher. Check on the ASQA Website, as the fees depend on the size of your RTO and number of qualifications offered. Please note ASQA fees are not subject to GST. ASQA WEBSITE ( Personally I found the ASQA website quite good to navigate. All the information is there and not too difficult now to find. ASQAnet may need some refinement but the video tutorials are a help. Let s wait and see. Once the system overcomes its teething problems, it will hopefully become more user friendly and responsive. But no Search Button I had problems finding some of the Fact Sheets but I used Google and it took me straight to them. RECORD KEEPING ASQA has new requirements with regard to providers retention of records. RETAINING STUDENT ASSESSMENT ITEMS: ASQA has made a new general direction regarding providers requirements to retain completed student assessment items. This general direction provides guidance to ASQA providers about retaining evidence that demonstrates the validity of their judgement of students competence. ASQA will seek evidence consistent with the general direction at audit. The changes are: 1. Security: RTOs are required to retain records in a manner that safeguards them against unauthorised RTO Success Aug

5 access, fire, flood, termites or any other pests, and which ensures that copies of records can be produced if the originals are destroyed or inaccessible. 2.Retention Period: RTOs are required to securely retain and be able to produce in full at audit if requested to do so, all completed student assessment items for a student for: a) The duration of the RTO s assessment appeal period, OR b) A period of six months from the date on which the judgement of competence for the student was made OR c) The duration of the student s enrolment which ever is the longer period. OTHER RECORD-KEEPING REQUIREMENTS: Other record-keeping requirements may apply if an RTO participates in some training and assessment activities, eg training & assessment conducted under a government-funded agreement or contract. RTOs must then consider the record-keeping requirements of that agreement or contract. Qualifications, courses or units of competency that lead to regulated/licensed outcomes may also impose specific records retention requirements. RTOs should refer to specific regulatory requirements relating to that delivery area to ensure compliance. REVIEW OF THE STANDARDS FOR THE REGULATION OF VET Well if you think you have got your head around what you have to do to transition to ASQA, then don t go planning any weekends off!! It has been recently announced that the National Skills Standards Council (NSSC) will be undertaking a review of the standards for the regulation of Vocational Education and Training (VET) focusing on issues of quality. Let s hope they take a bit of time to complete their review, as I don t know about you, but I am working full time on getting my compliance system straight with what has happened over the last few months. TIP FOR MONTH ON HOW TO KEEP YOUR HEAD ABOVE WATER Take a week off (I am not suggesting a holiday!) Stay out of the office and away from your mobile. Transition your AQTF Standards over to your ASQA Compliance System but make sure you have a compliance system that works for your business. OR: You may choose to purchase a licence to a Quality Management System designed for ASQA compliance and there are many of them. If you do make sure: The system is easy to use, flexible and able to be customised to reflect the size and scope of your organisation and adapt as it changes over time. Policies and procedures are cross-referenced to both ASQA and AQTF Standards to aid transition. Simple interface assists implementation and ongoing maintenance of the RTO s Quality System. There are Tools and information to simplify navigation, document control and customisation. There are Tools to simplify ongoing maintenance of registers. It allows quick and easy access to forms and templates Sample Forms, Registers and other useful documents are provided. Please visit our website com to view information about the Southern Cross Connection s ASQA Compliance Manager system. In conclusion, the transition from AQTF to ASQA will not be a big deal if you set everything up now AND NOT 1 WEEK BEFORE YOUR NEXT AUDIT!! There are not many substantive changes in the Standards, but the administrative documentation of your system may need considerable redevelopment. Don t put it off get help if you need to don t fall behind. We know we can always count on government bureaucracy to keep us busy and tied to the desk, so don t go dusting off those old golf clubs from the back of the store room just yet. Maybe sometime in the near future we will be able to get back to our core business of training! 12