RTO Delegations Guidelines

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1 RTO Delegations Guidelines

2 ISBN Victorian Qualifications Authority 2004 Published by the Victorian Qualifications Authority This publication is copyright. Apart from any use permitted under the Copyright Act 1968, no part may be reproduced without written authority of the Victorian Qualifications Authority. Printed by McLaren Press Address inquiries to: 41a St Andrews Place East Melbourne Vic 3002 Phone: (03) Fax: (03)

3 Contents Introduction 1 Part 1 Overview of the VQA RTO delegations program 2 What is a delegation? 2 Types of delegations 2 What will delegations mean for RTOs? 3 Legal and policy framework for RTO delegations 3 Terms and conditions of RTO delegations 4 Fees and charges 4 Delegates obligations: compliance with NTQC policy on RTO delegations 5 under the AQTF Confidentiality 5 Part 2 Selection of delegates 6 Overview 6 Eligibility 6 Selection criteria 7 Selection process 7 VQA Board endorsement of the application 7 Appeals and grievance mechanisms 7 Part 3 The delegation agreement 8 Annual assessment of delegates 8 Annual external audit 9 Suspension and withdrawal of delegation 9 Renewal of delegation 9 Part 4 How to apply for RTO delegations 10 Section 1 Eligibility, applicant information (all applicants) 10 Section 2 Quality standards (all applicants) 11 Section 3 Accreditation delegation (accreditation applicants only) 14 Section 4 Extension to scope delegation (extension to scope applicants only) 15 Part 5 Application form 17 Form A Details of the RTO 17 Appendix NTQC Policy on Delegations under the Australian Quality Training Framework 21

4 List of acronyms and abbreviations ANTA AQTF NTIS NTQC OTTE RTO VCAL VCE VET VQA Australian National Training Authority Australian Quality Training Framework National Training Information Service National Training Quality Council Office of Training and Tertiary Education Registered Training Organisation Victorian Certificate of Applied Learning Victorian Certificate of Education vocational education and training Victorian Qualifications Authority

5 Introduction The Victorian vocational education and training (VET) system is a competitive and diverse network of public and private providers dedicated to delivering training and education and responding to new and emerging needs identified by employers, industry and the Victorian community. VET providers need to be innovative and respond quickly to these needs and yet still maintain the quality delivered by the regulation of courses (accreditation) and providers (registration). The Victorian Qualifications Authority (VQA) now has the power to delegate some of its powers and functions to high-quality providers. The delegated powers will assist approved Registered Training Organisations (RTOs) to develop new vocational education and training products more quickly to meet the current skill needs of individuals and businesses, meet new and emerging skill needs and improve learning pathways. The delegated powers will enable approved RTOs to self-accredit courses that they have developed and intend to deliver, and to amend their own scope of registration to add additional qualifications to meet the changing needs of the market. As RTOs with these delegations will exercise some of the powers of the VQA in relation to their own activities, it is important that only high-quality providers are selected. Once powers are delegated from the VQA to approved RTOs, quality assurance arrangements are required so that delegated accreditation and extension to scope decisions meet the national standards that apply to course accrediting and registering bodies such as the VQA. These standards are outlined in the NTQC Policy on RTO Delegations under the Australian Quality Training Framework (see the Appendix). This publication is designed to assist high-quality RTOs in Victoria that have the capability to meet the required standards, to apply for delegated powers from the VQA. It covers eligibility requirements, the selection process, the powers and responsibilities of delegates and the quality assurance arrangements for the delegations. It contains advice for RTOs wishing to make an application and describes the process involved. This advice should be read in conjunction with: information about the VQA accreditation process on the VQA website <http://www.vqa.vic.gov.au>; AQTF Standards for State and Territory Registering/Course Accrediting Bodies 2001 (AQTF State and Territory Standards); and AQTF Standards for Registered Training Organisations (AQTF RTO Standards). For more information contact the RTO Delegations Coordinator, VQA, via at vic.gov.au or consult the VQA website. An online version of these guidelines is available on the VQA website <http://www.vqa.vic.gov.au/vqa/accreditation>. RTO Delegations Guidelines [ 1 ]

6 Part 1 Overview of the VQA RTO delegations program What is a delegation? Certain powers that are exercised by the VQA can be delegated to RTOs. RTOs with these delegated powers (delegates) can then independently exercise all the powers specified in the delegation. The VQA is able to delegate powers to approved RTOs to self-accredit courses they develop and to self-manage their extension to scope activities. The delegation occurs through a legal document (a delegation agreement) that is endorsed by the VQA Board and the delegate. This legal document will specify the powers to be delegated and the terms and conditions imposed on the exercise of these delegated powers. Delegates will be regularly assessed and audited to ensure they exercise these powers in line with the VQA requirements and the relevant national quality standards. Types of delegations The VQA Board has the authority to delegate the power to: self-accredit courses which the RTO provides, or intends to provide; and/or self-manage the extension to scope process in order to be able to deliver and award qualifications in addition to those the RTO is currently registered to deliver. RTOs may apply for both the accreditation delegation and the extension to scope delegation. This delegation is referred to as a twin delegation. Accreditation delegation The accreditation delegation is designed for RTOs wishing to self-accredit courses they currently provide, or courses they intend to provide in the future. Extension to scope delegation The extension to scope delegation is designed for RTOs wishing to extend the scope of their existing registration by adding additional accredited courses and recognised qualifications to their scope of registration. [ 2 ] RTO Delegations Guidelines

7 What will delegations mean for RTOs? Delegates will be able to accredit courses they have developed and intend to deliver RTOs with the accreditation delegation will assess a course against AQTF State and Territory Standards 27 and 28 in order to determine whether the course should be accredited. Delegates will then advise the VQA to place the course on the State Register. Courses can be accredited for up to five years in line with VQA policy. No external assessment or determination by the VQA is required. Once a course is on the State Register it is deemed to be an accredited course and delegates will be notified in writing when this occurs. The VQA will also update the National Training Information Service website (NTIS). Delegates will be able to extend the scope of their registration RTOs with the extension to scope delegation may undertake a self-assessment to determine their compliance with the AQTF RTO Standards for delivery of qualifications that they wish to add to their current scope of registration. Delegates will then advise the VQA to amend their scope of registration on the State Register and the NTIS website. Once this has occurred, delegates can legally deliver and award the relevant qualifications. Legal and policy frameworks for RTO delegations The VQA must consider the requirements of the Victorian Qualifications Authority Act 2000 when delegating powers to RTOs. The Act specifies what the VQA should consider when selecting and approving delegates and requires that the VQA monitor the performance of its delegates to ensure that they maintain high-quality standards. The National Training Quality Council has endorsed the NTQC Policy on Delegations under the Australian Quality Training Framework, which is a national policy outlining the way in which State and Territory registering/course accrediting bodies are able to delegate their accreditation and registration powers to RTOs. The policy will ensure a nationally consistent approach to delegation to approved RTOs. The VQA and its delegates must comply with this policy. The policy is located at <http://www.anta.gov.au/images/publications/aqtfpolicy.pdf> and is included in these guidelines as the Appendix. The policy specifies the national standards that apply to RTOs when they exercise delegated VQA powers. These national standards are those that apply to State and Territory registering/ course accrediting bodies. They can be found on the Australian National Training Authority (ANTA) website. RTO Delegations Guidelines [ 3 ]

8 Terms and conditions of RTO delegations A delegation to an RTO may last up to five years. The period of the delegation will be specified in the written delegation agreement. Delegates must re-apply for renewal of their delegation. The VQA will conduct an assessment of the performance of delegates prior to the renewal of any delegation. The VQA Board may impose terms and conditions on a delegation. The VQA will undertake an annual assessment and an external audit of a delegate during the term of the delegation. Delegates may not further delegate the delegated functions. Delegates may arrange for contract staff to deliver their delegated functions, as long as the RTO delegate is responsible for the operation of these contracted functions at all times. However, delegates cannot further delegate these powers to other education and training organisations. Delegates registered only for skill recognition and assessment services cannot extend their scope to include delivery of accredited courses. Delegates endorsed by the VQA Board will be identified on the VQA website. As delegations are intended to assist the Victorian VET sector to meet the needs of Victorian industry and employers and the Victorian community, they do not include: the VQA power to endorse registration of courses on the Commonwealth Register of Institutions and Courses for Overseas Students for delivery to overseas students. RTOs must apply to the Office of Training and Tertiary Education (OTTE) to register courses or gain endorsement for delivery to students from overseas the VQA power to extend the scope of registration for RTOs to include senior secondary accredited courses and recognised qualifications such as the Victorian Certificate of Education (VCE) or the Victorian Certificate of Applied Learning (VCAL). Delegates must apply to the VQA to deliver these courses the VQA power to accredit senior secondary courses or to recognise senior secondary qualifications accreditation of higher education courses and registration to provide higher education courses and qualifications. RTOs must apply to OTTE to accredit and deliver these courses. Fees and charges Fees and charges apply to all delegates. The fee schedule is set annually and is available on the VQA website. The application fee is not refundable. The fee is charged to cover the administrative costs of the VQA in processing applications. [ 4 ] RTO Delegations Guidelines

9 Delegates obligations: compliance with NTQC policy on RTO delegations under the AQTF The delegation will be in writing and specify in detail the reporting and quality assurance arrangements required to ensure that delegates are using their delegated powers in line with VQA processes, the terms and conditions imposed in the delegation and the national standards outlined in the NTQC Policy on Delegations under the Australian Quality Training Framework (see the Appendix). Under this policy the VQA is required to assess the performance of delegates every year. Further details about the VQA quality assurance processes for delegates are provided in Part 3 of these guidelines. Confidentiality The VQA will comply with legislation governing the collection, storage, use, disclosure and disposal of personal and health information. All information submitted to the VQA in relation to an application for RTO delegation will be treated as confidential, consistent with Standard 5 (Confidentiality) of the AQTF State and Territory Standards. RTO Delegations Guidelines [ 5 ]

10 Part 2 Selection of delegates Overview The VQA Act and the NTQC Policy on Delegations under the Australian Quality Training Framework provide the framework for the selection of applicants for the RTO delegations in Victoria. In selecting RTOs to be its delegates, the VQA has to assess whether the RTO has the systems (people, resources and processes) in place to meet the AQTF State and Territory Standards that apply to the VQA in relation to accrediting courses and approving extensions to scope of registration. The selection process comprises the following key steps: written submission to the VQA (see Part 5); VQA assessment of the RTO application against the selection criteria (see Part 2); notification to other State and Territory bodies of an intention to approve a delegation to an RTO; and VQA Board endorsement of the proposed delegation. Eligibility Training organisations that are registered in Victoria are eligible to apply for either or both types of delegation. RTOs must demonstrate that they have been recently audited against the AQTF RTO Standards in order to be eligible. RTOs must provide a full audit report indicating compliance with each of the relevant standards. The audit can be: an OTTE compliance audit, provided that it was conducted no more than 12 months before the date of application; or an RTO-commissioned compliance audit by an OTTE-approved auditor, conducted no more than three months before the date of application (the report from this audit should be signed and dated by the auditor); or certification by OTTE that the RTO is compliant with the AQTF RTO Standards. [ 6 ] RTO Delegations Guidelines

11 Selection criteria All applicants must demonstrate that they: meet the eligibility requirements (see page 6); can comply with the NTQC Policy on RTO Delegations under the Australian Quality Training Framework (see the Appendix); and have implementation and risk management plans for the delegated functions. Applicants for the accreditation delegation must also demonstrate: a satisfactory track record of RTO-managed accreditations; and the capacity to comply with an accreditation procedure modelled on the VQA accreditation processes specified on the website <http://www.vqa.vic.gov.au/vqa/accreditation/default.asp>. There are no additional requirements for the extension to scope delegation. Selection process Applicants must provide a written submission to the VQA that meets the requirements outlined in these guidelines (refer to Part 4 for details of how to provide the required information). A VQA selection panel for RTO delegations will assess the written submissions. The selection panel may invite applicants to a panel to discuss the application further. The panel may also undertake a site visit to applicants in relation to extension to scope applications. The selection panel will make a recommendation to the VQA Board after informing other States and Territories of the proposal to delegate to an applicant. Applicants should be aware that information provided in applications may be made available to VQA Board members. VQA Board endorsement of the application Applicants will be notified in writing of the outcome of the VQA Board s consideration of their application. The VQA Board reserves the right not to grant delegations and the right to request applicants to resubmit their applications at a later date. All delegations made to RTOs must be endorsed by the VQA Board. Delegations will be formalised in delegation agreements. Appeals and grievance mechanisms Complaints, appeals and grievances regarding selection for the delegation may be made in writing to the Director, VQA. The complaint should set out in reasonable detail the basis for the complaint and include any supporting evidence. Complaints, appeals and grievances regarding selection for the delegation will be considered by the Manager, Quality Assurance Unit of the VQA and reported to the VQA Board. All complaints, appeals and grievances will be responded to in writing within 60 days. RTO Delegations Guidelines [ 7 ]

12 Part 3 The delegation agreement The NTQC Policy on Delegations under the Australian Quality Training Framework requires that a delegation to an RTO be made in writing. The written delegation agreement will specify the delegated functions, any applicable terms and conditions, and all relevant service standards. Annual assessment of delegates The delegation agreement will specify an annual assessment, against the relevant AQTF standards, of the policy, procedures and decisions undertaken by the delegate. The annual assessment is a requirement of the NTQC Policy on Delegations under the Australian Quality Training Framework. VQA requirements The assessment by the VQA comprises two parts. Part 1 A delegate must provide a written report to the VQA once every 12 months over the period of the delegation. The report will provide details of activity undertaken via delegation and demonstrate compliance with the delegation agreement, including all relevant AQTF standards as specified in the NTQC Policy on Delegations under the Australian Quality Training Framework. The report must also provide a brief overview of the operation of delegate risk management strategies. Part 2 For accreditation delegations Delegates must provide all documentation in relation to one delegated accreditation activity that will be nominated by the VQA. The documentation must demonstrate that the delegate is complying with: an accreditation procedure modelled on the VQA accreditation process (available on the VQA website); and AQTF State and Territory Standards 9, 27 and 28. For extension to scope delegations Delegates must provide all documentation in relation to one delegated extension to scope activity that will be nominated by the VQA. The documentation must demonstrate compliance with AQTF State and Territory Standards 6, 24.6, 24.7 and For twin delegations Delegates with both accreditation and extension to scope delegations are required to submit an activity report for each delegation. [ 8 ] RTO Delegations Guidelines

13 Annual external audit Each year, the VQA is externally audited against AQTF State and Territory Standards. An audit of all delegates will be included as part of this external audit of the VQA. The external audit will include site visits. Suspension and withdrawal of delegation At any time during the term of the delegation agreement the VQA has the power to investigate a delegate to determine whether they continue to be fit and competent to continue to carry out the powers delegated to the approved RTO under s16 (3) of the VQA Act. This investigation may include a site visit. The VQA Board may suspend or withdraw a delegation if either of the following situations arises. The delegate is no longer registered. Delegations are conditional on delegates being registered training organisations. The VQA Board will suspend or cancel a delegation if registration of a delegate is suspended or cancelled. The delegate fails to comply with the written delegation agreement. Where the VQA Board has investigated and confirmed non-compliance with the terms and conditions of the delegation agreement, the delegate will be notified of this non-compliance and given specific timelines in which to undertake corrective action. If the delegate is still noncompliant after this time, the VQA Board will consider withdrawing the delegation or continuing the suspension. The action taken will depend on the circumstances and be considered on a case-by-case basis. Renewal of delegation The term of the delegation is specified in the delegation agreement. RTOs seeking renewal of their delegation should apply at least six months before the end of their current delegation agreement. The Coordinator of the RTO Delegations Program can provide advice on how to submit an application for renewal. RTO Delegations Guidelines [ 9 ]

14 Part 4 How to apply for RTO delegations Applicants should compile their submission according to the guidelines below. Application forms Applications should be prepared using these guidelines together with the VQA application form (see pages 17 18), which can be downloaded from the VQA website. National standards Applicants should refer to the ANTA publications that specify the national standards against which their submission will be assessed. This information is contained in two documents: NTQC Policy on Delegations under the Australian Quality Training Framework (see the Appendix) and the AQTF State and Territory Standards. These documents can be downloaded from the ANTA website. Collating the submission The information required by the VQA should be arranged in the following order. Section 1 Eligibility, applicant information (all applicants); Section 2 Quality standards (all applicants); Section 3 Accreditation delegation (accreditation applicants only); and Section 4 Extension to scope delegation (extension to scope applicants only). Information about each of these sections is outlined below. All attachments should be clearly marked with the applicant s details. A table of contents should be included. Section 1 Eligibility and applicant information All applicants must complete this section. Form A Details of the RTO Applicants must provide details of their RTO (see page 17). This form may be downloaded from the VQA website. [ 10 ] RTO Delegations Guidelines

15 Scope of registration Applicants must attach an up-to-date copy of the complete scope of registration for their organisation. Evidence of eligibility Applicants must demonstrate that they are eligible to apply for an RTO delegation. (See page 6 for the documentation requirements.) Implementation and risk management plan An implementation and risk management plan should be prepared for the proposed term of the delegation. This should indicate: how the delegated function will be implemented and developed over the life of the agreement; the identified risks of undertaking the delegation and strategies for management of these risks; how any conflicts of interest will be managed; how any complaints will be managed; how any potential confidentiality breaches will be managed; and how key stakeholders will be involved. Section 2 Quality standards All applicants must complete this section. Applicants must provide evidence that they are able to comply with the AQTF State and Territory Standards when they exercise accreditation and/or extension to scope delegations from the VQA. The relevant standards are listed below, together with advice on the type of evidence that could be used to show compliance with each standard. Responsible Officer (AQTF State and Territory Standard 1.1) Applicants must provide the name, position and contact details of the person within the organisation (usually the CEO) who will have legal responsibility for the delegations. Although delegates may formally sub-contract delegation work to suitably competent personnel, for example personnel with specialist accreditation expertise, ultimate responsibility rests with the RTO. Applications must also include an organisational chart that indicates the Responsible Officer for delegation determinations, the registered business number and the registered provider number (which must relate to a single business entity). RTO Delegations Guidelines [ 11 ]

16 Committees (AQTF State and Territory Standard 2.4) Applicants must supply evidence that they have formal rules and structures to govern the operation of any committees and the appointment of any members of committees relating to the delegation. Documentary evidence for an accreditation delegation must include details of accreditation committee structures and processes, including details of how key stakeholders will be involved. Documentary evidence for an extension to scope delegation should include details of the structure and processes of committees involved in extension to scope investigations and decision-making processes for extension to scope proposals. Impartiality and conflict of interest (AQTF State and Territory Standard 2.5) Decisions relating to registration and course accreditation must be made impartially. Applicants must demonstrate that they have mechanisms in place to manage any conflicts of interest that could influence, or be perceived to influence, the decision-making processes. Processes for decision-making must: ensure compliance with the AQTF State and Territory Standards; be able to be audited and demonstrate transparency; be subject to review; identify and manage potential conflict of interest issues; and involve key stakeholders. Suitable evidence could include: documentation of governance and decision-making processes; copies of staffing/organisational charts; and copies of documented protocols for investigation/determination processes, personnel and structures. Quality assurance for the delegated functions (AQTF State and Territory Standard 4) It is the applicant s responsibility to ensure that all personnel involved in exercising the delegations understand, comply with and maintain the quality assurance processes for VQA delegated functions. Applicants must document the quality assurance processes that are relevant to the delegations. A detailed statement of capability should be provided for each delegated function. Applicants are not required to document their total organisational quality system, only the parts that relate to the delegation. [ 12 ] RTO Delegations Guidelines

17 Supporting documentary evidence must be provided in relation to each of the following elements of Standard 4. Standards 4.1, 4.2 and 4.3: applicants must show they meet the requirements of the quality system relevant to the delegated functions. Standard 4.4: applicants must have annual internal audits of the delegated functions. Suitable evidence includes: an audit schedule for the delegated functions; evidence of qualifications of audit personnel; evidence of internal audit capability and competence for the accreditation and extension to scope processes; evidence of corrective action taken; and quality improvement initiatives. Standard 4.5: applicants must show that their quality system is reviewed and a process of continuous improvement is in place. Suitable evidence includes: the schedule for review of the quality system; previous reviews; evidence of the continuous improvement program; and records of processes and outcomes. Standard 4.6: applicants must show that they have publicly available information about: the basis of their authority to perform the delegated functions the rules and procedures involved in performing delegated functions any fees related to performance of the delegated functions; and procedures for complaints, appeals and disputes. Suitable evidence includes both print and electronic publications. Standards 4.7 and 4.8: applicants must provide evidence of document and version control policies and records management systems relating to delegated functions. Suitable evidence is outlined in Sections 3 and 4. Confidentiality (AQTF State and Territory Standard 5) Applicants must provide evidence of adequate arrangements to safeguard confidential information obtained in the course of performing delegated functions. Suitable evidence could include: policy and procedure documents staff induction materials. RTO Delegations Guidelines [ 13 ]

18 Personnel responsible for extension to scope (AQTF State and Territory Standard 6) Applicants for an extension to scope delegation must provide evidence that the organisation has sufficient qualified personnel competent to: undertake assessments of the organisation s capacity, as described in the AQTF RTO Standards, to deliver and assess specific courses or qualifications, and make an objective determination based on the above assessment that those courses or qualifications are appropriate to be added to the RTO s scope of registration. Suitable evidence could include: current records of qualifications and experience; documents setting out current duties and responsibilities; and evidence of performance management/professional development systems to demonstrate that personnel have the competencies required to undertake the course accreditation process. Accreditation personnel (AQTF State and Territory Standard 9) Applicants must provide evidence that their personnel are competent to undertake the accreditation process consistent with VQA processes (see the VQA website for details). This obligation exists regardless of whether the personnel are employees or contractors. Suitable evidence could include: current records of qualifications and experience; documents setting out current duties and responsibilities; and evidence of performance management/professional development systems to demonstrate that personnel have the competencies required to undertake the course accreditation process. Section 3 Accreditation delegation In addition to the quality standards applying to all applicants (see section 2 above), applicants for accreditation delegations must also demonstrate that they fulfil the following additional requirements. Accreditation processes (AQTF State and Territory Standards 27 and 28) Applicants must demonstrate that they have: a track record of successful RTO-managed accreditation; and established accreditation arrangements that meet the requirements of Standards 27 and 28. [ 14 ] RTO Delegations Guidelines

19 RTO accreditation arrangements must be consistent with the VQA accreditation processes as outlined on the VQA website. Suitable evidence includes: details of the proposed accreditation process (structures, policies, guidelines, templates and personnel); and documentation from previous RTO-managed accreditation processes. Section 4 Extension to scope delegation In addition to the quality standards applying to all applicants (see section 2 above), applicants for extension to scope delegations must also demonstrate that they fulfil the following additional requirements. Evaluation and registration decisions (AQTF State and Territory Standard 24) Applicants must demonstrate that they have established processes relating to amending the scope of registration consistent with Standard 24.6 of the AQTF State and Territory Standards. This requires applicants to provide evidence that they can evaluate the proposed amendment to the scope of registration against the relevant AQTF RTO Standards. Suitable evidence includes: documentation of procedures for the investigation and determination of proposed extensions to scope; evidence of independent investigation and determination processes; and formal rules/processes for investigation and determination and templates for reports. Compliance with AQTF State and Territory Standard 24.8 requires that applicants provide evidence that no extension to scope of registration is approved until any corrective action arising from a negative assessment against the AQTF State and Territory Standards has been taken. Suitable evidence includes documentation of the decision-making process for an extension to scope. RTO Delegations Guidelines [ 15 ]

20 The following table provides a summary of all selection requirements, including relevant AQTF State and Territory Standards and VQA requirements. Summary of selection requirements Assessment requirements Relevant AQTF State and Territory Standards All applicants Responsibility for registration/accreditation Appropriate authority Requirements of delegates Participation of stakeholders Formal rules for committees Impartial decisions Requirements of the quality system Confidentiality Implementation and risk management plan for the delegated function VQA Accreditation applicants Extension to scope applicants Personnel undertaking accreditation functions Establishing the need for courses Course design criteria Track record of RTO-managed accreditation Capacity to comply with VQA accreditation requirements Evaluation and registration decisions Qualified personnel VQA VQA 24 (particularly 24.6 and 24.8) 6 Lodging applications Applicants should forward three unbound hard copies of the application together with application fee to: The Coordinator, RTO Delegations Program Victorian Qualifications Authority 41a St Andrews Place East Melbourne VIC 3002 Fees Cheques should be made payable to the VQA RTO Delegations Program. The application fee covers the administrative costs of the VQA in processing applications and is not refundable. [ 16 ] RTO Delegations Guidelines

21 Part 5 Application form Form A is downloadable from the VQA website <www.vqa.vic.gov.au>. Form A Details of the RTO Trading details of RTO applicant Name of legal entity seeking delegation Trading name Registered Business Number ABN ACN Registered Provider Number Address of head office Postal address (if different from street address) Website >> RTO Delegations Guidelines [ 17 ]

22 Principal Officer of RTO Please identify the person who will be legally responsible for the delegation. Person Position Phone Contact person for delegations Please identify the person who will be the VQA s contact point within the RTO regarding the delegations. Person Position Phone Indicate which type of delegation is being applied for Accreditation Extension to scope Accreditation and extension to scope [ 18 ] RTO Delegations Guidelines

23 Appendix NTQC Policy on Delegations under the Australian Quality Training Framework Note: This policy does not apply to delegations to public service officers in Departments responsible for VET who assist the registering/course accrediting bodies in the performance of their statutory functions. 1 General processes and requirements To ensure the quality and mutual recognition of decisions made under a delegation, there is a need for consistent processes and requirements to be applied by all jurisdictions to all new delegations and their continuation in the future. These processes and requirements include: 1.1 Processes prior to a delegation being granted, the potential delegate must be audited to determine their ability to exercise the delegation (this is further discussed below); prior to a delegation being granted the registering/course accrediting body must take into account how the potential delegate will manage any conflict of interest arising from the granting of the delegation; all proposals for new delegations to statutory bodies (which are not registered training organisations) must be advised to all other jurisdictions 14 days prior to being granted; all proposals for new delegations to registered training organisations or other organisations must be advised to all other jurisdictions 14 days prior to being granted. Other jurisdictions must advise the delegating body of any concern about the proposed delegation within this 14 day period. If the concern cannot be addressed, the delegation may proceed, but the unresolved issue must be reported to the NTQC by the delegating body; a delegation must be made in writing; any condition imposed by a registering/course accrediting body must be stated in the written delegation; and only the registering/course accrediting body can enter the decisions of delegates on the NTIS this will be when the registering/course accrediting body is satisfied all the requirements of the delegation have been complied with. RTO Delegations Guidelines [ 19 ]

24 1.2 Requirements the requirements for reporting on the exercise of the delegation must be stated in the written delegation; the delegate must comply with all the relevant standards in the Standards for State and Territory Registering/Course Accrediting Bodies (see below); the registering/course accrediting body will ensure the delegated power is properly exercised by the delegate including by conducting an annual examination that the policy and procedures applied by, and decisions made by, the delegate comply with the Standards for State and Territory Registering/Course Accrediting Bodies; and the report to the NTQC on the effective operation of the AQTF by State and Territory registering/course accrediting bodies will include a report on the exercise of delegations by delegates. 2 Compliance with all the Standards for State and Territory Registering/Course Accrediting Bodies If a delegate is exercising a delegation to register and/or audit a training organisation and/or extend the scope of registration and/or accredit a course of an external organisation (e.g. boards of secondary school studies registering a school as a training organisation or extending the scope of registration of a school) all the Standards for State and Territory Registering/Course Accrediting Bodies, except Standard 24.5, shall apply. [Standard 24.5 is a requirement to enter registration details on the National Training Information Service (NTIS) and this function must only be performed by the State or Territory registering body.] 3 Compliance with specific Standards for State and Territory Registering/Course Accrediting Bodies The Standards for State and Territory Registering/Course Accrediting Bodies include a Standard for functions carried out under a delegation from a registering/course accrediting body (Standard 2.2). This Standard was included in recognition that registering/course accrediting bodies routinely delegate powers and functions to agents to enable expeditious and effective operation. To ensure the integrity of the Australian Qualifications Framework and the quality and mutual recognition of vocational education and training, a delegate exercising a power under a delegation must comply with the relevant sections of the Standards for State and Territory Registering/ Course Accrediting Bodies outlined below. 3.1 Delegates exercising a delegation to extend the scope of registration of their own organisation and/or accredit a course developed by their own organisation must comply with the following Standards for State and Territory Registering/Course Accrediting Bodies: Standard 1.1 which requires registering/course accrediting bodies to be responsible for all registration/course accreditation decisions; [ 20 ] RTO Delegations Guidelines

25 Standard 1.2 which requires registering/course accrediting bodies to apply the AQTF Standards for State and Territory Registering/Course Accrediting Bodies and the AQTF Standards for Registered Training Organisations. Standard 2.1 which states the requirement for appropriate authority to engage in registration/course accreditation processes; Standard 2.2. which requires that all the requirements set out by the registering/course accrediting body be complied with and which requires that the delegate have appropriate processes in place to exercise the delegation; Standard 2.3 which requires parties with a significant interest to have an opportunity to provide input into the development of policies and procedures; Standard 2.4 which requires the establishment of rules and structures for the appointment and operation of any registration/course accreditation committees; Standard 2.5 which requires that all decisions be impartial; Standard 4 which sets out the requirements for the quality system that the delegate must establish and maintain; Standard 5 which establishes the safeguards for confidentiality. 3.2 Where the delegate is exercising a delegation to extend scope of registration of their own organisation the following standard from the Standards for State and Territory Registering/ Course Accrediting Bodies would also apply: Standard 6 which establishes the requirements for personnel responsible for evaluation and registration functions; Standard 24.6 which requires an application for extension of scope of registration to be evaluated against the Standards for Registered Training Organisations; Standard 24.7 which prohibits an extension to scope of registration from extending the term of registration; Standard 24.8 which prohibits the approval of an extension of scope of registration until a registered training organisation has corrected any non-compliance identified during an audit. 3.3 Where a delegate is exercising a delegation to accredit courses developed by their own organisation, the following standards from the Standards for State and Territory Registering/ Course Accrediting Bodies would also apply: Standard 9 which establishes the requirements for personnel responsible for course accreditation functions; Standard 27 which sets out the requirements for the need for a course; and Standard 28 which sets out the course design criteria. RTO Delegations Guidelines [ 21 ]

26 4 Approving and monitoring a delegation for accreditation or registration To ensure the integrity of the vocational education and training system, it is essential that delegates, when exercising a delegation, meet the same requirements that the registering/course accrediting body must meet. A system of monitoring the exercise of the delegation would ensure this. Initially, a registering/course accrediting body that is considering granting a delegation should undertake an audit to ensure the delegate has the resources and facilities to exercise the delegation. These resources would include all the administrative systems and processes required under Standard 4 of the Standards for State and Territory Registering/Course Accrediting Bodies. As a minimum, the delegate will be examined annually to ensure that all the Standards and requirements of the delegation are being met. However, if a registering/course accrediting body became concerned about the exercise of a delegation, it could commence an examination of the delegation at any time. 5 Reporting arrangements for delegated powers The registering/course accrediting body will require advice from the delegate on the exercise of delegations (this is also a requirement under some State and Territory legislation), including for ongoing monitoring purposes. This report should be provided on a regular basis as only the registering/course accrediting body can enter information onto the NTIS based on this report. In addition, under Standard 1.4 of the Standards for State and Territory Registering/Course Accrediting Bodies, the registering/course accrediting body is required to provide independent advice to the NTQC on State and Territory registration, audit and related processes (the report on the effective operations of the AQTF). Therefore, this report will require the inclusion of such independent advice on the exercise of delegations for this purpose. Implemented March 2003 [ 22 ] RTO Delegations Guidelines

Essential Standards for Registration

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