Compliance Policy

Compliance Policy

INTRODUCTION

The Compliance Policy was formulated by the College as we are committed to providing high quality training and assessment to our learners in accordance with the Standards for Registered Training Organisations (RTOs). This policy has been developed taking cognisance of the College’s values and its mission statement. The College has developed this policy in consultation with Industry Skills Councils 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.

  • To ensure that 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.
  • To ensure that the College practices meet the Standards for Registered Training Organisations (RTOs) 2015.
  • To outline compliance obligations and expected responsibilities for staff have been communicated effectively.
  • To ensure the integrity of the VET sector
  • To identify how compliance practices are in line with the objectives of the business outlined in the Strategic Organisational Plan.
  • To establish compliance monitoring practices.
  • To communicate to staff the emphasis the College place on meeting compliance requirements.
  • To ensure the College is legally compliant with the VET Regulator at all times.
  • To ensure the College conducts its operations in accordance with ASQA.
  • To ensure the College complies with the relevant Commonwealth, State and Territory legislation and regulatory requirements.
  • To ensure staff and learners are informed of any changes to legislation and regulatory requirements relevant to the College operations.
  • To ensure the College provides and accurate and current information as required by the Data Provision Requirements.
  • To outline how compliance breaches will be dealt with.

The compliance policy provides guidelines to all individuals including but not limited to:

  • Staff members
  • Learners
  • Volunteers

 

The College monitors compliance across the following areas:

  • Marketing
  • Legislation
  • Certification, Issuing of results and Accreditation
  • Fees and Funding
  • Access and equality
  • Applications for enrolment
  • Training and Assessment
  • Communication
  • Record keeping
  • Management Systems
  • Insurance
  • 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 by the College 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 the times.
  • The College will ensure quality mapping of all units on its course is undertaken when third party resources and 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 regulation requirements and/or legislation within a sufficient timeframe. All staff and learners 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 legally compliant at all times by:

  • Providing accurate and truthful responses to information requests from the VET Regulator relevant to the RTO’s registration
  • Cooperating with the VET Regulator in the conduct of audits and the monitoring of its operations;
  • Providing quality/performance indicator data
  • Providing 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;
  • Providing information about significant changes to its ownership within 90 calendar days of the change occurring; and
  • Cooperating with the VET Regulator in the retention, archiving, retrieval and transfer of records
  • Notifying 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.
  • Providing 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; and
  • has training and assessment strategies and practices in place that ensure that 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 compliant and ethical at all times by:

  • Providing accurate and truthful responses to information requests relevant to the RTO’s registration
  • Providing accurate and truthful responses to information in the conduct of audits and the monitoring of its operations
  • Providing quality/performance indicator data to ASQA as required
  • Providing 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
  • Ensuring the College’s policies and procedures 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 / management structure.
  • Changes to any financial guarantor arrangements.

At this time 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
  • Providing 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 in order 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 by 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 the College’s Internal Audit Policy.

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