Australian Safe T Training Pty Ltd

Transcription

1 Australian Safe T Training Pty Ltd Commitment to the RTO Code: Victorian Registration & Qualification Authority Guidelines and the Australian Quality Training Framework Standards & Conditions for Registered Training Organisations 2016

2 SRTO 2015 AQTF (Standards and Conditions) 2016 VRQA Guidelines ASTT Commitment and Notes to the AQTF & VRQA requirements Standard One: The RTO s training and assessment strategies and practices are responsive to industry and learner needs and meet the requirements of training packages and VET accredited courses Clause 1.1 The RTO s training and assessment strategies and practices, including the amount of training they provide, are consistent with the requirements of training packages and VET accredited courses and enable each learner to meet the requirements for each unit of competency or module in which they are enrolled. AQTF 1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry. VRQA 2016 Guideline 4.1 An RTO s training and assessment strategies and practices, including the amount of training it provides, must be consistent with the requirements of the training packages and VET accredited courses and enable each student to meet the requirements for each unit of competency or module in which the student is enrolled. Our training and assessment strategies address the amount of training generally required per trainee taking into account the training package and the individual trainee. Refer to our training and assessment policy for further information. Clause 1.2 For the purposes of Clause 1.1, the RTO determines the amount of training they provide to each learner with regard to: a) the existing skills, knowledge and the experience of the learner; b) the mode of delivery; and c) where a full qualification is not being delivered, the number of units and/or modules being delivered as a proportion of the full qualification. AQTF 2.5 Learners receive training, assessment and support services that meet their individual needs. VRQA 2016 Guideline 4.2 For the purposes of Guideline 4.1, an RTO must determine the amount of training it provides to each student with regard to: a) the existing skills, knowledge and the experience of the student; b) the mode of delivery; and c) where a full qualification is not being delivered, the number of units and/or modules being delivered as a proportion of the full qualification. As per above our training is tailored to the need of an individual trainee and the requirements of the training package. This process is outlined in our policies and procedures and discussed with each trainee and/or client. Refer to our student/client handbook for further information 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 2 of 42

3 Clause 1.3 The RTO has, for all of its scope of registration, and consistent with its training and assessment strategies, sufficient: a) trainers and assessors to deliver the training and assessment; b) educational and support services to meet the needs of the learner cohort/s undertaking the training and assessment; c) learning resources to enable learners to meet the requirements for each unit of competency, and which are accessible to the learner regardless of location or mode of delivery; and d) facilities, whether physical or virtual, and equipment to accommodate and support the number of learners undertaking the training and assessment AQTF 1.3 Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the Training Package or accredited course and the RTO s own training and assessment strategies. AQTF 2.5 Learners receive training, assessment and support services that meet their individual needs. Note: SRTO2015 has specified requirements regarding sufficiency of resources as well as confirmation of accessibility of resources. ASTT as an authorised provider of high risk training for worksafe (Forklift) and a deliverer of Civil Construction machine units, we are extremely mindful of the importance of having suitable and sufficient human and physical resources and associated facilities to deliver high quality training in a safe environment. Our training premises are well fitted and resourced to meet the individual needs of all trainees regardless of their level of skills levels. Refer ASTT OH&S policies. Clause 1.4 The RTO meets all requirements specified in the relevant training package or VET accredited course AQTF 1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry. ASTT training and assessment strategies and materials are developed, monitored and regularly reviewed to ensure compliance, relevance and currency. Refer policies incl. validation & industry consultation, continuous improvements, etc ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 3 of 42

4 Industry relevance Clause 1.5 The RTO s training and assessment practices are relevant to the needs of industry and informed by industry engagement. AQTF 1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry. Notes: SRTO2015 requires that an industry engagement plan is developed and broadens industry consultation from the training and assessment strategy to actual operations. The Glossary to SRTO2015 provides definitions of industry engagement and industry. Industry can include, but are not limited to: enterprise/industry clients, e.g. employers; group training organisations; industry organisations; industry regulators; industry skills councils or similar bodies; industry training advisory bodies; and unions. ASTT as a small regional RTO has a well-established network of industry, business and community contacts. Our community and industry engagement policies and procedures ensure we have regular and robust discussions around the both the training materials and assessment requirements, therefore ensuring we are meeting industry expectations and achieving the training package requirements. Refer policies including; industry consultation, validation, continuous improvements, etc. Clause 1.6 The RTO implements a range of strategies for industry engagement and systematically uses the outcome of that industry engagement to ensure the industry relevance of: a) its training and assessment strategies, practices and resources; and b) the current industry skills of its trainers and assessors. AQTF 1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry. Notes: SRTO2015 specifies that an RTO implements a range of strategies. Provides more guidance on the focus of consultation with industry. Links Industry engagement outcomes to the currency industry skills of trainers and assessors eg. An RTO can demonstrate trainers have the suggested industry skills. In addition to above, ASTT ensures its trainers maintain their industry skills and knowledge and undertake a range of professional development and industry upskilling. Refer to Human Resources including its staff qualification policies and procedures ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 4 of 42

5 Learner support Clause 1.7 The RTO determines the support needs of individual learners and provides access to the educational and support services necessary for the individual learner to meet the requirements of the training product as specified in training packages or VET accredited courses AQTF 2.1 The RTO establishes the needs of clients and delivers services to meet these needs. AQTF 2.5 Learners receive training, assessment and support services that meet their individual needs. Notes: SRTO2015 has more focus on determining needs in relation to program requirements. The Glossary to SRTO2015 provides a broad definition of Educational and support services ASTT provides an individualist approach to each trainee, they undertake a one-on-one enrolment process that determines their existing knowledge and skills as well as their LL+N and support services requirements. Refer to policies, enrolment documents and student/client handbook. Assessment Clause 1.8 The RTO implements an assessment system that ensures that assessment (including recognition of prior learning): a) complies with the assessment requirements of the relevant training package or VET accredited course; and b) is conducted in accordance with the Principles of Assessment contained in Table and the Rules of Evidence contained in Table AQTF 1.5 Assessment including Recognition of Prior Learning (RPL): a) meets the requirements of the relevant Training Package or accredited course b) is conducted in accordance with the principles of assessment and the rules of evidence c) meets workplace and, where relevant, regulatory requirements d) is systematically validated. Notes: SRTO2015 Broader in that it refers to an assessment system Defines the principles of assessment and the rules of evidence and includes these definitions in the standards VRQA Guideline 2.3 much more specific in relation to evidence requirements. The Glossary to SRTO2015 provides key definitions assessment and assessment systems. ASTT has a RPL and Credit Transfer process that complies with the assessment requirements. Refer RPL & CT policy and procedure ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 5 of 42

6 Clause 1.9 The RTO implements a plan for ongoing systematic validation of assessment practices and judgements that includes for each training product on the RTO s scope of registration: a) when assessment validation will occur; b) which training products will be the focus of the validation; c) who will lead and participate in validation activities; and d) how the outcomes of these activities will be documented and acted upon AQTF 1.5 Assessment including Recognition of Prior Learning (RPL): a) meets the requirements of the relevant Training Package or accredited course b) is conducted in accordance with the principles of assessment and the rules of evidence c) meets workplace and, where relevant, regulatory requirements d) is systematically validated. AQTF 1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment. AQTF 3.2 The RTO uses a systematic and continuous improvement approach to the management of operations. Notes: SRTO2015 requires that a strategy is in place to ensure all training products will be subject to an appropriate validation process The Glossary to SRTO2015 provides key definitions validation and independent validation. ASTT undertakes assessment validation as part of its continuous improvement, validation and industry consultation processes. This is undertaken on an annual basis and is led by the owner/manager. Refer associated training and assessment policies and procedures ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 6 of 42

7 Clause 1.10 For the purposes of Clause 1.9, each training product is validated at least once every 5 years, with at least 50% of products validated within the first three years of each 5 year cycle, taking into account the relative risks of all of the training products on the RTO s scope of registration, including those risks identified by the VET regulator. Clause 1.11 For the purposes of Clause 1.9, systematic validation of an RTO s assessment practices and judgements is undertaken by one or more persons who are not directly involved in the particular instance of delivery and assessment of the training product being validated, and who collectively have: NA NA Notes: SRTO2015 is more specific regarding planning for validation As per clause 9.1 As per above ASTT has a network of industry, business and community representatives who process relevant independent industry and vocational skills and expertise. a) vocational competencies and current industry skills relevant to the assessment being validated; b) current knowledge and skills in vocational teaching and learning; and c) the training and assessment qualification or assessor skill set referred to in Item 1 or 3 of Schedule 1. Industry experts may be involved in validation to ensure there is the combination of expertise set out in (a) to (c) above. Notes: SRTO2015 Glossary: Current industry skills may be informed by consultations with industry and may include, but is not limited to: a) having knowledge of and/or experience using the latest techniques and processes; b) possessing a high level of product knowledge; c) understanding and knowledge of legislation relevant to the industry and to employment and workplaces; d) being customer/client-oriented; e) possessing formal industry and training qualifications; and f) training content that reflects current industry practice. SRTO2015 includes industry experts 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 7 of 42

8 Clause 1.12 The RTO offers recognition of prior learning to individual learners. Trainers and assessors Clause 1.13 In addition to the requirements specified in Clause 1.14 and Clause 1.15, the RTO s training and assessment is delivered only by persons who have: a) vocational competencies at least to the level being delivered and assessed; b) current industry skills directly relevant to the training and assessment being provided; and c) current knowledge and skills in vocational training and learning that informs their training and assessment. AQTF 1.5 Assessment including Recognition of Prior Learning (RPL): a) meets the requirements of the relevant Training Package or accredited course b) is conducted in accordance with the principles of assessment and the rules of evidence c) meets workplace and, where relevant, regulatory requirements is systematically validated. AQTF 1.4 Training and assessment is delivered by trainers and assessors who: b) have the relevant vocational competencies at least to the level being delivered or assessed, and c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken, and continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence. Notes: Principle of assessment, Flexibility assumed RPL is offered. SRTO2015 requires RPL. SRTO2015 does not suggest that RPL may not be relevant to some cohorts/programs. VRQA 2016 Guideline 3.1 In addition to the requirements specified in Guidelines 3.2 and 3.3, an RTO s training and assessment must be delivered only by persons who have: a) vocational competencies at least to the level being delivered and assessed; b) current industry skills directly relevant to the training and assessment being provided; and c) current knowledge and skills in vocational training and learning that informs their training and assessment. ASTT has a RPL process that complies with the AQTF assessment requirements. Refer RPL/CT policy and procedure. ASTT trainers and assessors all possess the necessary vocational competencies/qualifications and the necessary industry skills and knowledge directly related to the training they deliver. Any industry experts utilised will work in conjunction with the dedicated trainer. Not that ASTT uses unqualified trainers +/or assessor, however if it did occur they would be under constant supervision. All trainers are actively encouraged to maintain current industry skills and knowledge and to continually develop their VET knowledge. Industry experts may also be involved in Industry experts may also be involved in the the assessment judgement, working assessment judgement, working alongside alongside the trainer and/or assessor to the trainer and/or assessor to conduct the conduct the assessment. assessment. Refer to HR policies and individual trainer files ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 8 of 42

9 Clause 1.14 The RTO s training and assessment is delivered only by persons who have: a) prior to 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 of Schedule 1, or demonstrated equivalence of competencies; and b) from 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 of Schedule 1. Clause 1.15 Where a person conducts assessment only, the RTO ensures that the person has: a) prior to 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 or Item 3 of Schedule 1, or demonstrated equivalence of competencies; and from 1 January 2016, Item 1 or Item 2 or Item 3 of Schedule 1. AQTF 1.4 Training and assessment is delivered by trainers and assessors who: a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors, and b) have the relevant vocational competencies at least to the level being delivered or assessed, and c) demonstrate current industry skills directly relevant to the training/assessment being undertaken + d) continue to develop their Vocational Education & Training (VET) knowledge + skills as well as their industry currency and trainer/assessor competence. AQTF 1.4 Training and assessment is delivered by trainers and assessors who: e) have the necessary training and assessment competencies as determined by the National Quality Council or its successors, and f) have the relevant vocational competencies at least to the level being delivered or assessed, and g) demonstrate current industry skills directly relevant to the training/assessment being undertaken + continue to develop their Vocational Education & Training (VET) knowledge + skills as well as their industry currency and trainer/assessor competence. VRQA 2016 Guideline 3.2 An RTO s training and assessment must be delivered only by persons who have the qualifications specified in Item 1 or Item 2 of Schedule 1 of these Guidelines. VRQA 2016 Guideline 3.3 Where a person conducts assessment only, an RTO must ensure that the person has the qualification specified in Item 1 or Item 2 or Item 3 of Schedule 1 of these Guidelines. As per clause 1.13 above As per clause 1.13 above 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 9 of 42

10 Clause 1.16 The RTO ensures that all trainers and assessors undertake professional development in the fields of the knowledge and practice of vocational training, learning and assessment including competency based training and assessment. AQTF 1.4 Training and assessment is delivered by trainers and assessors who: d) continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence Notes: SRTO2015 is more explicit As per clause 1.13 above Individuals working under the supervision of a trainer Clause 1.17 Where the RTO, in delivering training and assessment, engages an individual who is not a trainer or assessor, the individual works under the supervision of a trainer and does not determine assessment outcomes. AQTF 1.4 Training and assessment is delivered by trainers and assessors who: a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors, and b) have the relevant vocational competencies at least to the level being delivered or assessed, and c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken, and d) continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence VRQA 2016 Guideline 3.4 Where the RTO, in delivering training and assessment, engages an individual who is not a qualified trainer and/or assessor, the individual must work under the supervision of a qualified trainer and/or assessor and must not determine assessment outcomes. As per clause 1.13 above 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 10 of 42

11 Clause 1.18 The RTO ensures that any individual working under the supervision of a trainer under Clause 1.17: a) holds the skill set defined in Item 4 of Schedule 1 or, prior to 1 January 2016, is able to demonstrate equivalence of competencies; b) has vocational competencies at least to the level being delivered and assessed; and c) has current industry skills directly relevant to the training and assessment being provided Clause 1.19 Where the RTO engages an individual under Clause 1.17, it ensures that the training and assessment complies with Standard 1. Clause 1.20 Without limiting Clauses , the RTO a) determines and puts in place: i) the level of the supervision required; and ii) any requirements, conditions or restrictions considered necessary on the individual s involvement in the provision of training and collection of assessment evidence ensures that trainers providing supervision monitor and are accountable for all training provision & collection of assessment evidence by the individual under their supervision. As above As above As above VRQA 2016 Guideline 3.5 An RTO must ensure that any individual working under the supervision of a trainer: a) holds the skill set defined in Item 4 of Schedule 1 of these Guidelines; b) has vocational competencies at least to the level being delivered and assessed; and c) has current industry skills directly relevant to the training and assessment being provided. As per clause 1.13 above As per clause 1.13 above As per clause 1.13 above 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 11 of 42

12 Delivery of the training and assessment qualifications for trainers and assessors Clause 1.21 Prior to 1 January 2016, to deliver any AQF qualification or skill set from the Training and Education Training Package (or its successor) the RTO must ensure all trainers and assessors delivering the training and assessment: a) hold the training and assessment qualification at least to the level being delivered; or b) have demonstrated equivalence of competencies. Clause 1.22 From 1 January 2016, to deliver any AQF qualification or skill set from the Training and Education Training Package (or its successor) the RTO must ensure all trainers and assessors delivering the training and assessment hold the training and assessment qualification at least to the level being delivered. NA AQTF 1.4 Training and assessment is delivered by trainers and assessors who: a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors, and b) have the relevant vocational competencies at least to the level being delivered or assessed, and c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken + d) continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence NA Notes: SRTO2015 is not applicable after 1 January 2016 VRQA 2016 Guideline 4.4 From 1 January 2016, to deliver any AQF qualification or skill set from the Training and Education Training Package (or its successor), an RTO must ensure that all trainers and assessors delivering the training and assessment hold the training and assessment qualification at least to the level being delivered. ASTT does not and does not intend to deliver units of competency from the Training and Educational Training Package. However if this did occur we would abide by the relevant AQTF and VRQA Standards and Guidelines. ASTT does not and does not intend to deliver units of competency from the Training and Educational Training Package. However if this did occur we would abide by the relevant AQTF and VRQA Standards and Guidelines 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 12 of 42

13 Clause 1.23 From 1 January 2017, to deliver the training and assessment qualification specified in Item 1 of Schedule 1, or any assessor skill set from the Training and Education Training Package (or its successor), the RTO must ensure all trainers and assessors delivering the training and assessment: a) hold the qualification specified in Item 5 of Schedule 1; or b) work under the supervision of a trainer that meets the requirement set out in (a) above. Clause 1.24 The RTO must ensure that any individual working under supervision under Clause 1.23b) holds the qualification specified in Item 1 of Schedule 1 and does not determine assessment outcomes. Note: from 1 January 2017, the requirements set out in Clause 1.14 continue to apply to any other AQF qualification or skill set from the Training and Education Training Package (or its successor). NA VRQA 2016 Guideline 4.5 From 1 January 2017, to deliver the training and assessment qualification specified in Item 1 of Schedule 1 of these Guidelines, or any assessor skill set from the Training and Education Training Package (or its successor), an RTO must ensure all trainers and assessors delivering the training and assessment: a) hold the qualification specified in Item 5 of Schedule 1 of these Guidelines; or b) work under the supervision of a trainer that holds the qualification specified in Item 5 of Schedule 1 of these Guidelines. NA VRQA 2016 Guideline 4.6 An RTO must ensure that any individual working under supervision holds the qualification specified in Item 1 of Schedule 1 of these Guidelines and does not determine assessment outcomes. As per clause 1.21 above. As per clause 1.21 above ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 13 of 42

14 Independent validation of training and assessment qualifications Clause 1.25 From 1 January 2016, to deliver any AQF qualification or assessor skill set from the Training and Education Training Package (or its successor), the RTO must have undergone an independent validation of its assessment system, tools, processes and outcomes in accordance with the requirements contained in Schedule 2 (and the definitions of independent validation and validation). VRQA 2016 Guideline 4.3 From 1 January 2016, to deliver any AQF qualification or assessor skill set from the Training and Education Training Package (or its successor), an RTO must have undergone an independent validation of its assessment system, tools, processes and outcomes in accordance with the requirements contained in Schedule 2 (and the definitions of independent validation and validation) of these Guidelines. As per clause 1.21 above. Clause 1.26 Subject to Clause 1.27 and unless otherwise approved by the VET Regulator, the RTO ensures that: a) where a training product on its scope of registration is superseded, all learners training and assessment is completed and the relevant AQF certification documentation is issued or learners are transferred into its replacement, within a period of one year from the date the replacement training product was released on the National Register; AQTF Condition 9 The RTO must manage the transition from superseded Training Packages within 12 months of their publication on the National Training Information Service. The RTO must also manage the transition from superseded accredited courses so that it delivers only currently endorsed Training Packages or currently accredited courses. ASTT is mindful of the transition from superseded packages requirements and as part of its risk management process we undertake regular reviews (minimum bi-annually) of the NTIS. Any superseded courses are closely managed and monitored during the transition process to ensure compliance with the AQTF conditions. Refer our Qualification and Unit of Competency transition policy ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 14 of 42

15 b) where an AQF qualification is no longer current and has not been superseded, all learners training and assessment is completed and the relevant AQF certification documentation issued within a period of two years from the date the AQF qualification was removed or deleted from the National Register; c) where a skill set, unit of competency, accredited short course or module is no longer current and has not been superseded, all learners training and assessment is completed and the relevant AQF certification documentation issued within a period of one year from the date the skill set, unit of competency, accredited short course or module was removed or deleted from the National Register. d) A new learner does not commence training and Note: SRTO2015 and ASQA Direction state assessment in a training product transition must occur within 12 months. The that has been removed or deleted Regulator standards require this. from the National Register. Clause 1.27 NA NA As per clause 1.26 above The requirements specified in Clause 1.26 a) do not apply where a training package requires the delivery of a superseded unit of competency ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 15 of 42

16 Standard Two: The Operations of the RTO are quality assured. Clause 2.1 The RTO ensures it complies with these Standards at all times, including where services are being delivered on its behalf. This applies to all operations of an RTO within its scope of registration. Clause 2.2 The RTO: a) systematically monitors the RTO s training and assessment strategies and practices to ensure ongoing compliance with Standard 1; and b) systematically evaluates and uses the Condition 1 Governance The RTO s Chief Executive must ensure that the RTO complies with the AQTF Essential Conditions and Standards for Continuing Registration and any national guidelines approved by the National Quality Council or its successors. This applies to all of the operations within the RTO s scope of registration, as listed on the National Training Information Service AQTF 3.2 The RTO uses a systematic and continuous improvement approach to the management of operations. AQTF 3.3 The RTO monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards for Continuing Registration. AQTF 1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry. ASTT Principle Officer (owner/manager) is the responsible person to ensure ASTT complies with all AQTF and VRQA requirements. This is outlined in the companies policies and procedures. ASTT has a continuous improvement approach to all its operations and has associated policies and procedures for all current and future personnel to follow. ASTT does not or does not intend to engage third parties to deliver training and assessment services on its behalf. However if this did occur, ASTT has a third party policy in place and would have formal written agreements in place to ensure total compliance with AQTF and VRQA requirements. ASTT Training and Assessment policy and procedures are developed to ensure all of our training and assessments meet package requirements and have industry input ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 16 of 42

17 outcomes of the evaluations to continually improve the RTO s training and assessment strategies and practices. c) Evaluation information includes but is not limited to quality/performance indicator data collected under Clause 7.5, validation outcomes, client trainer and assessor feedback and complaints and appeals. Clause 2.3 The RTO ensures that where services are provided on its behalf by a third party the provision of those services is the subject of a written agreement. AQTF 1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment. AQTF 3.3 The RTO monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards for Continuing Registration. Note: SRTO2015 evaluation includes quality/performance indicator data and complaints and appeals VRQA 2016 Guideline An RTO must ensure that where services are provided on its behalf by a third party, the provision of those services is the subject of a written agreement. A third party means any party that provides services on behalf of the RTO but does not include a party to a contract of employment with the RTO. Services mean training, assessment, related educational or support services and/or any activities related to the recruitment of prospective students, but does not include student counselling, mediation or ICT support services. Refer T&A policy and actual T&A materials. As mentioned ASTT has a Continuous Improvement focus and seeks and collects input from a wide range of stakeholders. ASTT does not engage Third Parties to deliver any services on its behalf. However if this did occur a formal written agreement would be established and this would be submitted to VRQA within 30days as per the VRQA guidelines. Clause 2.4 AQTF 3.3 The RTO has sufficient strategies and The RTO monitors training and/or resources to systematically monitor any assessment services provided on its services delivered on its behalf, and uses behalf to ensure that it complies with all these to ensure that the services delivered aspects of the AQTF Essential comply with these Standards at all times. Conditions and Standards for Continuing Notes: SRTO2015 specifies Sufficient resources. Registration. Standard ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 17 of 42 As mentioned ASTT does not engage Third Parties to deliver any services on its behalf. However if this did occur a formal written agreement would be established which embodies the AQTF requirements under

18 Standard Three: The RTO issues, maintains and accepts AQF certification documentation in accordance with these Standards and provides access to learner records. Clause 3.1 The RTO issues AQF certification documentation only to a learner whom it has assessed as meeting the requirements of the training product as specified in the relevant training package or VET accredited course. AQTF Condition 6 The RTO must issue to persons whom it has assessed as competent in accordance with the requirements of the Training Package or accredited course, a qualification or statement of attainment (as appropriate) that: i. Meets the Australian Qualifications Framework (AQF) requirements ii. Identifies the RTO by its national provider number from the National Training Information Service iii. Includes the Nationally Recognised Training (NRT) logo in accordance with the current conditions of service. ASTT issuance policy is developed to ensure it fully complies with all requirements of AQTF condition 6. This policy is also underpinned by our record management policy and associated procedures. Clause 3.2 All AQF certification documentation issued by an RTO meets the requirements of Schedule 5 AQTF Condition 6 The RTO must issue to persons whom it has assessed as competent in accordance with the requirements of the Training Package or accredited course, a qualification or statement of attainment (as appropriate) that: As per clause 3.1 above i. Meets the Australian Qualifications Framework (AQF) requirements ii. Identifies the RTO by its national provider number from the National Training Information Service iii. Includes the Nationally Recognised Notes: SRTO2015 Schedule 5 has specific requirements for Training (NRT) logo in accordance Certification with the current conditions of service ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 18 of 42

19 Clause 3.3 AQF certification documentation is issued to a learner within 30 calendar days of the learner being assessed as meeting the requirements of the training product if the training program in which the learner is enrolled is complete, and providing all agreed fees the learner owes to the RTO have been paid. NA In addition to clause 3.1, ASTT fees and refund policy also provides guidance and information in relation to this clause. Clause 3.4 Records of learner AQF certification documentation are maintained by the RTO in accordance with the requirements of Schedule 5 and are accessible to current and past learners. AQTF Condition 6 The RTO must retain client records of attainment of units of competency and qualifications for a period of 30 years. AQTF Condition 6 The RTO must provide returns of its client records of attainment of units of competency and qualifications to its registering body on a regular basis, as determined by the registering body. Note: SRTO2015 Schedule 5 requirement: The RTO must retain registers of AQF qualifications they are authorised to issue and of all AQF qualifications issued is currently a requirement of the AQF. ASTT record management and archiving policies are developed to comply with the AQTF condition 6. ASTT provides AVETMISS data to VRQA as required and requested. Clause 3.5 The RTO accepts and provides credit to learners for units of competency and/or modules (unless licensing or regulatory requirements prevent this) where these are evidenced by: AQTF Condition 7 The RTO must recognise the AQF Qualifications and Statements of Attainment issued by any other RTO. a) AQF certification documentation issued by any other RTO or AQF authorised issuing organisation; or b) authenticated VET transcripts issued Note: SRTO2015 provide a definition for credit. by the Registrar ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 19 of 42 ASTT formally recognizes and accepts verified AQF qualifications and statements of attainment we receive from our trainees. Refer to our qualification and issuance policy.

20 Clause 3.6 The RTO meets the requirements of the Student Identifier scheme, including: a) verifying with the Registrar, a Student Identifier provided to it by an individual before using that Student Identifier for any purpose; b) ensuring that it will not issue AQF certification documentation to an individual without being in receipt of a verified Student Identifier for that individual, unless an exemption applies under the Student Identifiers Act 2014; c) ensuring that where an exemption described in Clause 3.6 (b) applies, it will inform the student prior to either the completion of the enrolment or commencement of training and assessment, whichever occurs first, that the results of the training will not be accessible through the Commonwealth and will not appear on any authenticated VET transcript prepared by the Registrar; and d) ensuring the security of Student Identifiers and all related documentation under its control, including information stored in its student management systems. AQTF Condition 6 The RTO must meet the requirements for implementation of a national unique student identifier. Note: SRTO2015 has greater specification and there is an additional requirement regarding security of records ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 20 of 42 ASTT enrolment, student services and privacy policies, procedures and documentation acknowledges and outlines and underpin the requirement for all trainees to have a National Unique Student Identifier.

21 Standard Four: Accurate and accessible information about an RTO, its services and performance is available to inform prospective and current learners and clients. Clause 4.1 Information, whether disseminated directly by the RTO or on its behalf, is both accurate and factual, and: a) accurately represents the services it provides and the training products on its scope of registration; b) includes its RTO Code; c) refers to another person or organisation in its marketing material only if the consent of that person or organisation has been obtained; d) uses the NRT Logo only in accordance with the conditions of use specified in Schedule 4; e) makes clear where a third party is recruiting prospective learners for the RTO on its behalf ; f) distinguishes where it is delivering training and assessment on behalf of another RTO or where training and assessment is being delivered on its behalf by a third party; g) distinguishes between nationally recognised training and assessment leading to the issuance of AQF certification documentation from any other training or assessment delivered by the RTO; AQTF Condition 8: The RTO must ensure its marketing and advertising of AQF qualifications to prospective clients is ethical, accurate and consistent with its scope of registration. The NRT logo must be employed only in accordance with its conditions of use VRQA 2016 Guideline 2.4 An RTO must ensure that information, whether disseminated directly by an RTO or by another party on its behalf, is both accurate and factual, including by: a) clarifying whether a third party is recruiting prospective students for an RTO on its behalf; and b) distinguishing where it is delivering training and assessment on behalf of another RTO or where training and assessment is being delivered on its behalf by a third party. c) on its behalf by a third party Notes: SRTO2015 provides greater specificity and defines ethical. As previously stated ASTT does not and does not intend to utilize Third Party organisations to act on its behalf in relation to any training, assessment or marketing/recruitment activities. However, if this did change, ASTT would fully comply with all AQTF and VRQA requirements. ASTT is mindful to ensure all marketing /advertising material is ethical, accurate and fully transparent. Any use of the NRT logo is as per its conditions of use ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 21 of 42

22 h) includes the title and code of any training product, as published on the National Register, referred to in that information; i) only advertises or markets a noncurrent training product while it remains on the RTO s scope of registration; j) only advertises or markets that a training product it delivers will enable learners to obtain a licensed or regulated outcome where this has been confirmed by the industry regulator in the jurisdiction in which it is being advertised; k) includes details about any VET FEE- HELP, government funded subsidy or other financial support arrangements associated with the RTO s provision of training and assessment; and l) does not guarantee that: i) a learner will successfully complete a training product on its scope of registration; or ii) a training product can be completed in a manner which does not meet the requirements of Clause 1.1 and 1.2; or iii) a learner will obtain a particular employment outcome where this is outside the control of the RTO ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 22 of 42

23 Standard Five: Each learner is properly informed and protected. Clause 5.1 Prior to enrolment or the commencement of training and assessment, whichever comes first, the RTO provides advice to the prospective learner about the training product appropriate to meeting the learner s needs, taking into account the individual s existing skills and competencies. AQTF 2.3 Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations. Note: SRTO2015 makes clearer distinction between marketing (AQTF Condition 6) and pre-engagement information (AQTF 2.3). ASTT enrolment process clearly outlines the full ranges of services available, the training and assessment processes, the obligations of both parties and fees and charges. Refer to the relevant enrolment and student/client services policies, procedures and documentation. Clause 5.2 Condition 8 VRQA 2016 Guideline 2.5 As per clauses 4.1 and 5.1 above. Prior to enrolment or the commencement The RTO must ensure its marketing and of training and assessment, whichever advertising of AQF qualifications to Prior to the enrolment of students or the comes first, the RTO provides, in print or prospective clients is ethical, accurate commencement of training and assessment, through referral to an electronic copy, and consistent with its scope of whichever comes first, an RTO must provide, current and accurate information that registration. The NRT logo must be in print or through referral to an electronic enables the learner to make informed employed only in accordance with its copy, current and accurate information that: decisions about undertaking training with conditions of use. a) enables the student to make informed the RTO and at a minimum includes the AQTF 2.3 decisions about undertaking training with following content: Before clients enrol or enter into an the RTO and a) the code, title and currency of the agreement, the RTO informs them about b) (at a minimum) includes the name and training product to which the learner the training, assessment and support contact details of any third party that will is to be enrolled, as published on services to be provided, and about their provide training and/or assessment, and the National Register; rights and obligations. related educational and support services 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 23 of 42

24 b) the training and assessment, and related educational and support services the RTO will provide to the learner including the: i) estimated duration; ii) expected locations at which it will be provided; iii) iv) expected modes of delivery; name and contact details of any third party that will provide training and assessment, and related educational and support services to the learner on the RTO s behalf; and v) any work placement arrangements. c) the RTO s obligations to the learner, including that the RTO is responsible for the quality of the training and assessment in compliance with these Standards, and for the issuance of the AQF certification documentation. d) the learner s rights, including: i) details of the RTO s complaints and appeals process required by Standard 6; and ii) if the RTO, or a third party delivering training and assessment on its behalf, closes or ceases to deliver any part of the training to the student on an RTO s behalf 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 24 of 42

25 product that the learner is enrolled in; e) the learner s obligations: i) in relation to the repayment of any debt to be incurred under the VET FEE-HELP scheme arising from the provision of services; ii) any requirements the RTO requires the learner to meet to enter and successfully complete their chosen training product; and iii) any materials and equipment that the learner must provide; and iv) information on the implications for the learner of government training entitlements and subsidy arrangements in relation to the delivery of the services. Note: AQTF 2.3 refers to an agreement with clients. SRTO2015 has greater specification. Clause 5.3 Where the RTO collects fees from the individual learner, either directly or through a third party, the RTO provides or directs the learner to information prior to enrolment of the commencement of training and assessment, whichever comes first, specifying: Condition 5 The RTO must provide the following fee information to each client: The total amount of all fees including course fees, administration fees, materials fees and any other charges Payment terms, including the timing and amount of fees to be paid and a) all relevant fee information including: any non-refundable i) fees that must be paid to the deposit/administration fee 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 25 of 42 In addition to clause 5.1, ASTT fees and refund policy outlines its commitment to this condition.

26 RTO; and ii) payment terms and conditions including deposits and refunds; b) the learner s rights as a consumer, including but not limited to any statutory cooling-off period, if one applies; c) the learner s right to obtain a refund for services not provided by the RTO in the event the: i) arrangement is terminated early; or ii) the RTO fails to provide the agreed services. The nature of the guarantee given by the RTO to complete the training and/or assessment once the student has commenced study in their chosen qualification or course The fees and charges for additional services, including such items as issuance of a replacement qualification testamur and the options available to students who are deemed not yet competent on completion of training and assessment, and The organisation s refund policy. AQTF 2.3 Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations. Note: SRTO2015 has greater specification Clause 5.4 Where there are any changes to agreed services, the RTO advises the learner as soon as practicable, including in relation to any new third party arrangements or a change in ownership or changes to existing third party arrangements. NA VRQA 2016 Guideline 2.6 Where there are any changes to agreed services, an RTO must advise the student of those changes as soon as practicable, including in relation to any relevant changes to existing or new third party arrangements or changes in ownership. ASTT immediately advises any trainees and if necessary their employers of any changes in regards to any aspect of their training. Refer to student/client handbook ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 26 of 42

27 Standard Six: Complaints and appeals are recorded, acknowledged and dealt with fairly, efficiently and effectively. Clause 6.1 The RTO has a complaints policy to manage and respond to allegations involving the conduct of: a) the RTO, its trainers, assessors or other staff; b) a third party providing services on the RTO s behalf, its trainers, assessors or other staff; or a learner of the RTO AQTF 2.7 The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively. VRQA 2016 Guideline 2.7 An RTO must have a complaints policy to manage and respond to allegations involving the conduct of: a) the RTO, its trainers, assessors or other staff; b) a third party providing services on the RTO s behalf, its trainers, assessors or other staff; or c) a student of the RTO. ASTT has an efficient and effective complaints and appeals process, including the use of an independent arbitrator. Refer ASTT complaints and appeals policy. Clause 6.2 The RTO has an appeals policy to manage requests for a review of decisions, including assessment decisions, made by the RTO or a third party providing services on the RTO s behalf. Clause 6.3 The RTO s complaints policy and appeals policy: a) ensure the principles of natural justice and procedural fairness are adopted at every stage of the complaint and appeal process b) are publicly available; c) set out the procedure for making a complaint or requesting an appeal; d) ensure complaints and requests for an appeal are acknowledged in writing and finalised as soon as AQTF 2.7 The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively. AQTF 2.7 The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively. VRQA 2016 Guideline 2.8 An RTO must have an appeals policy to manage a request for the review of a decision, including an assessment decision, made by an RTO or a third party providing services on the RTO s behalf. As per clause 6.1 above. As per clause 6.1 above ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 27 of 42

28 practicable; and e) provide for review by an appropriate party independent of the RTO and the complainant or appellant, at the request of the individual making the complaint or appeal, if the processes fail to resolve the complaint or appeal. Clause 6.4 Where the RTO considers more than 60 calendar days are required to process and finalise the complaint or appeal, the RTO: a) informs the complainant or appellant in writing, including reasons why more than 60 calendar days are required; and b) regularly updates the complainant or appellant on the progress of the matter. Clause 6.5 The RTO: a) securely maintains records of all complaints and appeals and their outcomes; and b) identifies potential causes of complaints and appeals and takes appropriate corrective action to eliminate or mitigate the likelihood of reoccurrence. NA AQTF 3.4 The RTO manages records to ensure their accuracy and integrity. AQTF 1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment. AQTF 2.2 The RTO continuously improves client services by collecting, analysing and acting upon relevant data. Note: SRTO2015 unpacks efficiently and effectively and introduces protection of the learner. Note: SRTO2015 provides a timeframe for the complaint process As per clause 6.1 above. In addition to clause 6.1 above, ASTT maintains all files in a safe and secure location. As part of our Continuous Improvement and Risk Management processes all complaints and appeals will be analysed and any learnings to improve service or mitigate re-occurrence will be developed and implemented accordingly ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 28 of 42

29 AQTF 3.2 The RTO uses a systematic and continuous improvement approach to the management of operations. Clause 6.6 Where the RTO is an employer or a volunteer organisation whose learners solely consist of its employees or members, does not charge fees for the training or assessment, and does not have in place a specific complaints and appeals policy in accordance with Clauses 6.1 & 6.2, the organisation has a complaints and appeals policy which is sufficiently broad to cover the services provided by the RTO NA Not applicable to ASTT 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 29 of 42

30 Standard Seven: The RTO has effective governance and administration arrangements in place. Clause 7.1 The RTO ensures that its executive officers or high managerial agent: a) are vested with sufficient authority to ensure the RTO complies with the RTO Standards at all times; and b) meet each of the relevant criteria specified in the Fit and Proper Person Requirements in Schedule 3. AQTF Condition 1 The RTO s senior officers and directors or substantial shareholders who are in a position to influence the management of the organisation must satisfy fit and proper person requirements unless these requirements have already been met through other legislative provisions. ASQA application process. VRQA 2016 Guideline 1.3 An RTO must ensure that it has management systems that include: a) management information including: i. details of company incorporation in Australia (alternatively evidence of being an Incorp - orated body in receipt of government funds) ii. a physical address of the company in Victoria for the purposes of serving notices iii. details of the directors, CEO/PEO and senior management members with associated police checks and Working With Children Checks if students are under 18 years of age iv. confirmation that at least one Director or CEO/PEO has his/her principal residence in Victoria v. contact arrangements for the CEO/PEO including during holidays and other closure periods vi. a physical addresses for the location of financial, student and staff records including archives and computer back up storage VRQA 2016 Guideline 1.4 An RTO must ensure that it has appropriate governance structures that include: a) transparent governance and ownership arrangements, such as a Board of Directors, governing council, executive management and academic management 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 30 of 42 ASTT governance processes ensure that any person of authority or influence in the organisation will meet the fit and proper person requirement of AQTF condition 1. In addition ASTT management systems and practices ensure that the VRQA 1.3 and 1.4 guidelines are abided by and for relevant individuals. Refer to submitted documentation to VRQA, Governance policy and HR files of relevant individuals.

31 Note: SRTO2015 states authority regarding decisionmaking and driving implementation of systems. SRTO2015 defines high managerial agent: All executive officers and the high managerial agent (that is, anyone who manages the RTO or owns more than 15% of it). b) a governance structure that includes appropriate appointments of persons for oversight of academic/educational integrity and quality assurance, such that i. for an RTO with anticipated ongoing operation of less than 150 equivalent full time students or an annual student fee turnover of less than $1.5m per annum, persons are appointed with suitable qualifications and experience; and ii. for all other RTOs, a governance committee is established that includes individuals who are independent of the RTO s ownership and are employed with suitable qualifications and experience c) a CEO/PEO and members of the RTO s senior management team with appropriate qualifications and educational experience. Clause 7.2 The RTO satisfies the Financial Viability Risk Assessment Requirements. AQTF Condition 5 The RTO must be able to demonstrate to its registering body, on request, that it is financially viable at all times during the period of its registration. VRQA 2016 Guideline 1.1 An RTO must ensure that it has a current strategic plan and a detailed business plan which have been approved by its governing body. i. The strategic plan must detail the overall vision, mission, board of directors and strategic directions of the RTO and clearly indicate that provision of vocational education is a primary purpose of the RTO ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 31 of 42 ASTT Strategic, Business Plans and Financial Viability reports are provided and as requested ASTT uses Vetrack student record systems, which is compatible for uploading AVETMIS data to VRQA. Internal record and HR systems and processes maintain staff records and verified or certified documentation on file.

32 ii. The business plan must detail the operational and workforce development arrangements for a three year period that incorporates: iii. description of the business including an organisation chart, courses, location(s) and facilities iv. a continuous improvement plan or risk management strategy v. a work force development plan vi. strategic alliances with other education or service providers or third party arrangements vii. training and assessment delivery including proposed facilities and delivery hours VRQA 2016 Guideline 1.2 An RTO must demonstrate its financial viability and its capacity to sustain quality VET operations into the future by ensuring it has a three year financial plan that includes: i. projected student enrolments by qualifications ii. a range of financial indicators, including iii. cash flow iv. current ratio of total current assets versus total current liabilities (equal to or greater than 1) v. debt ratio Total Liabilities/Total Assets (equal to or less than 1) vi. the VET provider shows that it has a 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 32 of 42

33 financial guarantor with the capacity to service the guarantee and/or to demonstrate sufficient working capital to operate for at least 6 months without tuition fees. details about whether any person involved in the management or provision of courses by the RTO meets any of the descriptions listed in section (2) of the Act ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 33 of 42 vii. VRQA 2016 Guideline 1.3 An RTO must ensure that it has management systems that include: i. management information including: ii. details of company incorporation in Australia (alternatively evidence of being an incorporated body in receipt of government funds) iii. a physical address of the company in Victoria for the purposes of serving notices iv. details of the directors, CEO/PEO and senior management members with associated police checks and Working With Children Checks if students are under 18 years of age v. confirmation that at least one Director or CEO/PEO has his/her principal residence in Victoria vi. contact arrangements for the CEO/PEO including during holidays and other closure periods vii. a physical addresses for the location of

34 financial, student and staff records including archives and computer back up storage viii. a financial management system including a system for managing student fee payments and student refunds ix. a student records management system that includes the capacity to provide the VRQA with AVETMISS compliant data and to ensure that copies of student records are x. not able to be withheld from the RTO; and xi. able to be provided in electronic and print versions, at no cost to the VRQA in the event that the VET provider ceases operations xii. a staff records management system including arrangements which ensure that for each staff member involved in training and assessment, the RTO holds verified documentation indicating each staff member s qualification and skills. VRQA 2016 Guideline 1.4 An RTO must ensure that it has appropriate governance structures that include: i. transparent governance and ownership arrangements, such as a Board of Directors, governing council, executive management and academic management ii. a governance structure that includes appropriate appointments of 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 34 of 42

35 Clause 7.3 Where the RTO requires, either directly or through a third party, a prospective or current learner to prepay fees in excess of a total of $1500 (being the threshold prepaid fee amount), the RTO must meet the requirements set out in the Requirements for Fee Protection in Schedule 6. Notes: SRTO2015 refers to the Financial Viability Risk Assessment Requirements. The Financial Viability Risk Assessment Requirements specify financial viability requirements. Condition 5 Where the RTO collects student fees in advance it must ensure it complies with one of the following acceptable options: i. (Option 1)the RTO is administered by a state, territory or commonwealth govt agency, or ii. (Option 2) the RTO holds current membership of an approved Tuition Assurance Scheme, or iii. (Option 3) the RTO may accept persons for oversight of academic/educational integrity and quality assurance, such that: for an RTO with anticipated ongoing operation of less than 150 equivalent full time students or an annual student fee turnover of less than $1.5m per annum, persons are appointed with suitable 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 35 of 42 iii. iv. qualifications and experience; and for all other RTOs, a governance committee is established that includes individuals who are independent of the RTO s ownership and are employed with suitable qualifications and experience v. a CEO/PEO and members of the RTO s senior management team with appropriate qualifications and educational experience ASTT fee and refund policy outlines our processes in relation to this issue. ASTT policy is that it does not accept fees in excess of $1,000 per trainee prior to commencement and does not hold undelivered training fees in excess of $1,500 for any trainee.

36 iv. payment of no more than $1000 from each individual student prior to the commencement of the course. Following course commencement, the RTO may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed $1,500, or (Option 4) the RTO holds an unconditional financial guarantee from a bank operating in Australia for no less than the full amount of funds held by the RTO which are prepayments from students (or future students) for tuition to be provided by the RTO to those students. v. (Option 5) the RTO has alternative fee protection measures of equal rigour approved by the registering body. Note: Subsequent payments are not included in SRTO 2015 Clause 7.3, although structuring payment schedules so that no more than $1500 per student is held at any one time. SRTO 2015 Schedule 6 to Clause 7.3 includes further conditions: Condition 5 the learner had been enrolled; and Refers to providing students information the learner receives the full services for which they have prepaid at no additional cost to the about, The nature of the guarantee learner; or given by the RTO to complete the if an equivalent course cannot be found, the learner is training and/or assessment once the paid a refund of any prepaid fees for services yet to be delivered above the threshold prepaid fee amount. student has commenced study in their chosen qualification or course 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 36 of 42 regarding bank guarantees, the RTO must meet establishment and ongoing maintenance fees for the bank guarantee regarding the approved TAS, it must ensure that: the learner will be placed into an equivalent course such that: the new location is geographically close to where

37 Clause 7.4 The RTO holds public liability insurance that covers the scope of its operations throughout its registration period. Clause 7.5 The RTO provides accurate and current information on its performance and governance consistent with the Data Provision Requirements as updated from time to time. AQTF Condition 4 The RTO must hold insurance for public liability throughout its registration period AQTF Condition 2.1 The RTO s Chief Executive must ensure that the RTO co-operates with its registering body: i. in the conduct of audits and the monitoring of its operations ii. by providing accurate and timely data relevant to measures of its performance iii. by providing information about significant changes to its operations iv. by providing information about significant changes to its ownership v. in the retention, archiving, retrieval and transfer of records consistent with its registering body s requirements vi. by providing a statement demonstrating its financial viability, and/or its annual financial statements, and/or a business plan on request of the registering body. VRQA 2016 Guideline 1.3 An RTO must ensure that it has management systems that include: a) management information including: i. details of company incorporation in Australia (alternatively evidence of being an Incorp -orated body in receipt of government funds) ii. a physical address of the company in Victoria for the purposes of serving notices iii. details of the directors, CEO/PEO and senior management members with associated police checks and Working With Children Checks if students are under 18 years of age iv. confirmation that at least one Director or CEO/PEO has his/her principal residence in Victoria v. contact arrangements for the CEO/PEO including during holidays and other closure periods vi. a physical addresses for the location of financial, student and staff records incl. archives and computer back up storage 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 37 of 42 ASTT has and will continue to have public liability insurance to at least the minimum required level of coverage. Certificate of Currency available on request. ASTT governance processes ensure that any person of authority or influence in the organisation will meet the fit and proper person requirement of AQTF condition 1. In addition ASTT management systems and practices ensure that the VRQA 1.3 and 1.4 guidelines are abided by and for relevant individuals. Refer to submitted documentation to VRQA, Governance policy and HR files of relevant individuals. ASTT Principle Officer (owner/manager) is the responsible person to ensure ASTT complies with all AQTF and VRQA requirements. This is outlined in the companies policies and procedures. As mentioned previously ASTT has a student managements system (Vetrack) that is fully compatible with uploading AVETMISS compliant data. Internal record and HR systems and processes maintain staff records and verified or certified documentation on file.

38 AQTF Condition 6 The RTO must have a student records management system in place that has the capacity to provide the registering body with AVETMISS compliant data. b) a financial management system including a system for managing student fee payments and student refunds c) a student records management system that includes the capacity to provide the VRQA with AVETMISS compliant data and to ensure that copies of student records are i. not able to be withheld from the RTO; and ii. able to be provided in electronic and print versions, at no cost to the VRQA in the event that the VET provider ceases operations d) a staff records management system including arrangements which ensure that for each staff member involved in training and assessment, the RTO holds verified documentation indicating each staff member s qualification and skills ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 38 of 42

39 Standard Eight: The RTO cooperates with the VET Regulator and is legally compliant at all times Clause 8.1 The RTO cooperates with the VET Regulator: a) by providing accurate and truthful responses to information requests from the VET Regulator relevant to the RTO s registration; b) in the conduct of audits and the monitoring of its operations; c) by providing quality/performance indicator data; d) by 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; e) by providing information about significant changes to its ownership within 90 calendar days of the change occurring; and f) in the retention, archiving, retrieval and transfer of records AQTF Condition 2.1 The RTO s Chief Executive must ensure that the RTO co-operates with its registering body: i. in the conduct of audits and the monitoring of its operations ii. by providing accurate and timely data relevant to measures of its performance iii. by providing information about significant changes to its operations iv. by providing information about significant changes to its ownership v. in the retention, archiving, retrieval and transfer of records consistent with its registering body s requirements vi. by providing a statement demonstrating its financial viability, and/or its annual financial statements, and/or a business plan on request of the registering body. Note: SRTO 2015 provides timeframes for notification of changes. ASTT Principle Officer (owner/manager) is the responsible person to ensure ASTT complies with all AQTF and VRQA requirements. This is outlined in the companies policies and procedures. Clause 8.2 The RTO ensures that any third party delivering services on its behalf is required under written agreement to cooperate with NA VRQA 2016 Guideline 2.2 An RTO must ensure that any third party delivering services on its behalf is required, under a written agreement, to cooperate with 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 39 of 42 ASTT does not or does not intend to engage third parties to deliver training and assessment or marketing/enrolment services on its behalf.

40 the VET Regulator: a) by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services; and b) in the conduct of audits and the monitoring of its operations Clause 8.3 The RTO notifies the Regulator: a) 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 b) within 30 calendar days of the agreement coming to an end. the VRQA: a) by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services; and b) for the purposes of the conduct of any audit or monitoring of its operations. NA VRQA 2016 Guideline 2.3 An RTO must notify the VRQA of any written agreement entered into under Guideline 2.2 for the delivery of services on its behalf: a) within 30 calendar days of the agreement being entered into or prior to the obligations under the agreement taking effect, whichever occurs first; and b) within 30 calendar days of the agreement coming to an end. However if this did occur, ASTT has a partnership/third party policy in place and would have formal written agreements in place to ensure full compliance with AQTF and VRQA requirements from all parties. As previously mentioned ASTT does not engage Third Parties to deliver any services on its behalf. However if this did occur a formal written agreement would be established and this would be submitted to VRQA within 30 days as per the VRQA guidelines. Clause 8.4 The RTO provides an annual declaration on compliance with these Standards to the VET Regulator and in particular whether it: NA VRQA 2016 Guideline 5 An RTO registered with the VRQA must provide an annual declaration of compliance with the AQTF Essential Conditions and Standards for Continuing Registration (the AQTF Standards) and these Guidelines, and in particular whether it: a) 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 a) currently meets the requirements of the has issued in the previous 12 months; AQTF Standards & these Guidelines and across all of its existing scope of 1601 ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 40 of 42 ASTT Principle Officer (owner/manager) is the responsible person to ensure ASTT complies with all AQTF and VRQA requirements, including the provision of an annual declaration. This is outlined in the companies policies and procedures.

41 b) 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. registration; and b) has met the requirements of the AQTF Standards for all AQF certification documentation which it has issued in the previous 12 months; and c) has training and assessment strategies and practices in place that ensure that all current and prospective students are or will be trained and assessed in accordance with the requirements of the AQTF Standards and these Guidelines. Clause 8.5 The RTO complies with Commonwealth, State and Territory legislation and regulatory requirements relevant to its operations. AQTF Condition 3 The RTO must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements that are relevant to its operations and its scope of registration. It ensures that its staff and clients are fully informed of these requirements that affect their duties or participation in vocational education and training. Note: SRTO 2015 Clause 8.5 does not require the RTO to inform staff and clients about legislation and its implications (see below). ASTT Principle Officer (owner/manager) is the responsible person to ensure ASTT complies with all AQTF and VRQA requirements. This includes insuring all staff and clients are kept fully informed of any VET related changes that may impact on them directly or indirectly. This is outlined in the companies policies and procedures. Clause 8.6 The RTO ensures its staff and clients are informed of any changes to legislative and regulatory requirements that affect the services delivered. AQTF Condition 3 The RTO must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements that are relevant to its operations and its scope of registration. It ensures that its staff and clients are fully informed of these requirements that affect their duties or participation in vocational education and Note: SRTO 2015 Clause 8.6 only refers to changes. As per clause 8.5 above ASTT commitment to VRQA & AQTF guidelines, Standards & Conditions - Version 2 Page 41 of 42

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