the following information is required for metadata purposes, please ignore. [title]Components
of AQTF 2007[/title] [summary]
AQTF 2007 includes:
[/summary] [coverage]Australia[/coverage] [audience]All Audiences[/audience] [industry]All
Industry Sectors[/industry] [modified_date]1185717600000[/modified_date] [created_date]1183989600000[/created_date]
end of page metadata information.
FREQUENTLY ASKED QUESTIONS (for RTOs/applicants)
1. What are the new AQTF Essential Conditions and Standards and how do
they differ from the AQTF 2007 Essential Standards?
2. When am I required to comply with the new AQTF Essential Conditions
and Standards?
3. What happens if I do not comply with the new AQTF Essential Conditions
and Standards?
4. How do I find out further information about the new AQTF Essential Conditions
and Standards and what they mean to me?
5. Can I provide feedback on the new AQTF Essential Conditions and Standards
if there are areas that I think should change?
6. What is a fit and proper person test? (Condition 1)
7. Who must meet fit and proper person requirements? (Condition 1)
8. What ‘other legislative provisions’ would satisfy the fit and proper
person test? (Condition 1)
9. What happens if a senior officer does not meet the fit and proper person
test? (Condition 1)
10. How will the registering body assess my financial viability (Conditions
2 and 5)? How can I demonstrate financial viability? Who will decide whether I have
met this requirement?
11. How do I locate an 'approved Tuition Assurance Scheme'? (Condition
5)
12. How do I demonstrate that I do not collect student fees in advance?
13. What is AVETMISS and what does it mean to me? (Condition 6)
14. Do I now have to buy AVETMISS compliant software? Is there a list
of recommended software? (Condition 6)
15. How often do I have to submit data and who will see my organisation’s
information and what will it be used for? Who do I contact from my registering body
to find this out? (Condition 6)
16. If I have to submit AVETMISS data, why do I have to submit CCOS data
as well?
17. What is a national unique student identifier and what do I have to
do about it? (Condition 6)
18. I seek client feedback through the two quality indicator survey tools,
so have I collected sufficient data for Elements 1.1 and 2.2?
19. How should I demonstrate that my assessment processes and tools are
'systematically validated'? (Element 1.5)
20. How do my obligations under Element 2.1 differ to Element 2.5?
21. What is an ‘agreement’?
22. How are applications risk rated?
23. Registering body contact details
General questions
1. What are the new AQTF Essential Conditions and Standards and
how do they differ from the AQTF 2007 Essential Standards?
In December 2009 the Council of Australian Governments (COAG) endorsed amendments
to the AQTF 2007 Essential Standards, to ensure there is greater protection
of interests for all students undertaking Vocational Education and Training in Australia.
The AQTF Essential Conditions and Standards for Initial Registration and
AQTF Essential Conditions and Standards for Continuing Registration (hereafter
‘AQTF Essential Conditions and Standards’) are the result.
The new AQTF Essential Conditions and Standards have strengthened the Conditions
of Registration that apply to both existing RTOs and organisations that are applying
to be registered under the AQTF for the first time. The revised Conditions of Registration
will now be audited in the same way that compliance with the Standards is audited,
providing stronger barriers to entry. This is to ensure that only quality providers
are able to operate in the VET market for domestic or overseas students.
The AQTF Essential Conditions and Standards have been refined since being
cleared by COAG, to ensure that they give effect to COAG’s intent. These refinements
have been endorsed by the Ministerial Council for Tertiary Education and Employment
(MCTEE).
The AQTF Essential Conditions and Standards are available from
publications. Also available are user guides for the AQTF Essential Conditions
and Standards for Initial Registration and AQTF Essential Conditions and Standards
for Continuing Registration.
2. When am I required to comply with the new AQTF Essential Conditions
and Standards?
The new AQTF Essential Conditions and Standards are to apply from 1 July 2010.
When first applying for registration, an applicant must comply with the Essential
Conditions and Standards for Initial Registration. Once registered, the RTO must
comply with the Essential Conditions and Standards for Continuing Registration.
Transitional arrangements for some Conditions of Registration have been agreed.
These apply only to compliance with Condition 5 and Condition 6, in particular with
the fees in advance options of Condition 5 and the AVETMISS data and unique student
identifier requirements of Condition 6. Compliance with these conditions will not
be required until 3 January 2011 or in the case of the unique student identifier,
in accordance with the yet to published implementation plan. However RTOs/applicants
may be required to provide evidence of planning to comply with these conditions
by the transition deadline.
Information about the transitional arrangements and what is expected of RTOs/applicants
in regards to these Conditions of Registration will be provided once known, and
published on www.training.com.au.
RTOs/applicants must comply with all other components of the Essential Conditions
and Standards from 1 July 2010.
3. What happens if I do not comply with the new AQTF Essential Conditions
and Standards?
Non-compliance with the new AQTF Essential Conditions and Standards for Initial
Registration will mean that your application for registration will likely be refused.
Non-compliance with the new AQTF Essential Conditions and Standards for Continuing
Registration may result in a range of sanctions being placed on the RTO, which may
include: additional conditions being placed on an RTO’s registration, an RTO being
de-registered, or an application for renewal of registration being rejected.
4. How do I find out further information about the new AQTF Essential
Conditions and Standards and what they mean to me?
Supporting AQTF documentation has been developed to support the new AQTF Essential
Conditions and Standards. These documents build on the user guides and national
guidelines developed for the AQTF 2007 Essential Standards.
There are now two user guides – one for initial registration and another for ongoing
registration. National Guidelines for Registering Bodies have been streamlined and
consolidated into a single document.
The supporting documentation is available online at www.training.com.au.
Your Registering and Course Accrediting Body can provide you with specific information
about how the new AQTF Essential Conditions and Standards will apply in your jurisdiction.
Registering body contact details are provided at Appendix A.
5. Can I provide feedback on the new AQTF Essential Conditions and
Standards if there are areas that I think should change?
The AQTF Essential Conditions and Standards are to be subject to an ongoing continuous
improvement process, and so feedback on the AQTF Essential Conditions and Standards
and their implementation are always welcome. However, please note that further changes
are likely to be kept to a minimum and will only be made after significant consultation
is undertaken with relevant stakeholders and with endorsement by the Ministerial
Council for Tertiary, Education and Employment (MCTEE).
Feedback on the AQTF Essential Conditions and Standards and their implementation
can be provided via the AQTF Continuous Improvement Register available at www.training.com.au
AQTF Essential Conditions and Standards
Fit and proper person requirements
6. What is a fit and proper person test? (Condition 1)
Fit and proper person requirements are individual characteristics or past behaviour
standards that must be met by individuals who are in a position to influence the
management of an RTO. Failure to meet the requirements may impact on the suitability
of the individual to contribute to the delivery of education and training.
A test of whether an individual satisfies fit and proper person requirements may
consider past criminal convictions, any record of registration cancellations or
conditions on registration, a history of personal bankruptcy or insolvency, disqualifications
under the Corporations Act 2001 and other relevant matters.
Evidence of satisfying fit and proper person requirements will be determined by
the relevant registering body, but could include:
- a Statutory Declaration by each of the RTO’s senior officers, directors and substantial
shareholders against the fit and proper person requirements established by the registering
body (refer to AQTF National Guidelines for a Registering Body)
- a national police check for each of the RTO’s senior officers, directors and substantial
shareholders
- a record of satisfying fit and proper person requirements of other legislation.
7. Who must meet fit and proper person requirements? (Condition
1)
The applicant/RTO’s senior officers, directors or substantial shareholders who are
in a position to influence the management of the organisation must satisfy fit and
proper person requirements. These requirements are to be met both at initial registration
and at all times during an RTOs registration period.
A senior officer includes directors, secretaries and other people who manage
an RTO. A senior officer of an RTO that is neither an individual nor a corporation
means a partner in the partnership if the entity is a partnership or an office holder
of the unincorporated association if the entity is an unincorporated association.
It can also include a person who makes, or participates in making, decisions that
affect the whole, or a substantial part, of the business of the entity or who has
the capacity to affect significantly the entity's operations or financial standing.
Substantial shareholders in a listed company are those who hold an interest
in 5% or more of the total number of votes attached to the voting shares in a company.
Substantial shareholders in an unlisted company are those who hold an interest in
25% or more of the total number of votes attached to the voting shares in a company.
Individuals who are in a position to influence include those who make or participate
in making decisions that affect the business of the RTO or who have the capacity
to significantly affect the RTO’s operations and financial standing.
8. What ‘other legislative provisions’ would satisfy the fit and
proper person test? (Condition 1)
The fit and proper person test is a subjective test and it may be applied in different
ways in various jurisdictions and for various purposes. Your registering body can
provide information on how they will assess the fit and proper person requirements,
including what other legislative provisions they may consider to satisfy the fit
and proper person test.
A registering body may decide that, if a person has been assessed as having met
fit and proper person requirements in accordance with other legislative provisions,
then that person may be deemed to have also satisfied the AQTF fit and proper person
test. For example, a registering body may deem that you meet the requirements under
AQTF if a person has previously met the fit and proper person test applied under
the Education Services for Overseas Students Act 2001.
9. What happens if a senior officer does not meet the fit and proper
person test? (Condition 1)
The fit and proper test is considered to be a ‘pass or fail’ requirement. If a senior
officer, director or substantial shareholder who are in a position to influence
the management of the applicant/RTO does not meet the fit and proper person test,
the requirement is not met. It is likely that the registering body will not register
the organisation as an RTO, or may deregister or impose sanctions if that person
is not removed from their position of influence.
If you think that a senior officer, director or substantial shareholder may not
satisfy the fit and proper person requirements, you should talk to your registering
body. Registering body contact details are provided at Appendix A.
Financial viability
10. How will the registering body assess my financial viability
(Conditions 2 and 5)? How can I demonstrate financial viability? Who will decide
whether I have met this requirement?
The applicant/RTO must be able to demonstrate at the request of the registering
body that it has the financial capacity to deliver quality training and assessment
outcomes at the time of request and into the future.
The registering body will determine how an applicant/RTO is to demonstrate that
it meets the financial viability requirements. The applicant may be asked to provide
an independent assessment of its financial viability risk, or financial projections,
or business plans so that the registering body can complete an assessment of financial
viability risk.
The risk management section within the National Guideline for Registering Bodies
provides guidance to the registering body as to the kinds of information that it
may take into account when assessing financial viability risk. Registering bodies
may also require additional information other than that suggested in the guideline.
For initial registration, applicants should provide financial projections for their
first two years of operation reviewed by a qualified accountant to Australian Auditing
and Assurance Standards. Supporting information may also be provided in the applicant’s
business plan or market research regarding their financial assumptions (i.e. what
is the basis for assumptions about projected costs, or student enrolment numbers
and fees?).
RTOs will be assessed on the level of risk associated with their actual financial
performance and position, as well as their financial viability risk going forward.
Information that may be provided to demonstrate financial performance and position
may include audited financial statements, financial records for the previous 12
months (profit and loss, balance sheets, cash flow and bank accounts), budgets and
forecasts (including assumptions), information on current and projected student
enrolments (including assumptions), tax records and information on debts, loans
and legal disputes.
Applicants/RTOs should check with their registering body regarding how they are
to meet the financial viability. Registering body contact details are provided at
Appendix A.
Student fees
11. How do I locate an 'approved Tuition Assurance Scheme'? (Condition
5)
There are currently no approved Tuition Assurance Schemes. Advice on arrangements
for approved Tuition Assurance Schemes will be provided on www.training.com.au later
in 2010.
Given that it is not possible for applicants/RTOs to use this option to protect
student, transitional arrangements have been agreed such that applicants/RTOs do
not need to comply with the fees in advance options described in Condition 5 until
3 January 2011. However, Registering Bodies may ask applicants/RTOs to provide information
about how they are planning to comply with these requirements by 3 January 2011
once information about approved Tuition Assurance Schemes has been made available.
It is advisable for applicants/RTOs to continue checking www.training.com.au regularly
for information about approved Tuition Assurance Schemes.
12. How do I demonstrate that I do not collect student fees in
advance?
If you do not collect student fees in advance, you do not need to comply with the
options for protecting student fees set out in Condition 5. However, you will need
to demonstrate that you do not collect fees in advance. The following may demonstrate
that you do not collect fees in advance:
- a documented fees, charges and refunds policy that is clear and transparent and
which clearly indicates that fees are only accepted in arrears;
- invoices or receipts for clients showing the dates payable are in arrears; and
- bank account details and student enrolment records clearly showing that student
fee payments are made in arrears.
Data compliance
13. What is AVETMISS and what does it mean to me? (Condition 6)
The Australian Vocational Education Training Management Information Statistical
Standard (AVETMISS) for VET Providers is a national data standard that ensures the
consistent and accurate capture of VET information about students, their courses,
units of activity, and qualifications completed. It provides the mechanism for national
reporting of the VET system.
Broadly speaking, it provides answers to the following questions about students
in the VET system:
- who they are: basic demographics like age, sex, indigenous and disability information,
geographic location;
- where they study: type of provider (e.g. Government or Private), location of training
delivery; and
- what they study: enrolments in units of competency, as part of a qualification,
the result obtained for unit (outcome), how it was studied (e.g. classroom, workplace
or online) and how it was funded.
RTO/applicants must have a student records management system in place that has the
capacity to provide the registering body with AVETMISS compliant data.
An example enrolment form which contains suggested questions in AVETMISS format
to include on your student enrolment forms (to be used in conjunction with your
own local needs) is available from www.ncver.edu.au.
14. Do I now have to buy AVETMISS compliant software? Is there
a list of recommended software? (Condition 6)
No you may not need to buy AVETMISS compliant software.
You may adopt one or more of these options for a student record management system
to collect information in regard to training activity:
- Commercial software;
- In-house developed software; and
- State and territory provided software
The option you choose will be based upon your own local needs and the reporting
requirements of the state/territory training authorities where relevant. Some jurisdictions
have additional publicly funded reporting requirements and their own arrangements
regarding validation and acceptance of data if you receive government funding.
A list of known commercial software providers that Registered Training Organisations
use to provide AVETMISS compliant data to states and territories is available from
www.ncver.edu.au by selecting Statistical
Standards - AVETMISS Support.
When selecting software, it is important to consider on-going maintenance and upgrade
arrangements as changes are made to AVETMISS from time to time.
15. How often do I have to submit data and who will see my organisation’s
information and what will it be used for? Who do I contact from my registering body
to find this out? (Condition 6)
There have been no changes to the existing data reporting requirements, required
of RTOs.
The current requirement is to have a system that collects AVETMISS compliant data
in place and to 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.
16. If I have to submit AVETMISS data, why do I have to submit
CCOS data as well?
RTOs will have the ability to view and edit data already supplied by them through
national data collections, can elect to enter data directly, or can choose to import
their data electronically. By supplying their data to the Competency Completion
Quality Indicator Online System, RTOs will be able to create reports. This data
can be provided to the Competency Completion Quality Indicator Online System by:
- including all their activity in their current AVETMISS submission; or
- importing or directly enter their data into the Competency Completion Online Quality
Indicator System.
RTOs need to enter data annually for training activity that occurred in the previous
year.
The system will be pre-populated on 1 May each year for those RTOs who submit data
via their state or territory using AVETMISS.
17. What is a national unique student identifier and what do I
have to do about it? (Condition 6)
A national unique VET student identifier is a unique national VET student number
for all nationally recognised training. This is an important initiative aimed at
better capturing information on student pathways, student entitlements, and qualifications
completed.
The system and details for a national unique student identifier are currently being
developed. You will not be required to capture this information until a national
system is in place.
However, some jurisdictions have or are implementing a unique VET student number
at the state level. If you are required to submit data as part of your funding arrangement
this will be part their reporting requirements. You will need to contact the appropriate
jurisdiction which will advise on collection requirements.
Essential Standards
18. I seek client feedback through the two quality indicator survey
tools, so have I collected sufficient data for Elements 1.1 and 2.2?
Yes, if the RTO can demonstrate that the client feedback it collects through quality
indicator survey tools is used to continuously improve client services and to act
on relevant data for continuous improvement of training and assessment. However,
collection of survey data alone without documenting or demonstrating how that data
is used to improve service is not sufficient to meet the requirements.
19. How should I demonstrate that my assessment processes and tools
are 'systematically validated'? (Element 1.5)
Validation involves focussing on assessment processes and tools to review and make
recommendations for future improvements. Validation will be systematic if the RTO
implements a comprehensive, documented plan for assessment validation and/or moderation.
This plan should include:
- when assessment validation and/or moderation will occur;
- which units of competency/modules will be the focus of the activity in proportion
to associated risk;
- who will lead and participate in validation and/or moderation activities;
- how the outcomes of these activities will be documented; and
- how lessons learnt from assessment validation and/or moderation will be acted upon.
Assessment validation should be integrated with the RTO’s continuous improvement
cycle. Detailed guidance on this requirement is provided in the User Guides.
20. How do my obligations under Element 2.1 differ to Element 2.5?
Element 2.1 requires RTOs to have a strategy in place to establish and meet the
needs of all of their clients. Element 2.5 is specific only to learners, and requires
RTOs to have a defined system in place to meet their individual needs.
The difference is that Element 2.1 is a broader requirement applying to all clients,
not just learners. It is possible that an RTO could satisfy the requirements of
both elements in a single client strategy/system, so long as it clearly deals with
both requirements.
21. What is an ‘agreement’?
‘Agreement’ refers to the contract between the client and the RTO regarding the
training, assessment and client services to be provided, and it includes information
provided to clients before their enrolment or signing of a contract because this
information defines the commitments made by the RTO.
Further guidance is provided in the User Guides.
Risk Management
22. How are applications risk rated?
Risk rating for existing RTOs is determined by assessing the likelihood and impact
of non-compliance against three areas of risk: performance risk (history of audit
compliance, data from quality indicators, history of complaints), financial viability
risk and governance risk (including quality of business planning, and transparency
of entity ownership and management structures).
Applicants for initial registration commonly do not have any performance history
and therefore cannot be risk rated against performance indicators. However, applicants
can still be assessed for financial viability and governance risks, based on the
assumptions underlying their financial projections, their proposed organisational
model and business plans.
These risk indicators are assessed to determine an initial risk rating which will
determine the level of future monitoring including audits that the RTO will be subject
to by the registering body.
Risk ratings will be reviewed over time, as new information is made available to
the registering body. RTOs can provide new information affecting their risk rating
to the registering body at any time.
An RTO's risk rating will be provided to the RTO on request. It will not be
made publicly available.
Further information is provided in the audit consistency and risk management section
of the National Guideline for Registering Bodies.