You can be asked by the regulatory body to demonstrate how you identify legislation change, what you did to demonstrate compliance and how the information related to legislation and regulatory changes and their impact on the training organisation was communicated to the RTO stakeholders so that everyone stays up-to-date within your training organisation.

SRTOs 2015 state the following:

Clause 8.5

The RTO complies with Commonwealth, state and territory legislation and regulatory requirements relevant to its operations.

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.

This is when maintaining a compliance and regulatory register to record a legislation change is made comes in handy. This can be done by checking the relevant laws or standards on a regular basis and updating your register within a specific period of receiving written notification of any changes. You may also wish to review any newly introduced legislation and include this in your register as well if applicable.

A compliance and regulatory register is an internal record

A compliance and regulatory register is an internal record that records the relevant legislation, standards, codes and guidelines you comply with. It’s important to know what new legislation there is and make sure your business is compliant with it. For example, if there is a change in tax law or a new regulation comes into force that affects how businesses operate then these changes should be recorded in your register so that they can be included in your risk assessments.

When a change occurs it should be noted on this document so that any future changes can also be documented here too. This helps to ensure that all changes are recorded together which makes them easier to find when they’re needed later on down the line rather than having multiple documents scattered around with no clear indication as to what has changed since last time someone looked at them (or worse still – forgetting about them altogether!).

The register must be up to date and easily accessible

The register must be up to date and easily accessible by your employees and contractors.

Make sure the register is kept in a safe place so that it cannot be damaged or destroyed. This can include keeping it in an office or filing cabinet or using a software system for access control. A number of training organisations have this register saved on their intranet services.

You should also make sure that all staff have access to the register at all times, as well as contractors who work on your behalf.

Include all relevant and current information

As a training business, you need to include all relevant and current information in your compliance and regulatory register.

Your register must contain:

Legislation that affects your business (It is a good practice to have a legislation register that includes all training products and individual units of competency you have on your RTO’s scope and how your organisation stays on top of all compliance requirements and updates); and

Regulations relating to the legislation

When you make a change to a law or standard, you need to make the change according to the time-frame mentioned in your RTO’s policies and procedures.

If you are unsure of how to keep a compliance and regulatory register, you can seek help from a professional organisation that specialises in this area. They will be able to advise you on the best way to keep track of changes in legislation and ensure that your business remains compliant.

The Australian Vocational Education and Training (VET) regulatory framework is dynamic. There are regular changes to standards, requirements and conditions. As a provider of training services, you need to stay up-to-date with these changes to ensure you continue to operate from a position of compliance. Here’s a breakdown of some key areas relating to compliance you should know about:

What you need to know about compliance.

There are many different terms used in the compliance and quality space:

Compliance

Is a legal requirement to meet regulatory requirements, industry standards and legislative requirements

Quality standards

These are what we expect to be achieved in our operations. For example, we might have a policy that all students must be issued qualifications within 30 days period after successfully demonstrating compliance and meeting all course, regulatory, and organisational requirements. This would be a quality standard because it provides clear guidance on how long qualifications should take to be issued.

How VET providers can set standards and meet regulatory requirements.

It is important for VET providers to be aware of the quality assurance requirements that they must meet in order to operate legally and ensure that their students are receiving a high-quality education.

VET providers can set standards and meet regulatory requirements by:

One way in which VET providers can set standards and meet regulatory requirements is by developing and implementing quality assurance processes. Quality assurance processes help to ensure that providers are delivering training that meets the needs of their students and the industry. In order to develop and implement quality assurance processes, providers need to have a good understanding of the Australian Quality Training Framework (AQTF). The AQTF is a set of quality standards that all VET providers must meet. Providers can use the AQTF to develop and implement quality assurance processes.

Another way in which VET providers can set standards and meet regulatory requirements is by developing partnerships with industry bodies. These partnerships can help to ensure that providers are delivering training that meets the needs of the industry. In order to develop partnerships with industry bodies, providers need to have a good understanding of the needs of industry. They also need to be able to build relationships with industry representatives.

It is also important to ensure staff are trained in compliance by completing appropriate courses in compliance and training and assessment and going through regular professional development training.

What to do if you’ve received a non-compliance notice.

If you’ve received a non-compliance notice, take it seriously. You may be able to resolve the issue by understanding the compliance gaps, fixing the non-compliance, and responding directly to the person or department mentioned on the notice. If not, seek legal advice or talk to RTO consultants as soon as possible.

Respond to the notice in writing within the time period specified on the notice, and demonstrate how have you corrected any nonconformities (as necessary). Make sure that all of your staff are aware of current laws and regulations affecting your organisation’s activities, especially if they’re located in different locations across Australia. Finally, make sure that these issues don’t happen again!

The difference between conditions on registration and sanctions.

Once you have registered your VET provider, you will be given a copy of the conditions on registration, if there are any on your RTO’s scope of registration. These are imposed by the regulator and outline what you must do to continue to operate as an accredited training organisation. They could include:

• meeting certain standards;
• acting in accordance with legislative requirements;
• not being able to enrol students or limiting the number of student enrolments;
• not able to operate operations/business till the review/appeal application completes
• having clear systems for managing complaints and reporting breaches or suspected breaches of the law;
• ensuring that only suitable staff are employed by the organisation;
• ensuring that all staff comply with Code of Professional Conduct and Ethics (CPCE).

What information needs to be included in an organisational risk assessment.

What is a risk assessment? A risk assessment is an evaluation of possible threats to a person, property or business and the actions that can be taken to minimise or eliminate them.

What is a risk assessment for? A risk assessment is an evaluation of possible threats to a person, property or business and the actions that can be taken to minimise or eliminate them.

What information needs to be included in an organisational risk assessment? The following information should be included:

The purpose of conducting the assessment (what you are trying to achieve).

A summary of how often your organisation conducts these types of assessments. This helps explain why this particular one has been completed now (and what has changed since your last one). For example, “We have conducted similar reviews every five years since 2015” or “As we have recently experienced several non-compliance across our organisation it has been decided that this review will now occur annually instead of every five years”.

Stay up-to-date with changes to the regulatory framework for VET.

You should read up on and stay up-to-date with the latest news and developments in the VET regulatory framework.

Irrespective of whether you working for a large or small organisation, it is important to make sure that your organisation is compliant with all relevant legal requirements as they apply to training organisations. To do this, you should have a plan in place to deal with non-compliance that includes:

• An internal audit process that reviews compliance with key regulatory requirements;
• Regular workshops for staff so they understand their roles and responsibilities, and
• Having an effective reporting system so that any non-compliant practices are identified quickly and dealt with effectively

Have you ever stopped to wonder why, when you return to Australia, border officials ask you “Do you have anything to declare?” There are a few reasons for this.

Australia imposes taxes on goods entering the country, and in order to protect those tariffs, we restrict the things that can be imported duty-free. Australia, like many other countries, also has biosecurity rules in place, and the country is not especially keen on someone accidentally introducing the guinea worm to the country.

In a similar manner, the CEO declaration of compliance confirms that the organisation complies with regulatory standards and guidelines, as well as the steps it is taking to demonstrate that it remains compliant at all times during the course of its operations.

An annual declaration of compliance

The annual declaration on compliance is a statement by your organisation confirming that it is compliant with all requirements of the Standards.

Providing an annual declaration:

• confirms that you have systematically monitored your RTO’s compliance with the Standards, and
• informs ASQA of whether any issues identified have been corrected.

All Australian Registered Training Organisations (RTOs) are required to file an annual declaration of compliance with the RTO Standards applicable to their organisation by the 31st March of each year.

It is a requirement that one must complete and sign if they are the Chief Executive Officer (CEO). This form confirms that they are the following:

• Taking full responsibility for ensuring that the organisation adheres to the National Vocational Qualifications Framework (VQF)
• All other applicable criteria of registration, as well as ensuring that your organisation cooperates with ASQA in all audits and monitoring efforts.

The annual declaration provides a chance for providers to conduct a self-assessment and to ensure that all information held by ASQA regarding their activities is accurate.

The yearly declaration, according to ASQA, aids in the identification of emergent systemic issues in the VET sector.

We at CAQA recognise that the CEO has a plethora of obligations; thus, let us relieve you of the burden and confusion by identifying important areas of compliance and scrutinising the RTO’s procedures in order to determine whether or not there are any noncompliances.

Topics of discussion include, but are not be limited to, the following:

• Findings of internal audit/s
• Strategies, practices and methods for training and assessment
• Validation activities
• Industry engagement
• Pre-enrolment and admission processes
• Quality training and assessment system
• Third-party services
• Language, literacy and numeracy requirements
• Training and assessment materials
• Transition planning
• Controlling the flow of information
• Improvement on a continuous basis
• Complaints and appeals processes
• Issuance of qualifications and statements
• Trainers and assessors
• AVETMISS compliant database
• Regulatory reporting and quality indicators

So what is it?

It is a basic web form survey which is distributed by an email marketing and communications business called Vision6. It requires no sign-in or authentication. It relies only on information that is already publicly available to identify the RTO about which the declaration is being made.

Click here for ASQA’s Self-assessment tool if you need help getting started.

How do I submit an annual declaration of compliance? (Clause 8.4)

In February of each year, ASQA invites the Chief Executive Officers of RTOs, by email, to complete the Annual Declaration on Compliance. This must be completed by 31 March that year.

While others may contribute, the final declaration must be completed by the person who is legally responsible for the registration of the RTO (the Chief Executive Officer).

If your RTO has not received the email from ASQA, you should take the following steps:

• Check your spam/junk mail folder.
• Check that the email address for your CEO contact is correctly listed on training.gov.au. If the address is incorrect, you should update the contact details in asqanet, and then contact the ASQA Info Line to request that ASQA re-send the email.
• If your RTO has previously unsubscribed from ASQA emails, you should contact web.feedback@asqa.gov.au and ASQA will reactivate the subscription to ASQA emails.
• If none of the above apply, you should contact InfoLine by emailing enquiries@asqa.gov.au and advise that your RTO has not received the email.

What happens if non-compliances are discovered and documented?

All non-compliance must be documented and a rectification plan must be put in place to ensure your organisation is compliant with all regulatory requirements and guidelines.

Our RTO consultants can assist you in crafting a proper response as you are filling out your CEO declaration of compliance.

Failure to submit the declaration with full and accurate data can result in ASQA taking regulatory action.

Please use the following link for further information and support: FAQs about the annual declaration process.

For more information, please refer to Annual declaration on compliance for 2022 – submit by 31 March 2022 | Australian Skills Quality Authority (ASQA)

Maciek Fibrich is the Director of RTO Coaching and Consultancy Pty Ltd which provides amongst other services, coaching, mentoring and consultancy services as well as professional development and operational support to training organisations across Australia. Maciek has been working in the Vocational Training sector for 21 years and as a consultant for over 15 years focusing on the development of training within the Australian Vocational Education and Training industry.

Over the years, Maciek has mentored many business owners, company directors and CEO’s on developing internal systems to streamline their practices. Maciek has also employed over 25 staff, whilst managing a company with 8 business activities.

Maciek holds a Bachelor of Applied Science and various vocational qualifications including the Diploma of Quality Auditing, Diploma of Training and Assessment as well as a Certificate IV in Business Management; and Training and Assessment. Maciek holds his Lead Auditor Certification and has professional membership with the Australian Institute of Training and Development, the Institute of Learning Practitioners and the Institute of Learning and Development.

On a personal level, Maciek has been actively involved with the Polish community, participating in and leading a range of youth groups including the Polish Scouting Association of Australia, a number of Polish Folk dance groups and youth leadership programs, the sport of Volleyball, as a player, coach and national and International referee, officiating during both the 2000 Sydney Olympics and Paralympics.

Here is a copy of Maciek Fibrich’s interview conducted by Sukh Sandhu.

It is always a pleasure to speak with you as one of the most highly regarded and quality-conscious consultants in the RTO sector. So the questions prepared by The VET Sector experts for you are:

Q1: When it comes to quality consultants, what are the top five qualities that RTO clients should look for?

Everyone defines quality differently and what I regard as a quality consultant may be very different to someone else’s perspective. Five qualities I believe help make a quality consultant include honesty, integrity, the ability to interpret other people’s information, always looking for a better way and of course a solid understanding of the systems we are working with.

At the end of the day, you need to feel comfortable with the consultant you are working with. You need to be comfortable learning from them, comfortable asking all the perceived ‘silly’ questions as well as the tough questions and trusting them to do the right thing. But, remember that you also need to do your part of the process and not rely on the consultant to do everything for you as it’s not them answering the questions at audit.

Q2: You have been a fairly objective observer of regulatory activity in Australia, so how would you describe the regulatory climate in Australia right now? ‘

I believe we are in a good space with regards to ASQA. Is it perfect? Far from it! Is it costly, yes! Excessively? Possibly. Money aside, (said no one ever), I think the changes that have come this year have definitely helped mend many bridges, however, there is still a long way to go.

I believe we have taken some amazing steps, and the management team at ASQA should be congratulated for being proactive and hopefully things keep progressing. I have already observed and participated in some regulatory processes that have truly brought a smile to my face and hope these instances continue.

That said, providers must not get complacent! The current COVID relief packages will end soon, and the restrictions on movement will ease, and while it’s been easy to fly under the radar, this does not mean we have been exempt from being compliant and properly managing our businesses. If, like our personal COVID kilos, we’ve let ourselves go in the compliance and business area, it’s now time to start a solid routine and get the business pumping again. You don’t want the shock of an ASQA audit to be as bad as the first time you jumped on the scales in 12 months!

Q3: When it comes to RTOs, what are the top five characteristics that distinguish a good one from a bad one?

Like the first question, the perception people have about a good RTO will be dependent on their needs. Some people want a hassle-free ‘quick’ qualification, and others want the full service, 12 month-guided experience.

So that said, I believe a good RTO is one that listens to its customers, supports the industry it’s ‘feeding’, understands that business and compliance have to go hand in hand, and implements that critical systematic approach to its operations to ensure it can achieve, what I promote, profitability, scalability and sustainability. A good RTO will generally have an internal culture of education

A good RTO will ensure the outcomes of its students meet the needs of both students and the vocational area the student is studying. From a business perspective, a good RTO is one that understands the business that it’s in, understands what problems it’s solving and can implement the principles of transparency, autonomy and accountability within its processes.

A ‘bad’ RTO? I guess that would be the opposite of a good RTO, but I also want to differentiate a bad vs dishonest RTO. Any dishonest RTO would be a bad RTO. One that cheats the system for gain, ‘sells’ its qualifications, exploits students and funding etc. A bad RTO would be one that also doesn’t care about its students, doesn’t understand the business that it’s in and generally has a disregard for compliance and the needs of the industry. Bad RTO’s often have a cultural issue that comes from the top, or in ‘cells’ within the business. It’s not hard to turn bad RTOs into good RTOs, but it does take commitment from the top.

Q4: What kind of services do you provide to RTO clients through your consulting company?

The main service I now provide is education. One thing the 20+ years of consulting has taught me is that if we don’t educate our clients, we fail them. We also need the clients that want to be educated but that’s a whole other issue. Over the years, I have provided basically every type of service needed within an RTO, but now I like to focus on the coaching and mentoring side of my business. This gives me the greatest amount of satisfaction and joy as I see better results over the medium to long term.

While I still do the small bits of consultancy, they are not my focus area as I find that there is a level of dependency that is developed when you do everything for the client. If I teach my clients, and their teams, to understand the issue and help them implement the fix, this empowers the team and avoids statements like, ‘Oh he’ll do it’.

About two years ago, I launched my CMC program, which incorporates Coaching, Mentoring and Consultancy into a weekly solution for any CEO or manager who wants to understand their business at a much more intimate level. The program explores challenges and issues within the business and we work on solving those issues. We then educate the team on the issues and solutions, and once we have the foundations set, we can then build the solution. I find this a much more effective approach to simply ‘doing it for the client’.

Q5: You and your colleagues Tamara and David host a fantastic monthly meeting session that is completely free of charge. What inspired you to start this and how has your experience been so far?

Thank you for the kind words! Tamara is the brainchild behind the monthly sessions and she approached us to see if we wanted to be involved. For me, sharing knowledge and teaching others, and making the world and our industry as a whole, better, is what drives me, and I think that can be said for most people within our industry. If I could do it daily, for free, I honestly would. Thankfully, my business is doing just that, and I am fortunate enough to be paid to educate others so I truly feel like I don’t work. I love what I do and that passion drives me!

The experience so far has been great and the feedback has also been great. It’s a real honour and privilege to be able to share my learnings from the past 20+ years of working within the industry to help overs and hopefully, improve their businesses and the lives of their students and staff.

Q6: What are the most effective survival tactics for organisations working in the current environment?

1. Know your business. If you are flying by the seat of your pants, and have survived, you’re lucky but business is not about luck. Know your numbers and review them. At the end of the day, for most, an RTO is a business and is designed to make money. Even those that are not out to make money, still need to know their numbers to ensure whatever funding source is feeding them doesn’t dry up one day.
   Questions you should be asking; What is your cost per lead? Cost of acquisition? Profit per student? Percentage spent on marketing? etc etc.
2. Know the climate and environment. How does the regulatory approach align with your current business practices? Do you have a systematic mindset? Does your team have a whole of business attitude where compliance isn’t one person’s job? Is there a shared understanding of the clients and industries needs so that everyone within the organisation can effectively input into the growth and sustainability of the business? The more you understand your business, the documents and processes that exist within your business, the better prepared you will be for any challenges that arise.
3. Focus on what you are doing, not what the others are doing. I’m not saying don’t look at your competitors, but it’s too easy to get caught up with the concept of following the herd. Until you understand where the herd is going, you are following blindly. Too often we see within this industry, a race to the bottom in terms of pricing and course duration and newcomers follow because they want a piece of the action, only to find they are not making money. Make sure you have a plan, focus on your plan and amend as required. Make sure your team is on board.
4. Keep the passion, park the ego and emotion. Passion is key to the success of any business and job. Without passion, little things become problems, resentment sets in and issues fester a lot quicker. Passion is what drives up and when we lose that passion, we either need to take a break and find it again or pivot and change the way we do things. I have pivoted my business countless times as I grew. From focusing on straight admin management in the early days, to countless startups and now my coaching programs. As I got bored, and wanted more, I reinvented myself to ensure the passion kept burning.