Standard 1. The VET Regulator effectively and efficiently regulates RTOs.
Context:The quality of the regulation of RTOs is crucial to ensuring the credibility of the VET system. This is achieved through effective and efficient processes and practices that are fair, risk-based, transparent, responsive, consistent, and meet legislative requirements.In addition to using a risk-based approach the VET Regulator has:robust and transparent decision making processes;auditors who meet national competency requirements; andprocedures and practices in place to promote consistency in auditor judgements.
To be compliant with Standard 1 the VET Regulator must meet the following:
1.1. The VET Regulator only grants registration or renews registration where it has determined that the person complies with the Standards for RTOs.
1.2. The VET Regulator conducts an audit of the RTO within two years of the RTO first being registered.
1.3. In enforcing the Standards for RTOs, the VET Regulator:
a) adopts a risk-based approach to regulation consistent with the risk assessment framework;
b) encourages RTOs to improve their performance;
c) ensures that its actions taken to mitigate risk of, or respond to, non-compliance are responsive and proportionate; and
d) makes publically available information about how it assesses risk and arrives at risk ratings.
1.4. The VET Regulator provides general education and guidance materials to RTOs to assist them to comply with the Standards for RTOs.
1.5. The VET Regulator only grants an application to add any AQF qualification or assessor skill set from the Training and Education Training Package (or its successor) to the RTO’s scope of registration, if an RTO has:
a) held registration for at least two years continuously at the time of adding the qualification and/or skill set to scope; and
b) from 1 January 2016, undergone an independent validation of its assessment system, tools, processes and outcomes in accordance with the requirements contained in the Standards for RTOs.
1.6. The VET Regulator ensures that:
a) an RTO’s scope of registration is not extended while instances of non-compliance remain outstanding unless action to address all relevant non-compliance is being progressed to the satisfaction of the VET Regulator;
b) subject to Clause 1.7, where a training product is superseded, the VET Regulator removes the training product from the RTO’s current scope of registration one year from the date the replacement training product was released on the National Register;
c) where an AQF qualification is no longer current and is not superseded, the VET Regulator removes the qualification from the RTO’s current scope of registration two years from the date the qualification was removed or deleted from the National Register; and
d) where a skill set, unit of competency, accredited short course or module is no longer current and has not been superseded, the VET Regulator removes the skill set, unit of competency, accredited short course or module from the RTO’s current scope of registration one year from the date the skill set, unit of competency, accredited short course or module was removed or deleted from the National Register.
1.7. The requirements specified in Clause 1.6.b) do not apply where a training package requires delivery of a superseded unit of competency.
1.8. The VET Regulator implements a risk-based approach to managing changes to RTO ownership or management, and publishes clear information about its processes and requirements.
1.9. The VET Regulator ensures that its auditors:
a) adopt contemporary best practice auditing approaches; and
b) exercise their judgement in a manner which maximises consistent interpretation of the Standards for RTOs, audit practice and findings across audits; and
c) from 1 January 2016, meet the national competency requirements for auditors specified in Schedule 1.
1.10. The VET Regulator makes decisions in a manner consistent with the principles of natural justice and procedural fairness.
1.11. In conducting industry reviews and projects, the VET Regulator engages with other regulators as appropriate, including industry regulators, and with industry.
Standard 2. Courses are accredited in accordance with the Standards for VET Accredited Courses.
Context:It is important that courses are accredited in a way that maintains the integrity of AQF qualifications. This is achieved through ensuring that decision making about accreditation is robust and fair and that course accreditation assessors meet national competency requirements.The accreditation of courses needs to comply with the national Standards for VET Accredited Courses; and development processes must involve consultation with industry stakeholders where they are relevant to industry regulation and occupational licensing.
To be compliant with Standard 2 the VET Regulator must meet the following:
2.1. The VET Regulator only accredits courses that comply with the Standards for VET Accredited Courses.
2.2. The VET Regulator:
a) provides advice to training package developing bodies on gaps in training packages identified as a result of its course accreditation activities; and
b) accredits courses that have been designed to meet a licensed or regulated outcome only if the accreditation application is supported by the relevant industry regulator/s.
2.3 The VET Regulator ensures that its course accreditation assessors:
a) exercise their judgment in a manner which maximises consistent interpretation of the Standards for VET Accredited Courses, and the consistency of their assessment practice and outcomes; and
b) from 1 January 2016, meet the national competency requirements for course accreditation assessors specified in Schedule 1.
2.3.
2.4. The VET Regulator makes decisions about accreditation that are consistent with the principles of natural justice and procedural fairness.
2.5. The VET Regulator provides general education and guidance materials to course owners to assist them to comply with the Standards for VET Accredited Courses.
Standard 3. The VET Regulator communicates effectively and implements a transparent complaints process to enhance regulatory practices and outcomes.
Context:Transparent regulation, based on communication and advice to RTOs and other VET stakeholders, will not only improve understanding of expectations and regulatory decisions, but will also establish an environment of review and improvement in RTO training and assessment and compliance with the Standards for RTOs.Stakeholders need to be able to pass on reports of non-compliance to a VET Regulator in confidence and be assured that their report will be used to drive better compliance. Where their report includes a matter where the VET Regulator is specifically empowered to remedy a problem for them, they can expect prompt action and are entitled to feedback on the results of that action.VET stakeholders and VET Regulators benefit from robust mechanisms to allow stakeholders to complain about a VET Regulator’s regulatory practices. Stakeholders can expect their complaint to be addressed promptly and to be informed of the results.
To be compliant with Standard 3 the VET Regulator must meet the following:
3.1. The VET Regulator establishes and maintains effective communication arrangements with other VET Regulators and relevant VET stakeholders.
3.2. The VET Regulator communicates clear and accurate information and advice to relevant VET stakeholders on:
a) regulatory requirements, decisions and practice, including publishing, subject to any legal prohibition, information about decisions to impose a sanction on an RTO and the reasons for imposing the sanction;
b) emerging risks in the sector and patterns of non-compliance; and
c) cooperative arrangements between VET Regulators that promote consistency of practice and interpretation of the Standards for RTOs and the Standards for VET Accredited Courses.
3.3. The VET Regulator ensures that the information kept in the National Register is current as it relates to information within the VET Regulator’s scope of responsibility.
3.4. The VET Regulator ensures that data on qualifications cancelled or issued by the VET Regulator, is provided to the National Centre for Vocational Education Research for inclusion in the national VET data collection.
3.5. The VET Regulator implements a policy to manage and respond to reports of an RTO’s non-compliance with the Standards for RTOs which:
a) is publically available;
b) sets out the procedure for making such a report;
c) explains how such reports are used in supporting compliance efforts of the VET Regulator;
d) explains the circumstances in which it is appropriate for the VET Regulator to inform the provider of the report about its progress, and if so, how this would happen;
e) ensures that these reports are processed in accordance with the principles of natural justice and procedural fairness;
f) requires the VET Regulator to maintain records of all reports about RTOs and their conclusion; and
g) requires the VET Regulator to report on its handling of these reports to its Minister at least on a quarterly basis.
3.6. The VET Regulator implements a policy to manage and respond to stakeholder complaints about its regulatory practices which:
a) is publicly available;
b) sets out the procedure for making a complaint;
c) includes target timeframes for acknowledging and finalising complaints which are set and monitored by the VET Regulator;
d) provides information about how, if applicable, the complainant will be informed about the progress and conclusion of the complaint;
e) ensures that complaints are processed in accordance with the principles of natural justice and procedural fairness;
f) requires that if the VET Regulator considers more than 90 days will be required to finalise the complaint, the VET Regulator will inform the complainant in writing, including reasons why more than 90 days is required; and
g) requires the VET Regulator to maintain records of all complaints about its regulatory services and their conclusion.
3.7. The VET Regulator:
a) uses the information gathered from complaints about RTOs to inform its risk-based approach to regulation; and
b) identifies potential causes of complaints about its regulatory practices and takes appropriate corrective and/or preventative action to eliminate or mitigate the likelihood of reoccurrence.
Standard 4. The VET Regulator reports to and responds to requests from the Industry and Skills Council or its delegate.
Context:VET Regulators are required to report to the Industry and Skills Council or its delegate against the VET Regulator Standards and respond to their requests. Reporting against the Standards plays an important role in improving the quality of regulation by ensuring regular reviews of regulator performance and of their implementation and interpretation of the Standards for RTOs and the Standards for VET Accredited Courses.
To be compliant with 0 the VET Regulator must meet the following:
4.1. The VET Regulator reports according to guidelines issued by the Industry and Skills Council or its delegate on its compliance with these Standards, the operations of the VET Quality Framework, and the Standards for Accredited Courses.
4.2. The VET Regulator responds to requests by the Industry and Skills Council or its delegate for information regarding the operation of these Standards, the VET Quality Framework, the Standards for Accredited Courses and any related regulatory matters.
Standard 5. The VET Regulator evaluates and improves its regulatory performance and ensures that its delegates comply with the VET Regulator Standards.
Context:VET Regulators provide leadership by demonstrating their commitment to evaluating and improving their regulatory practice through a range of improvement strategies. This also ensures that any delegates of VET Regulators comply with these Standards.
To be compliant with Standard 5 the VET Regulator must meet the following:
5.1. The VET Regulator manages its registration and accreditation functions through a defined and documented quality system that is regularly reviewed to ensure its continuing suitability and effectiveness.
5.2. The VET Regulator reviews and improves the way it regulates RTOs and accredits courses, using evidence from sources that include, but are not limited to:
a) internal reviews of its regulatory practices, moderation practices and decisions;
b) its findings and decisions arising from audits of RTOs;
c) reviews of appeals against its regulatory decisions;
d) its findings from complaints against RTOs;
e) its findings from complaints about its regulatory activities;
f) information gained from:
i) data and feedback from VET stakeholders; and
ii) the outcomes of strategic reviews; and
g) information gained from the external review process referred to in Clause 5.3.
5.3. The VET Regulator participates in an external review process as directed by the Industry and Skills Council or its delegate.
5.4. The VET Regulator ensures that its delegates comply with these Standards.
Standard 6. The VET Regulator must be effectively and efficiently managed.
Context:To ensure that the business operations of VET Regulators are efficient and effective, they must have robust management and administrative systems in place. VET Regulators can lead by example by ensuring their business processes are transparent, and reviewed and improved.
To be compliant with Standard 6 the VET Regulator must meet the following:
6.1. The regulatory practices and administrative services of the VET Regulator are efficient and effective.
6.2. The VET Regulator has service standards it must meet to perform its functions which:
a) take account of good practice service standards in developing and updating those service standards; and
b) are publicly available.
6.3. The VET Regulator has a code of practice that its auditors and course accreditation assessors must meet in performing their functions which:
a) takes account of good practice auditing and course accreditation approaches; and
b) is publicly available.
6.4. The VET Regulator regularly reviews its efficiency and performance against its service standards and adjusts internal management to ensure those standards are consistently met.