Information
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Audit Title
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Document No.
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
SNR 4 The applicant must have strategies in place to provide quality training and assessment across all of its operations as follows:
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4.1 The applicant has a defined continuous improvement strategy that requires the collection and analysis of data. The strategy includes implementation of continuous improvement activities for training and assessment.
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4.2 Strategies for training and assessment meet the requirements of the relevant Training Package or VET accredited course and have been developed through effective consultation with industry.
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4.3 Staff, facilities, equipment, and training and assessment materials to be used by the applicant meet the requirements of the Training Package or VET accredited course and the applicant’s own training and assessment strategies and are developed through effective consultation with industry.
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4.4 The applicant has a defined strategy, procedures and measures to ensure training and assessment services are conducted by trainers and assessors who:<br>(a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors;<br>(b) have the relevant vocational competencies at least to the level being delivered or assessed;<br>(c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken; and<br>(d) continue to develop their vocational education and training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence.
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4.5 The applicant has a defined strategy and procedures in place to ensure that assessment, including Recognition of Prior Learning (RPL):<br>(a) will meet the requirements of the relevant Training Package or VET accredited course;<br>(b) will be conducted in accordance with the principles of assessment and the rules of evidence;<br>(c) will meet workplace and, where relevant, regulatory requirements; and<br>(d) is systematically validated.
SNR 5 The applicant must have strategies in place to adhere to the principles of access and equity and to maximise outcomes for its clients, as follows:
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5.1 The applicant has a strategy in place detailing how it will establish and meet the needs of clients.<br>
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5.2 The applicant has a strategy in place for the implementation of continuous improvement of client services informed by the analysis of relevant data.<br>
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5.3 The applicant has in place a process and mechanism to provide all clients information about the training, assessment and support services to be provided, and about their rights and obligations, prior to enrolment or entering into an agreement.
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5.4 Where identified in the learning and assessment strategy, the applicant has engaged or has a defined strategy in place to engage with employers or other parties who contribute to each learner’s training and assessment on the development, delivery and monitoring of training and assessment.
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5.5 The applicant has a defined process and mechanism in place to ensure learners receive training, assessment and support services that meet their individual needs.<br>
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5.6 The applicant has a defined process and mechanism in place to ensure learners have timely access to current and accurate records of their participation.<br>
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5.7 The applicant has a defined complaints and appeals process that will ensure learners’ complaints and appeals are addressed effectively and efficiently.<br>
SNR 6 The applicant must have in place management systems that will be responsive to the needs of clients, staff and stakeholders, and the environment in which the RTO will operate, as follows:
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6.1 The applicant has a strategy in place detailing how the management of its operations will ensure clients receive the services detailed in their agreement with the applicant.<br>
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6.2 The applicant has a defined strategy for the implementation of a systematic continuous improvement approach to the management of operations.<br>
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6.3 Where applicable, the applicant has a defined process and mechanism to monitor training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the VET Quality Framework.
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6.4 The applicant has a defined strategy and process to manage records to ensure their accuracy and integrity.<br>
SNR 7 The applicant has adequate governance arrangements, as follows:
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7.1 The applicant must demonstrate to the National VET Regulator;<br>a. what its intended objectives as an RTO are;<br>b. that it has undertaken business planning, and <br>c. the continuing viability, including financial viability, of its proposed operations.<br>
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7.2 The applicant must also demonstrate how it will ensure the decision making of senior management is informed by the experiences of its trainers and assessors.
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7.3 The applicant’s Chief Executive must identify how he or she will ensure that it will comply with the VET Quality Framework and any national guidelines approved by the National Quality Council or its successors. This applies to all of the operations within the applicant’s intended scope of operation.
SNR 8 Interactions with the National VET Regulator
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8.1 The application for initial registration must be accompanied by a self-assessment report of the applicant’s compliance with the VET Quality Framework.
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8.2 The applicant’s Chief Executive must identify how it will ensure that the applicant will co-operate with the National VET Regulator:<br>(a) in the conduct of audits and the monitoring of its operations;<br>(b) by providing accurate and timely data relevant to measures of its performance;<br>(c) by providing information about significant changes to its operations;<br>(d) by providing information about significant changes to its ownership; and<br>(e) in the retention, archiving, retrieval and transfer of records consistent with the National VET Regulator's requirements.<br>
SNR 9 Compliance with legislation
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9.1 The applicant must identify how it will comply with relevant Commonwealth, State or Territory legislation and regulatory requirements relevant to its intended operations and its intended scope of registration.
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9.2 The applicant must identify how it will inform staff and clients of the legislative and regulatory requirements that affect their duties or participation in vocational education and training.
SNR 10 Insurance
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10.1 The applicant must hold public liability insurance.
SNR 11 Financial management for initial registration.
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11.1 The applicant must be able to demonstrate to the National VET Regulator, on request, that it will be financially viable at all times during the period of its registration.
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11.2 The applicant must identify how it will provide the following fee information necessary for continuing registration, to each client: j<br>a. the total amount of all fees including course fees, administration fees, materials fees and any other charges;<br>b. payment terms, including the timing and amount of fees to be paid and any non-refundable deposit/administration fee;<br>c. 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;<br>d. 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 <br>e. the applicant’s refund policy.
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11.3 Where the applicant intends collecting student fees in advance it must ensure it will comply with one of the following acceptable options for continuing registration:
SNR 12 Strategy for certification, issuing and recognition of qualifications & statements of attainment
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12.1 The applicant must identify how it will issue to persons whom it has assessed as competent in accordance with the requirements of the Training Package or VET accredited course, a VET qualification or VET statement of attainment (as appropriate) that:<br>a. meets the Australian Qualifications Framework requirements; <br>b. identifies the RTO by its national provider number from the National Register; and<br> c. includes the Nationally Recognised Training (NRT) logo, in accordance with the current conditions of use. <br><br>
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12.2 The applicant must confirm that it will recognise the AQF and VET qualifications and VET statements of attainment issued by any other RTO.
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12.3 The applicant must retain client records of attainment of units of competency and qualifications for a period of 30 years.
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12.4 The applicant must identify how it will provide returns of its client records of attainment of units of competence and qualifications to the National VET Regulator on a regular basis, as determined by the National VET Regulator.
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12.5 The applicant must meet the requirements for implementation of a national unique student identifier.
SNR 13 Strategy for accuracy and integrity of marketing
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13.1 The applicant must demonstrate that its proposed marketing and advertising of AQF and VET qualifications to prospective clients is ethical, accurate and consistent with its scope of registration.
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13.2 The applicant demonstrates that it will use the NRT logo only in accordance with its conditions of use.
SNR 14 Strategy for transition to Training Packages/expiry of VET accredited course.
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14.1 The applicant must identify how it will manage the transition from superseded Training Packages within 12 months of their publication on the National Register so that it delivers only currently endorsed Training Packages.
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14.2 The applicant must identify how it will manage the transition from superseded VET accredited courses so that it will deliver only currently endorsed Training Packages or current VET accredited courses.
