Guide A (RTOGUI-001)

APPLICATION GUIDE for

Initial Registration or Renewal of Registration AUSTRALIAN QUALITY TRAINING

FRAMEWORK (AQTF) 2007

GPO Box 158 Canberra  ACT 2601 Telephone (02) 6205 7091 Facsimile (02) 6205 7045

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Guide A – Initial Registration or Renewal of Registration Application Guide

Introduction

This guide explains the information you need to provide in Form A Application for Initial Registration and Form B Application for Renewal of Registration.

You need to complete Form A if you are applying to become a registered training organisation (RTO) for the first time. You need to complete Form B if you are already an RTO and need to renew your registration.

If you are applying to renew your registration, review your current scope to see if you need to remove any Training Package qualifications, individual units of competency (where you have not been providing a full qualification) or accredited courses.

If you are only applying to amend your scope of registration, do not use this form. You need to use the Extension to Scope Form (EXTRT)-002).

All applications for initial registration and renewal of registration must comply with the requirements of:

the Australian Quality Training Framework (AQTF) 2007 Essential Standards for Registration

the Conditions of Registration the Training and Tertiary Education Act 2003 all guidelines for RTOs issued by ACT Accreditation and Registration Council

Address all applications to:

Program ManagerACT Accreditation and Registration Council SecretariatGPO Box 158Canberra ACT 2601

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Part 1 - Type of application

1.1 Registration as an RTO

You need to tick the box to indicate whether you are:

applying for registration for the first time – ie your organisation is not registered at present (Form A) or

applying to renew your registration – ie your organisation is already an RTO, its registration will expire within six months, and you want to re-register (Form B).

Organisations applying to renew their registration should note that applications for renewal are processed exactly the same way as initial applications. Therefore you need to provide the same information as an applicant for initial registration, even though some of the information may be held on file by the ACT Accreditation and Registration Council.

1.2 Type of registration

Tick whichever is appropriate. If you intend to provide training and assessment services for some qualifications and only assessment services for others, please tick “training and assessment”.

1.3 CRICOS delivery

Only answer yes if your organisation is now providing training/assessments to overseas students studying in the ACT on a student visa or your organisation intends doing so immediately it is registered.

To deliver to overseas students studying in the ACT on a student visa, your organisation also needs to complete a separate application form and be approved on the Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS). Your organisation needs to apply separately, please ring (02) 6205 7091 for an application.

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1.4 Interstate delivery/assessment

Only answer yes if your organisation is now providing training/assessment services interstate or your organisation intends doing so immediately it is registered.

Once your organisation is registered, it can commence operations in another state or territory at any time. (Please note that it is a requirement under the AQTF 2007 that you notify the registering body about significant changes to the RTOs operations).

1.5 Delivery/assessment outside Australia

Only answer yes if your organisation is intending to provide training/assessments to people residing overseas (outside Australia) or your organisation intends doing so immediately it is registered.

Please note that RTOs who intend to deliver training and/or assessment services outside of Australia must seek approval from the ACT Accreditation and Registration Council (ARC). Please refer to ARCs Offshore Policy on www.arc.act.gov.au

1.6 Occupational licensing/regulatory requirements

Only answer yes if any qualification(s) or individual unit(s) of competency you intend to offer or are offering meet occupational licensing or other regulatory requirements.

1.7 Trainees and/or apprentices

Only answer yes if your organisation is now (as an RTO) providing training to trainees and/or apprentices who are registered under a National Apprenticeship/Traineeship Training Contract or your organisation intends doing so immediately it is registered.

1.8 Partnership arrangement

For initial registration please list all organisations who you intend to enter into an agreement to provide training and/or assessment services on your organisations behalf.

For renewal of registration please list all organisations who currently provide training and/or assessment services on your organisations behalf.

1.9 Accepting fees paid in advance

If fees are paid in advance the registering body may require evidence of how these fees are protected.

1.10 Delivering to under 18 year oldsIn some states and territories it is a requirement that police checks of staff are conducted.

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Part 2 – Applicant’s details

2.1 Name of legal entity

Registration will be granted only in the name of a legal entity, not a trading name alone.

2.2 Type of legal entity

Corporations If the applicant is a company, the name must be exactly as registered with the Australian Securities and Investments Commission and a copy of the Certificate of Incorporation and full ASIC details (showing the names and addresses of all directors) must be attached. Note that only corporations registered in Australia may apply for registration as an RTO.

Individual sole traders If the applicant is an individual sole trader, registration will only be granted in the full name of that person.

Partnerships If the organisation is a partnership, registration will only be granted in the full names of all partners. Such applicants should note that, if the partnership ceases to exist (for example, one of the partners leaves the partnership), the RTO’s registration will be cancelled and the new entity will have to apply for registration in its own right.

Trusts If the applicant is a trust, registration will only be granted where the trustee is clearly identified (eg XYZ as the trustee for…). Registration will not be granted for unnamed trustee (ie “The Trustee(s) for…”) unless the trust is established by a specific Act of Parliament.

Incorporated associations If the applicant is an incorporated association, a copy of its Certificate of Incorporation must be attached.

Government entity If the application is a Government entity specify the Act of Parliament or Order establishing the statutory body (as appropriate).

Other (specify)

You should note that the name of the legal entity that is registered as the RTO must be used on all Australian Qualifications Framework qualifications and Statements of Attainment issued by the RTO.

Please attach a copy of the Certificate of Corporation and if your organisation has a trading name a Certificate of Registration of a Business Name is also required.

2.3 Registered business or trading name(s)

In addition to the name of the legal entity, an RTO may use the registered business (trading) name(s) under which it wishes to perform its RTO functions, including marketing and advertising its services.

If the RTO uses a trading name, it must provide a copy of the Certificate of Registration of Business Name showing the current and correct details, including the registration number and proprietor of the name. The proprietor must be the legal entity.

If registration is granted it will be on the condition that the RTO’s functions will be performed in the name of the legal entity and its nominated registered business name(s) only and that the RTO retains its present legal status.

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2.4 Australian Company Number

If the legal entity is a company, enter the ACN.

2.5 Australian Business Number

The RTO's ABN must be set out on all of the RTO’s documentation, preceded by the abbreviation “ABN”. If the RTO is a company and the last 9 digits of the RTO's ABN are not the same, and in the same order, as the last 9 digits of its ACN, both the RTO's ACN (preceded by the abbreviation “ACN”) and ABN must be set out on all RTO documentation.

2.6 Type of training organisation

Using the definitions below as a guide, indicate the type of organisation the legal entity is. Do not take delivery location, type of qualification or type of funding into account. School – A school’s major activity is the provision of full-time secondary education or the provision of secondary distance education. The term includes schools in institutions and hospitals, mission schools and similar establishments.

Australian Technical College (ATC) - means a school in respect of which financial assistance under the Australian Technical Colleges (Flexibility in Achieving Australia’s Skills Needs) Act 2005 is provided or proposed to be provided.

TAFE – A Technical and Further Education (TAFE) institute is a government-funded public body created by an Act of Parliament.

Enterprise – Training is delivered to the enterprise’s employees or cadets. Enterprise – Government (eg Department of Defence, Centrelink). Government

entities also need to identify the legislation under which they are established or constituted.

Enterprise – Non-government (eg Woolworths Ltd, Qantas Airways Ltd).

Community-based adult education – A not-for-profit, community-based organisation with a primary focus on adult education.

Private provider – a privately owned education/training business or centre.

Professional association – an association that performs functions such as: providing and promoting professional and career development activities establishing and monitoring industry standards and professional codes of practice advising educational institutions on curriculum development.

Examples include the Institute of Chartered Accountants, Australian Institute of Management, and the Australian Computer Society.

Industry association – a national industry association that represents the interests of its members (eg Internet Industry Association) or an industry union (eg Textile Clothing & Footwear Union of Australia).

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Equipment/product manufacturer/supplier – an entity that provides certification and training for employees and non-employees (eg Microsoft).

Other – Training providers that are not classified elsewhere: for-profit private training provider (eg a private one-on-one music teacher; a private

tutor) not-for-profit training provider (eg Mission Australia).

2.7 Head office of legal entity

Provide details of head office location and postal address of the legal entity applying for registration.

2.8 Principal place of RTO business

Provide all details of the actual location from which the organisation’s activity as an RTO will be controlled (ie where records and evidence for audit purposes are kept). For some organisations this may not be the same location as the head office. If it is, write “head office”. Note: If the principal place of business is not within the ACT your organisation may not be eligible for registration in this territory.

2.9 RTO permanent sites in this state or territory

List all addresses of premises owned or leased in the ACT where RTO services will be provided, as well as the name of the manager or key contact person at each site and their contact details.

Do not list venues your organisation hires only on an occasional basis as they are needed.

2.10 Chief executive officer

The CEO must be the person legally responsible for the organisation and ensuring it operates in accordance with the AQTF 2007 Essential Standards for Registration, including the Conditions of Registration. As such, the CEO must sign the application for registration, the conditions of registration, and declaration(s). The CEO will be listed on the NTIS, and all audit reports and correspondence will be addressed to the CEO. As the legally responsible person, the CEO must also be the chief signatory on all AQF qualifications and Statements of Attainment issued by the RTO.

Where there are a number of directors or partners, the organisation must nominate one person as the CEO for the purpose of registration.

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2.11 Day-to-day and registration contact person

This person’s name and contact details will be listed on the NTIS as the main contact for public enquiries.

This person will also be the main contact with the registering body and, therefore, must be the person responsible for all registration matters. The person may be the CEO (for example, if the RTO is a small organisation). Alternatively, it may be a person who is designated by the CEO, provided it is someone who has direct access to the CEO and is authorised by the CEO to act on behalf of the RTO and to make decisions about registration matters.

If it is the CEO, write “CEO” in place of surname.

Although the CEO may designate a person to fulfil this role, you should note that the CEO remains responsible for ensuing that the organisation operates in accordance with the AQTF 2007 Essential Standards for Registration, including the Conditions of Registration, as the CEO is the legally responsible person.

Part 3 – Details of legal entity’s directors and other associates

In this Part, you need to provide details of all people who are associates of the legal entity making the application. This includes the chief executive. You must advise the registering body if any of these details change at any time during the period of registration.If the legal entity submitting the application is an individual, the personal details of that person must also be provided.

Please read the definition of the term “associate” and the related terms provided below and note the following:

Sole traders need to provide their personal details (even if that person is the CEO)

Partnerships need to provide the details of all partners Corporations need to provide the details of all directors and the company

secretary Incorporated associations need to provide the details of the chairperson,

secretary, public officer and the registered office Trusts need to provide details of the current trustees

An “associate” – a person is an associate of someone else in relation to a training organisation if the person can, or will be able to, have significant influence over, or in relation to, the carrying out of the operations of the training organisation (s34 (2) Training and Tertiary Education Act 2003).

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Contractual arrangement, informal understanding or other means such that the associate has or will have: a “vested interest“ in the services provided by the applicant, or to be provided in the future,

or a potential ability to exercise any “relevant power or influence” (either in his or her own

right or on behalf of any other person) over the business of the applicant, or with respect to the management of that business by virtue of holding a “relevant position” in the business of the applicant.

A “vested interest” means: any share in the capital of the business of the applicant, or any entitlement to receive any income derived from the business of the applicant, whether

the entitlement arises at law or in equity or otherwise.

A “relevant power or influence” means any power, whether exercisable by voting or otherwise and whether exercisable alone or in association with others: to participate in any directorial or executive decision, or to elect or appoint any person to any relevant position.

A “relevant position” means executive or managerial position such as that of chief executive officer, director, general manager, public officer or company secretary, however that position is designated.

Note: Only enter details of managers who are associates, as defined above.

Part 4 – Legal entity’s history

In Part 4 of the application form you need to provide details about the history of the legal entity making the application – ie the prior and current conduct of the applicant – and any “associate” of the applicant.

The ACT Accreditation and Registration Council may only register a training organisation if it is satisfied that the applicant is suitable for registration in accordance with the provisions of the Training and Tertiary Education Act 2003.

In considering whether a training organisation is suitable for registration, the ACT Accreditation and Registration Council may have regard to: (a) the prior conduct of the training organisation or an associate of the organisation, whether

in this Territory or elsewhere; and (b) any other matter that ACT Accreditation and Registration Council considers relevant.

In determining the prior conduct of an organisation or an associate of the organisation (whether in this jurisdiction or elsewhere) the following information about the applicant could be considered:

(a) any proven serious breach of consumer legislation (b) any criminal conviction (c) any application for registration previously refused by this or any other state or territory

registering body (d) any registration status previously suspended or cancelled by this or any other state or

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territory registering body(e) any evidence resulting from complaint investigations or other verified sources

indicating the applicant may not be able to provide services in accordance with the relevant standards.

The questions in Part 4 and the Declaration by CEO (Part 7) and Statutory Declaration (Part 8) need to be completed by the chief executive officer (CEO) of the legal entity applying for registration or renewal of registration. The responses to the questions about the applicant and any associate will be used to determine suitability for registration.

4.1 If the applicant or any associate holds current registration in any state or territory, you need to provide details.

A legal entity can only hold one registration. Therefore, if the legal entity submitting this application is currently registered interstate and it succeeds in obtaining registration in the ACT it will be required to cancel its registration in the other state or territory. The CEO of the organisation needs to provide a letter confirming agreement to do this.

If any associate of the applicant is currently registered in any state or territory, you need to attach a letter from the CEO providing the reasons for this application for registration.

4.2 If the applicant or associate has ever been an RTO, you need to provide the details requested and attach a letter from the CEO explaining the reasons for ending that registration and stating whether any sanctions were outstanding at the time.

4.3 If the applicant or associate has an application for registration lodged with another registering body, you need to provide a letter from the CEO providing details of this application and the reasons for it. This application will not be processed until all details of the other application are provided. You should note that a legal entity may only be registered in one state or territory.

4.4 If the applicant or associate has ever had registration refused or cancelled by this or any other registering body. You need to provide details of the date(s), the reasons for refusing and/or cancelling the registration and the name of the registering body. You should also attach copies of the relevant documentation from the State or Territory Registering Body detailing the reasons for refusing/cancelling registration.

4.5 If the applicant or associate has ever had registration suspended by this or any other registering body. You need to provide details of the date(s), the reasons for the suspension, and the training packages and/or accredited courses involved. Also attach copies of the relevant documentation from the State or Territory Registering Body detailing the reasons for suspending registration.

4.6 This question relates specifically to the suitability of applicants and their associates. If you answer yes to this question, you also need to provide details.

4.7 This question relates specifically to the suitability of applicants and their associates. If you answer yes to this question, you also need to provide details.

Part 5 – Profile of the organisation

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You need to provide an overview of the training organisation. This may include the history of the organisation, organisational chart, number of staff, strategic directions.

Part 6 – Details of scope of registration

6.1 Training package qualifications, accredited courses and units of competency

You need to specify all training package qualifications, accredited courses and units of competency for which you are applying to provide a training and assessment service or an assessment only service.

Please check the National Training Information Service (NTIS) website, www.ntis.gov.au, to obtain the correct titles and codes in order to complete the table(s).

Please indicate mode of delivery for training and assessment services provided.

1. Classroom-based – This strategy denotes training and assessment services that the RTO provides predominantly at its own premises or at a venue arranged by the RTO. The training occurs in a classroom environment with a trainer presenting the learning material face-to-face to learners.

Learners may be required to undertake work experience as part of the training program, but most training is classroom based.

In some cases, the training may be delivered in a training room at an employer’s premises, where learners are released from the worksite and are not involved in any productive work for the duration of the classroom activity.

Although predominantly classroom-based, this strategy may also include scheduled self-paced learning, where learners may be using print-based or computer-based materials to progress, but they are attending classes at regular, scheduled times, where they receive the majority of their training as well as the support of the trainer.

2. Electronic-based – This strategy denotes training delivered predominantly by electronic means, where electronic-based learning materials direct the learner through the structured training provided by the RTO. The learner may either be off-campus (at a distance) or on-campus.

The learning resources would generally be provided to the learner via the Internet, an intranet or local area network (LAN), and would be web-based or computer-based resources (eg CD-ROM). However, electronic-based also includes training programs provided predominantly by radio, television, video conference or audio-conference.

Interactions between the learner and trainer would generally be conducted on line (irrespective of whether the learner is on campus or off campus) but the learner may also receive support via teleconferences, web-based chats, or email.

3. External study (correspondence, distance education, self-paced learning) – The predominant method of learning is self-paced and takes place outside a classroom or workplace.

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Learners enrolled in the training program use printed learning materials (rather than electronic-based materials) to direct their training, and submit assignments by mail or email. The training program may include an initial classroom-based session and scheduled local or residential “block” training and assessment sessions, or tutorials.

Throughout the structured training, learners may receive support from the RTO via teleconferences, web-based chats or email.

4. Apprenticeship or traineeship – The structured training takes place on the job under an apprenticeship or traineeship training contract, with the RTO providing off-the-job training either at the learner’s workplace or at the RTO’s own premises. The training provided to the learner (the apprentice or trainee) is directed by a training plan developed by the RTO that has been agreed to by both the employer and the learner.

5. Employment-based – The structured training and assessment takes place predominantly or fully in a workplace as on-the-job training but may involve some other training strategies. It includes all forms of on-the-job training, workplace instruction and experiential learning.

The learner may be undertaking paid work or unpaid work experience (but not under an apprenticeship or traineeship contract).

The training program must be developed by and facilitated by the RTO (as the RTO is responsible for the quality of the training, assessment and certification of the competencies achieved) but the employer is largely responsible for providing the training.

6 Assessment only – This category is used for recognition of prior learning.6.1(i) If you intend to provide an assessment service (ie an RPL service rather than a full training and assessment service) for any of the training package qualifications, individual units of competency and accredited courses listed, you need to indicate this. The ARC Secretariat must ensure that:

a) A training provider that wishes to apply to the ARC Secretariat for registration as an assessment only training organisation must complete an RTO application, and give explanations for their decision to become an assessment only RTO.

b) The Council is notified of any such application received by the Secretariat. c) Each assessment only RTO application is considered on a case by case basis by

Council

Each prospective assessment only RTO is notified of Council’s decision.

6.2 Intial Registration - Permission to use the training materialsFor initial registration you will need to provide written permission from the copyright holder for accredited courses. Receipts of purchase, evidence of download from the website for training package qualifications (if applicable).

6.2 Renewal of Registration - Removal of qualificationsIf you are currently registered you need to specify which qualification, unit of competency or accredited courses to be removed from your current scope of registration.

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6.3 Licensing and/or regulatory requirements You need to list the qualifications, accredited courses and individual units of competency (or group of units if relevant) that meet any licensing or regulatory requirement.

You do not have to list qualifications that meet the requirements of a trade licence – ie qualifications that must be undertaken by completing an apprenticeship.

Part 7 – Declaration by CEO

The Conditions of Registration consist of nine non-negotiable agreed clauses that form the RTO’s contractual agreement with the ACT Accreditation and Registration Council. The obligations covered in the Conditions of Registration address:

o arrangements that provide for consumer protection, such as financial management and insurance

o agreement to operate according to the national requirements of the VET system for example, observing the protocols for national consistency in issuing Australian Qualification Framework (AQF) certification and national recognition of AQTF certification issued by other RTOs.

The Conditions of Registration needs to be completed by the chief executive officer (CEO) of the legal entity applying for registration or renewal of registration.

Part 8 – Statutory DeclarationThe Statutory Declaration needs to be completed by the chief executive officer (CEO) of the legal entity applying for registration or renewal of registration.

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