Contents

Part 1 Preliminary

Division 1 Arrangements on commencement

SNR 1 Name of Standards

SNR 2 Commencement

SNR 3 Definitions

Part 2 Essential standards for initial registration

SNR 4 The applicant must have strategies in place to provide quality training and assessment across all of its operations 10

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. 11

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 11

SNR 7 The applicant has adequate governance arrangements 12

SNR 8 Interactions with the National VET Regulator 12

SNR 9 Compliance with legislation 13

SNR 10 Insurance 13

SNR 11 Financial management for initial registration 13

SNR 12Strategy for certification, issuing and recognition of qualifications and statements of attainment 14

SNR 13 Strategy for accuracy and integrity of marketing 15

SNR 14 Strategy for transition to Training Packages 15

Part 3 Essential standards for continuing registration

SNR 15 The NVR registered training organisation provides quality training and assessment across all of its operations 16

SNR 16 The NVR registered training organisation adheres to principles of access and equity amd maximises outcome for its clients 17

SNR 17Management systems are responsive to the needs of clients, staff and stakeholders, and in the environment in which the NVR registered training organisation operates 17

SNR 18 The NVR registered training organisation has governance arrangements in place 18

SNR 19 Interactions with the National VET Regulator 18

SNR 20 Compliance with legislation 19

SNR 21 Insurance 19

SNR 22 Financial management 19

SNR 23 Certification, issuing and recognition of qualifications and statements of attainment 20

SNR 24 Accuracy and integrity of marketing 21

SNR 25 Transition to Training Packages/expiry of VET accredited course 21

Division 1 Arrangements on commencement

SNR 1 Name of Standards

These Standards are the Standards for NVR Registered Training Organisations.

SNR 2 Commencement

These Standards commence on the later of 1 July 2011 or the day after registration on the Federal Registrar of Legislative Instruments.

SNR 3 Definitions

In these Standards, unless the contrary intention appears:

Act means the National Vocational Education and Training Regulator Act 2011.

Access and equity means policies and approaches aimed at ensuring that vocational education and training are responsive to the individual needs of clients whose age, gender, cultural or ethnic background, disability, sexuality, language skills, literacy or numeracy level, unemployment, imprisonment or remote location may present a barrier to access, participation and the achievement of suitable outcomes.

Applicant means a person applying for initial registration as an NVR registered training organisation under s 17 of the Act.

Assessment means the process of collecting evidence and making judgements on whether competency has been achieved, to confirm that an individual can perform to the standard expected in the workplace, as expressed by the relevant endorsed industry/enterprise competency standards of a Training Package or by the learning outcomes of a VET accredited course.

Assessment requirements are the endorsed component of a Training Package. Assessment requirements set out the industry’s approach to valid, reliable, flexible and fair assessment.

Australian Qualifications Framework (AQF) has the meaning given at section 3 of the Act.

Client means a learner, enterprise or organisation that uses or purchases the services provided by an RTO.

Client services means the services provided by an RTO to clients in order to assist and support the successful achievement of learning outcomes.

Competency means the consistent application of knowledge and skill to the standard of performance required in the workplace. It embodies the ability to transfer and apply skills and knowledge to new situations and environments.

Continuous improvement means a planned and ongoing process that enables an RTO to systematically review and improve its policies, procedures, products and services in order to generate better outcomes for clients and to meet changing needs. It allows an RTO to constantly review its performance against the VET Quality Framework and to plan ongoing improvements to its performance. Continuous improvement involves collecting, analysing and acting on relevant information collected from clients and other interested parties, including the RTO’s staff.

Data means the information collected about aspects of an RTO’s operations and performance.

Industry means the bodies that have a stake in the training, assessment and client services provided by RTOs. These can include but are not limited to:

(a) industry skills councils;

(b) industry organisations;

(d) unions;

(e) specific enterprise/industry clients;

(f) occupational licensing bodies; and

(g) group training organisations.

Industry Skills Council are national bodies recognised and funded by the Australian Government to develop and maintain Training Packages specific to the industry area(s) for which they have coverage.

Learner means an individual who is receiving, responding to and processing information in order to acquire and develop competence. This incorporates the processes of preparing and presenting for assessment.

Learning means the process followed by a learner. There are three types:

(a) Formal learning refers to learning that takes place through a structured program of instruction and is linked to the attainment of a formal qualification or award (for example, a certificate, diploma or university degree);

(b) Non-formal learning refers to learning that takes place through a structured program of instructions, but does not lead to the attainment of a formal qualification or award (for example, in-house professional development programs conducted by a business); and

(c) Informal learning refers to learning that results through experience of work-related, social, family, hobby or leisure activities (for example the acquisition of interpersonal skills developed through several years as a sales representative).

Management system means the framework of structures, policies and processes used to ensure that the organisation can achieve its objectives.

National Register has the meaning given by section 3 of the Act.

Nationally Recognised Training (NRT) logo means the logo used nationally to signify that training and assessment products and services meet nationally agreed requirements.

National VET Regulator has the meaning given by section 3 of the Act.

NVR registered training organisation has the meaning given by section 3 of the Act.

Operations of an RTO include training, assessment and support services related to its scope of registration, including those delivered across jurisdictions and offshore.

Principles of assessment are required to ensure quality outcomes. Assessments should be fair, flexible, valid and reliable as follows:

a) Fairness: Fairness requires consideration of the individual candidate’s needs and characteristics, and any reasonable adjustments that need to be applied to take account of them. It requires clear communication between the assessor and the candidate to ensure that the candidate is fully informed about, understands, and is able to participate in, the assessment process, and agrees that the process is appropriate. It also includes an opportunity for the person being assessed to challenge the result of the assessment and to be reassessed if necessary.

b) Flexible: To be flexible, assessment should reflect the candidate’s needs; provide for recognition of competencies no matter how, where or when they have been acquired; draw on a range of methods appropriate to the context, competency and the candidate; and, support continuous competency development.

c) Validity: There are five major types of validity: face, content, criterion (i.e. predictive and concurrent), construct and consequential. In general, validity is concerned with the appropriateness of the inferences, use and consequences that result from the assessment. In simple terms, it is concerned with the extent to which an assessment decision about a candidate (e.g. competent/not yet competent, a grade and/or a mark), based on the evidence of performance by the candidate, is justified. It requires determining conditions that weaken the truthfulness of the decision, exploring alternative explanations for good or poor performance, and feeding them back into the assessment process to reduce errors when making inferences about competence.

Unlike reliability, validity is not simply a property of the assessment tool. As such, an assessment tool designed for a particular purpose and target group may not necessarily lead to valid interpretations of performance and assessment decisions if the tool was used for a different purpose and/or target group

d) Reliability: There are five types of reliability: internal consistency; parallel forms; split-half; inter-rater; and, intra-rater. In general, reliability is an estimate of how accurate or precise the task is as a measurement instrument. Reliability is concerned with how much error is included in the evidence.

Qualification means a formal certification, issued by a relevant approved body, in recognition that a person has achieved learning outcomes or competencies relevant to identified individual, professional, industry or commercial needs.

Reasonable adjustment means adjustments that can be made to the way in which evidence of candidate performance can be collected. Whilst reasonable adjustments can be made in terms of the way in which evidence of performance is gathered, the evidence criteria for making competent/not yet competent decisions (and/or awarding grades) should not be altered in any way. That is, the standards expected should be the same irrespective of the group and/or individual being assessed; otherwise comparability of standards will be compromised.

Recognition of Prior Learning (RPL) means an assessment process that assesses an individual’s formal, non-formal and informal learning to determine the extent to which that individual has achieved the required learning outcomes, competency outcomes, or standards for entry to, and/or partial or total completion of, a VET qualification.

Record means a written, printed, or electronic document providing evidence that activities have been performed.

Registration means formal registration by the National VET Regulator under the Act. A person covered by the Act must be registered in order to deliver and assess nationally recognised training and issue nationally recognised VET qualifications.

RTO means a registered training organisation, defined at section 3 of the Act.

Rules of evidence are closely related to the principles of assessment and provide guidance on the collection of evidence to ensure that it is valid, sufficient, authentic and current as follows:

a) Validity: see Principles of assessment.

b) Sufficiency: Sufficiency relates to the quality and quantity of evidence assessed. It requires collection of enough appropriate evidence to ensure that all aspects of competency have been satisfied and that competency can be demonstrated repeatedly. Supplementary sources of evidence may be necessary. The specific evidence requirements of each unit of competency provide advice on sufficiency.

c) Authenticity: To accept evidence as authentic, an assessor must be assured that the evidence presented for assessment is the candidate’s own work.

d) Currency: Currency relates to the age of the evidence presented by candidates to demonstrate that they are still competent. Competency requires demonstration of current performance, so the evidence must be from either the present or the very recent past.

Scope of registration has the meaning given at section 3 of the Act.

Services include:

(a) Pre-enrolment materials;

(b) Study support and study skills programs;

(d) Equipment, resources and/or programs to increase access for learners with disabilities;

(e) Learning resource centres;

(f) Mediation services or referrals to these services;

(g) Flexible scheduling and delivery of training and assessment;

(h) Counselling services or referrals to these services;

(i) Information technology (IT) support;

(j) Learning materials in alternative formats, for example, in large print; and

(k) Learning and assessment programs customised to the workplace.

Stakeholders means individuals or organisations affected by, or who may influence, the RTO’s services but who are not directly involved in purchasing or using the RTO’s services.

Training and assessment strategy means a framework that guides the learning requirements and the teaching, training and assessment arrangements of a VET qualification. It is the document that outlines the macro-level requirements of the learning and assessment process.

Training Package means a nationally endorsed, integrated set of competency standards, assessment requirements, Australian Qualifications Framework qualifications, and credit arrangements for a specific industry, industry sector or enterprise.

Unique student identifier means a unique national VET student number for all nationally recognised training. (Note: The system and details are yet to be implemented.)

Units of competency means the specification of industry knowledge and skill and the application of that knowledge and skill to the standard of performance expected in the workplace.

VET accredited course has the meaning given at section 3 of the Act.

VET qualification has the meaning given at section 3 of the Act

VET Quality Framework has the meaning given to it by section 3 of the Act.

VET Regulator has the meaning given at section 3 of the Act.

VET statement of attainment has the meaning given at section 3 of the Act.

3.2 These standards apply to NVR registered training organisations. The National VET Regulator will also consider whether persons seeking initial registration or renewal of registration under the Act comply with these Standards (Part 2 of the Standards in the case of initial registration and Part 3 in the case of renewal of registration) in deciding whether to grant their application for registration.

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:

5.1 The applicant has a strategy in place detailing how it will establish and meet the needs of clients.

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.

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.

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.

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.

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.

5.7 The applicant has a defined complaints and appeals process that will ensure learners’ complaints and appeals are addressed effectively and efficiently.

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:

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.

6.2 The applicant has a defined strategy for the implementation of a systematic continuous improvement approach to the management of operations.

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.

6.4 The applicant has a defined strategy and process to manage records to ensure their accuracy and integrity.

SNR 7 The applicant has adequate governance arrangements, as follows:

7.1 The applicant must demonstrate to the National VET Regulator;

(a) what its intended objectives as an RTO are;

(b) that it has undertaken business planning, and

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.

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

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.

8.2 The applicant’s Chief Executive must identify how it will ensure that the applicant will co-operate with the National VET Regulator:

(a) in the conduct of audits and the monitoring of its operations;

(b) by providing accurate and timely data relevant to measures of its performance;

(d) by providing information about significant changes to its ownership; and

(e) in the retention, archiving, retrieval and transfer of records consistent with the National VET Regulator's requirements.

SNR 9 Compliance with legislation

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.

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

10.1 The applicant must hold public liability insurance.

SNR 11 Financial management for initial registration

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.

11.2 The applicant must identify how it will provide the following fee information necessary for continuing registration, to each client:

(a) the total amount of all fees including course fees, administration fees, materials fees and any other charges;

(b) payment terms, including the timing and amount of fees to be paid and any non-refundable deposit/administration fee;

(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;

(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

(e) the applicant’s refund policy.

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:

(a) (Option 1) the RTO is administered by a State, Territory or Commonwealth government agency;

(b) (Option 2) the RTO holds current membership of an approved Tuition Assurance Scheme;

(c) (Option 3) the RTO may accept payment of no more than $1000 from each individual student prior to the commencement of the course. Following course commencement, the RTO may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed $1,500;

(d) (Option 4) the RTO holds an unconditional financial guarantee from a bank operating in Australia for no less than the full amount of funds held by the RTO which are prepayments from students (or future students) for tuition to be provided by the RTO to those students; or

(e) (Option 5) the RTO has alternative fee protection measures of equal rigour approved by the National VET Regulator.

SNR 12 Strategy for certification, issuing and recognition of qualifications & statements of attainment

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:

(a) meets the Australian Qualifications Framework requirements;

(b) identifies the RTO by its national provider number from the National Register; and

Part 3 Essential standards for continuing registration

SNR 15 The NVR registered training organisation provides quality training and assessment across all of its operations, as follows:

15.1 The NVR registered training organisation collects, analyses, and acts on relevant data for continuous improvement of training and assessment.

15.2 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.

15.3 Staff, facilities, equipment and training and assessment materials used by the NVR registered training organisation are consistent with the requirements of the Training Package or VET accredited course and the NVR registered training organisation’s own training and assessment strategies and are developed through effective consultation with industry.

15.4 Training and assessment is delivered by trainers and assessors who:

(a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors; and

(b) have the relevant vocational competencies at least to the level being delivered or assessed; and

(c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken; and

(d) continue to develop their vocational education and training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence.

15.5 Assessment including Recognition of Prior Learning (RPL):

(a) meets the requirements of the relevant Training Package or VET accredited course; and

(b) is conducted in accordance with the principles of assessment and the rules of evidence; and

(d) is systematically validated.

SNR 16 The NVR registered training organisation adheres to principles of access and equity and maximises outcome for its clients, as follows:

16.1 The NVR registered training organisation establishes the needs of clients, and delivers services to meet these needs.

16.2 The NVR registered training organisation continuously improves client services by collecting, analysing and acting on relevant data.

16.3 Before clients enrol or enter into an agreement, the NVR registered training organisation informs them about the training, assessment and support services to be provided, and about their rights and obligations.

16.4 Employers and other parties who contribute to each learner’s training and assessment are engaged in the development, delivery and monitoring of training and assessment.

16.5 Learners receive training, assessment and support services that meet their individual needs.

16.6 Learners have timely access to current and accurate records of their participation and progress.

16.7 The NVR registered training organisation provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively.

SNR 18 The NVR registered training organisation has governance arrangements in place as follows:

18.1 The NVR registered training organisation’s Chief Executive must ensure that the NVR registered training organisation complies with the VET Quality Framework. This applies to all of the operations within the NVR registered training organisation’s scope of registration, as listed on the National Register.

18.2 The NVR registered training organisation must also explicitly demonstrate how it ensures the decision making of senior management is informed by the experiences of its trainers and assessors.

SNR 19 Interactions with the National VET Regulator

19.1 The NVR registered training organisation must co-operate with the National VET Regulator:

(a) in the conduct of audits and the monitoring of its operations;

(b) by providing accurate and timely data relevant to measures of its performance;

(d) by providing information about significant changes to its ownership; and

(e) in the retention, archiving, retrieval and transfer of records consistent with the National VET Regulator's requirements.

SNR 20 Compliance with legislation

20.1 The NVR registered training organisation must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements relevant to its operations and its scope of registration.

20.2 The NVR registered training organisation must ensure that its staff and clients are fully informed of legislative and regulatory requirements that affect their duties or participation in vocational education and training.

SNR 21 Insurance

21.1 The NVR registered training organisation must hold public liability insurance throughout its registration period.

SNR 22 Financial management

22.1 The NVR registered training organisation must be able to demonstrate to the National VET Regulator, on request, that it is financially viable at all times during the period of its registration.

22.2 The NVR registered training organisation must provide the following fee information to each client:

(a) the total amount of all fees including course fees, administration fees, materials fees and any other charges;

(b) payment terms, including the timing and amount of fees to be paid and any non-refundable deposit/administration fee;

(c) the nature of the guarantee given by the NVR registered training organisation to complete the training and/or assessment once the student has commenced study in their chosen qualification or course;

(e) the organisation’s refund policy.

22.3 Where the NVR registered training organisation collects student fees in advance it must ensure it complies with one of the following acceptable options:

(a) (Option 1) the NVR registered training organisation is administered by a State, Territory or Commonwealth government agency;

(b) (Option 2) the NVR registered training organisation holds current membership of an approved Tuition Assurance Scheme;

(c) (Option 3) the NVR registered training organisation may accept payment of no more than $1000 from each individual student prior to the commencement of the course. Following course commencement, the NVR registered training organisation may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed $1,500;

(d) (Option 4) the NVR registered training organisation holds an unconditional financial guarantee from a bank operating in Australia for no less than the full amount of funds held by the NVR registered training organisation which are prepayments from students (or future students) for tuition to be provided by the NVR registered training organisation to those students; or

(e) (Option 5) the NVR registered training organisation has alternative fee protection measures of equal rigour approved by the National VET Regulator.

SNR 23 Certification, issuing and recognition of qualifications & statements of attainment

23.1 The NVR registered training organisation must 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:

(a) meets the Australian Qualifications Framework (AQF) requirements;

(b) identifies the NVR registered training organisation by its national provider number from the National Register and

(Note: this refers to the logo conditions in place at the commencement of this instrument.)

23.2 The NVR registered training organisation must recognise AQF and VET qualifications and VET statements of attainment issued by any other RTO.

23.3 The NVR registered training organisation must retain client records of attainment of units of competency and qualifications for a period of 30 years.

23.4 The NVR registered training organisation must provide returns of its client records of attainment of units of competency and VET qualifications to the National VET Regulator on a regular basis, as determined by the National VET Regulator.

23.5 The NVR registered training organisation must meet the requirements for implementation of a national unique student identifier.

SNR 24 Accuracy and integrity of marketing

24.1 The NVR registered training organisation must ensure its marketing and advertising of AQF and VET qualifications to prospective clients is ethical, accurate and consistent with its scope of registration.

24.2 The NVR registered training organisation must use the NRT logo only in accordance with its conditions of use.

(Note: this refers to the logo conditions in place at the commencement of this instrument.)

SNR 25 Transition to Training Packages/expiry of VET accredited course

25.1 The NVR registered training organisation must 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.

25.2 The NVR registered training organisation must manage the transition from superseded VET accredited courses so that it delivers only currently endorsed Training Packages or currently VET accredited courses.