Feature Article: A guide to business continuity and resilience for RTOs

Five key ways to evidence industry currency for trainers and assessors

It’s essential to have a plan in place for any unexpected events, especially for those RTOs with lean governance structures or no immediate successors for owners or directors. Having a strategy for managing business continuity is a critical part of your RTOs governance framework and can help ensure your RTO remains compliant with ASQA’s self-assurance model, even in the face of unexpected changes or crises. This planning and preparation contributes to building a more resilient and sustainable business. Here is some specific advice and actionable strategies to help RTOs address business continuity planning:

Develop a business continuity plan (BCP):

This should outline the procedures and steps that need to be taken in the event of an unplanned absence of the CEO or owner. The plan should include details about who will assume leadership roles, how to communicate the situation to staff and stakeholders, and the necessary steps to ensure the continuity of operations.

Designate an acting CEO/owner:

Identify a person within the organisation who can assume the CEO’s or owner’s duties in their absence. This individual should be familiar with all aspects of the business, including the details of the ASQA’s self-assurance model.

Crisis management procedure:

Develop a comprehensive crisis management procedure that includes clear guidelines on how to manage different types of crises, including an unplanned absence of the CEO or owner. It should cover communication strategies, roles and responsibilities, and steps to ensure the continuation of operations.

Cross-training:

Cross-train your staff in different roles. This will help ensure that there are multiple people within the organisation who are capable of stepping into different roles if necessary.

Implement robust documentation practices:

Ensure all processes and procedures are well-documented and easily accessible. Your RTOs businesses vital records should be locatable by successors or caretakers in the absence of the CEO or owner. This will make it easier for someone to step in and understand what needs to be done and prevent any risks to your licence to operate.

Regularly review and update plans:

Business continuity and crisis management plans should not be static. Regularly review and update these plans to reflect any changes in your organisation or the broader regulatory environment.

Invest in a succession plan:

Although this may not be immediately actionable, it’s a good long-term strategy. Identify potential successors and invest in their development. This not only ensures leadership continuity but also builds a strong leadership pipeline for the future.

Engage with a consultant or advisor:

If you’re uncertain about how to prepare for an unplanned absence, consider engaging with a consultant or advisor who specialises in business continuity and crisis management. They can provide expert advice and guidance tailored to your specific circumstances.

References:

https://www.asqa.gov.au/working-together/consultation-self-assurance

https://www.asqa.gov.au/resources/presentations/webinar-working-together-towards-effective-self-assurance

https://www.asqa.gov.au/resources/other/consultation-paper-working-together-towards-effective-self-assurance

February 2, 2022

Feature Article: How to prepare your CEO declaration in less than 60 days

ASQA will soon be sending electronic correspondence to the person legally responsible for the registration of the RTO i.e. the Chief Executive Officer reminding them of their obligation to comply with ASQA requirements by submitting a declaration on compliance before 31 March. The email is typically distributed a month prior to CEO’s containing a unique URL to the RTOs survey. Another reminder email is also usually sent by ASQA to CEO’s in March before the due date. Here is some advice to help you prepare your response appropriately so you can ensure you comply with the requirements and meet your regulatory obligations.

Table of Contents

Check your records for accuracy:

Data and your self-assurance system:

How to prepare your response:

Other feature articles:

References:

Check your records for accuracy:

RTOs are required to adhere to Clauses 2.1; 8.1; and 8.4 in the SRTOs 2015 in relation to compliance obligations and reporting. These requirements include ensuring any changes to RTO ownership or governance arrangements are reported to ASQA within 90 days of events happening. RTOs should ensure details in ASQAnet have been checked and any errors with contact details corrected prior to ASQA sending their email next month. Remember that not receiving the email is not an excuse to fail to submit your RTO’s declaration as it is a requirement of the Standards for Registered Training Organisations (SRTOs) 2015. If you haven’t updated your RTO’s information in a timely fashion you are ultimately accountable if you don’t comply with your reporting obligation. Failure to report full and accurate data to ASQA could result in them taking regulatory action against your RTO.

Data and your self-assurance system:

In order to adhere with the requirement to be compliant with the SRTOs 2015 at all times, RTOs must have self-assurance systems in place for monitoring obligations including internal audits, quality reviews, complaints and appeals processes, validation processes and feedback mechanisms. If your organisation has adhered to Clause 2.1 by ensuring it is compliant with the SRTOs 2015 at all times you should have been ‘systematically’ monitoring the RTO’s systems and processes and have analysed the data obtained from your self-assurance activities. CEO’s need to ensure that their responses in the declaration are honest and accurate, whether you complete the declaration on your own or in collaboration with RTO compliance staff. Reliable sources of data must be referred to when responding to each question asked in the annual declaration as they are critical indicators of your RTOs past and current compliance status. If your RTO does not have current and reliable data on its compliance status such as internal audit findings, validation outcomes or quality reviews you should follow ASQA’s advice and utilise their Self-Assessment Tool to assist in preparation of the annual declaration. If your RTO does not have the capability or resources to undertake the self-assessment or preparation of the annual declaration then seek assistance from EDministrate to ensure you fully comply with ASQA’s requirements.

How to prepare your response:

Before you complete the CEO declaration, you should have conducted your analysis of your RTOs self-assurance activities and the outcomes to determine your past and current compliance status. Additionally, you should have checked your RTO’s details in ASQAnet and TGA to ensure the information is accurate and indicative of your current arrangements.

Once you have confirmed that information you can use it to respond to the questions in the survey that ASQA sends. You do not need to attach any data reports or provide comprehensive information however, you should ensure your responses are succinct and reflect a concise summary of your RTO’s compliance.

References:

https://www.asqa.gov.au/rto/responsibilities/complying-asqa-requirements#annual-declaration-on-compliance

https://www.asqa.gov.au/working-together/consultation-self-assurance

https://www.asqa.gov.au/resources/presentations/webinar-working-together-towards-effective-self-assurance

https://www.asqa.gov.au/resources/other/consultation-paper-working-together-towards-effective-self-assurance

https://www.asqa.gov.au/standards/self-assessment-tool

September 3, 2020October 27, 2020

Feature Article: Implementing systems for self-assurance

The definition of self-assurance according to the Oxford Dictionary is confidence in one’s own abilities or character. RTOs need systems in place to be able to confirm that they are compliant with the SRTOs 2015 and their students are meeting industry expectations. Implementing systems to ensure self-assurance will depend on the size of your RTO, the number of training products on scope and the risks associated with the training and assessment services you provide. Self-assurance is the process of RTOs accepting responsibility and accountability for their on-going performance and student outcomes. It is important to note that self-assurance is not self-regulation. ASQA as the National Regulator will continue to ensure that RTOs meet their regulatory obligations and adhere to legislative requirements.

Annual declaration of compliance:

Part of the process of completing the annual declaration of compliance requires confirmation that your RTO is systematically monitoring compliance with the SRTOs 2015. To be able to do so you should include an analysis of data you have obtained from your RTOs internal audits, reviews or quality checks. One way to identify if you currently meet compliance obligations and have also done so in the past year is to utilize ASQA’s Self-Assessment Tool to assist in preparation of the annual declaration.

Course reviews:

Using AVETMISS data such as completion rates and student outcomes when reviewing courses delivered can provide insight into how your RTO is performing. It is an effective way to determine what improvements your practices, systems and processes may require. Additionally, using feedback obtained from students and employers from sources such as your Quality Indicator Data enables RTOs to continuously improve services for clients. You can also refer to outcomes of validation activity and internal audits to determine if specific courses have areas of concern that need addressing.

Scope of registration:

By reviewing the training products you have on scope at least annually you can determine if you continue to be sufficiently resourced and are managing your scope of registration appropriately in accordance with Clause 1.3. Your enrollment data should provide information on whether there is an on-going demand for the training products you are registered for and inform your decisions to change your RTOs scope of registration if necessary.

Internal audits:

An effective internal audit programme will provide valuable data that identifies the risks in your training and assessment. Regular monitoring of your operations provides a CEO with assurance of the RTOs risk management, internal controls and governance processes. It also drives a regular cycle of continuous improvement within an organisation and accountability for meeting regulatory obligations and legislative requirements. Internal audits also identify areas where efficiencies or innovations need to be made.

Compliance Staff:

Whether you have dedicated compliance staff in-house or you outsource compliance experts like EDministrate when required it is critical that RTOs have the necessary expertise to quality assure it operations. The risk of non-compliance with regulatory obligations and legislative or contractual requirements is real and has severe consequences for your RTO that can lead to financial, legal and reputational impacts on your business. The role of compliance staff is vital in protecting your RTO from compliance risk and regulatory action.

References:

https://www.asqa.gov.au/working-together/consultation-self-assurance

https://www.asqa.gov.au/resources/presentations/webinar-working-together-towards-effective-self-assurance

https://www.asqa.gov.au/resources/other/consultation-paper-working-together-towards-effective-self-assurance

March 18, 2020October 23, 2020

Feature Article: Responding to an ASQA notice of intent to make a decision

Receiving a notice from ASQA:

Under the National Vocational Education and Training Regulator Act 2011 (NVR Act), ASQA may issue notices such as a notice of intention to make a decision to an RTO as a result of an audit conducted or complaint received about your RTO by the national regulator. The NVR and ESOS Acts provides ASQA with the powers to apply sanctions of increasing severity—starting from written directions and additional conditions on registration through to suspending or cancelling a provider’s registration. In the event your RTO receives this type of correspondence from ASQA it is critical you understand how to respond to the proposed sanctions effectively to ensure you do not lose your RTO’s licence to operate.

Leadership:

The RTO senior leadership must immediately take action to address the issues identified in the notice and commence working on a plan to respond to ASQA. EDministrate recommends seeking legal advice if the proposed sanction refers to cancellation, rejection of application to renew registration or suspension so you are well informed and clear on your legal options. It is important that the RTO senior leadership remains calm and level headed during this time. Roles and responsibilities of staff involved in contributing to your RTO’s response to ASQA must be clearly defined and expectations communicated to ensure the actions taken are appropriate. If you are the CEO of a small RTO with little or no other senior staff you may consider seeking the support of external consultants such as EDministrate to help you plan your response and next steps.

Resources:

One of the first steps that should be taken in this matter is to identify internal capability within your RTO. Do you have the expertise in house to prepare your response to ASQA and take the required actions i.e. rectifications and remedial action? If not seek assistance from compliance experts such as EDministrate. While your RTO must continue to operate business as usual while you respond to ASQA’s notice you need to ensure that this issue is given absolute priority in your business so you meet the required deadline and you satisfactorily address all issues identified by ASQA .

Communication:

If there are extenuating circumstances preventing you from providing your response to ASQA by the deadline given you must contact them immediately to request additional time so that they can consider your case. Failure to do this could have an adverse impact on you successfully addressing the issues identified and meeting the required timeframe. It is also critical that you develop a communication strategy to address any concerns your students or other clients may have should they become aware of proposed action against your RTO. It is extremely important that you manage any potential reputational damage that could be caused by regulatory action taken against your RTO to limit any negative impact on your business.

References:

https://www.asqa.gov.au/faqs/how-does-asqa-determine-what-level-sanction-applies-non-compliance

https://www.asqa.gov.au/resources/fact-sheets/administrative-appeals-tribunal-review-of-an-asqa-decision

https://www.asqa.gov.au/resources/fact-sheets/addressing-non-compliances-following-an-audit