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Application guide - Application to renew RTO registration

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Application guide - Application to renew RTO registration

Application guide

Application to renew RTO registration

    Table of contents

Introduction ____________________________________________________________________ 3

    Before applying to renew registration ______________________________________________ 4 Application to renew RTO registration _____________________________________________ 5 Section 1Applicant details _______________________________________________________ 5

    1.1 Registration numbers ______________________________________________ 5

    1.2 Australian Business Number (ABN) ___________________________________ 5

    1.3 Name of legal entity applying for registration ____________________________ 5

    1.4 Australian Company Number (ACN) ___________________________________ 5

    1.5 Type of legal entity ________________________________________________ 5

    1.6 Registered business (trading) name/s _________________________________ 6

    1.7 Address of head office of entity applying to renew registration _______________ 6

    1.8 Principal place of business of entity applying to renew registration (If different from

    head office) ______________________________________________________ 7 Section 2Ownership, management structure and control of the organisation ________________ 7

    2.1 Details of natural persons who own/are the legal entity applying to renew

    registration ______________________________________________________ 7

    2.2 Details of other entities (not natural persons) that own the legal entity applying to

    renew registration _________________________________________________ 8

    2.3 Details of influential non-owners of the legal entity applying to renew registration 8 Section 3Applicant history _______________________________________________________ 9 Section 4RTO details, scope and operating context ___________________________________ 9

    4.1 Type of training organisation ________________________________________ 9

    4.2 Chief Executive __________________________________________________ 10

    4.3 Contact for general enquiries _______________________________________ 10

    4.4 Registration contact person ________________________________________ 10

    4.5 Planned location for the majority of delivery of training and/or assessment

     services _______________________________________________________ 10

    4.6 Proposed permanent delivery site/s (within and outside Australia) ___________ 10

    4.7 Proposed scope of registration ______________________________________ 10

    4.8 Current and proposed operating context ______________________________ 11

    4.9 Current and recent activity _________________________________________ 11 Section 5Statutory declaration by chief executive ____________________________________ 11 Checklist for submitting your Application to renew RTO registration ________________________ 11 Application fee and submission____________________________________________________ 12

    Application guideApplication to renew RTO registration, updated December 2011 Page 2

Introduction

    This guide has been developed to assist RTOs in applying to the Australian Skills Quality Authority (ASQA) to renew registration as a training organisation.

    Applicants must refer to this guide when completing the application. Incomplete applications, or applications completed incorrectly, will be returned to the applicant. There are a number of documents that need to be attached to the application. This guide describes those documents and this symbol;has been used throughout the guide to indicate that something needs to be attached to the application.

    This guide should be read in conjunction with:

    ? the Standards for NVR registered training organisations

    ? the registration and audit information provided on ASQA‟s website: www.asqa.gov.au.

    In completing the application form, the applicant should reference:

    ? The national registertraining.gov.au

    ? AQF Implementation Handbook: www.aqf.edu.au

    ? National Centre for Vocational Education Research:

    http://www.ncver.edu.au/content/compliancefaq.htm.

    If you have questions about your Application to renew RTO registration, contact ASQA on

    1300 701 801 or enquiries@asqa.gov.au.

    Application guideApplication to renew RTO registration, updated December 2011 Page 3

    Before applying to renew registration Registered training organisations (RTOs) wanting to renew registration are required to submit an application to do so at least 90 days prior to the registration expiry date. This is a legislative requirement in accordance with the National Vocational Education and Training Regulator Act 2011

    (the Act).

    ASQA will send a reminder letter to all RTOs six months prior to their registration expiry date to assist in meeting this deadline. There are implications of failing to submit an application 90 days prior to the registration expiry date, including expiry of registration.

    In order to maintain registration, RTOs must comply with the VET Quality Framework on an ongoing

    basis and operate in accordance with the relevant provisions of the Act.

    Therefore, RTOs must continuously update their knowledge of the national VET system, including the national skills framework which includes training packages, the Australian Qualifications Framework

    (AQF) and the Essential Standards for Continuing Registration. They must also be able to

    demonstrate they are delivering quality training and assessment outcomes and continuously improving their training and assessment outcomes in order to meet the needs of industry and learners.

    Application guideApplication to renew RTO registration, updated December 2011 Page 4

    Application to renew RTO registration Unless otherwise indicated, you must provide a response to each question and to each part of each question.

    Section 1Applicant details

    This section requests details of the applicant, including the type of legal entity and training provider and the relevant addresses.

    1.1 Registration numbers

    Include here the RTO/ID number as it appears on the National Register.

    If the RTO also has CRICOS registration, include the CRICOS registration number in this section. 1.2 Australian Business Number (ABN)

    An Australian Business Number (ABN) is a unique identifier issued by the Australian Business Register. It is an eleven digit number that, in the case of a company, includes the company‟s ACN.

    In the case of a trust, the ABN of the registered trustee organisation must be included here, not the

    ABN of the trustee or of the trust.

    1.3 Name of legal entity applying for registration

    This is the name of the entity that appears on all official documents or legal papers and may be different from the trading name.

    It is the name of the individual person or organisation which is legally permitted to enter into a contract and assumes legal responsibility for any failure to meet its contractual obligations. In the case of a trust, the legal name for the registered trustee organisation must be included here and not the legal name of the trustee or of the trust.

    1.4 Australian Company Number (ACN)

    An Australian Company Number (ACN) is a unique nine-digit identifier issued by the Australian Securities and Investments Commission (ASIC) to every company registered under the Corporations Act 2001 (Cwlth).

    1.5 Type of legal entity

    The following table describes different types of legal entities, along with the evidence that must be submitted with this application to establish identity.

    Application guideApplication to renew RTO registration, updated December 2011 Page 5

Type of legal entity ;Evidence that must be attached to this

    application

    Natural person (sole trader) ; Copy of driver‟s licence

    Pty Ltd company (a proprietary company ; Copy of Certificate of Incorporation issued limited by shares incorporated under the by ASIC, and Corporations Act 2001(Cwlth), regulated by

    the Australian Securities and Investments ; ASIC Historical Company Extract which Commission (ASIC) and has “Pty Ltd” in the includes details of the company as at the name) time of lodging this application. This extract

    can be ordered through the ASIC website

    Ltd company (a public company incorporated ; Copy of Certificate of Incorporation issued under the Corporations Act 2001(Cwlth), by ASIC, and regulated by the Australian Securities and

    Investments Commission (ASIC) and has ; ASIC Historical Company Extract which “Limited” or “Ltd” in the name) includes details of the company as at the

    time of lodging this application. This extract

    can be ordered through the ASIC website

    Incorporated association (incorporated under ; Copy of Certificate of Incorporation issued the relevant state/territory associations by the relevant state/territory department incorporations Act and has “Inc.” in the

    name)

    Partnership ; Copy of driver‟s licence for each partner

    Trust (please note: registration cannot be ; An extract from the trust deed document accepted for an unnamed trustee for that provides sufficient information to verify example, `The Trustee‟ for the Training the trustee and the trust Family Trust. Registration can only be

    granted where `The Trustee‟ is clearly identified, for example `Mr A. Jones as

    trustee‟ for the Training Family Trust.)

    Cooperative association ; Copy of Certificate of Registration issued

    by the relevant state/territory department

    1.6 Registered business (trading) name(s)

    This is the name under which an entity trades, for example, ABC Pty Ltd trading as „RTO Training‟. An entity may have more than one registered business/trading name. List all of the registered business/trading names under which you intend to perform registered training organisation (RTO) functions.

    ;For each business/trading name listed, attach a copy or extract of the Certificate of the

    Registration of a Business Name issued by the relevant state/territory body, which provides current and correct business name details.

    1.7 Address of head office of entity applying to renew registration The details of the head office provided will be included on the national register (http://ntis.gov.au/). Application guideApplication to renew RTO registration, updated December 2011 Page 6

    1.8 Principal place of business of entity applying to renew registration (If

    different from head office)

    This must be the address from which the business of the RTO will be controlled and managed. This must be a street address and not a post office box.

    Section 2Ownership, management structure

    and control of the organisation

    This section requires the identification of:

    ? the owners (natural persons and other entities) of the organisation applying for registration ? key individuals and entities that will exercise a degree of control or influence over the management or direction of the organisation.

    The details provided in this section may be used by ASQA to assess the transparency of ownership and management structures of the organisation.

    2.1 Details of natural persons who own/are the legal entity applying to

    renew registration

    This section requires the identification of the person who owns or people who own (either in full or in part) the organisation seeking to renew registration.

    The details of every owner, along with their contact details and a description of the role they undertake in relation to the RTO, must be included here.

    The definitions from the Act given to of each of these titles, as they relate to an RTO, are provided below.

    Executive officer

    (a) a person, by whatever name called and whether or not a director of the

    organisation, who is concerned in, or takes part in, the management of the

    organisation; or

     (b) if the organisation is a body corporate:

     (i) a person who, at any time during a period for which the organisation is

    registered, owns 15 per cent or more of the organisation; or

    (ii) a person who, at any time during a period for which the organisation

    is registered, is entitled to receive 15 per cent or more of dividends paid

    by the organisation; or

    (c) an administrator, receiver and manager, or liquidator of the organisation (other

    than a receiver and manager, or liquidator, appointed by a court); or

    (d) if the organisation is a body corporatethe administrator of a deed of company

    arrangement executed by an organisation; or

    (e) if the organisation is a body corporatea trustee or other person administering

    a compromise or arrangement made between the organisation and another person

    or other persons.

    High managerial agentan employee or agent of the organisation with duties of such responsibility that his or her conduct may fairly be assumed to represent the organisation in relation to the business of providing courses („course‟ means a course of vocational education and training).

    A person or entity which exercises a degree of control or influence over the management or direction of the RTO includes those who make, or participate in making, decisions that affect the business of the applicant, or who have the capacity to affect significantly the future operations and financial standing.

    Application guideApplication to renew RTO registration, updated December 2011 Page 7

    For companies, the details of all directors and shareholders must align to records held by the Australian Securities and Investments Commission (ASIC).

    If preparing a paper-based application, additional tables can be copied and pasted if required.

    ;A Fit and Proper Person Requirements declaration must be completed by each executive officer and

    high managerial agent and attached.

    2.2 Details of other entities (not natural persons) that own the legal entity

    applying to renew registration

    This section requires the identification of entities, other than natural persons, that own (either in full or in part) the organisation seeking renew registration.

    The details of every owner that is not a natural person, along with its percentage share, must be included here.

    ;Refer to the table in Section 1.3 of this guide and attach the type of evidence that correlates to the

    entity type that is an owner of the organisation seeking registration.

    If preparing a paper-based application, additional tables can be copied and pasted if required.

    ;A Fit and proper person requirements declaration must be completed by each non-natural person that owns the legal entity applying to renew registration and attached.

    2.3 Details of influential non-owners of the legal entity applying to renew

    registration

    This section requires the identification of the person or people who do not have ownership in the entity applying to renew registration but who will have a degree of influence or control over the management of the organisation.

    The details of every person, along with their contact details and a description of the role they undertake in relation to the RTO must be included here.

    If preparing a paper-based application, additional tables can be copied and pasted if required.

    ;A Fit and Proper Person Requirements declaration must be completed by each influential non-owner

    and attached.

    Application guideApplication to renew RTO registration, updated December 2011 Page 8

Section 3Applicant history

    This section must be completed in full, even if details have not changed since the date of initial registration. This section requires information where an owner, executive officer, high managerial agent or person who will exercise a degree of control or influence over the management or direction of the organisation (or associate of any of these entities):

    ? has ever been registered as an RTO (excluding the existing RTO for which the renewal of registration is being sought), in any state or territory or associated with an RTO in any state or territory ? has an application for registration or to renew registration as an RTO (apart from this one) lodged with this or any other registering body or has an association with any entity that currently has an application for registration lodged with this or any other registering body.

    Section 4RTO details, scope and operating

    context

    This section relates to the intended operations of the organisation if the renewal of registration is granted, including location of delivery (including a country outside of Australia), arrangements for delivery (traineeship or apprenticeship arrangements, partnership arrangements), delivery to overseas students studying in Australia and mode of delivery (for example, face-to-face, online). This section must be completed, even if details have not changed since the date of initial registration. The information provided in this section will be considered when assessing the application and may also be used in the risk assessment of the RTO.

    4.1 Type of training organisation

    Use the following AVETMISS-based definitions to select the type of training organisation that best suits your organisation (select one type only).

    ? Private provideran education/training business which is a privately operated registered training organisation.

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

    ? Professional associationmay exist for every industry to provide professional and career

    development activities and for establishing and/or monitoring industry standards and professional codes of practice (for example, Institute of Chartered Accountants, industry unions). ? Industry associationa national industry association that represents the interests of its members (for example: Internet Industry Association, industry unions etc).

    ? Enterprisean enterprise or the training function or department of an enterprise that is registered to provide nationally recognised training. Training is delivered to its employees. This includes:

    ? Enterprisegovernment (for example, Department of Defence).

    ? Enterprisenon-government (for example, Woolworths, Qantas).

    ? Equipment and/or product manufacturer or supplierprovides certification and training for

    employees and non-employees (for example, CISCO, Microsoft).

    ? Schoolsa school is established or recognised under an Act of Parliament for the purpose of providing courses of instruction in preschool, primary or secondary education. This includes government, Catholic and independent schools and Australian Technical Colleges. ? Technical and further education institute, skills institute or polytechnican institute created by

    an Act of Parliament and that has responsibilities specified in that and other legislation. These institutes are public bodies, in receipt of government funding.

    Application guideApplication to renew RTO registration, updated December 2011 Page 9

    UniversityAll Australian universities are established or recognised under state or territory legislation except the Australian National University, which is constituted under an Act of the Federal Parliament.

    Other Training Provider not elsewhere classifiedare for-profit private training providers and not-

    for-profit training providers (for example, private one-on-one music teachers, private tutors, Mission Australia).

    4.2 Chief executive

    This is the most senior executive of the RTO. This is the person legally responsible for the organisation as an RTO and its compliance with the VET Quality Framework and the National

    Vocational Education and Training Regulator Act 2011.

    This is the person responsible for ensuring that the organisation cooperates with ASQA: ? in the conduct of audits and the monitoring of its operations

    ? by providing accurate and timely data relevant to measures of its performance

    ? by providing information about significant changes to its operations or ownership ? in the retention, archiving, retrieval and transfer of records consistent with ASQA‟s requirements

    ? by providing statements of the organisation‟s financial viability, an annual report, and/or business plan on request of ASQA (or a delegate)

    The name and contact details of this person will be included on the national register (training.gov.au). 4.3 Contact for general enquiries

    This is a person or group (e.g. reception/enquiries) who can be contacted by prospective students or other interested parties enquiring into the services provided by the RTO.

    The contact details provided will be included on the national register (http://ntis.gov.au ).

    4.4 Registration contact person

    This is the person whom ASQA will contact if any information is required about the registration of the RTO.

    4.5 Planned location for the majority of delivery of training and/or

    assessment services

    Nominate in this section the planned state or territory for the majority of delivery of training and/or assessment services of the RTO. If a planned delivery site is outside of Australia, provide the country of delivery.

    4.6 Proposed permanent delivery site/s (within and outside Australia) Provide the details of each delivery site (and of a contact person for each site) from which the RTO will permanently deliver training and assessment services following renewal of registration. Such locations may include those both within and outside of Australia.

    4.7 Proposed scope of registration

    „Scope of registration‟ means the things that an organisation is registered to do. It allows a national

    VET regulator (NVR) RTO to provide:

    ? training delivery and assessment services, and to issue the relevant VET qualifications or VET statements of attainment, or

    ? assessment services only, and issue VET qualifications or VET statements of attainment. Application guideApplication to renew RTO registration, updated December 2011 Page 10

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