Compliance Heroes: How RTOs Can Save the Day with Training that Meets Regulatory Requirements

As an RTO owner or senior manager, you understand the importance of compliance in training and development. Compliance not only protects learners, employers, and the community from risks, but it also ensures that your training programs are of the highest quality.

But how can you ensure compliance and maintain your status as a compliance hero?

Join us for our latest podcast episode, where we explore the importance of compliance in training and development. Our expert guests discuss the benefits of ensuring compliance, the ways in which RTOs can ensure compliance, and the important role RTOs play as compliance heroes in the training and development industry.

In Part 1, we discuss why compliance matters in training and development. Our guests share insights on the benefits of compliance for industry, students, trainers, RTOs, and Australia as a whole.

Part 2 delves into how RTOs can ensure compliance in training and development. Our guests provide advice on staying up to date with regulatory requirements, implementing strong policies and procedures, and conducting regular audits. They also discuss the importance of engaging a professional to undertake an external audit at least annually to ensure that the audit is unbiased.

In Part 3, we explore the important role of compliance heroes in training and development. As industry leaders, RTOs play a crucial role in equipping the workforce with the skills and knowledge they need to succeed. Our guests provide examples of how RTOs can be compliance heroes, including working closely with industry partners, providing ongoing support to learners, and being champions of quality training and development.

With over 10 years of experience and a team of trained professionals that have helped over 400 RTOs around Australia, our guest consultant, Vivacity Coaching and Consulting, will share their expertise on the topic.

Don't miss out on this valuable discussion. Tune in now to learn how you can become an RTO compliance hero and ensure high-quality training and development. 

Transcript

 Welcome to the RTO Superhero Podcast, where we help you to solve the complexities of compliance. In today's episode, we're going to talk about the importance of compliance in training and development, and how RTOs can work to ensure that their training programs meet regulatory requirements. As compliance heroes, RTOs play a crucial role in ensuring that the workforce is equipped with the skills and knowledge they need to succeed. So, let's dive in!
 
Part 1: Why Compliance Matters in Training and Development
Compliance is essential in training and development for a number of reasons. First and foremost, it ensures that learners are receiving training that meets industry needs as well as the regulatory requirements for that industry sector. This means that students are being equipped with the skills and knowledge they need to succeed in their careers. Compliance also helps to protect the reputation of the training organisation, and can help to build trust with learners, employers, and regulatory bodies.

From a legal standpoint, compliance with the Standards for Registered Training Organisations is crucial for maintaining an RTO's registration. The Standards are a set of regulations that RTOs must adhere to in order to maintain their registration with the Australian Skills Quality Authority (ASQA), the national regulator for the vocational education and training (VET) sector in Australia.

Failure to comply with the Standards can result in a range of legal consequences for the RTO, including fines, legal action, and potential revocation of their registration. This can have serious consequences for the RTO, including the loss of their ability to deliver training and the potential for reputational damage.

In 2016, Peacemakers Security Pty Ltd (Peacemakers) had their registration as an RTO cancelled by the Australian Skills Quality Authority (ASQA) due to their failure to meet the national training standards. This failure to adequately assess the competence of their students led to the cancellation of 1,947 security and related qualifications and statements of attainment (SoAs) issued to 1,020 people. This had a significant impact on the affected students, who had invested time and money into their education with Peacemakers but had their qualifications and SoAs found to be invalid. This resulted in them having to regain their qualifications through another training provider if they wanted to work in the security industry. This situation also caused reputational damage for the affected students and the wider VET system in Australia, highlighting the importance of compliance with the national training standards for Registered Training Organisations. Non-compliance can have serious consequences, including reputational damage, potential loss of registration, and the impact on the careers and financial wellbeing of students. It is crucial for training providers to adequately assess the competence of their students and to ensure compliance with the national training standards to maintain the integrity of the VET system.

In 2022, the Federal Court ordered an RTO to pay significant penalties for 11 contraventions of the National Vocational Education and Training Regulator Act 2011 (the NVR Act). The Court found that The  RTO  had breached the NVR Act on 8 occasions between October 2017 and February 2019 by purporting to issue certification for qualifications without appropriate registration. Additionally, on 3 occasions between December 2017 and March 2018, The  RTO  received and undertook assessment of part of the same VET course without registration to do so. Justice Collier ordered The  RTO  to pay a total pecuniary penalty of $23,000 and $45,000 in costs.

The breaches had a significant impact on affected students who had received qualifications that were liable to be cancelled as they were issued by The  RTO  outside of its permitted scope of registration. Justice Collier took into account that public confidence in the value of VET training and qualifications may be undermined when training organisations act outside the scope of their registration, and that the scale and nature of the industry means it is important for training providers to adhere to regulations to ensure confidence in the integrity of the industry.

The  RTO  admitted to the breaches and cooperated with ASQA during the investigation and proceedings. An enforceable undertaking was previously entered into with ASQA to compensate the affected students if they wished to update their qualifications to the new courses. This situation highlights the importance of compliance with the NVR Act and the potential consequences of non-compliance. Operating outside of the scope of registration can undermine the integrity of the entire sector and put students' qualifications at risk. It is crucial for training providers to adhere to regulations and maintain public confidence in the value of VET training and qualifications.
 
5 benefits of ensuring that an RTO is compliant with the Standards for Registered Training Organisations: 

1. Benefits to learners/students: When an RTO is compliant with the standards, learners can be assured that they are receiving high-quality training that meets industry standards and regulatory requirements. This means that they are being equipped with the skills and knowledge they need to succeed in their careers, which can lead to improved job opportunities and better career outcomes. 
2. Benefits to trainers: Compliance with the standards can also benefit trainers by providing clear guidelines for the delivery of training and assessment. This can help to ensure consistency in the delivery of training and assessment, and can also provide trainers with a framework for continuous improvement. 
3. Benefits to the RTO: Compliance with the standards can help to protect the reputation of the RTO and can build trust with learners, employers, and regulatory bodies. It can also help to reduce the risk of legal action, fines, or other penalties associated with non-compliance. 
4. Benefits to industry: When RTOs are compliant with the standards, it can benefit industry by ensuring that the workforce is equipped with the skills and knowledge they need to meet industry standards and regulatory requirements. This can lead to a more skilled and productive workforce, which can benefit the industry as a whole. 
5. Benefits to Australia: Compliance with the standards can benefit Australia by ensuring that the workforce is equipped with the skills and knowledge they need to compete in a global marketplace. This can help to drive economic growth and improve the overall prosperity of the country. 

Compliance with the standards can benefit learners, trainers, the RTO, industry, and Australia as a whole by ensuring that training programs meet industry standards and regulatory requirements, and by helping to build a skilled and productive workforce.

Part 2: How RTOs Can Ensure Compliance with the Standards
How can you ensure your RTOs compliance with the Standards? The first step is to be aware of the regulatory requirements that apply to your industry sector and your learners. This means staying up to date with any changes or updates to regulations, for both the RTO and your industry sector, and ensuring that training programs are adjusted accordingly.

It's also important to have policies and procedures in place, that are easily accessible and easy to follow, to ensure compliance. This includes having clear guidelines for trainers, assessors, and learners, and ensuring that everyone involved in the training program understands their roles and responsibilities. RTOs should also conduct regular audits of their training programs to ensure that they are meeting regulatory requirements.

Regular auditing is an essential component of ensuring compliance with the Standards for Registered Training Organisations.  However, while RTOs can conduct their own internal audits, it is important to engage a professional to undertake an external audit at least annually.

One key reason for this is that an external audit provides an unbiased assessment of an RTO's compliance. External auditors are independent and have no vested interest in the RTO's operations, which means they are better positioned to identify any areas of non-compliance or opportunities for improvement.

An external audit also provides RTOs with a fresh perspective on their operations. Internal auditors may become too familiar with the RTO's operations and may overlook areas that require improvement. An external auditor, on the other hand, can provide a fresh set of eyes and a new perspective, which can help RTOs to identify areas where they can improve.

Engaging a professional to undertake an external audit can also provide RTOs with access to the latest industry knowledge and best practices. Professional auditors are often highly experienced and have worked with a range of different RTOs, which means they have a thorough understanding of the Standards and what is required to achieve compliance.

Additionally, external auditors are often able to provide RTOs with actionable insights and recommendations for improvement. They can identify areas of non-compliance and provide advice on how to rectify these issues. They can also provide guidance on how to improve processes and procedures to ensure ongoing compliance with the Standards.

Engaging a professional to undertake an external audit at least annually is critical for ensuring that RTOs remain compliant with the Standards. With an unbiased assessment of their operations and access to the latest industry knowledge and best practices, RTOs can identify areas for improvement and make the necessary changes to remain competitive and compliant.

Ensuring compliance with the Standards for Registered Training Organisations is a critical component of running a successful RTO. However, achieving and maintaining compliance can be a challenging and time-consuming task, particularly for RTO owners and senior management who may not have the necessary expertise or resources to manage it themselves.

This is where hiring an experienced RTO consultant can be highly beneficial. An RTO consultant can provide expert guidance and support to help RTOs meet their regulatory obligations and achieve compliance with the Standards. With experience working with a range of different RTOs, an RTO consultant has a thorough understanding of the regulatory requirements and can provide practical insights and advice to ensure that RTOs are meeting these requirements.

One key benefit of hiring an experienced RTO consultant is their experience with attending ASQA audits. This experience can be invaluable in helping RTOs prepare for audits and ensuring that they are fully compliant with all regulatory requirements. An experienced RTO consultant can also assist with the development and implementation of policies and procedures, ensuring that RTOs have the necessary documentation in place to meet regulatory requirements.

In addition, an RTO consultant with business acumen can provide valuable advice on how to operate their RTO more effectively, including strategies for growth and business development. This can help you to remain competitive and achieve their goals.

It is important to note, however, that not all RTO consultants are the same. It is crucial to carefully vet consultants to ensure that they have relevant experience and a track record of success. For example, our team at Vivacity has over 10 years’ experience with working with RTOs across Australia. With a team of trained professionals, Vivacity has helped over 400 RTOs since 2009 to achieve compliance with the Standards and improve their overall performance.

Overall, hiring an experienced RTO consultant can provide RTO owners and senior management with the expertise and support they need to ensure compliance with the Standards. With the right consultant on board, RTOs can operate more efficiently, remain competitive, and achieve their goals.

Part 3: The Role of RTO Superheroes

As an industry leader in your field of expertise, RTOs play a crucial role in ensuring that the workforce is equipped with the skills and knowledge they need to succeed. By ensuring compliance with regulatory requirements, they help to protect learners, employers, and the broader community from risks and ensure that training programs are of high quality.

But being an RTO Superhero isn't always easy. It requires a commitment to staying up to date with regulatory requirements, and a willingness to adapt your training as required. It also requires a strong focus on quality and a dedication to providing the best possible learning experiences for learners.

As an RTO compliance expert with over a decade of experience in the industry, I would like to share with you three strategies you could implement to be a superhero in your industry sector.

1: Developing Industry-Specific Training Programs
The first way you can be a superhero is by developing industry-specific training programs. As an RTO, you play a crucial role in ensuring that the workforce is equipped with the skills and knowledge they need to succeed. By providing training that is relevant and up-to-date, you can help to ensure that the workforce is equipped to tackle the challenges of your industry.

2: Engaging with Industry Stakeholders
By working closely with employers, industry bodies, and government agencies, you can gain valuable insights into industry trends and needs, which can inform the development of training programs and ensure that they are relevant and effective. This can help to ensure that your RTO remains at the forefront of industry trends and is well-positioned to respond to changing industry needs.

3: Fostering a Culture of Continuous Improvement
Finally, you can be an industry leader and Superhero by fostering a culture of continuous improvement within your RTO. By regularly reviewing and evaluating your training programs, you can identify areas for improvement and make the necessary changes to ensure that you are providing the best possible learning experiences for learners. Your commitment to quality and continuous improvement can help to set your RTO apart from others in the industry and position you as a Superhero for their sector.

Compliance is essential for your RTO, as you play a crucial role in ensuring that your learners receive training that meets regulatory requirements.

By staying up to date with regulatory requirements, having strong policies and procedures in place, and maintaining accurate records, you can ensure compliance and protect yourself and your learners from risks. So, keep being compliance heroes, and keep up the great work!

Thanks for listening to the RTO Superhero Podcast. In our next episode I will be covering the importance of branding for your RTO, Unleashing the Power of Your RTO Brand: Strategies for Building, Managing, and Maintaining Your Brand Identity.