P11- Legislative and Regulatory Conformance

P11- Legislative and Regulatory Conformance 1.0 Purpose P11 Legislative and regulatory conformance v5.9 1.1 The purpose of this procedure is to define the system used to ensure compliance with Commonwealth and State legislative and regulatory requirements. 2.0 Responsibility 2.1 The CEO/Deputy CEO is responsible for the implementation of this procedure and to ensure that staff are aware of its application and implement its requirements 3.0 Definitions 3.1 Training organisations have an obligation to comply with relevant Commonwealth, state or territory legislation and regulatory requirements. Training organisations must ensure that staff and clients are fully informed of legislative and regulatory requirements that affect their duties or participation in vocational education and training (as per RTO Standards 2015 for Registered Training Organisations). 3.2 Commonwealth ESOS Act covers the requirements for education of International Students with attached legislation e.g. The National Code of Practice for Providers of Education and Training to Overseas Students 3.3 3.4 Compliance with the VET Quality Framework is a statutory requirement for registration. The VET Quality Framework comprises the: Standards for Registered Training Organisations 2015 Australian Qualifications Framework Fit and Proper Person Requirements Financial Viability Risk Assessment Requirements, and Data Provision Requirements 3.5 In addition to the specific educational legislation and regulations identified above, Baxter Institute must also comply with other associated legislation and regulation including: i) Occupational Health and Safety Act and legislative requirements ii) Accident Compensation (Work Cover Insurance) iii) Equal Opportunity Act iv) Commonwealth Privacy (applies to corporations with an annual turnover greater than $3m under the small business exemption arrangements. The Victorian Information Privacy Act 2000 will generally not be applicable to privately owned Registered Training Organisations). v) Education Reform Act vi) The Australian Student Visa Program administered by the Department of Immigration and Border Protection vii) Any other legislation or regulations identified as relevant to the Registered Training Organisation viii) Charter of Human Rights and Responsibilities Act ix) Disability Act x) Working with Children Act xi) Department of Education and Early Childhood Development Higher Education and Skills Group (HESG) Policies & Guidelines on website (http://www.skills.vic.gov.au/publications/policies-andguidelines) 4.0 Requirements / Process 4.1 Registered training organizations must: This is an uncontrolled document once it is printed Page 1 of 6

i) Comply with relevant Commonwealth 1 and State 2 legislations and regulations ii) Comply with Department of Education and Early Childhood Development Higher Education and Skills Group (HESG) funding and other requirements iii) Comply with reasonable requests from ASQA (regulator) in the provision of information to demonstrate continued conformance to the following standards: (1) Federal legislation including the ESOS 2000 Act and its amendments (2) State Legislation as defined in the Education & Training Reform Act and its amendments (3) ASQA Quality Indicators reporting (4) VET Quality Framework for VET Providers 4.2 Ensure staff and clients are provided with information about relevant Commonwealth and State legislation and regulations. 4.3 Ensure that they have insurance and fee protection necessary to meet regulatory requirements and carry out its business. Legislation and Regulation Method 4.4 Review requirements of relevant Commonwealth and State legislative and regulatory requirements. 4.5 The compliance department will be responsible for the daily review of HESG Guidelines. 4.6 For legislation that may cover or impact each and every qualification on scope, the coordinator of the qualification should through his/her industry consultation keeps abreast with the industry and be aware of the legislation and changes or additions made. This will be reviewed as a part of the audit process (P32) in addition to the legislation relating to the day to day operation of Baxter Institute. 4.7 Following the review, identify and implement relevant Commonwealth, State and Local Government Legislative and Regulatory requirements. 4.8 Ensure that all staffs are aware of and implement relevant Commonwealth and State legislative and regulatory requirements. This will be accomplished by: i) Induction programs for staff ii) Distribution of information to staff on a regular basis iii) Information included in the staff handbook and delivery of the courses iv) An annual staff appraisal v) Professional development for staff 4.9 Ensure clients are aware of and implement relevant Commonwealth and State legislative and regulatory requirements. This will be accomplished by: i) Inclusion of information in the documentation provided to prospective students ii) Orientation program for students iii) Information posted on notice boards accessible to students iv) Information included in delivery of the courses v) Information posted on the Baxter s website Insurance 4.10 Maintain appropriate commercial insurance cover by: i) Identifying insurable risks ii) Obtaining professional advice regarding required insurance iii) Purchasing all necessary insurance cover as advised and determined necessary by the Institute iv) Reviewing and renewing insurance cover annually 4.11 Ensure Baxter constantly adheres to provider obligations of the Tuition Protection Service (TPS) framework. Notification of regulator 4.12 Baxter Institute has a duty to keep the regulator informed of changes that may affect its registration. 4.13 As a principle Baxter will inform ASQA as early as possible and on all issues, it may deem as relevant with a view of keeping the regulator fully informed. 4.14 Notice must be provided to the ASQA for the following situations: 1 Commonwealth legislation and regulations can be viewed on the web at http://www.comlaw.gov.au/ 2 Victorian legislation and regulations can be reviewed on the web at http://www.dms.dpc.vic.gov.au/ This is an uncontrolled document once it is printed Page 2 of 6

i) Change of Ownership or substantial shareholding of Baxter Institute ii) Change in Senior Management of the Institute iii) Change in delivery addresses of training including relevant regulatory and or other approvals required. (e.g. specialist certification of workshops). iv) Change in governance arrangements ensuring compliance with section 4.3.17 of the Education & Training Reform Act 2006. v) Changes in financial standing including (but not limited to): (1) Financial viability or debt ratio (2) Financial guarantor arrangements (3) Insurance arrangements (4) Mechanisms for securing student fee payments for the period from receipt of funds to the students commencement of studies. 4.15 Baxter Institute will, having already been registered, keep its registration up to date and submit renewal applications in sufficient time to keep its registration current and provide all the necessary information to ASQA. 4.16 The CEO/Deputy CEO is responsible to notify DEECD within 24 hours if Baxter s registration is suspended or cancelled, an insolvency event occurs or a decision is taken to restructure the business or change of ownership or control of Baxter Institute. Course Registration 4.17 In addition to the RTO registration, Baxter Institute will keep the regulator up to date with all proposed courses it intends to deliver, subject to regulatory approval. The information to include course duration, any work based training requirements and mode and place of study. 4.18 The compliance manager is delegated the responsibility of ensuring that Baxter Institute will maintain at least one nationally recognised qualification for delivery on its RTO's scope of registration by the CEO/Deputy CEO. 4.19 In addition any arrangements with other providers must be registered with the regulator and HESG. Baxter currently do not have partnership arrangements. 4.20 For CRICOS registration this is to include the maximum number of students that Baxter Institute wishes to train. Change of Delivery Address 4.21 When Baxter Institute relocates and changes one or more campuses or their head office, they must notify: i) ASQA in writing of any change and pay the current fee. ii) The students affected. 4.22 Both ASQA and Students must be given at least 20 working days notice. 4.23 Be prepared to have an audit of the new premises. ASQA Compliance 4.24 Baxter Institute will make available to the regulator at their request the following information. Baxter Institute provides the information or stores the information as shown below. Specific Item Evidence of company incorporation in Australia (alternatively evidence of being an incorporated body in receipt of government funds) Physical address of the company in Victoria for the purposes of serving notices Names of Directors, CEO/PEO and senior management members with associated police checks (and also working with children checks if students under 18 years) Evidence that shows that at least one Director or PEO/CEO have their principal residence in Victoria Where or how CEO Sheila Baxter Training Centre Pty. Ltd. Level 2, 228-236 Flinders Street, Melbourne VIC 3000 Names of Directors and Senior Management identified on the Organisational Chart (B03). Each of these management have had police checks made and are stored in their personnel file CEO is a resident of Victoria evidence available from CEO on request. This is an uncontrolled document once it is printed Page 3 of 6

Contact arrangements for CEO/PEO including during holidays and other close down periods Physical addresses of the location of financial, student and staff records including archives, soft copies and computer back up storage Financial management system/s, including systems for managing student fee payments and student refunds. Student records management system and administration capacity, including the capacity to provide the ASQA with AVETMISS compliant data and to ensure that copies of student records are able to be provided in electronic and print versions, at no cost to ASQA in the event that the provider ceases operations Staff records management system and administration capacity, including arrangements that are in place to ensure that for each training and assessment staff member the following verified or certified and/or signed documents are held by the RTO trainer skills matrix signed by trainer/assessor assessor qualifications verified by RTO or otherwise certified vocational qualifications verified by RTO or otherwise certified CV signed by trainer/assessor professional development activities verified and/or signed by trainer/assessor position description employment contract/agreement. Required additional evidence for ESOS approval Details of any education and migration agents that have more than a 5% ownership in the operations of the RTO Details of the extent of the involvement of agents in collecting, managing and refunding student fees Mechanisms for securing student fee payments for the period from receipt of funds to the students commencement of studies. Data Provisions and Submissions P11 Legislative and regulatory conformance v5.9 CEO is available on his mobile phone at all reasonable times All administrative offices are located at Level 2, 228-236 Flinders Street, Melbourne VIC 3000 Computer backup and storage is located at Building 228-236 Flinders Street and 134 Flinders Street. All finances are recorded on MYOB system and the data is subject to the same computer back up process as all other electronic data. All information is stored on Wise.Net system which is web based. Wise.Net maintains backups of Baxter s data off site at two locations: Building 228-236 Flinders Street and 134 Flinders Street. Each member of staff has the required information stored in the individual s staff file No agents hold any shares or have any other financial interest in Sheila Baxter Pty Ltd or any of its subsidiaries Agents Policy (P04) covers all Agents behaviour. Agents hand over all fees that they collect if any and are paid on invoice. All refunds are managed by Baxter Institute and go to the student or a nominated person(written notification from student is required). Baxter ensures pre-paid tuition fees are always secured in Baxter Institute Administration P/L account. Submission of Annual summary report to ASQA against the quality indicators Baxter must submit the quality indicator data reports in full to ASQA at qidata@asqa.gov.au by close of business on 30th June of each calendar year. Baxter must also submit Quality Indicators to Skills Victoria commission via SVTS enquiry This is an uncontrolled document once it is printed Page 4 of 6

function under the category AQTF Quality Indicators by 30th June of each calendar year. Submission of Competency Completion Publication of most recent Quality Indicators Publication of most recent registration report Notification of subcontracting arrangements to regulator Submission of indicative fees for government subsidised courses information (Skills Victoria) Publication of indicative government subsidised fees (Skills Victoria) Submit to The Commission (Skills Victoria) the percentage of trainers and assessors who hold a Diploma level qualification or Diploma level equivalent or above Baxter to submit AVETMISS delivery activity data submissions monthly via SVTS. The department will transmits data to the National VET Provider collection on our behalf. Baxter must publish a copy of the most recent Quality Indicators in relation to Learner s Engagement & Employer Satisfaction. Indicators must be published within one month of the commencement date of the Service Agreement on the website and remained in place until the next indicators are available and published. Baxter must publish a copy of the most recent registration report from the registering body on the website within one month of the commencement of Service agreement and updated if and when new registration audit report/s become available. Currently Baxter Institute does not subcontract any of its Training Services. In the event that Baxter does subcontract any Training Services to another RTO. Baxter will immediately notify the Skills Victoria Commission of its intention. Baxter must submit indicative fees for government subsidised courses offered under Skills Victoria Service Agreement within two months of the commencement of the Service Agreement. An unloadable excel form can be found in the Document section on SVTS and submit via SVTS enquiry function under the Student Fees category. Baxter must publish indicative fees for government subsidised courses offered under Skills Victoria Service Agreement on the website within two months of commencement date of Service Agreement. Baxter must submit a pre-formatted Excel worksheet available at the Documents section of SVTS. The completed Excel file should be saved and uploaded to SVTS, using the enquiry type Service Agreement Trainer qualifications by 31 st July of each calendar year Tuition Protection Services (TPS) requirements Contact students to actively verify student contacts, At least once every 6 months including mobile phone numbers and email addresses Student default Notify Secretary & TPS director within 5 business days via email to administrator@a.tps.gov.au (source: https://tps.gov.au/staticcontent/get/contactus) This is an uncontrolled document once it is printed Page 5 of 6

Baxter Institute s default Notify the Secretary, TPS Director & students within 3 business days via email to administrator@a.tps.gov.au (source: https://tps.gov.au/staticcontent/get/contactus) End 5.0 Revision history Revision Date Description of modifications 1 March 2008 Original 2 May 2009 Reviewed and created a new procedure for Agent selection and review removing it from this section 3 Nov 2010 Updated to cover new VRQA Guideline Requirements 3.1 Feb 2011 Added Change of address section 3.2 April 2011 Updated legislation to cover course requirements too. 4.0 30/8/2011 Updated to include SFV requirements & replaced VRQA with ASQA 5.0 25/11/11 Reviewed and re-phrased sentences related to Regulator ASQA 5.1 22/4/2012 Rectification requirement ensure OSTAS and ASTAS provider reports are always accurate and updated by compliance department. 5.2 28/5/2012 Renamed Skills Victoria to Higher Education and Skills Group (HESG) 5.3 20/8/2012 Included Data Provisions and submissions schedule 5.4 8/7/2013 Updated according to SANS 2013-07 released on 14 th June 2013 5.5 05/03/2014 Updated policies according to TPS requirements 5.6 6/6/2014 Reviewed and updated 5.7 3/6/2015 Updated ASQA s requirements on CCOS 5.8 10/8/2017 Reviewed, updated Standards for Registered Training Organisations 2015 5.9 15/08/2016 Reviewed and updated minor wording and formatting This is an uncontrolled document once it is printed Page 6 of 6