Form a Application for Initial Registration to Become a Registered Training Organisation (RTO)

FormA

Application for initial registration to become a registered training organisation(RTO)

About thisform:

Organisations wanting to apply for registration as a registered training organisation(RTO)inVictoriaunderPart4.3 of the Education and Training Reform Act 2006 (ETR Act) are required to complete FormA.

Eligibility

ToberegisteredasanRTObytheVictorianRegistrationandQualificationsAuthority(VRQA)yourorganisationmust delivertraininginVictoriaonly,orVictoriaandWesternAustraliaonly.Yourorganisationcannotberegisteredbythe VRQAasanRTOinVictoriaifyouintendtodelivertraininginotherstatesandterritoriesand/ordelivertooverseas students.YoumustapplyforregistrationtotheAustralianSkillsQualityAuthority(ASQA)at

IfyourorganisationisacompanyincorporatedinAustralia,anincorporatedassociationorbodyotherwisespecified in Section 4.3.16 (4A) of the Education and Training Reform Act 2006 (ETR Act) you can apply to the VRQA for registrationasanRTO.Ifyouareasoletrader,trustorpartnershipyouwillbeineligibletoapplyforregistration. A company incorporated in Australia and acting as a trustee for a trust can apply for registration.

Organisationswantingtoapplyforan RTOregistrationmustmeettheprincipalpurposerequirementorobtainan exemption.Refertothe VRQAwebsiteformoreinformation–

7 Step Registration Process

Step1:

Attend a financial management guidance session and pre-registrationinformation session

AllpotentialapplicantsforinitialregistrationmustattendaVRQAFinancialManagementGuidancesessionpriorto applyingforregistrationasanRTO.Toregisteryourattendance,visittheVRQAwebsite–

Step2:

Prepare FormA

1.ReadGuidetoFormA.

2.Readthe2016 VRQAGuidelinesforVETProvidersandtheAustralianQualityTrainingFrameworkEssentialConditions andStandardsforInitialRegistration(RTOstandards).

3.CompleteFormAandattachalltherequireddocumentationincludingAppendix1and2(seepages26-38).

4.ReviewandcompletethechecklistforFormAinSection7ofthisdocument(seepages24-25).

*To assist with the timely processing of you application, the VRQA requests that Form A (completed and signed) together with the evidence is submitted electronically on a USB drive.

Step3:

Submit completed applicationto:

Victorian Registration and Qualifications Authority GPO Box2317

MelbourneVictoria3001

Step4:

Pay the lodgement fee and if invoiced, pay the assessmentfee

1.TheVRQAwillacknowledgeyourapplicationwithaninvoicesentviaemailforthelodgement fee. Thelodgement feeisnon-refundable.

Step5:

Complete Phase 1assessment

1. After the lodgement fee has been paid in full the VRQA will review your application to determine if your organisationmeetsthebasicrequirementstobecomeanRTOundertheETRAct,theRTOstandardsandthe 2016 VRQAGuidelinesforVETProviders.Applicationsthatareincomplete,incorrectlycompletedorineligiblewillnot proceed.
2. Ifyourapplicationisdeemedeligible,theVRQAwillinvoiceyouviaemailfortheassessmentfee.
3. Phase1involvesanassessmentofyourorganisation'scompliancewiththe2016 VRQAGuidelinesforVETProviders - Guideline 1: Governance, Financial viability and Management systems.
4. ProvidingyourorganisationcompletesthePhase1assessmenttothesatisfactionoftheVRQA,youwillproceed to Step6.

Step6:

Complete Phase 2 quality audit and if invoiced, pay the annual registrationfee

•Phase2involvesasitevisittoassessyourorganisation'scompliancewiththeremainingaspectsofthe2016 VRQA GuidelinesforVETProviders,andyourcompliancewiththeRTOstandards.

•ProvidingyourorganisationcompletesthePhase2audittothesatisfactionoftheVRQA,youwillbeinvoicedvia emailfortheannualregistrationfee.

Step7:

RegistrationrecommendedforapprovalbytheVRQAAuthorisedDelegate

•Paytheannualregistrationfeeandyourapplicationforregistrationwillbesubmittedforrecommendationand approval.TheVRQAauthoriseddelegatecanapprovearegistrationperiodofuptofiveyearsforatraining organisation.

•SuccessfulapplicantswillreceiveformaladviceoftheirregistrationandaCertificateofRegistration.

Privacydisclaimer:

All information collected in this application is required by State or Commonwealth legislation and associated regulatoryframeworks.InaccordancewiththerequirementsoftheRTOstandards,someinformationcontainedin theapplicationmaybemadepubliclyavailableontheofficialNationalRegisterofinformation,training.gov.auifyour organisationissuccessfulinobtainingregistrationasanRTO.TheVRQAmayneedtoseekfurtherinformationfrom theAustralianCouncilofPrivateEducationandTraining(ACPET)inrelationtothisapplication.

TheVRQAmayalsoshareinformationaboutthisapplicationandyourorganisationwithotherregisteringbodies,and with other relevant agencies in accordance with the provisions of the ETR Act. The VRQA may disclose personal information submitted in this application to officers of the Department of Education and Training’s (DET) Higher Education and Skills Group if you are receiving or have an application to receive government funding. Subject to the VRQA's statutory and other legal obligations, all other information will be kept secureandconfidential.

You areabletorequestaccesstothepersonalinformationthatweholdaboutyouandrequestthatitbecorrected. RequestsforaccesstopersonalinformationshouldbemadetotheFreedomofInformationofficeroftheVRQAon 90321532.

Section1Applicant’s details

1.1Name of legal entity applying forregistration

1.2Type of legalentity

Attach a copy of the Certificate of Registration of a Company and full Australian Securities Investment Commission(ASIC)detailsshowingthenamesandaddressesofallDirectorsoraCertificateofIncorporation.

1.3Registeredbusinessortradingname(s)

AttachacopyoftheBusinessNameSummaryfromASICConnect.

1.4Type of trainingorganisation

Tickoneofthefollowingcategories

School

Governmentschool Catholic school Independentschool

Other training provider Private provider Industry association Professionalassociation

Equipment/product manufacturer/supplier

Community based adulteducation

Adult Community Education (ACE) provider funded by the Adult, Community and FurtherEducation (ACFE)Board

Enterprise

Non-government enterprise Governmententerprise

Listthelegislationunderwhichtheentityisestablished

Principal purpose requirement

Indicatewhichoneofthefollowingapplies:

My organisation has the principal purpose of providing education and training Myorganisationisautomaticallyexemptfromtheprincipalpurposerequirement

Myorganisationdoesnotmeettheprincipalpurposerequirementofprovidingeducationandtraining

AttachanapplicationtotheVRQADirectorforaMinisterialexemptionfromtheprincipalpurposerequirement

1.5Head office of legal entity applying forregistration

StreetaddressIsthisaresidentialaddress?YesNo

Postaladdress(ifdifferentfromstreetaddress)

Note:Freesubscriptionemailisnotaccepted

Addresswherefinancial,studentandstaffrecords,includingarchivesandcomputerback-upstoragewillbekept(if differentfromheadofficeaddressabove)

1.6Principal place of your organisation's business (if different from headoffice)

StreetaddressIsthisaresidentialaddress?YesNo

Note:Ifyourorganisation'sprincipalplaceofbusinessisaresidentialpremises,theVRQAmayrequirethesiteaudit ofyourorganisationtobeconductedfromamutuallyconvenientalternativelocation.

Postaladdress(ifdifferentfromstreetaddress)

Note:Freesubscriptionemailisnotaccepted

1.7Your organisation's permanent deliverysites

Itisyourorganisation'sresponsibilitytoensurethatalldeliverysitescomplywithVictorianplanningschemes foruseaseducationalcentresandfacilitiesmeettheappropriatebuilding,firesafetyandoccupationalhealth andsafetylaws.Yourorganisationmustbeabletoproducethisevidenceataudit.

Delivery site1

Address

Contact person at this deliverysite

Note:Freesubscriptionemailisnotaccepted

Delivery site2

Address

Contact person at this deliverysite

Note:Freesubscriptionemailisnotaccepted

Attachadditionalpagestothisapplicationifyouhavemorethantwodeliverysites.

1.8PrincipalExecutiveOfficer(PEO)

Thisisthepersonwithresponsibilityfortheorganisation–oftentheChiefExecutiveOfficer.

AttachavalidPolicecheck(andalsoaWorkingWithChildrencheckifthePEOisinregular anddirectcontactwithchildrenunder18yearsofage).

Note:Freesubscriptionemailisnotaccepted

1.9Liaison Officer contactVET

ThisisthepersonresponsibleforallVETregistrationmatters.

AttachavalidPolicecheck(andalsoaWorkingWithChildrencheckifthePEOisinregular anddirectcontactwithchildrenunder18yearsofage).

Note:Freesubscriptionemailisnotaccepted

1.10Provide a brief description of your organisation's student records management system and administrationcapacity

YourorganisationwillberequiredtodemonstrateatauditthatithasthecapacitytoprovidetheVRQAwith datathatcomplieswiththeAustralianVocationalEducationandTrainingManagementInformationStatistical Standard(AVETMISS).

Note:Intheeventthatyourorganisationceasesoperations,itisarequirementthatanelectroniccopyofall your student records, in Excel format, is provided to the VRQA for the purpose of archiving, and reissuing qualifications ifrequired.

Yourorganisationisrequiredtoprovideinformationaboutanypersonwhoservesinoneormoreofthefollowing capacities:Director,shareholderorseniorofficer.

RefertotheGuidetoFormAforthedefinitionofaseniorofficer.

AllcompanyDirectorsandsubstantialshareholdersmustbelistedandthesedetailsmustaligntorecordsheldby theAustralianSecuritiesandInvestmentCommission(ASIC).

ThisinformationisrequiredinorderfortheVRQAtoconsideryourorganisation'ssuitabilityforregistrationasan RTO.YourorganisationmustcompletethequestionsbelowforeachpersonwhoisaDirectorand/orshareholder and/orseniorofficerofyourorganisation.

If your organisation is a company, your organisation must complete the questions below for each shareholder of thecompany.

If your organisation has more than 20 shareholders, provide the details of the 20 largest shareholders of the company.

If your organisation is an incorporated association, provide the details of the chairperson, secretary, public officer and committeemembers.

OneDirectororthePEOofyourorganisationMUSThavetheirprincipalresidencein Victoria for your organisation to be eligible for registration inVictoria.

ForeachDirectorand/orseniorofficerattachthefollowing:

•AvalidPolicecheck

•WorkingWithChildrencheckifthispersonisinregularanddirectcontactwithchildrenunder 18 years ofage.

IftheDirectoristhePEOoraseniorofficeroftheorganisationyoumustalsoattach:

•QualificationsandeducationalexperiencerelevanttothemanagementoftheproposedRTO.

Person2

Note: Free subscription email is notaccepted

Person3

Note: Free subscription email is notaccepted

TickthisboxifyourorganisationhasmorethanthreeDirectors,shareholdersorseniorofficers.

Attachadditionalpagestothisapplicationsettingouttheinformation listedaboveforeachindividual.

Section3Legal entity'shistory

ThefollowingquestionsrelatetoyourorganisationandanyDirector,shareholderorseniorofficer.Theyaredesigned tomakesurestaffmeetsthefitandproperpersonrequirementsintheRTOstandards.

3.1Is your organisation or any Director, shareholder or senior officer currently registered as, or involved with, an RTO other than your organisation in anystate or territory inAustralia?

Note:‘involvedwith’means‘havingarelationshipofanykindwith’andmayinclude,butisnotlimitedto:a contractualarrangement,employment,unpaidconsultancy,partneringagreementorjointventure

IfyouansweredYestotheabovequestionprovidedetailsbelow.

IfyouhavemorethanoneregisteredorassociatedRTOprovidealldetails onanadditionalpageandattachtothisapplication.

3.2Has your organisation or any Director, shareholder or senior officer everbeen registered, or involved with, an RTO in any state or territory in Australia in the past?

Forthedefinitionof‘involvedwith’,seequestion3.1onpreviouspage.

IfyouansweredYestotheabovequestion,providedetailsbelow.

3.3Apart from this application, does your organisation or any Director, shareholder or senior officer have an application for registration as an RTO lodged with any other registeringbody?

Has your organisation or any Director, shareholder or senior officerever:

3.4BeenrefusedregistrationasanRTOorhadaregistrationcancelledbytheVRQAoranystate,territoryor Commonwealthregisteringbody?

YesNo

3.5HadregistrationasanRTOsuspendedbytheVRQAoranystate,territoryorCommonwealthregistering body?

YesNo

3.6HadconditionsimposedonregistrationasanRTObytheVRQAoranystate,territoryorCommonwealth registeringbody?

YesNo

3.7BeenconvictedofanindictableoffenceunderalawoftheCommonwealthorofanyAustralianstateor territory?

YesNo

3.8Beenconvictedofasexualoffence? YesNo

3.9Beenconvictedofanoffencethatinvolvesfraudordishonesty? YesNo

3.10Beenbankruptortakenthebenefitofanylawforthereliefofbankruptdebtors,orcompoundedwiththeir creditorsormadeanassignmentoftheirpropertyfortheirbenefit?

YesNo

3.11Been part of a company or body that has been woundup? YesNo

3.12BeendisqualifiedfrommanagingcorporationsunderPart2D.6oftheCorporationsAct2001?

YesNo

3.13BeenconvictedofanoffenceagainsttheConsumerActwithinthemeaningoftheFairTradeAct1999ora lawrelatingtocompanyadministrationoranoffenceequivalenttothisinanyAustralianstateorterritory?

YesNo

3.14BeenconvictedofanoffenceagainsttheETRActoracorrespondinglawoftheCommonwealthorofany Australianstateorterritory?

YesNo

3.15Beeninbreachofagovernmenttrainingcontract? YesNo

3.16IfyouansweredYestoanyofquestionsabove(3.4to3.15),youneedtocompletetheadditionaldetailson the followingpage.

Theinformationbelowisinresponsetoquestion:

3.43.53.63.73.83.93.103.113.123.133.143.15

IfyourorganisationansweredYestomorethanonequestionyoumust copy and complete this section for each question and attach the completedsectionstoyourapplication.

Name(person/company)

Tick one ofthefollowing:DirectorShareholderSeniorofficerPhone

Mobile Fax

EmailNote: Free subscription email is notaccepted

ResidentialAddress

Section4Details of scope ofregistration

4.1Items on scope ofregistration

Refertothetraining.gov.auwebsite( qualifications, individual units of competency (if your organisation does not intend to deliver a full qualification) and accreditedcoursesyourorganisationwishestodeliverand/orassess.Enterthesedetailsintothetablebelow.

*Key for intended mode ofdelivery

A=face-to-faceatyourorganisation’spremises B = face-to-face atworkplaces

C=onlineonlytoresidentsofVictoriaand/orWA

D –Delivery to under 18

Planned location of delivery of training and/or assessmentservices

Ticktheboxifyourorganisationintendstooperateoffshore(outsideofAustralia)andindicatethecountry(ies)you areproposingtooperatein.

4.2Does your organisation intend to deliver training that leads to a licensed or regulated outcome? (Please provide details)

4.3Does your organisation intend to have anythird partyarrangements?

4.4Does your organisation intend to deliver any part of the accredited training to students under 18 years ofage?

4.5Does your organisation intend to collect fees in advance fromstudents?

4.6Does your organisation intend on delivering training to overseas students studying inAustralia?

4.7Does your organisation intend on delivering training under an apprenticeship or traineeshipcontract?

4.8Do you consent to the personal information submitted in this application being disclosed to officers of DET’s Higher Education and Skills Group if you are receiving or make an application to receive governmentfunding?

The following must be completed and signed by the PEO with alltherequireddocumentationattached:

•Appendix1EvidencerequiredforPhase1assessment(seepages26-38)

•Appendix2AustralianQualityTrainingFramework–Condition2ofregistration(seepage39).

Phase1

Phase 1 will involve an assessment of your organisation's compliance with Guideline 1: Governance, Financial viability and Management systemsofthe2016 VRQAGuidelinesforVETProviders.Thecriteriayourorganisationwill beassessedagainstinclude,butmaynotbelimitedto:

•strategicplan

•businessplan

•certifiedthreeyearfinancialforecast,includingfinancialindicators

•financialmanagementsystemsandstudentfees

•confirmationthatyourorganisation'sprincipalpurposeiseducation.

Australian Quality Training Framework Condition 2 – Interactions with theregistering body

It is a requirement that an application for initial registration be accompanied by a self-assessment report of the applicant’scompliancewiththeRTOstandards.Thepurposeofthisrequirementistoconfirmtoboththeapplicant andtheregisteringbodythattheapplicanthasthecapabilitytooperateeffectivelyasanRTOonregistration.

Thereportmustdescribetheevidencedemonstratingcompliance.

The form can be accessed at:

Section6Statutorydeclaration

MadeundertheEvidence(MiscellaneousProvisions)Act1958(Vic)

I,

PrincipalExecutiveOfficerof

(myorganisation),dosolemnlyandsincerelydeclarethat

•Ihavereadandunderstoodthe2016 VRQAGuidelinesforVETProvidersandtheobligationsimposedonentitiesregistered as registered training organisations under Part 4.3 of the Education and Training Reform Act 2006 and the RTO standards(asthattermisdefinedintheEducationandTrainingReformAct2006)

•ThestrategicplansubmittedwiththisapplicationhasbeenpreparedandapprovedbytheBoardofDirectorsor GoverningBodyoftheorganisation

•Thebusinessplanand financial forecasts submittedwiththisapplicationhasbeenpreparedandapprovedbytheBoardofDirectorsor GoverningBodyoftheorganisation; and reviewed and certified by a qualified accountant.

•IhaveprovidedtheVRQAwithallrelevantinformationabouttheindividualswhowillbeinvolvedinthemanagementof, and/or provision of courses by, my organisation to enable the VRQA to ascertain whether any such individual meets anyofthedescriptionslistedinsection4.3.11(2)oftheEducationandTrainingReformAct2006

•IamsatisfiedthatI,alongwithallDirectors,seniorofficersandsubstantialshareholderswhoareinapositionto influencethemanagementofmyorganisation,satisfytherequirementsinSection3ofthisapplication

•Myorganisationcomplieswiththeprincipalpurposerequirementassetoutinsection4.3.16(3)(bb)oftheEducation andTrainingReformAct2006orisotherwiseexempt

•Myorganisationdoesnothaveanapplicationforregistrationlodgedwithanyotherregisteringbodyincludingthe Australian Skills QualityAuthority

•My organisation will not, in the immediate future (12 months), deliver courses to international students and/or in anotherAustralianStateorTerritory(otherthanVictoriaorWesternAustralia)includingthosedeliveredonlineorby distanceeducation

•AllinformationprovidedinthisapplicationandAppendix1and2istrueandcorrect

•Thisdeclarationistrueandcorrectandismadeinthebeliefthatapersonmakingafalsedeclarationisliabletothe penaltiesofperjury.

Declaredat:

Thisdayof20

Signature of person making this declaration (tobesignedinfrontofanauthorisedwitness)

Beforeme

SignatureofAuthorisedWitness

Theauthorisedwitnessmustprintorstamphisorhername,addressandtitleundersection107AoftheEvidenceMiscellaneous ProvisionsAct1958(asof1January2010)previouslyEvidenceAct1958.(egJusticeofthePeace,Pharmacist,PoliceOfficer, Court Registrar, Bank Manager, Medical Practitioner, Dentist).

Name ofwitness

Title

Address

List of persons who may witness statutory declarations inVictoria

a justice of the peace or a bailjustice

• a publicnotary
• anAustralianlawyer(withinthemeaningoftheLegalProfessionAct2004)

a clerk to an Australianlawyer

• the prothonotary or a deputy prothonotary of the Supreme Court, the registrar or a deputy registrar of the County Court, the principal registrar or a registrar or deputy registrar of the Magistrates' Court or the principal registrar or a registrar or deputy registrar of the Children’sCourt
• the registrar of probates or an assistant registrar ofprobates
• the associate to a judge of the Supreme Court or of the CountyCourt
• the associate of an Associate Judge of the Supreme Court or of an associate judge of the County Court
• apersonregisteredasapatentattorneyunderChapter20ofthePatentsAct1990ofthe Commonwealth
• a policeofficer
• the sheriff or a deputysheriff
• amemberorformermemberofeitherHouseoftheParliamentofVictoria
• a member or former member of either House of the Parliament of theCommonwealth
• a councillor of amunicipality
• aseniorofficerofaCouncilasdefinedintheLocalGovernmentAct1989

a person registered under the Health Practitioner Regulation National Law to practise in the medical profession (other than as astudent)

• a person registered under the Health Practitioner Regulation National Law — (i) to practise in the dental profession as a dentist (other than as a student); and (ii) in the dentists division of that profession
• aregisteredveterinarypractitionerwithinthemeaningoftheVeterinaryPracticeAct1997

a person registered under the Health Practitioner Regulation National Law to practise in the pharmacy profession (other than as astudent)

• aprincipalwithinthemeaningoftheEducationandTrainingReformAct2006

the manager of an authorised deposit-takinginstitution

• a person who holds a prescribed membership of a prescribed accounting body orassociation
• the secretary of a buildingsociety
• a minister of religion authorised to celebratemarriages
• aVictorianInspectorateOfficerwithinthemeaningoftheVictorianInspectorateAct2011

a person employed under Part 3 of the Public Administration Act 2004 with a classification that is prescribed as a classification to which this section applies or who holds office in a statutory authority with such aclassification

• anIBACOfficerwithinthemeaningoftheIndependentBroad-basedAnti-corruptionCommissionAct 2011

a fellow of the Institute of Legal Executives(Victoria).

Section7Checklist to FormA

Ensureyouhavecompletedthechecklistbelowandattachedall requireddocumentationtoyourorganisation'sapplicationbeforesubmittingittotheVRQA.

Appendix1–EvidencerequiredforPhase1assessment

Delivery of VETCourses

ThefollowingchecklistprescribestheinformationyouneedtosubmitforPhase1assessmentofyourapplication.Thelevelofdetailinthetablebelowistoensurenoinformation isomitted.PleasenotethatthePhase1assessmentwillnotcommenceuntilallrequiredinformationhasbeenreceived.

To complete this document please refer to the notes below:

Thechecklistincludes12sectionsthathavebeenmappedtotheVRQAGuidelinesforVETProviders.

Pleaseforwardallinformationelectronically andincludethischecklistwithyoursubmissionreferencingeachofthe13requirementstotheappropriatefile containingtherequestedinformation.

Theformatsforthesubmissionofinformationareasfollows: Financial information – Microsoft Excel

Otherinformation–MicrosoftWordorPDF

WhereinformationissubmittedinMicrosoftWord,paragraphswithinthedocumentshouldbenumberedandtherequiredinformationshouldbecrossreferencedtothefile nameandparagraphnumber.

For example

Requirement1StrategicPlaninformationa.OverallVisionMission-referReq1.docparagraph15–17 Requirement1StrategicPlaninformationb.BoardofDirectors–referReq1.docparagraph25

• cashflow

• currentratio

• debtratio

• creditor and debtordays.