Staying on top of compliance

Introduction
RTOs are required to comply with an increasing number of constantly changing regulations and reporting and there is a heavy price to pay if found non-compliant.
With ASQA’s emphasis on RTOs self-management of ongoing compliance through systemic monitoring, what is the best way to stay on top of and adapt to the journey of compliance in an ever-changing landscape whilst remaining cost-effective?
The answer is often ‘why not hire a compliance manager’? Sounds easy? Not really.
The compliance requirements that RTOs face are complex. Having a compliance officer focused on managing risk is an essential piece of the puzzle but not the complete answer.
It requires more than one person to develop systematic processes to compliance. It requires more than an internal team to manage risk and maintain a positive reputation. It requires experts to decipher confusing or abstract standards and determine how to establish and integrate best practices.
What does ASQA’s data indicate?
ASQA, in their 2018 Course Owner Report, identified that:

• 67% of RTOs were non-compliant in their development of enterprise units
• 58% of RTOs were non-compliant in AQF qualification type and level Volume of learning
• 56% of RTOs do not have sufficient evidence of consultation/validation activities, industry need and support.

One of the reasons for these findings could be because an RTOs compliance culture suffers from the ‘comfort with status quo’ syndrome. RTOs who depend mainly on an internal process find it difficult to accept change due to their lack of confidence in the unknown new system and culture. They fail to redesign, rethink, and reorganise new compliance policies, procedures, and processes as they struggle to disengage from the existing culture.
Many compliance officers have tried to set the tone of compliance to protect the organisation, hold employees accountable, and lead a culture of compliance. However, they are often seen as the bearers of bad news and often not supported.
Why are compliance services becoming increasingly important?
Today more than ever, RTO executives and owners seek out unbiased and impartial subject matter experts and consultants to look into all areas of their organisation. External consultancy like the services CAQA provide are engaged for registrations, internal audits, validations, etc.
In light of all this, CAQA has designed its Ongoing Retainer Agreement. The objective is to provide ongoing consultancy services to RTOs with a compliance program that institutes a system of checks and balances at every level.
Seven (7) benefits an ongoing Retainer Agreement can provide.
As an external consultant, we have the advantage of a bird’s-eye view of the RTO to spot compliance issues, hear about trends, and identify new risks before they become findings that result in the consequences of suspension or de-registration etc.
Our approach is a holistic perspective with proactive rectification. Our culture is solution-oriented, ensuring RTO’s self-assurance.
Bringing our professionals to you will have the following benefits.

1. Proactive action. We will identify your areas of improvement before they become non-compliant and create significant problems. All we need from you is a commitment to an effective compliance program.
2. Independence. Our reporting is unbiased and that can assure you the information in our report is entirely objective.
3. We bring a wealth of audit experience. We work with many RTOs. Our experts are engaged in auditing daily, and their expertise adds more value. We use this knowledge to recommend improvements and provide you with a systematic solution to your quality management system.
4. Exceptional success record. Our consultants have been providing compliance and regulatory assistance to training and education organisations for over 25 years. They are a team of dedicated and seasoned professionals trained in ISO quality management standards with an exceptional success record.
5. No data smog. In this era of over-information, many RTOs suffer from 21st century’s syndrome of data smog that is characterised by the velocity of over-information along multiple channels that often results in the collapse of healthy business cycles. We provide you with the correct information required, no less no more.
6. Consistency. By signing an agreement with CAQA to conduct internal periodical audits, you will offload that responsibility and simultaneously ensure that you will get consistent results through scheduled visits.
7. Cost-effective resourcing. We understand that not all organisations have the resources to hire the audit professionals they need to excel within their chosen field. Our service allows you to utilise high caliber resources for a fraction of a price of what it would cost to employ a compliance person.

What you will get from an Ongoing Retainer Agreement.

• One hundred (100) hours of consultancy services delivered over a ninety (90) day period.
• Three (3) professional development sessions for staff and management on topics nominated by the Training Organisation over a ninety (90) day period.
• Five (5) recruitment advertisements/month on CAQA Recruitment (over the period in which the Agreement remains in effect)
• Five (5) advertisement in Career Callings Social media marketing (over the period in which the Agreement remains in effect)
• Assistance with compliance and training organisation related queries
• Validation of units of competency (maximum 2x per qualification/month)
• Provision of industry consultation support (1x per qualification/month)
• Updated information from the VET industry
• Exceptional consultancy on Systematic Self-Quality Assurance and Continuous Improvement
• Regular news and updated information about the VET industry

Call us on 1800 266 160 or email info@caqa.com.au to find out more. Let us bring CAQAs professional team to you – don’t wait until your next audit is due.