QA_POL_01 Meeting Legislative and Regulatory Requirements Policy

1. Purpose

This policy and procedure outlines the ways that Lumify Learn ensure their cooperation with the national regulator – the Australian Skills Quality Authority (ASQA) – including its legislative requirements under the NVR Act 2011, as well as all other legislative business requirements, such as Standards for NVR Registered Training Organisations 2012 and Financial. It also outlines Lumify Learn’s commitment to meeting all obligations under their various funded training contracts.

2. Scope

This Policy and Procedure covers all of Lumify Learns training and assessment services and all training/academic, student services, and governance staff members.

3. Responsibilities

The General Manager is responsible for ensuring this Policy and Procedure is implemented. The Compliance Coordinator is responsible for ensuring this Policy and Procedure is maintained and up to date in line with scheduled revisions. Managerial staff are responsible for ensuring their teams are up-to-date with this Policy and Procedure.

4. Policy and Procedure


Lumify Learn Chief Executive Officer for the purposes of ASQA, specifically the role of the General Manager, holds a number of regulatory compliance obligations:

  • as the RTO’s primary managerial agent and contact, always ensure Lumify Learn complies with the AQF and Standards for Registered Training Organisations (RTOs) 2015, including any national directions, policies or guidelines issued by ASQA and NCVER, and that effective internal & external audit process reviews and actions occur for operations.

  • holds responsibility for, and ensures the implementation of, the function of Lumify Learn as a delegate of ASQA. This includes meeting the requirements of the Delegation Agreement and Delegation Instrument that form the basis of this arrangement.

Lumify Learn always cooperates with ASQA in responding to requests for information, undergoing audits and managing records. Lumify Learn will always notify ASQA within 90 days of changes in any of the following:

  • Executive officer or high managerial agent

  • financial administration status

  • legal name or type of legal entity

  • ownership, directorship or control

  • anything that may impact on the fit and proper person status of an influential representative

  • any fundamental funding/revenue source

  • the RTO’s business strategy driven by a change to government policy

  • delivery to apprentices or trainees employed under a training contract, or

  • any other significant event.

Lumify Learn understand and commit to being fully responsible for obligations performed by third parties and subcontractors to the same extent as if such obligations were performed by it, regardless of the funding arrangement.

All registered training organisations (RTOs) have an obligation to comply with relevant Commonwealth, state or territory legislation and regulatory requirements. Lumify Learn are committed to and have in place practices that meet the relevant legislative and regulatory requirements within its catchment areas. And that impact its operations as an RTO. This includes:

  • National Vocational Education and Training Regulator (NVR) Act 2011 

  • Standards for Registered Training Organisations (RTOs) 2015 and the Standards for Registered Training Organisations (RTOs) Amendment 2019

  • ASQA General Directions

  • Student Identifiers Act 2014

  • WorkSafe/Work Health and Safety Act 2011

  • Competition and Consumer Act 2010

  • Australian Consumer Law (2011)

  • Electronic Marketing – Spam Act 2003

  • Privacy Amendment (Enhancing Privacy Protection) Act 2012 (Privacy Amendment Act)

  • Copyright Act 1968

  • Human Rights such as the Australian Human Rights Commission Act 1986 (Cth); the Disability Act 2006; the Equal Opportunity Act 2010; Age Discrimination Act 2004.

(refer to all policies and procedures, in particular: Marketing Policy and Procedure, Application and Enrolment Policy and Procedure, USI Policy and Procedure, Privacy Policy and Procedure, Student Responsibilities Policy & Procedure, Fees and Charges and Refunds Policy and Procedure).


Lumify Learn will notify ASQA and its funding bodies immediately if key contact details change. Lumify Learn will notify ASQA and its funding bodies of any changes associated with, or impacting on, its delegated functions.

Where requested, Lumify Learn will provide ASQA with:

  • business registration records, such as Australian Securities and Investments Commission (ASIC) reports

  • information demonstrating the RTO satisfies the Financial Viability Risk Assessment Requirements

  • information demonstrating relevant Individuals associated with Lumify Learn satisfy the Fit and Proper Person Requirements

  • information on strategies, resources and other materials used to conduct training and assessment

  • documents demonstrating trainer and assessor credentials

  • Information about delivery operations such as modes, venues, funding, student types and activity conducted

  • evidence about record management systems

  • public liability insurance coverage

  • the names of current or past students, who may be surveyed about satisfaction levels, and

  • any other information required to demonstrate compliance with the Quality Framework.

Lumify Learn’s General Manager undertakes all required communications with ASQA regarding information, operational updates and co-operation with the regulator including:

  • by providing accurate and truthful responses to information requests relevant to its scope of registration

  • in the conduct of audits and the monitoring of its operations*

  • by providing quality/performance indicator data and

  • in the retention, archiving, retrieval and transfer of records.

* Upon receipt of written notification of an audit or monitoring visit/ desk top audit or similar activity, Lumify Learn will allow the regulator, the Minister, Government and/or delegates to enter its premises and inspect its operations. It will also ensure that it provides access to all records. In addition, full access to all third parties’ facilities and records will also be available at all times.


Lumify Learn will always have in place a public liability policy valued at $20m and a professional indemnity insurance policy valued at $2m for any one event.

Third Party Arrangements

Lumify Learn commit to notifying ASQA whenever it starts or ends a third-party agreement.

Third party means any party that provides services on behalf of Lumify Learn but does not include a contract of employment between an RTO and its employee. This requirement covers agreements for a third party to provide any of the following:

  • training

  • assessment

  • educational and support services (note that this does not include student counselling, mediation or ICT support)

Lumify Learn ensure that all third-party arrangements cooperate with ASQA and all funding bodies and/or their delegates in undertaking audits and in retaining and providing records or other information.

Annual Declaration

Lumify Learn provide an annual declaration on compliance with the Standards for RTOs 2015 to ASQA and in particular confirms:

  • it currently meets the requirements of the Standards across all its scope of registration and has met the requirements of the Standards for all AQF certification documentation it has issued in the previous 12 months and

  • it has training and assessment strategies and practices in place that ensure that all current and prospective students will be trained and assessed in accordance with all requirements.

Lumify Learn provide an annual declaration and summary of its delegated function activity, as required by ASQA and outlined in the Delegation Agreement. This is confirmed by the RTO Delegation annual quality review process.


ASQA notifications are completed using the current form versions on the ASQA website or the electronic portal ASQAnet as appropriate. Each form includes advice as relevant about what information and evidence must be attached in each notification.

Risk Management

Lumify Learn have controls in place to support it managing its full adherence to all relevant legislation and regulation. This includes its comprehensive risk management strategy, (refer to Commitment to Quality Policy and Procedure).

Financial Management

All financial operations are under the control of the General Manager and are managed by the General Manager, in consultation with the organisation’s Chief Financial Officer.

Financial records are kept accurate and current and no more than 14 days in arrears. This includes a record of all payments made to Lumify Learn including student fee payments from employers, governments and other stakeholders and student refunds.

Physical records of financial documents will be stored in a clear, consistent and transparent manner for a period of at least seven (7) years, (refer to Record Management Policy and Procedure).

Accounts are reconciled monthly to ensure accurate and efficient reporting can be provided as needed. Reporting obligations include those to the Australian Taxation Office (business activity statements, payroll and company tax, employee superannuation entitlements etc.) and government funding bodies (audited annual reports) and any other required reports. Other financial reports are generated as needed for ongoing business financial activities.

Financial Viability

Lumify Learn maintain a financial plan, updated annually, to ensure continued financial viability of their Registered Training Organisation (RTO) business interests and to demonstrate the organisation’s capacity to sustain quality operations into the future. The plan includes projections on student enrolments and a range of financial indicators such as credit rating, cash flow analysis, asset to liability ratio, debt ratio and working capital.

Lumify Learn’s cash flow position is regularly checked against short and medium term liabilities by the General Manager and reported to the Board.

All normal activities of the business are budgeted to ensure a net positive return unless specifically designated as a marketing or speculative exercise. All activities are monitored to ensure that they meet or exceed budgeted figures.

New business activities and opportunities are financially forecasted and budgeted to assess the viability and risk factors of the activity prior to proceeding. New activities are not undertaken unless a short, medium and long term analysis of cash flow impact is carried out.

Reports of monthly and average income and expenditure are generated and issued to the Board for the purposes of monitoring the activities of the business.

Fees in advance

Lumify Learn collect fees in advance for services to students not yet provided. To ensure the protection of fees paid in advance, Lumify Learn do not accept payment of more than $1,500 from each individual student prior to the commencement of a course. Following course commencement, the RTO requires payment of additional fees in advance but only such that at any given time, the total amount paid for services that are yet to be incurred by the student or any third party, does not exceed $1,500.

In addition, the following fee information is provided to each client or student upon entry into a course or service agreement:

  • the total amount of all fees including course fees, Lumify Learn’s administration fee, materials fees and any other student incidental charge

  • payment terms, including the timing and amount of fees to be paid and any non-refundable deposit and administration fees

  • fees and charges for additional services (if applicable).

Accounts Receivable

All invoicing and claiming procedures are designed to meet the requirements of contractual and legal obligations where applicable. Regular monitoring against these requirements occurs by Lumify Learn’s General Manager.

Lumify Learn use the means necessary to collect monies owing from debtors. This may include the use of an external debt recovery agent where necessary. Services provided by Lumify Learn may be suspended until payment is made for accounts that are more than 60 days past due.

Certified Accounts

Lumify Learn’s accounts are certified at least annually by a qualified accountant according to Australian Accounting Standards.

The certification report will be made available to ASQA, departmental authorities and their representatives, as required against all monitoring and reporting processes.

Lumify Learn obtain and make available, if requested by the registering body and any department or their representatives, a full audit report from a qualified and independent accountant.

Where Lumify Learn identify any significant changes in its financial and or material position which may impact on its viability and student or client consumer protection entitlements, they will notify ASQA, departmental authorities and their representatives, as it becomes aware.

Reporting Changes to Government Stakeholders

In addition to any financial changes, Lumify Learn’s General Manager notifies ASQA as well as other regulatory or funding departments and bodies, about any material changes that occur to its management or operations, and of events that would significantly affect Lumify Learn’s ability to comply with the VET Quality Framework. Reportable changes/events may include, but are not limited to:

  • Chief Executive Officer/High Managerial Agent/s (refer to Organisation Chart)

  • financial administration status

  • legal name or type of legal entity

  • business and/or trading name change

  • ownership, directorship and/or control (including sale of an RTO business)

  • information that may impact the Fit and Proper Person status of a representative of Lumify Learn

  • commencing or dissolving and arrangement with another organisation to conduct training and/or assessment on Lumify Learn’s behalf

  • significant change to Lumify Learn’s business strategy driven by a change to Government policy

  • off-shore delivery sites

  • changes to permanent RTO delivery sites including State locations, and

  • changes to RTO scope of registration.

Lumify Learn has in place strategies to ensure that all staff, students and its key stakeholders understand and agree to abide by the legislative and regulatory requirements that affect their duties or participation in VET. This includes:

  • formal standing item in student inductions (refer Student Induction Checklist)

  • student self-declaration (found in the Student Handbooks)

  • formal standing item on Staff inductions (refer Staff Induction Checklist)

  • staff self-declaration (found in the Staff Handbooks)

  • professional development, evidenced in PD logs in particular for trainers/assessors and resumes of other staff, with copies of certification available

  • reference in Job Descriptions

  • reference in third party and other Stakeholder Agreements and communication including updates, as required

  • written all staff Updates, as required, through the Quality Bulletins, and

  • an annual review in January and re-distribution of updated Student and Staff Handbooks.

Any changes to legislative and regulatory requirements identified are notified to the Compliance Coordinator. The Compliance Coordinator will review the changes and formulate a plan to ensure that Lumify Learn adjusts whatever is necessary to ensure continued compliance.

This may take the form of amendments to, but not limited to:

  • policies and procedures documentation

  • publicity/marketing materials

  • Student and Staff Handbooks

  • training and assessment material

  • financial processes

  • IT processes

  • third party arrangements.

The Compliance Coordinator is responsible for the development of an action plan to ensure a smooth change/transition that may include (dependent on the scale of the change):

  • quantify the requirements

  • identify an owner/implementer

  • steps to be taken with owner and timescale

  • communication plan to staff/trainers/students/management as appropriate

  • develop and implement PD if required

  • seek management sign off

  • Review plan on effectiveness of the change.

For all amendments, the Compliance Coordinator will create a continuous improvement notice and pass to the General Manager who will own the action plan and ensure its execution, supported by the Compliance Coordinator.

Statutory Education Licence

Provisions under Division 4 of Part IVA of the Copyright Act 1968 allow all educational institutions to copy and communicate third party material to distribute to students and for other educational purposes, within the limitations of the Statutory Education LicencesThe Copyright Agency Ltd  administer the Statutory Education Licences under the authority of the Attorney General's Department.

Lumify Learn have created its own training and educational resources and/or use commercially purchased resources, customised according to its client groups and with their own licencing arrangement. As such, where it is mindful that the Statutory Education Licence for text and images (e.g. to copy and communicate extracts from books, newspapers, journals and websites), it will only enlist these licence arrangement in the event that its resource generation mechanisms alter.

Registration Currency

Lumify Learn 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 against the VET Quality Framework and Funding Contracts as requested.

Ceasing Operations

Should it stop operating as an RTO, Lumify Learn will transfer sufficient digital records to ASQA to confirm what each student has completed, in accordance with its Data and Student Management including Issuing Qualifications Policy and Procedure).

It will immediately notify any funding and licencing bodies.

5.    Related Documents

QA_DOC_03_01 Student Handbooks

QA_REG_01_01 Master Register - Policies and procedures and all related documents within the Student Experience Framework

QA_DOC_15 Internal Audit Schedule

QA_REG_01_04 VET Delegations Register