Definitions and Interpretations - Transport Safety Victoria



Marine Licence Training - Audit GuidelinesBetweenThe Director, Transport Safety Victoria&The Accredited Training Provider (ATP)June 2019Disclaimer(a)Purpose – This Guideline has been produced by Transport Safety Victoria (TSV) to provide information about the compliance and audit of the Marine Licence Training Accreditation, as at the date of publication.(b)No substitute – This Guideline is not a substitute for, and should not be read in lieu of, the Marine Safety Act 2010 (Vic) or the Marine Safety Regulations 2012 (Vic), or any other relevant laws, codes, rules, procedures or policies. Further, the contents of this Guideline do not constitute legal or business advice. (c)No Warranty – While TSV has used due care and skill in the production of this Guideline, neither TSV, nor any of its employees, agents and consultants make any representation or warranty as to the accuracy, reliability, completeness or suitability for particular purposes of the information in this Guideline. ? State Government of Victoria 2019Copyright in this publication resides with the Director, Transport Safety and the State of Victoria. No part of this publication may be reproduced by any process except in accordance with the provisions of the Copyright Act 1968 (Cth). Contents TOC \o "1-3" \h \z \u Definitions and Interpretations PAGEREF _Toc15299101 \h 41.Introduction PAGEREF _Toc15299102 \h 72. Scope PAGEREF _Toc15299103 \h 73. Aim PAGEREF _Toc15299104 \h 74. Purpose PAGEREF _Toc15299105 \h 85. Audit framework PAGEREF _Toc15299106 \h 86. Range of audits PAGEREF _Toc15299107 \h 96.1Approval Audit PAGEREF _Toc15299108 \h 9Approval process PAGEREF _Toc15299109 \h 106.2Compliance Audits PAGEREF _Toc15299110 \h 10Methodology PAGEREF _Toc15299111 \h 10Auditors PAGEREF _Toc15299112 \h 10Audit elements PAGEREF _Toc15299113 \h 106.3Special audits PAGEREF _Toc15299114 \h 126.4Audit of MSV Certificates of Attainment PAGEREF _Toc15299115 \h 126.5Delivery of training PAGEREF _Toc15299116 \h 126.6Client survey PAGEREF _Toc15299117 \h 126.7Client feedback PAGEREF _Toc15299118 \h 126.8Outcomes of monitoring activities PAGEREF _Toc15299119 \h 137. Internal audits PAGEREF _Toc15299120 \h 138. Audit outcomes PAGEREF _Toc15299121 \h 139. Complaints management PAGEREF _Toc15299122 \h 139.1Confidentiality PAGEREF _Toc15299123 \h 139.2 Fairness/impartiality PAGEREF _Toc15299124 \h 149.3Marine Licence Training complaints procedure PAGEREF _Toc15299125 \h 1410. Continuous Improvement PAGEREF _Toc15299126 \h 1511. Attachments PAGEREF _Toc15299127 \h 15Definitions and InterpretationsApproved Location means a location listed in this ATP accreditation; ATP means the entity accredited by the Safety Director to conduct the Marine Licence Training and the Marine Licence Testing and, where the context admits, includes its employees, sub-contractors, and agents;Australian Skills Quality Authority (ASQA) is the national regulator for Australia’s vocational education and training sector established under the Vocational Education and Training Regulator Act 2011 (Cth). seeking to make sure that the sector's quality is maintained through the effective regulation of vocational education and training providers, and accredited vocational education and training courses;Business means the business of providing approved training and assessment for recreational boat operator training and assessment purposes;Business Days means a day that is not a Saturday, Sunday or a public holiday appointed under the Public Holidays Act 1993 (Vic) (the Act) including any day appointed by the Minister under Section 7 (1) (a) of that Act applicable to the Melbourne metropolitan area.Certificate of Attainment means the certificate, provided by MSV, for issue to Eligible Applicants that have passed the Marine Licence Assessment;Code of Practice for the purpose of privacy provisions, means a code of practice as defined in, and approved under, the Privacy and Data Protection Act 2014 (Vic);Commencement Date means the commencement of the ATP Accreditation as specified in the ATP approval letter; Confidential Information means all Information which is either directly or indirectly disclosed provided or made available by the Safety Director or MSV to the ATP or acquired by the ATP from the Safety Director or MSV (whether orally, electronically, in writing or by any other means) in respect of or in connection with the Training and Assessment, whether before or after the signing of this ATP accreditation and includes information pertaining to or connected in any way with the Training and Assessment, including but not limited to:Information about the Safety Director or MSV or those involved in MSV's activities, Information relating to the internal management and structure of MSV;Information concerning documentation, systems, technology and affairs, operations, processes, plans or inventions and product information (whether customers, suppliers or otherwise);financial, technological, strategic or business information, concepts, plans, strategies, directions or systems;research, development, operational, legal, marketing or accounting information, concepts, plans, strategies, directions or systems; technology, source and object codes for computer software;Information comprised in or relating to any Intellectual Property rights of the State of Victoria, or third parties to whom the Safety Director or MSV owes a legal obligation; andknow-how relating to computer software, financial techniques and products of the Safety Director or MSV; Eligible Applicant means a person who:in the case of an applicant for a general marine licence under section?53 of the MSA satisfies the age requirement in section 53(1)(a)(i) of the MSA; in the case of an applicant for a restricted marine licence under section?54 of the MSA, satisfies the age requirement in section 54(1)(a)(i)of the MSA; is not ineligible to apply for a marine licence,and has provided satisfactory evidence of identity to the ATP as outlined in the MSV Marine Licence Training Administration Procedures. Information includes information or data, whether:written, graphical, electronic, oral or in any other form, irrespective of the form in which it was originally provided;provided in writing, graphically, electronically, orally or in any other rmation Privacy Principles means the principles so identified and set out in the Privacy and Data Protection Act 2014 (Vic);Intellectual Property includes all intellectual property rights, title to, and interests in any jurisdiction whether protectable by statute, at common law or in equity, including without limitation:patents, trade marks, service marks, copyright, registered designs, trade names, domain names, symbols and logos;(b)patent applications and applications to register trade marks, service marks and designs; andtechniques, computer programme code, specifications, rights in circuit layouts, ideas, concepts, know-how, data, inventions, discoveries, developments, trade secrets, information and logical sequences (whether or not reduced in writing or other machine or human readable form), and includes any improvements, advancements, modifications, discoveries and developments arising in relation to any of these.Key Personnel means the persons nominated by the ATP to perform the training and assessment and includes Nominated Principals, Nominated Liaison Officers, relevant managers, trainers and assessors and administrative staff;Law means Commonwealth, Victorian and local government legislation, including regulations, by-laws and other subordinate legislation; judicial, administrative or regulatory decrees, judgments or orders, standards, procedures as amended from time to time; Maritime Safety Victoria (MSV) is a branch of TSVMSA means Marine Safety Act 2010 (Vic); MSR means Marine Safety Regulations 2012 (Vic); Media Release means a prepared publicity or a news announcement;National Skills Standards Council means the advisory body of that name which provides advice on national standards for the regulation of vocational education and training to the Standing Council on Tertiary Education, Skills and Employment that reports to the Council of Australian Governments; or any successor body, including the Industry and Skills Council Advisory CommitteeNominated Liaison Officer means the person nominated by the ATP to be the contact person in relation to the provision of day to day training and assessment;Nominated Principal means the Principal of the ATP who will represent the ATP;Private Dwelling means a structure that is intended to have people live in it as permanent residence and includes houses, flats or apartments; Publications means MSV manuals, handbooks, guidelines, procedures documented work practices etc referred to in this ATP Approval (as amended by MSV from time to time);PWC means personal water craft; Marine Licence means a general marine licence or a restricted marine licence granted by MSV Marine Licence Test means the assessment provided to the ATP by MSV.Marine Licence Training means the training provided to Eligible Applicants;RTO means a Registered Training Organisation registered by an Australian state or territory recognition authority to deliver training and/or conduct assessments and issue nationally recognised qualifications in accordance with the Australian Quality Training Framework; Safety Director means the Director, Transport Safety, a statutory office established under s 171 of the Transport Integration Act 2010 (Vic) together with his delegates and the staff members of TSV authorised to act on his behalf (as the context requires).Transport Safety Victoria or TSV, means the division of the Department of Economic Development, Jobs, Transport and Resources dedicated to supporting the Safety Director in the exercise of his powers and functions and collectively referred to as Transport Safety Victoria;VicRoads means the Roads Corporation established under the Transport Act 1983 (Vic) and continued under the TIA;Working With Children Check has the meaning given in the Working with Children Act 2005 (Vic).IntroductionMaritime Safety Victoria (MSV) is the State’s marine safety agency and is responsible for the administration of the Marine Safety Act 2010 (Vic) (MSA) and the Marine Safety Regulations 2012 (Vic) (MSR). Under the MSA, one of Safety Director’s functions is the issuing of Marine Licences. To obtain a general operator or restricted Marine Licence, a person must (among other requirements):provide documented evidence of identity and age, andundergo any training about the operation of recreational vessels that the Safety Director considers appropriate.Applicants for a marine licence or PWC endorsement can establish their competence by successful completion of formal Training and Assessment by an Accredited Training Provider (ATP).Under the MSA, the Safety Director is empowered to accredit entities to conduct training courses and assessment for the purpose of satisfying the requirements for the grant of a Marine Licence or endorsement. This is facilitated by accrediting training entities that have demonstrated they have the experience, resources and facilities to deliver training to the requirements of the MSV Marine Licence Training Standards.This guideline forms part of the overall governance framework for the engagement and management of ATPs and should be read as part of the package of governance documents that includes:MSV Marine Licence Training General Terms and ConditionsMSV Marine Licence Training Letter of Accreditation MSV Marine Licence Training Administration Procedures MSV Marine Licence Training Audit Guidelines MSV Marine Licence Training Standards MSV Marine Licence Training Application for Accreditation Form and Guideline2. ScopeThis Audit Guideline will be applied to initial assessment and ongoing auditing and monitoring of the delivery of Marine Licence Training by ATPs. 3. AimThe aim of these Audit Guidelines is to maintain a consistent standard of Marine Licence Training.4. PurposeThe purpose of these Audit Guidelines is to document MSV’s procedures for:assessing new applications from Registered Training Organisations wishing to become MSV ATPs,auditing and monitoring of MSV ATPs, andmanaging identified deficiencies and non-compliance.It outlines the requirements and procedures for management of applications and ongoing monitoring of training providers against the requirements of MSV’s Marine Licence Training Standard.5. Audit frameworkATPs’ performance will be monitored through a variety of activities providing a range of opportunities to review compliance in two distinct areas:administration of the training services, andensuring delivery of training and assessment is compliant with the MSV Marine Licence Training Standard and the Vocational Education and Training framework maintained by the Australian Skills Quality Authority.6. Range of auditsMSV may undertake a range of audit and monitoring activities with the aim of improving training outcomes and compliance with the governance documents. The range of auditing activities have been summarised into seven key categories as listed below:CategoryTriggerFrequencyBy whom1Approval auditOn applicationOnce on applicationMaritime Safety Victoria or external consultant2Compliance auditAs scheduled/risk assessmentAnnually, or against a schedule determined by a risk assessment Maritime Safety Victoria or external consultant3Audit of MSV Certificates issued (desk top)Order of MSV CertificatesEach time new certificates are ordered or,As requiredMaritime Safety Victoria4Special auditsIn response to an identified issue or complaintAs requiredMaritime Safety Victoria or external consultant5Monitoring of training delivery (announced and unannounced).In response to complaints or an identified issueAs requiredMaritime Safety Victoria or External Consultant6Client surveyOrder of MSV CertificatesOn receipt of ATP register of certificates. Random sample of participants from recent training.Maritime Safety Victoria MSV7Online feedbackInitiated by participantAs requiredParticipantApproval AuditApplicants seeking to become an Accredited Training Provider for marine training must submit an application for accreditation and supporting documentation, as outlined in the MSV Marine Licence Training Provider Application.The objective of approval audits is to assess training providers’ ability to deliver training. The applicant must:hold a current registration on the National Training Information System (.au) as an RTOhave adequate facilities,have qualified trainers and assessors,have in place training resources to deliver to MSV Marine Licence Training Standards, andhave in place management systems to:ensure privacy,verify Evidence of Identity,ensure security of MSV Certificates,maintain a register of MSV Certificates issued,manage sub-contractors,ensure records of training and assessment are current, accurate and protected,maintain records of MSV Certificates issued, andcomply with the obligations outlined in the MSV Marine Licence Training General Terms and Conditions.Approval process MSV will first review the application form to ensure the application is complete and the training entity has provided adequate evidence for an initial application.If approved by MSV the applicant will forward the training materials, Training and Assessment strategy and lesson plan to either MSV or an external consultant nominated by MSV who will evaluate the content against the MSV Marine Licence Training Standards.MSV or the external consultant will assess the training materials against the MSV Marine Licence Training Standards and audit elements and make a determination whether compliance has been achieved.When the training materials have been approved MSV may arrange for an auditor to conduct a site audit to validate that the training provider has the appropriate infrastructure in place to deliver training as per document submitted in the application.Applicants who do not meet the criteria will be provided with written feedback regarding the area/s of non-compliance. Compliance AuditsMethodologyThe compliance audits will be conducted in line with ISO 9001:2015 against the MSV Marine Licence Training General Terms and Conditions and associated documents as follows:MSV Marine Licence Training Standards, and? MSV Marine Licence Training Administration Procedures.AuditorsThe compliance audits will be conducted by auditors who have completed, Auditor training or are able to demonstrate equivalent competencies.Where external consultants are engaged to conduct compliance audits MSV will ensure they have:been fully briefed in the requirements of the MSV Marine Licence Training General Terms and Conditions and associated documents as listed above, andhave signed a confidentiality deed.Audit elementsThere are eight essential elements which form the basis for compliance audits. These are:Advertising and marketing,Accuracy and integrity of evidence of age and identity verification,Security and management of MSV Certificates of Attainment,ATP staff,Management of sub-contractors,Provision of services, including course deliveryVessels used for training (if applicable), andInsurance.Each essential element contains a number of specific requirements or sub-elements. The details of the audit elements are contained in the attachment MSV Marine Licence Training Provider audit elements. This table lists each element and indicates example evidence that may be provided at audit. Please note that these are examples only and indicate a minimum standard. Each Accredited Training Provider must develop a management system to comply with the audit elements to suit the individual training pliance with each element are assessed as either:compliant, or non-compliant, or, continuous improvement.Non-complianceWhere MSV or other auditor identifies an area of non-compliance, an improvement notice will be issued. All non-compliance issues identified at audit or any monitoring activity undertaken by MSV or their representative must be addressed within the nominated timeframes.Audit non-complianceThe actions taken will be as follow:A summary of the audit findings will be provided to the ATP during the close out meeting on the last day of the audit.Where an external auditor conducts the audit, MSV will review the final audit report to ensure non-compliances identified by the auditor are consistent with the requirements of MSV Marine Licence Training General Terms and Conditions.MSV will forward the final audit report to the ATP with a written notification. Where non-compliance has been identified this will include an improvement notice which outlines the requirement to address any identified non-compliance within a specified period (dependent upon the nature of the non-compliance).Within 14 days from receipt of evidence, or a time determined appropriate by the auditor (whichever is the greater), to address the identified issues MSV will forward a written response indicating if the action taken adequately addresses the identified non-compliance.As outlined in the MSV Marine Licence Training General Terms and Conditions, MSV may suspend or revoke accreditation of an ATP where:Significant non-compliance identified at a compliance audit, which is considered a serious breach of MSV requirements, may result in suspension or cancellation of accreditation.When an ATP fails to address non-compliance within the timeframe contained in the written notice, MSV may take action to suspend the training provider from delivering training services until the issue has been satisfactorily addressed. Any training delivered during the suspension period will result in immediate cancellation of accreditation. Suspension or revocation of accreditation will be implemented according to clauses 21 and 22 of the MSV Marine Licence Training General Terms and Conditions. Special auditsMSV may conduct additional compliance audits on all or specific essential elements at any time. Special audits may also occur in response to identified issues or complaints related to a specific ATP. Audit of MSV Certificates of AttainmentDesk audits will be conducted to verify that certificates issued are accounted for, prior to issue of additional certificates.Where discrepancies are identified and cannot be resolved, a special audit may be conducted to review the training provider’s systems for managing the allocation of certificates and for maintaining security of certificates. Where required, the auditor will identify appropriate actions.Delivery of trainingMSV will monitor delivery of Marine Licence Training delivered by approved trainers through unannounced attendance at scheduled training courses. MSV representatives attending courses will validate that the trainer:Verifies proof of identity by obtaining and taking record of appropriate evidence,Delivers the course according to the training provider’s Training and Assessment strategy and lesson plans as approved by MSV, andConducts the test as required by MSV Marine Licence Training Standards (closed book).Client surveyMSV will conduct client surveys with a sample of course participants listed on the ATP’s register of certificates who have nominated to be contacted. The purpose of the survey is to obtain direct feedback from participants to ensure training is delivered in line with MSV training standards and meets client expectations.Client feedbackMSV has made provision for participants to provide feedback to itThe following text has been added to MSV Certificates."MSV is committed to providing quality training services through Accredited Training Providers. Your feedback may assist us to identify areas for improvement and highlight good practices. To provide feedback on the MSV approved training course you attended please contact 1800 223 022 or email information@transportsafety..au.The MSV Marine Licence course page on the web site will also include information and contact to make a complaint or comment.Outcomes of monitoring activitiesResults of monitoring activates conducted by MSV, as outlined above, will be documented and forwarded to the relevant training provider.7. Internal auditsATPs are required to apply continuous improvement principles to the management and delivery of Marine Licence training services. This includes:Analysis of client feedback to identify actions to improve servicesApplication of measures to address deficiencies identifiedProfessional development of trainers and assessors to ensure skills and knowledge are current.8. Audit outcomesPossible outcomes for audits of an ATP may include but are not limited to the following:The ATP is deemed to satisfactorily meet a requirementThe ATP is deemed to not satisfactorily meet a requirementan improvement noticesuspension of accreditationcancellation or withdrawal of accreditation.9. Complaints managementMSV is committed to handling any complaints relating to Marine Licence Training services in a timely manner and in confidence. Complaints may be received from a number of sources such as course participants, family members and friends and other ATPs.MSV will apply ISO 10002:2018 Customer Satisfaction – guidelines for complaints handling in organisations.9.1ConfidentialityInformation about a complaint will only be given to people directly involved.Where possible everyone involved will be advised of the need for confidentiality.All personal and private information will be treated in accordance with the Privacy and Data Protection Act 2014 (Vic).Information will be kept securely and only viewed by MSV staff involved in the resolution or investigation of the complaint.9.2 Fairness/impartialityThe complaint will be handled fairly and in good faith.Any person complained about has the right to know the details of any allegations against them.Both parties will have the opportunity to give their version of events.No judgments will be made or action taken until all relevant information has been assessed.All allegations will be investigated and complaints substantiated before any action is taken.9.3Marine Licence Training complaints procedureThe following procedure shall be followed when a complaint has been received from a course participant:Complaint received by MSV. MSV logs the complaint in the MSV Marine Licence Training Provider complaints/issues register.As soon as practical after receipt of a complaint MSV will acknowledge receipt of complaint in writing to the complainant.The complaint will be assessed for the urgency and risk. A recommendation of appropriate action, which may or may not include investigation, will be determined by the MSV training manager commensurate with urgency and risk.MSV training manager will notify the Safety Director of complaint and recommended action.Recommended action approved by the Safety Director, or modify action as agreed and approved in consultation with the Safety Director.MSV training manager will undertake agreed action and make a determination as to the legitimacy of the complaint.Should the MSV training manager determine that the complaint is legitimate a recommendation will be provided to the Safety Director. This may include but not be limited to:consulting with the ATP by phone and email to discuss and resolve the issue,meeting with the training provider to discuss issue and agree corrective action and timelines for implementation,written notice and request documented evidence that the ATP has addressed the identified issue,removal of a trainer/s from the list of approved trainer,suspension or cancellation of accreditation.Once the action has been implemented the MSV training manager will provide written reply to the complainant advising of outcome.Close complaint by recording date action completed on the MSV Marine Licence Training complaint/issue register.10. Continuous ImprovementMSV will undertake analysis of deficiencies identified through audit and monitoring activities described in this Guideline. This information will be used to identify areas for improvement.11. AttachmentsAttachment IAudit template for marine licence course delivery Attachment IISystems audit templateAttachment 1: Audit template for marine licence course deliveryAccredited Training Provider ………………………………………………………………….Date………………………………………………………………….Auditor………………………………………………………………….Location………………………………………………………………….ATP trainer name………………………………………………………………….Number of students………………………………………………………………….ELEMENTPERFORMANCE INDICATORY/NCOMMENTEnrolment and identity validationThe presenter checks that Evidence of Identity meets MSV criteria.Emergency evacuation, amenities and OHSThe presenter briefs participants on the venue emergency evacuation procedures, location of amenities and any OHS issues or hazards.Course introduction and objectivesThe presenter explains the assessment process, including support provided to people who experience difficulty with literacy or language.The presenter explains the opportunity for reassessment.The presenter explains the ATP’s complaints/dispute procedure.Marine LicenceThe presenter explains the process for obtaining a licence via VicRoads, including the need to take identification and the expiry of the certificates.The presenter discusses supervised operation, restrictions for operators under 16 years of age, safety duties and owner onus.The presenter discusses the requirement to register powered vessels.Carry out trip preparationThe presenter:Explains requirements for regular maintenance and servicing of the vessel.Explains the requirement for safety equipment to be in place and compliant with relevant legislation.Explains different categories of waterways.Explains the requirements to ensure that safety equipment is serviceable and accessible, securely and appropriately stowed in locations known to all parties on board.Explains: suitability for the planned trip of: weather and sea conditions vessel and equipment personnel.Trip planning includes location, distance, type of operation and emergency contactsDescribes the requirement that type, location, accessibility and serviceability of safety equipment is known and understood by all personnel on board.Describes the briefing of personnel which must be conducted before departure.Adequate fuel supplies and the regulations around refuelling at a jetty or wharf: no passengers on board until after engines have been re-started.Loading appropriate numbers of passengers appropriate to vessel, design, regulation and carriage of additional equipment.Secure stowage of equipment to maintain vessel stability.Pre-start checks are discussed and cover fuel, battery, sea valves (bungs), kill switch, fumes / ventilation, leaks, navigation lights, radio.Describes motor preparation and starting munication of safe return to appropriate parties.Safely operate a small mechanically powered vesselThe presenter:Explains safe manoeuvring according to conditions and in accordance with water traffic regulations. Explains requirements for monitoring of the performance of the vessel and personnel at all times. Describes the potential impact of vessel use on others and the environment. Explains and demonstrates the wearing, use and stowage of safety equipment in accordance with legislation and recognised regulations.Explain aids to small craft navigation.Describes collision avoidance techniques and when these must be applied in accordance with relevant legislation, recognised regulations and rules.Explains vessel operation procedures in accordance with relevant legislation, recognised regulations and rules.Explains navigational aids and landmarks used to determine and monitor vessel position.Identifies navigation hazards and conditions which must be taken into account in navigating the vessel.Discusses navigational lights.Describes selection of appropriate anchorage site in accordance with specified prevailing and forecast conditions and in accordance with legislation. Correctly identifies the types of anchor suitable for a range of locations. Explains correct anchor lowering, setting and monitoring requirements according to specified prevailing conditions. Correctly explains anchor retrieval and secure stowage.Discusses the specific rules about towed water sports. Respond to boating emergencies and incidentsThe presenter:Identifies the purpose for which safety equipment is designed and used.Explains how to identify the nature of emergency. Describes the alarm to be communicated to on-board personnel. Describes distress signals used to indicate need of munication to on board personnel of the actions required to deal with the emergency as described.Identifies procedures which must be implemented to combat emergency and protect persons on board. Explains the means by which vessel position is identified, recorded and communicated. Explains that assistance to be provided to injured persons. Explains the need to maintain communication with rescuers. Explains procedures for abandoning the vessel. Explains the requirement to communicate cessation of emergency to appropriate personnel.Explains how to recognise distress signals from others. Explains how to identify the nature of assistance required. Explains how to determine capability to safely assist or relay emergency taking into account own safety and physical proximity to the emergency incident.Explains appropriate response to the emergency. Explains requirement to cease communication of emergency to appropriate personnel.Method of deliveryThe presenter:Delivers the Marine Licence content separately from the PWC component of the course.Takes at least 3.5 hours minimum to deliver the course content and assess course participants.The venue is fit for purpose.Teaching resources are fit for purpose.AssessmentThe assessor:Ensures that the General Boat Operator assessment is conducted separately from the PWC endorsement.Ensures that assessment is closed book.Provides feedback on incorrect answers.Explains options for re-assessment, where ments:Attachment II: Systems audit templateSystems audit date:Prepared by (name):No.Audit topicRequirement against governance documentsReferenceNCAudit notes1AdvertisingWebsite, print, brochures, radio advertisements or other marketing material are advertised and contain:ATP name (stated clearly)Correctly named courseContact telephone numberIf ATP is using a MSV logo it must the correct logo that has been approved for use.The wording of the advertising must be appropriate, e.g. does not guarantee a result and does not issue a licence.Administration ProceduresPart 72Pre-enrolment & enrolmentPre-enrolment information (website, mail-outs or emails on confirmation, course flyers etc.) must contain:course feescourse locationcourse durationassessment process and requirements to meet a certain standardATP refund and cancellation policy full business name incl. ABNcontact detailstimeframe of certificate validityeligibility (correct statement).Administration ProceduresPart 8Is pre-enrolment information made available prior to attendance of the course?Administration ProceduresPart 8The ATP course enrolment form contains fields to record:full namecurrent addressDOBEOIprivacy statementauthority to provide private information to MSVcontact number.Administration ProceduresPart 8The ATP course enrolment form contains fields to record the required Evidence of Identity and that it has been sighted by the trainer. Administration ProceduresPart 93ATP staff and sub-contractor managementAll trainers and staff have been inducted by the ATP.Training StandardsPart 5.1 and Administration Procedures Part 4All appropriate personnel have signed confidentiality deeds.Administration Procedures Part 4The ATP notifies MSV of changes to the nominated business principal, trainers or administrative staff who are authorised to sign MSV Certificates of Attainment by completing and submitting to MSV the Notification of staff change form within the specified timeframe.Administration ProceduresPart 4.2 and Attachment III Trainers and sub-contractors have recent and relevant recreational boating experience. Training StandardsPart 6The ATP ensures that there is an adequate ATP MOUs/contractor agreement in place if using sub-contractors.Terms and ConditionsClause 17Certified copies of Trainer and sub-contractor qualifications as required under MSV Marine Licence Training Standards are held by the ATP. As a minimum all training staff must have:Marine licence or marine qualificationCertificate IVWorking with Children check.Training StandardsPart 64MSV Certificates of AttainmentThe certificate register accurately reflects enrolment information (cross-check random enrolment form with register).Administration ProceduresPart 5The certificate register accurately reflects the current stock of certificates held by the ATP.Administration ProceduresPart 5The ATP has a process or system in place to ensure MSV Certificates of Attainment are stored in a secure location.Administration ProceduresPart 55Training and Assessment The ATP has a current and accurate Training and Assessment strategy in place for delivery of Marine Licence training and assessment services.Training StandardsPart 6The ATP has current lesson plans for the delivery of marine licence training and assessment services.Training StandardsPart 6Training is delivered in a professional environment as outlined in the MSV Marine Licence Training Standards and a venue checklist is completed on the first use of each venue.Training StandardsPart 6For Marine Licence Training, the assessment score sheets are completed and indicate an appropriate level of attainment.Training StandardsPart 7Course delivery paperwork for the trainers clearly states that the assessment:must be the MSV test must be closed bookthe student must be supervisedis to be completed by each student in isolation with no discussion with other students.Training Standards Part 7.1.1Continuous improvement is applied to the training resources and delivery. Changes to training resources and delivery as a result of continuous improvement activities are communicated to trainers.Training StandardsPart 8Systems are in place to ensure that trainers carry out the assessment in accordance with requirements: i.e. closed-book and no co-operation between candidatesTraining StandardsPart 76Vessels used for trainingWhere a vessel is used for Training and Assessment purposes, the vessel's operation meets, or is exempted by the appropriate authority from, the requirements for a domestic commercial vessel under the National Standard for Commercial Vessels.General Terms and Conditions Clause 87InsuranceThe ATP must comply with the Accident Compensation Act 1985 (Vic) and the Workplace Injury Rehabilitation and Compensation Act 2013 (Cth), either by holding a current policy under these Acts, being exempt as a self- insurer, or other holding other cover that may be required by later amendment.General Terms and ConditionsClause 19The ATP holds proof that the policies of insurance required in clause of the General Terms and Conditions have been affected and maintained.General Terms and ConditionsClause 198Proof of RTO statusTo be checked by MSV online.General Terms and ConditionsClause 29Business registrationTo be checked by MSV online.Application formAction items: Item numberIssueActionResponsibilityTimeframeCompleted ................
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