Apprenticeship Training - alternative delivery pilots Guidelines May 2016

Apprenticeship Training – alternative delivery pilots Guidelines

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Table of Contents

PART 1: INTRODUCTION _________________________________________________ 4

1. Overview _________________________________________________________________ 4

2. Objective _________________________________________________________________ 5

3. Outcomes _________________________________________________________________ 5

4. Purpose of the Guidelines ____________________________________________________ 5

5. Legislative authority _________________________________________________________ 5

6. Indicative key dates _________________________________________________________ 5

7. Funding ___________________________________________________________________ 6

8. Responsibilities_____________________________________________________________ 6

PART 2: APPLICATIONS __________________________________________________ 7

9. Eligibility __________________________________________________________________ 7

10. Application process _________________________________________________________ 8

11. Budget ___________________________________________________________________ 8

12. Assessment Process _________________________________________________________ 8

13. Decisions ________________________________________________________________ 10

14. Notification of outcomes ____________________________________________________ 10

PART 3: IMPLEMENTATION ______________________________________________ 11

15. Funding Agreement ________________________________________________________ 11

16. Financial reporting _________________________________________________________ 11

17. Performance reporting and monitoring _________________________________________ 11

18. Payments ________________________________________________________________ 11

19. Taxation _________________________________________________________________ 12

20. Information technology requirements _________________________________________ 12

21. Evaluation of the Pilots _____________________________________________________ 12

22. Further terms and conditions ________________________________________________ 12

23. Contact information ________________________________________________________ 14

24. Definitions _______________________________________________________________ 14

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Process Flowchart

APPLICATIONS OPEN The application form and instructions for submission are made available at

www.australianapprenticeships.gov.au/alt-del-pilots.

SUBMIT AN APPLICATION The Applicant completes and submits an application.

CONDUCT ASSESSMENT The Department of Education and Training (the department) assesses applications against the

eligibility and assessment criteria.

ADVICE TO THE MINISTER The department provides advice to the Minister on the merits of applications relative to the

Guidelines and whether, in its view, funding the activity would be a proper use of funding.

DECISION & NOTIFICATION

The Minister makes a decision on funding. The Applicant is advised of the decision.

CONTRACTING A Funding Agreement is negotiated and executed with the Applicant receiving funding (Funding

Recipient) and the Commonwealth, represented by the department.

DELIVER

The Funding Recipient delivers the Pilot in

accordance with the requirements of the

Funding Agreement.

The department makes payments in

accordance with the requirements of the

Funding Agreement.

EVALUATION

The department evaluates how the Pilot

activity contributes to achieving the

Objective.

The Funding Recipient participates in and

provides information to assist the evaluation

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PART 1: INTRODUCTION

1. Overview The Apprenticeship Training – alternative delivery pilots (the Pilots) will establish five industry-led

pilots. Pilots will explore opportunities to encourage broader adoption of models which support the

delivery of entry level and qualified trades people into the labour market.

The Australian Apprenticeships system is inherently flexible. A range of measures have successfully

built flexibility into the apprenticeships system. Industry adoption of competency-based progression

practices is contributing to the higher numbers of apprentices completing their training in shorter

timeframes. In 2004, 28.4 per cent of apprentices completed Certificate III level training in two

years, compared to 45.4 per cent in 2014.1

However, opportunities to maximise this flexibility need to be tested and demonstrated to ensure

the apprenticeships system can continue to flexibly adapt and respond to changes in skills,

employment and economic demands.

These Pilots are designed to learn more about opportunities and barriers to increased industry

usage, acceptance and validation of alternative apprenticeship training delivery arrangements. The

aim is to drive more systemic adoption of these alternative arrangements, explore challenges and

examine potential regulatory or administrative barriers to innovative industry training practices.

Pilots will trial delivery arrangements which could be adopted broadly by employers and industry to

deliver greater choice in models for apprenticeship training delivery, while maintaining industry and

employer confidence in ‘graduates’.

Models to be tested through the Pilots may focus on:

ICT-enabled work integrated learning – computer based learning combined with traditional training arrangements.

increasing acceptance of competency-based training and progression in industries which have not broadly adopted the practice.

strategies which embed Recognition of Prior Learning (RPL) by acknowledging practical skills from relevant work experience or other learning environments.

front end, off-the-job institutional training – individuals undertake formal training in block arrangements at the beginning of their training.

innovative incentives payment arrangements determined by employers which drive flexibility and engagement in the apprenticeships system.

training approaches which increase the attractiveness of apprenticeship training pathways to a broader range of apprentice candidates.

All Pilots will demonstrate strategies to promote and validate the findings of project activity. Projects

will provide evidence about the opportunities and the barriers in achieving increased industry

validation of alternative apprenticeship arrangements. 1 NCVER 2015, Australian vocational education and training statistics: apprentices and trainees 2014 — annual, NCVER, Adelaide.

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2. Objective These Pilots will trial the adoption of alternative apprenticeship delivery arrangements that:

(a) result in increased industry validation and take up of alternative arrangements; and

(b) contribute to an evidence base which informs future policy development and funding

settings.

3. Outcomes These Pilots are expected to:

(a) benefit Participants, industry and employers.

(b) provide evidence about the opportunities and the barriers to achieve increased industry

validation of alternative apprenticeship arrangements; and

(c) inform funding settings for future apprenticeship arrangements.

4. Purpose of the Guidelines The Apprenticeship Training – alternative delivery pilots Guidelines (the Guidelines) provide a

framework for the operation and delivery of the Pilots. The Guidelines aim to assist Applicants in

applying for funding and guide Funding Recipients to establish, deliver and complete Pilots.

5. Legislative authority Legislative authority for the Pilots is provided in the Financial Framework (Supplementary Powers)

Regulations 1997 (Cth), Sch 1AB.

6. Indicative key dates Pilots will be funded under two streams:

Stream One – priority pilots identified by the Government.

Stream Two – approach to market through an open grants process.

Activity Stream One Stream Two

Applications open 6 May 2016 6 May 2016

Applications close Determined by the Minister 29 July 2016

Assessment and Decision May 2016 August 2016

Funding Agreement negotiations May 2016 August 2016

Pilots start 1 June 2016 Second half of 2016

Evaluation starts Second half of 2016 Second half of 2016

Funding ceases 30 June 2018 30 June 2018

Note: any updates to these timeframes will be advised at www.australianapprenticeships.gov.au/alt-del-pilots.

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7. Funding A total of $9.2 million is available to support the Pilots from 2015-16 to 2017-18. Up to five Pilots will

be funded: up to three Pilots under Stream One and up to two Pilots under Stream Two.

The Funding Agreement will set out the terms and conditions for funding.

Payments will be linked to financial and performance reports (to the department’s satisfaction)

required for each reporting period.

8. Responsibilities 8.1 The Minister

The Minister will approve Applications to be funded under the Pilots including funding amounts.

8.2 The Department of Education and Training

The department will implement and oversee the Pilots. The department will:

assess applications for funding in accordance with the Guidelines

prepare recommendations for the Minister on proposed Pilots to fund

prepare and enter into funding arrangements with successful Applicants

monitor and manage Funding Agreements with Funding Recipients

distribute funding to Funding Recipients

undertake a rolling evaluation that commences immediately after the Pilots begin operating.

8.3 Applicants

It is the responsibility of the Applicant to ensure their application is complete, accurate, and

provided in accordance with these Guidelines. Giving false or misleading information to the

department is a serious offence.

8.4 Funding Recipients

The Funding Recipient will be responsible for delivering their Pilot and expending funds in

accordance with the Guidelines and the Funding Agreement.

Where Participants are required to enter into training contract arrangements, Funding Recipients

will need to work with relevant Commonwealth, state and territory regulators to ensure appropriate

arrangements are in place before training commences.

Funding Recipient must deliver their Pilot in line with relevant state and territory training regulatory

requirements and any relevant workplace relations requirements.

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PART 2: Applications

9. Eligibility 9.1 Eligible Organisations

Funding Recipients may partner with other organisations to deliver the Pilot.

Government (both Commonwealth and State and Territory) agencies and departments, other than Higher Education Institutions and TAFEs, are not eligible for funding under the Pilots. Funding Recipients may work with government agencies in the delivery of the Pilots.

Stream Eligibility

One The Government has identified that applications from the following organisations will be considered for funding under Stream One:

Master Builders Australia

National Electrical and Communications Association

North East Vocational College, South Australia.

The above organisations:

are required to submit applications for funding under Stream One

are not eligible to apply for funding under Stream Two

must comply with these Guidelines, including submitting an application that addresses the Assessment Criteria (section 12.1 Assessment Criteria).

Two Is an open grants process.

Pilots must be developed, implemented, and delivered in partnership with industry. Applicants are not required to be Registered Training Organisations (RTOs), however, accredited training delivered under the Pilots must be delivered by an RTO.

The department will only fund organisations that can legally enter into a funding agreement. For

example, among others, the following entities can legally enter into funding agreements:

individuals

companies

incorporated associations

partnerships.

9.2 Funding Eligibility

Funding eligibility

Funding can be used for… Agreed costs required for delivering the Pilot, including, among other things:

training delivery

materials and resources to support the delivery of the Pilot

reasonable administration costs

salaries/wages directly related to delivering the Pilot under the Funding Agreement.

Costs must be negotiated with and approved by the department.

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Funding eligibility

Funding cannot be used for... Any costs not related, directly or indirectly, to delivering the Pilot in accordance with Funding Agreement, including, among other things:

Capital works

Overhead costs, e.g. rental of premises

Salaries/wages not related to delivering the Pilot under the Funding Agreement.

10. Application process 10.1 Application Form and Closing Dates

All Applicants must submit a completed application form online. The application form, stream closing dates and instructions for submission will be made available at www.australianapprenticeships.gov.au/alt-del-pilots.

Applications received after the specified closing dates will not be considered.

11. Budget Applicants must complete the budget template in the application form and provide information

regarding other income sources, including indicating whether other income sources are confirmed.

12. Assessment Process All applications will be assessed against the Objective (section 2) and the Assessment Criteria

including an assessment of Value with Relevant Money. Each of the four assessment criteria carry

equal weighting.

12.1 Assessment Criteria

Item Assessment criteria and required information

1 Potential for increased industry adoption of alternative delivery arrangements

Applications must

Outline how the Pilot aims to achieve increased industry adoption and validation of the proposed alternative apprenticeship arrangement.

Identify any issues that may impact on the likelihood of the alternative arrangement being broadly adopted and how the Pilot will seek to address these issues.

2 Industry/Employer engagement

Applications must

Demonstrate how any training delivered or work experience opportunities provided to Participants align with industry expectations.

Detail how the proposed Pilot will result in increased employment outcomes or benefits for employers.

Provide evidence of collaboration with employers or industry including support from employers to offer workplace training and employment opportunities to Participants.

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Item Assessment criteria and required information

3 Capacity Applications must

Demonstrate the Applicant’s expertise or experience in delivering quality trade training models.

Outline how the Applicant will support Pilot Participants.

Detail the Applicant’s capacity to deliver the Pilot in line with relevant state and territory training regulatory requirements and any relevant workplace relations requirements.

4 Project viability This criterion is intended to identify and consider the complexity of the Pilot, risks associated with the Pilot and the capability of the Applicant to deliver the Pilot.

Key considerations include, but may not be limited to how rigorously:

the Pilot has been scoped and costed by the Applicant; and

the Applicant has assessed delivery risks and treatments for these risks

The application must include a draft project timeline and a realistic budget for the proposed Pilot.

12.2 Achieving Value with Relevant Money

Value with relevant money is achieved when the processes, actions and behaviours employed by the

Commonwealth and Funding Recipients result in public resources being used in an efficient,

effective, economical and ethical manner. Public resources is defined in the Public Governance,

Performance and Accountability Act 2013 as ‘relevant money, relevant property, or appropriations’.

The Pilots seeks to promote value with relevant money by selecting those applications that:

have demonstrated the greatest comparative merit in terms of the assessment criteria;

involve a reasonable (rather than excessive) cost having regard to the quality and quantity of deliverables that are proposed; and

have a risk profile that is acceptable to the Commonwealth, with any identified risks being able to be efficiently and effectively managed.

Value with relevant money will also be considered on an ongoing basis during and after delivery of

the Pilot. This includes ensuring that Commonwealth funding is expended and acquitted in

accordance with contracted requirements and all other conditions of funding are met, and through

monitoring and evaluating the extent to which a funded project achieves its objectives and

contributes to the outcomes of the Pilots.

12.3 Conflicts of Interest

A conflict of interest can arise when an Applicant’s integrity, objectivity or fairness in performing a

funded activity is at risk due to a pecuniary interest of a person or organisation associated with the

Applicant or a conflicting business arrangement.

Applicants must identify in their application any real or perceived conflicts of interest they believe

will or may arise from submitting the application. Applicants must specify how any actual or

perceived conflict of interest will be addressed and monitored.

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The department reserves the right to assess the potential impact of the conflict or perceived conflict

and what plans, if any, are proposed to address the conflict of interest in relation to the application

for funding.

The department may reject an application if it is not satisfied that there are arrangements in place to

appropriately address and/or manage a real or perceived conflict of interest.

Additionally, the department has mechanisms in place for identifying and managing potential or

actual conflicts of interest involving its own staff, such as requiring assessment officers to sign

conflict of interest declarations prior to undertaking the assessment of applications.

12.4 Financial Viability

Financial viability assessments will be conducted for all Applicants. The department will only fund

applications that meet financial viability requirements.

Applicants may be asked to submit documents for financial viability assessments at any time during

the application, assessment and selection processes. Applicants that fail to comply with the

Department’s financial viability assessment process may be excluded from the application process.

13. Decisions Following an assessment of applications, the department will provide advice to the Minister on the

merits of applications relative to the Guidelines and whether, in its view, funding the Pilot would be

a proper use of funding.

Funding approval is at the discretion of the Minister.

14. Notification of outcomes The department will advise Applicants in writing of the outcome of their application. Unsuccessful

Applicants will have the opportunity to discuss the outcome of their application with the

department.

The Minister or the department may publicly announce funding outcomes, including details of

successful Applicants, a project summary and the amount of funding allocated.

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PART 3: Implementation

15. Funding Agreement Successful Applicants will be required to enter into a Funding Agreement with the Commonwealth,

represented by the department. The Funding Agreement, in addition to these Guidelines, will set out

the requirements and expectations of the Funding Recipient and the department.

Funding Agreements are subject to Commonwealth, state and territory laws.

16. Financial reporting The Pilots will be administered to ensure the efficient, effective, economical and ethical use of

public monies. Funding must only be used for the purposes for which it is provided (section

9.2). Funding Recipients will be required to submit financial statements/reports in accordance

with the Funding Agreement, which may include, among other things:

periodic reports on the expenditure of grant funds;

a final report on funding outcomes; and

a financial declaration or an independently audited financial statement as required by the department.

Full details of what Funding Recipients must submit to acquit the funding will be specified in the

Funding Agreement.

17. Performance reporting and monitoring Funding Recipients will be required to collect data for the purpose of reporting on the activities

being delivered and demonstrating compliance with the Funding Agreement.

Funding Recipients will need to satisfy all reporting requirements under the Funding Agreement for

each period, before receiving the next funding instalment.

Reporting will be undertaken periodically in accordance with the deliverables set out in the Funding

Agreement.

The department will monitor the performance of all funded activities to ensure they are meeting the

agreed outcomes.

18. Payments Before any payment can be made, Funding Recipients will be required to provide:

a correctly rendered invoice for the amount of the payment; and

evidence of meeting the requirements for payment, as stipulated in the Funding Agreement.

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19. Taxation Applicants are expected to carefully consider the likely taxation treatment of any funding provided

under the Pilots, prior to submitting an application.

Applicants should seek advice about tax consequences (including GST) arising from the receipt of

funding by consulting their financial advisor or the Australian Taxation Office at www.ato.gov.au/ or

by calling 13 72 26 (for businesses) or 13 28 65 (for individuals).

20. Information technology requirements Funding Recipients must have suitable systems in place to collect and store Pilot information

and data, to meet reporting, record keeping, and evaluation obligations.

21. Evaluation of the Pilots The department will evaluate the performance of the Pilots. Funding Recipients must, at their own

cost, cooperate with any evaluation of the Pilots undertaken by the department or third parties,

including providing any information requested about the Pilots.

22. Further terms and conditions 22.1 The department’s rights

The department reserves the right to amend the Guidelines and other relevant documents by

whatever means it may determine at its absolute discretion and will provide reasonable notice of

these amendments.

22.2 Disclaimer

The department, its officers, agents and advisors:

are not, and will not be, responsible or liable for the accuracy or completeness of any information in or provided in connection with these Pilots Guidelines. The Guidelines do not constitute legal advice and should not be relied upon as such;

make no express or implied representation or warranty that any statement as to future matters will prove correct;

disclaim any and all liability arising from any information provided to the applicant, including, without limitation, errors in, or omissions contained in, that information;

except so far as liability under any statute applies, accept no responsibility arising from errors or omissions contained in any information in this document and the application kit, including the application form; and

accept no liability for any loss or damage suffered by any person as a result of that person, or any other person, placing reliance on the contents of these documents, or any other information provided by the department.

Applicants should obtain appropriate independent and professional advice relevant to their own circumstances in relation to the matters discussed in these Guidelines.

22.3 Fraud

The department is committed to preventing fraud in all aspects of its business. The department’s

fraud reporting procedures can be found at www.education.gov.au/how-report-fraud.

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22.4 Privacy

In administering the Pilots, the department and Funding Recipients will be bound by the provisions

of the Privacy Act 1988.

Privacy complaints may be made to the Office of the Australian Information Commissioner. The

Australian Information Commissioner may not investigate if a complaint has not been made in the

first instance to the department.

For further information please go to the department’s website: www.education.gov.au/privacy, or

write to:

Privacy Contact Officer

People, Communication and Legal Group

Department of Education and Training

GPO Box 9880

CANBERRA ACT 2601

privacy@education.gov.au

22.5 Freedom of Information

All documents in the possession of the department including those in relation to the Pilots are

subject to the Freedom of Information Act 1982 (FOI Act).

The FOI Act creates a general right of access to documents in the possession of the department and

this right of access is limited only by the exceptions and exemptions necessary for the protection of

essential public interests and private and business affairs of persons in respect of whom the

information relates.

Decisions regarding requests for access under the FOI Act will be made by an authorised decision‐

maker in accordance with the requirements of the FOI Act.

FOI requests may be sent to the department in writing:

FOI Team Leader

People, Communication and Legal Group

Department of Education and Training

GPO Box 9880

CANBERRA ACT 2601

FOI@education.gov.au

For more information please visit the department’s website at www.education.gov.au/freedom-

information-0.

22.6 Complaints

Applicants and Funding Recipients can lodge complaints about the department’s service(s), the

application and/or assessment process, or the service of another Funding Recipient, by completing

the feedback and enquiry form available on the department’s website.

If an applicant or funding recipient is at any time dissatisfied with the department’s handling of a

complaint, they can contact the Commonwealth Ombudsman through the Ombudsman Website

or on 1300 362 072.

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23. Contact information All correspondence should be forwarded to the contact via email:

Director, Workforce Strategies

Department of Education and Training

Email: ALTDELAPPS@education.gov.au

Phone: 1300 566 046

People with hearing or speech disability can use the National Relay Service (NRS) to access the

department’s phone numbers. Call 1300 555 727 (speak and listen) or go to the NRS website for

other options.

24. Definitions The following definitions apply for the purpose of interpreting these Guidelines:

Applicant(s) Organisation/Entity applying to undertake a Pilot

Department The Department of Education and Training, or any future Commonwealth agency with responsibility for the Pilots

Commonwealth The Commonwealth of Australia

Funding Agreement The contract between Funding Recipient and the department, to undertake works under the Pilots

Funding Period From the date the Funding Agreement is executed to 30 June 2018

Funding Recipient(s) Organisation/Entity granted funding to undertake a Pilot

Guidelines Means this document and its attachments, unless explicitly stated otherwise

Pilots The Apprenticeship Training – alternative delivery pilots measure announced in the Mid-Year Economic and Fiscal Outlook 2015

Participant(s) Means individuals who participate in a course of training delivered under a Pilot

Pilot Project to be delivered and undertaken in accordance with these Guidelines

Privacy Act Means Privacy Act 1988 (Cth)

Records Includes documents, information and data stored by any means and all copies and extracts of the same

The Minister The Minister for Vocational Education and Skills, or any future minister with responsibility for the Pilots.