Duty Statement - Director The Director is the legally responsible person must manage the RTO s compliance with the Standards for RTO s 2015. RTO compliance delegation The Director may delegate their key RTO compliance responsibilities to other executive or high managerial staff. The Director must ensure delegation to staff are with sufficient authority to ensure the RTO complies with the RTO Standards at all times. The RTO s key RTO compliance responsibilities will be managed by (RTO staff description?) Terms of Employment The DIRECTOR is employed by the RTO to undertake the listed duties during 8.30 am & 5.00pm Mon Friday and will receive the negotiated salary package with benefits as arranged. DIRECTOR Role Objectives The DIRECTOR shall implement and oversee the required quality assurance systems for the RTO s delivery of all training and assessment services, ensuring that the RTO complies with all the VET Regulator's requirements, especially: a) by providing accurate and truthful responses to information requests from the VET Regulator relevant to the RTO s registration; b) in the conduct of audits and the monitoring of its operations; c) by providing quality/performance indicator data; d) by providing information about significant changes to its operations within 90 calendar days of the change occurring; e) by providing information about significant changes to its ownership within 90 calendar days of the change occurring; and f) in the retention, archiving, retrieval and transfer of records consistent with the VET Regulator s requirements The DIRECTOR shall ensure that that any subcontractor delivering services on its behalf cooperates with the VET Regulator: a) by providing accurate and factual responses to information requests from the VET Regulator relevant to its training and assessment delivery; and b) in the conduct of audits and the monitoring of its operations. The DIRECTOR shall notify the VET Regulator: a) of any subcontract agreement it enters into under Clause 2.3 within 30 calendar days of entering into that agreement or prior to the obligations under the agreement taking effect, whichever occurs first; and b) within 30 calendar days of the subcontract agreement coming to an end. CRICOS Notifications The DIRECTOR shall notify the VET regulator of: a) any prospective changes to the ownership of the registered provider as soon as practicable prior to the change taking effect, and b) any prospective or actual change to the high managerial agents (as defined in section 5 of the ESOS Act) of the registered provider as soon as practicable prior to the change taking effect or within Version 1.0 Major 2016 RTO Code 6139 E&OE Page 1 of 5
10 working days of the change taking effect where the change cannot be determined until it takes effect. The DIRECTOR shall notify the VET Regulator with information on the any new owner or high managerial agent for the purpose of making an assessment under section 9(6) of the ESOS Act. The DIRECTOR shall declare to the VET Regulator annually that the RTO s operations meet the Standards for RTO s 2015 and, in particular, it has: a) met the requirements of the Standards across all its scope of registration and for all AQF certification documentation has issued in the previous 12 months; and b) training and assessment strategies and practices in place that ensure that all current and prospective learners will be trained and assessed in accordance with the requirements of the Standards. 1- Annually appoint a certified accountant to audit the year s financial activities whilst also documenting and recording all financial activities of the RTO in accordance with the Financial Viability Risk Assessment Requirements and in a manner that would expedite the annual auditing needs by the appointed accountant. 2- Maintain the financial records of the RTO in a report ready condition and voluntarily report to the VET Regulator any change to its business or financial circumstances that may negatively impact on its operations. 3- Maintain adequate Insurance policies that covers the scope of its Operations and services of the RTO throughout its Registration period, including insurance for public liability, professional indemnity, workers compensation (as required) and building and contents (where appropriate). 4 - Provide any information and documentation (being not limited to performance measures) required by the VET Regulator that registered the RTO as an RTO, including financial audits, access to areas and staff associated with the RTO s training and assessment services. 5 - Provide the VET Regulator that registered the RTO as an RTO with all reasonable cooperation in the carriage of any enquiry or investigations relating to an associate, corporate body, or employee associated with the RTO. 6 - Ensure that adequate database systems are in place to maintain data information in a report ready condition. 7- Undertake self-assessment audits at least annually reviewing the RTO s compliance with all relevant aspects of VET Quality Framework which is comprised of the: Standards for RTOs 2015 Australian Qualifications Framework Fit and Proper Person Requirements Financial Viability Risk Assessment Requirements Data Provision Requirements VET Quality Framework self-assessment audits must be followed by a detailed report outlining the scope of the self-assessment audit and any identified compliance needs and submitted to the RTO s management meeting for review and any required actioning. 8 - The DIRECTOR shall market, promote and develop the profile of the RTO and its operation in accordance with the RTO Marketing policy. Version 1.0 Major 2016 RTO Code 6139 E&OE Page 2 of 5
The DIRECTOR or their Delegate shall: 1 Guide the operations of the RTO within the guidelines of sound business and financial practice maintaining a relevant an up to date Business Plan with at least 2 3 years of projected business outcomes for the RTO s operations. 2 - Select and recruit appropriate staff as required by the existent operational needs of the RTO, ensuring staff possess vocational competencies that are at least equivalent to those that they will train and assess. (See point 9) 3 - Conduct an extensive review of all Commonwealth, State or Territory legislation and regulatory requirements relevant to its operations and its scope of registration at least annually and as scheduled by the Continuous Improvement Schedule. Review the outcomes of all audits and annual audits conducted by the RTO staff or departmental heads, including people or organisations conducting training and assessment on its behalf. 4 - Review the RTO s annual assessment validation audit and apply any required actions or improvements to the training and assessment services of the RTO. 5 - Provide staff induction and schedule professional development training to the staff of the RTO. 6 - Employ training and assessment staff who have verified : a) vocational competencies at least to the level being delivered and assessed; b) current industry skills directly relevant to the training and assessment being provided; and c) current knowledge and skills in vocational training and learning that informs their training and assessment d) certification of the TAE40110 Certificate IV in Training and Assessment or its successor and/or in accordance with the Standards for RTO s 2015 clauses 1.13-1.15 and Schedule 1 Prior to January 2016. 7 - Arrange for the appropriate supervision, support and guidance to be provided by qualified staff to those staff that do not hold training and assessment qualifications in accordance with the Standards for RTO s 2015 clauses 1.17-1.20 and Schedule 1, Prior to January 2016. Staff supervision measures must be documented and recorded in the Staff qualifications folder. 8 - Provide any information and documentation (being not limited to performance measures) required by the VET Regulator that registered the RTO as an RTO, including financial audits, access to areas and staff associated with the RTO s training and assessment services. 9 - Provide the VET Regulator that registered the RTO as an RTO with all reasonable cooperation in the carriage of any enquiry or investigations relating to an associate, corporate body, or employee associated with the RTO. 10 - Expedite all data reporting activities that may be requested of the RTO by the VET Regulator. 11 - Ensure that the RTO staff are conversant with the Records Management Policy and Procedures of the RTO and that all staff are monitored in the performance of their responsibilities in records management ensuring that there is clear role descriptions for administrative staff charged with records management. 12 - Review pre enrolment information to be provided to all enrolling students so that students are aware of the services being provided by the RTO, including the terms and conditions and fees, fees in advance and charges of that service to be delivered is understood and agreed to at enrolment. This information must be reviewed against Standard 4 & 5 and undertaken utilising the RTO s Marketing and Advertising Checklist. Where there are any changes to agreed services, the RTO s management advises the learner as soon as practicable in writing, including in relation to any new third party arrangements or a change in ownership or changes to existing third party arrangements. 13 - Apply implementation procedures and teach out strategies for the transition from old to new qualifications, modules or units in updated accredited courses, Training Package qualifications or Units of Competency within 12 months of their endorsed release on the National Register so that the RTO delivers only currently endorsed Training Packages. 14 - From January 1 2016 ensure that the provisions of Standard 1.21-1.25 are complied with in the event that the RTO has or attains scope to deliver the training and assessment qualifications specified in Item 1 of Schedule 1 of the 'Standards for RTOs 2015'. Version 1.0 Major 2016 RTO Code 6139 E&OE Page 3 of 5
Fit and Proper Persons The DIRECTOR shall ensure that the RTO s senior officers, directors or substantial shareholders and staff who may represent as an influence on the management or conduct of the RTO s Training and Assessment Services are proven to be fit and proper persons. The engagement of such positions shall be guided by the collection of the following minimum requirements and maintaining this evidence in a current condition for review by the VET Regulator: State or National Police Check Working with Children Check Fit and Proper Persons Statutory Declaration Past Bankruptcy History The DIRECTOR shall also refer to the Fit and Proper Person Requirements 2011 Act Work Conditions The DIRECTOR shall be provided with the required office equipment and stationary supplies for the fulfilment of his tasks and duties. Selection Criteria The DIRECTOR will be required to hold the qualifications at least to the level at which he will deliver and assess. Working Environment All the RTO staff are required to be conversant with safe work practices. The RTO provides all staff with a Staff Induction Orientation this Induction will include clear guidelines on the RTO s compliance with Work Health and Safety regulations for the RTO s workplace. The RTO does not provide breaks for smoking for any of its staff and all facilities owned by the RTO are deemed a non-smoking area. Essential Requirements The DIRECTOR will be required to have held a senior management position for a minimum of 5 years and be willing to undertake further professional development workshops as required by the RTO. Desirable Requirements - includes qualifications/skills in a particular field or discipline, which are not mandatory but would be of assistance to the person undertaking the position. Legislation The RTO s Management is committed to complying with all relevant commonwealth state and territory legislation and regulatory requirements. The RTO maintains current copies of all current legislation and regulatory requirements and informs its staff and clients of any changes to these relevant commonwealth state and territory legislation and regulatory requirements and how to access the relevant legislation and regulations that may impact on their duties and or training. Legislation Procedure Copies of all relevant legislation and regulatory requirements shall be maintained in an accessible location for staff access and review. The RTO s DIRECTOR shall ensure that an extensive annual review of all relevant commonwealth state and territory legislation and regulatory requirements is conducted as scheduled by the RTO s Review Schedule with updated versions being added to the current legislation folder. The RTO s DIRECTOR shall ensure that all staff inductions feature information concerning the availability and access procedures to all relevant commonwealth state and territory legislation and regulatory requirements relevant to the RTO s operations and its scope of registration and that staff are informed of those aspects that affect their duties. Version 1.0 Major 2016 RTO Code 6139 E&OE Page 4 of 5
All enrolled students are provided with legislative and regulatory advice that may impact on their participation in vocational education and training through course orientation information and scheduled orientation events. All enrolled students are provided with advice concerning the procedures required to access relevant commonwealth state and territory legislation and regulatory requirements during the enrolment process. Version 1.0 Major 2016 RTO Code 6139 E&OE Page 5 of 5