5.4.1 Principal/CEO
The principal, known as the chief executive officer (CEO) of an RTO, is legally responsible and accountable for all operations and signs a statutory declaration (available via the VET application in the QCAA Portal) indicating that they:
- have read and understood the VQF
- accept responsibility for ensuring the school RTO complies with the VQF and other applicable conditions of registration
- ensure that the school RTO will cooperate with ASQA as the national regulator, and the QCAA as delegate for ASQA
- ASQA may impose conditions, or administrative or financial sanctions on the registration of the school RTO.
In delegating their governance responsibilities, principals/CEOs must ensure that staff are fully aware of their RTO-related roles and responsibilities.
These include, but are not limited to, the following key duties:
- Provide leadership and advocate for the delivery of quality VET within the school curriculum.
- Ratify all policies and procedures documents for RTO operations.
- Ensure that the RTO has adequate and effective governance arrangements, including
- allocation of sufficient authority to the RTO manager for the management system to be responsive to the needs of students, staff and VET stakeholders
- the environment in which the RTO operates and complies with the RTO standards.
- Meet regularly with the RTO manager to stay informed of RTO operations.
- Complete the Annual declaration on compliance form, which is distributed to all school RTOs via the VET application in the QCAA Portal.
- Submit appropriate signed documentation, as required by the dates published in the SEP calendar, via the VET application in the QCAA Portal.
- Ensure all VET student data is collected and reported accurately via the QCAA Portal and kept up to date for all students engaged in VET in Years 10, 11 and 12.
- Ensure nil enrolment result across entire scope of registration over a 12-month consecutive period is reported through the National Centre for Vocational Education Research (NCVER) portal.
- Ensure that risks are appropriately managed in all areas of operation of the RTO, including succession planning.
Enforcement
If an RTO does not operate in accordance with its conditions of registration, ASQA can apply enforcement powers. The National Vocational Education and Training Regulator Act 2011 (Cth) provides for real-cost civil and criminal penalties, and sanctions may be applied. Decisions related to cancellations, sanctions, renewal rejections, registration conditions and other administrative conditions against RTOs are available on the ASQA website.
Schools can access details of ASQA’s regulatory decisions including the RTO’s details, the name of the principal/CEO and the type of regulatory decision imposed.
RTOs are required to be compliant at all times with the Standards for Registered Training Organisations (RTOs) 2015 (Cth). If non-compliance issues are not addressed within specified timelines, the National Vocational Education and Training Regulator Act 2011 (Cth) provides a range of sanctions and additional conditions on registration, including the suspension or cancellation of RTO registration.
5.4.2 RTO manager
The principal/CEO usually delegates responsibility and sufficient authority for RTO operations to a an RTO manager, also known as a high managerial agent.
The RTO manager’s responsibilities include, but are not limited to, the following key duties:
- Systematically monitor and manage the RTO’s operations, ensuring consistent compliance with legislation and regulatory requirements.
- Ensure that training and assessment strategies and practices are monitored, including evaluation of outcomes that inform improvement decisions.
- Maintain a thorough working knowledge of the national VET system, including the national skills framework, training packages, the AQF and the VQF.
- Inform staff and students of any changes to legislative and regulatory requirements that affect the services delivered.
- Ensure accuracy of advertising, marketing and other information provided to staff and students.
- Meet requirements for data reporting and issuing AQF certification documentation.
- Manage the requirements of the Unique Student Identifier (USI) scheme, including reporting this identifier to the QCAA.
- Sign written agreements, monitor third-party agreements conducted on behalf of the school RTO, and notify the QCAA if the school enters into third-party agreements.
- Manage and ensure that all staff meet human resource requirements for the delivery and assessment of qualifications on the current scope of registration.
- Notify the QCAA about changes to school RTO management and operations.
- Ensure that the RTO has a documented assessment system that covers all nationally recognised training products on the current scope of registration. This means having a coordinated set of documented policies and procedures and assessment tools, which are consistent and based on the Principles of Assessment and the Rules of Evidence contained in the Standards for Registered Training Organisations (RTOs) 2015 (Cth).
The QCAA provides additional information for RTO managers in the form of policies, procedures and resources located via the VET application in the QCAA Portal:
- management resources
- policies and procedures.
5.4.3 Trainer and assessor
VET teachers, known as trainers and assessors, must meet national standards as outlined in the Standards for Registered Training Organisations (RTOs) 2015 (Cth). Trainers and assessors must refer directly to the legislative requirements, and any nationally recognised training product requirements, to ensure compliance as a trainer and assessor. School RTOs are responsible for establishing, verifying and monitoring that their trainers and assessors meet requirements.
These include, but are not limited to, the following key duties:
- Create and maintain a current trainer and assessor profile, including maintaining currency and equivalent vocational competency to the relevant nationally recognised training product.
- Develop training and assessment strategies and practices.
- Liaise with industry representatives for advice about training and assessment strategy and practices to ensure alignment with current industry practices.
- Develop assessment tools
- Participate in systematic validation of assessment practices and judgments.
Training and assessment strategy
Trainers and assessors are responsible for developing the training and assessment strategy (TAS) for each nationally recognised training product offered by the RTO. This activity could be undertaken in collaboration with the RTO manager. Every nationally recognised training product on an RTO’s scope of registration must have a documented TAS, which must be updated when strategies and practices change. The RTO may share Sections 1–4 of the TAS with students before enrolment to help them make informed decisions about undertaking training. The TAS must be of an auditable standard, meaning that it contains current and accurate information and meets the requirements of the Standards for RTOs.
When developing the TAS, school RTOs should work in consultation with industry staff who have an in-depth knowledge of the training product being delivered. Working in partnership with industry ensures the program sequence, resources, training and assessment activities and time allocations reflect current industry practices and the requirements of the training product.
Trainer and assessor profiles
Staff in an RTO who are delivering nationally recognised training products are required to create a trainer and assessor profile. This profile contains the evidence that trainers and assessors have the required vocational competence and industry currency to deliver and assess the training product. The trainer and assessor profile must be provided to the RTO manager and approved by the principal/CEO before commencing delivering a VET course. The information in the profile must be of an auditable standard, meaning that it contains current and verifiable information that meets the requirements of the Standards for RTOs and nationally recognised training product.
Queensland school RTOs can use this document to assist with their quality assurance processes and systematic monitoring of RTO operations as outlined within the Standards for RTOs. The QCAA reviews RTO trainer and assessor profiles during the performance assessment review (PAR) process. The QCAA provides a trainer and assessor profile template via the VET application in the QCAA Portal.
