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					        RTO1 Initial Application
Version 3 RTO1 Initial Registration Application, June 2011   Page 1 of 16
                           RTO 1 – Application for Initial Registration

Complete this form if you are applying to become an Registered Training Organisation (RTO) for the
first time.


Please read Guide A: Application for Initial Registration or Renewal of Registration for
information about each item in this form which can be downloaded from
http://www.training.sa.gov.au/ (Forms and Templates)

You also need to be aware of the Policies approved by the Training and Skills Commission in determining
whether to register, renew or vary the registration of a training provider in the vocational education and
training sector. These are in Appendix 1 to Guide A.

About this form
There are eight sections to this application form:
       Section 1      Type of Application
       Section 2      Applicant’s details
       Section 3      Details of legal entity’s directors and other associates
       Section 4      Applicant’s history
       Section 5      Details of scope of registration
       Section 6      Declaration by CEO
       Section 7      Statutory Declaration by CEO
       Section 8      Evidence to be attached to this application



This form must be completed and submitted in hard copy with the evidence specified in section 8 along
with an application fee (refer to schedule of fees http://www.training.sa.gov.au/ (Quick Links Further
information - Standards, Legislation, Guidelines, Policies and Fees)) to:
        Client Information Officer
        Quality and Tertiary Education and Policy Directorate (QTEP)
        Department of Further Education, Employment, Science and Technology (DFEEST)
        GPO Box 320
        ADELAIDE SA 5001


Please note the application fee should be in the form of a cheque and made payable to DFEEST.
This fee is non-refundable.

Additional fees will be charged in accordance with the approved Schedule of Fees for Recognition
Services SA.



DFEEST USE ONLY

Date received                       /    /                     Date entered onto PARIS   /   /

PARIS Application ID                                           Client Contact Officer

State Code                                                     National Code




Version 3 RTO1 Initial Registration Application, June 2011                                       Page 2 of 16
SECTION 1 – TYPE OF APPLICATION




1.1   Do you intend applying to provide education services to overseas students studying in South Australia
      on a student visa?


                   Yes           No



      If Yes, you will also need to complete an application for overseas delivery which can be downloaded
      from www.training.sa.gov.au/ (Forms and templates – Overseas delivery). Also refer to section 1.1
      in Guide A

1.2    Do you intend to offer any training interstate?


                   Yes           No


      If Yes, please provide details below.


        States, territories and/or countries in which you intend to offer training:




Applicants for initial registration must satisfy the Department that they have relevant prior history
invocational education and training if they wish to deliver training interstate or offshore in the first twelve
months of their registration.

RTOs training interstate must complete form RTO5 ‘Notification by RTOs delivering qualifications/Units of
competence Interstate which is available from www.training.sa.gov.au/ (Quick Links - Forms and
templates – Vocational Education and Training) and forward to the Department within 14 days of
commencing training.

1.3   Do you intend to deliver training offshore?

             Yes                 No

Applicants wishing to deliver offshore must meet the additional requirements that are set out in Section 11
of the Guidelines for RTOs. The lead auditor assessing your application will discuss with you how your
evidence will be assessed.


1.4   Do you intend to offer training to school students?

             Yes                 No

Applicants wishing to deliver to school students after 1 January 2012 will need to demonstrate compliance
with Section 10 of the Guidelines for RTOs and be approved by the Department. An application form will be
available from 1 July 2011.




Version 3 RTO1 Initial Registration Application, June 2011                                       Page 3 of 16
SECTION 2 – APPLICANT’S DETAILS



2.1   Name of legal entity applying for registration




2.2   Type of legal entity


              Corporation                     Sole trader                      Partnership

              Incorporated association        Government entity                Other (specify)




2.3   Registered business (trading) name(s)


        Registered Business Name




2.4
        ACN



2.5
        ABN



2.6   Type of training organisation

               School                                             Enterprise
               Government school                                  Government enterprise
               Catholic school                                    Non-government enterprise
               Independent school                                 Community-based adult education
               Australian Technical College                       Community-based adult education provider
               TAFE                                               Other training provider
               Technical and Further Education (TAFE) Institute   Private provider
               University                                         Professional association
               Government university                              Industry association
               Non-government Catholic university                 Equipment/product manufacturer/supplier
               Non-government independent university              Other – not classified elsewhere




Version 3 RTO1 Initial Registration Application, June 2011                                             Page 4 of 16
2.7      Head office of legal entity applying for registration


 Head office
 Street address
 Postal address
 (if different from above)
 Phone                          Mobile                                Fax
 Email                                            Website



2.8      Principal place of RTO business


 Principal place of RTO business
 Street address
 Postal address
 (if different from above)
 Phone                          Mobile                                Fax
 Email                                            Website



2.9      Permanent delivery sites


 Delivery site 1
 Address
 Phone                                                                 Fax
 Contact person
 Title                       Surname                              Given names
 Position
 Email                                                            Mobile:




 Delivery site 2
 Address
 Phone                                                                 Fax
 Contact person
 Title                       Surname                              Given names
 Position
 Email                                                            Mobile:

                                       Attach additional pages if required




Version 3 RTO1 Initial Registration Application, June 2011                      Page 5 of 16
2.10 Chief executive officer


 Chief executive officer
 Title                      Surname                              Given names
 Position
 Phone                                     Fax                        Mobile
 Email



2.11 Day-to-day public contact person


 Day-to-day public contact person
 Title                      Surname                              Given names
 Position
 Phone                                     Fax                        Mobile
 Email



2.12 Registration contact person


 Registration contact person
 Title                      Surname                          Given names
 Position
 Phone                                     Fax                        Mobile
 Email
 Is this person an employee of the applicant (legal entity)?           Yes     No




Version 3 RTO1 Initial Registration Application, June 2011                          Page 6 of 16
SECTION 3 – DETAILS OF LEGAL ENTITY’S DIRECTORS AND ASSOCIATES


The applicant is required to provide information about their senior officers and/or substantial shareholders
and associates who are in a position to influence the management of the applicant. The applicant and all
directors/associates must satisfy ‘fit and proper’ requirements.


 Person 1
 Title               Surname                                 Given names
 Address
 Phone                                     Fax:                        Mobile:
 Email



 Person 2
 Title               Surname:                                Given names:
 Address
 Phone                                     Fax:                        Mobile:
 Email



 Person 3
 Title               Surname                                 Given names
 Address
 Phone                                     Fax:                        Mobile:
 Email



 Person 4
 Title               Surname                                 Given names
 Address
 Phone                                     Fax:                        Mobile:
 Email



 Person 5
 Title               Surname                                 Given names
 Address
 Phone                                     Fax:                        Mobile:
 Email
                                      Attach additional pages if required




Version 3 RTO1 Initial Registration Application, June 2011                                    Page 7 of 16
SECTION 4 – APPLICANT’S HISTORY


4.1   Is the applicant or any associate currently registered as an RTO, other than the RTO in this
      application, in any state or territory?

             Yes, the applicant is                      Yes, an associate is           No, neither is
        If yes, please provide details in the table below.


 Current registration
 Legal name of RTO:
 Trading name(s):
 RTO Number:
 Period of current registration:        From         to
 ACN:            /     /                            ABN:     /     /     /
 Chief Executive:
 State or territory where registration was held



4.2   Has the applicant or any associate ever been registered as an RTO, other than the RTO in this
      application, in any state or territory?

                Yes, the applicant has been        Yes, an associate has been       No, neither has been
           If yes, please provide evidence as outlined in Guide A and complete the table below.


 Former registration
 Legal name of RTO:
 Trading name(s):
 RTO Number:
 Period of former                From          to
 registration:
 ACN:            /     /                            ABN:     /     /     /
 Chief executive:
 State or territory where registration was held

Was the RTO fully compliant with the AQTF throughout its last five years of registration?

               Yes             No If No, please provide details as an attachment to your application.

Note: The Department is authorised to gather information about any RTO from other state and territory
registering bodies. It may also request information on the number of graduates and evidence of learner and
employer or industry satisfaction.




Version 3 RTO1 Initial Registration Application, June 2011                                      Page 8 of 16
4.3       Applicants and associates’ prior history in vocational education and training

         Provide details on the experience and background of the Chief Executive and senior officers
          responsible for leading and managing the organisation.
         If relevant, provide information about the educational expertise available to senior officers and
          directors.

4.4       Apart from this application, does the applicant or any associate have an application for
          registration currently lodged with any other registering body?

                  Yes, in                            (name state or territory)
                  No

4.5       If yes, please provide evidence as outlined in Guide4.5 Has the applicant or any associate
          ever been refused registration or had registration cancelled by this or any other state or territory
          registering body?

                  Yes                    No

          If yes, please provide evidence as outlined in Guide A and complete table 4.8 below.


4.6       Has the applicant or any associate ever had registration suspended by this or any other state or
          territory registering body?

                  Yes                    No

          If yes, please provide evidence as outlined in Guide A and complete table 4.8 below.


4.7       Has the applicant or any associate ever been found guilty or pleaded guilty to an offence under a
          law of the Commonwealth or of any Australian state or territory?

                  Yes                    No

          If yes, provide details at 4.8 below.


4.8       Has the applicant or any associate ever been convicted of an offence against the Training and
          Skills Development Act, 2008 or a corresponding law of any other Australian state or territory or the
          Commonwealth?

                  Yes                    No

            If yes, provide details at 4.9 below.




Version 3 RTO1 Initial Registration Application, June 2011                                         Page 9 of 16
4.9 Additional details
     If you answered yes to any of questions 4.3 to 4.7 above, you need to provide further details.
     Attach additional pages if required.


 Details of responses to questions 4.4 to 4.8
 Name:                                                           ABN             /   /     /
 Address:
 Suburb:                                               State:             Postcode:
 Phone:                                       Fax:                     Mobile:
 Former name (if any):
 Date of birth:                      Place of birth
                                     (Town, State and Country):
 Is this the applicant or an associate (tick one)            Applicant                Associate
 Which questions did you answer yes to?               4.3        4.4         4.5           4.6     4.7
 Provide details below                                4.8




Version 3 RTO1 Initial Registration Application, June 2011                                        Page 10 of 16
SECTION 5 – DETAILS OF SCOPE OF REGISTRATION


Enter the correct national codes and titles of the Training Package qualifications, individual units of
competency (if not intending to deliver a full qualification) and accredited courses your organisation wishes
to deliver/assess. Visit the National Training Information Service (NTIS) website at www.ntis.gov.au to
obtain the correct information to complete this table.

The Commission will have regard to the applicant’s prior history in vocational education and training in
determining the scope and period of registration. Refer to sections 2 and 3 of the Commission’s policies at
Appendix 1 of Guide A.

Table A
  Training Package Qualifications, Units of Competency and Accredited Courses to be listed on your scope
  of registration
  National Code                  Title                                                          Tick
                                                                                        if assessment only




                                         Attach additional pages if required



Version 3 RTO1 Initial Registration Application, June 2011                                    Page 11 of 16
SECTION 6 – DECLARATION BY CEO – TO BE COMPLETED BY HAND


This declaration must be completed by the chief executive of the organisation applying for initial
registration. If the legal entity applying is a person, that person must complete the declaration. The
declaration is made as a formal undertaking to the South Australian Training and Skills Commission.

Declaration

I, ____________________________________________________________________
                                                      (Chief Executive)



of ___________________________________________________________________
                                                       (the legal entity)



declare to the South Australian Training and Skills Commission that this organisation will operate in
accordance with the Training and Skills Development Act, 2008, the Guidelines for Registered Training
Organisations registered under the Training and Skills Development Act 2008 approved by the Minister for
Employment, Training and Further Education and, as detailed below, the Australian Quality Training
Framework (AQTF) Essential Conditions and Standards for Continuing Registration.

Condition 1 Governance
The RTO’s chief executive must ensure that the RTO complies with the AQTF Essential Conditions and Standards for
Continuing Registration and any national guidelines approved by the National Quality Council or its successors. This
applies to all of the operations within the RTO’s scope of registration, as listed on the National Training Information
Service.

The RTO’s senior officers and directors or substantial shareholders who are in a position to influence the management
of the organisation must satisfy fit and proper person requirements unless these requirements have already been met
through other legislative provisions.

The RTO must also explicitly demonstrate how it ensures the decision making of senior management is informed by the
experiences of its trainers and assessors.

Condition 2 Interactions with the registering body
The RTO’s chief executive must ensure that the RTO cooperates with its registering body:
      in the conduct of audits and monitoring of its operations
      by providing accurate and timely data relevant to measures of its performance
      by providing information about significant changes to its operations
      by providing information about significant changes to its ownership
      in the retention, archiving, retrieval and transfer of records consistent with its registering body’s requirements
      by providing a statement of its financial viability, an annual report, and/or a business plan on request of the
       registering body.

Condition 3 Compliance with legislation
The RTO must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements that are
relevant to its operations and its scope of registration. It must ensure that its staff and clients are fully informed of
requirements that affect their duties or participation in vocational education and training.

Condition 4 Insurance
The RTO must hold insurance for public liability throughout its registration period.

Condition 5 Financial management
The RTO must be able to demonstrate to its registering body, on request, that it is financially viable at all times during
the period of its registration. The RTO must provide the following fee information to each client:



Version 3 RTO1 Initial Registration Application, June 2011                                                Page 12 of 16
        the total amount of all fees including course fees, administration fees, materials fees and any other charges
        payment terms, including the timing and amount of fees to be paid and any non-refundable
         deposit/administration fee
        the nature of the guarantee given by the RTO to complete the training and/or assessment once the student
         has commenced study in their chosen qualification or course
        the fees and charges for additional services, including such items as issuance of a replacement qualification
         testamur and the options available to students who are deemed not yet competent on completion of training
         and assessment, and
        the organisation’s refund policy

Where the RTO collects student fees in advance it must ensure it complies with one of the following acceptable
        1
options:

        (Option 1) – the RTO is administered by a state, territory or commonwealth government agency, or
        (Option 2) – the RTO holds current membership of an approved Tuition Assurance Scheme, or
        (Option 3) – the RTO may not accept payment of any more than $1000 from each individual student prior to
         the commencement of the course. Following course commencement, the RTO may require payment of
         additional fees in advance from the student but only such that at any given time, the total amount required to
         be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed
         $1,500, or
        (Option 4) – the RTO holds an unconditional financial guarantee from a bank operating in Australia for no less
         than the full amount of funds held by the RTO which are prepayments from students (or future students) for
         tuition to be provided by the RTO to those students, or
        (Option 5) – the RTO will have alternative fee protection measures of equal rigour approved by the registering
         body.

The RTO must have its accounts certified by a qualified Accountant to Australian Accounting Standards at least
annually, and provide the certificate to its registering body on request. If the registering body reasonably deems it
necessary, the chief executive must provide a full audit report on the RTO’s financial accounts from a qualified and
independent accountant.

Condition 6 Certification and issuing of qualifications and statements of attainment
The RTO must issue to persons whom it has assessed as competent in accordance with the requirements of the
Training Package or accredited course, a qualification or statement of attainment (as appropriate) that:
        meets the Australian Qualifications Framework (AQF) requirements
        identifies the RTO by its national provider number from the National Training Information Service
        includes the Nationally Recognised Training (NRT) logo in accordance with the current conditions of service.

The RTO must retain client records of attainment of units of competency and qualifications for a period of thirty years.

The RTO must have a student records management system in place that has the capacity to provide the registering
                                   2
body with AVETMISS compliant data.

The RTO must provide returns of its client records of attainment of units of competence and qualifications to its
registering body on a regular basis, as determined by the registering body.
                                                                                                 3
The RTO must meet the requirements for implementation of a national unique student identifier.


Condition 7 Recognition of qualifications issued by other RTOs
The RTO must recognise the AQF qualifications and Statements of Attainment issued by any other RTO.




1
  The date of operation for compliance with these requirements under AQTF is 1 July 2011. However, the
requirements to protect student fees paid in advance specified in the Guidelines for RTOs registered under the
Training and Skills Development Act 2008 is current and remains in force.
2




Version 3 RTO1 Initial Registration Application, June 2011                                               Page 13 of 16
Condition 8 Accuracy and integrity of marketing
The RTO must ensure that its marketing and advertising of AQF qualifications to prospective clients is ethical, accurate
and consistent with its scope of registration. The NRT logo must be employed only in accordance with its conditions of
use.

Condition 9 Transition to Training Packages/expiry of accredited courses
The RTO must manage the transition from superseded Training Packages within 12 months of their publication on the
National Training Information Service. The RTO must also manage the transition from superseded accredited courses
so that it delivers only currently endorsed Training Packages or currently accredited courses.


I understand that the Department of Further Education, Employment, Science and Technology
(DFEEST), acting under the authority of the South Australian Training and Skills Commission, may share
information about this application and this organisation with other state and territory registering bodies and
with other relevant agencies in accordance with the provisions of the Training and Skills Development Act,
2008 and the AQTF Standards for State and Territory Registering Bodies and other AQTF Guidelines.

I also understand that this application may be refused if the organisation:
      fails to provide true and correct information of a material nature in this application; or
      fails to fulfil the undertakings made in this declaration.




      Chief executive’s signature: _________________________                Date: __________________


      Print name: ________________________________________________________________


      Witnessed by:

      Name (Please print): _________________________________________________________

      Position title:   ______________________________________________________________

      Organisation: ______________________________________________________________

      Signature: _______________________________________                    Date: ___________________




Version 3 RTO1 Initial Registration Application, June 2011                                              Page 14 of 16
SECTION 7 – STATUTORY DECLARATION - TO BE COMPLETED BY HAND



Made under the Oaths Act 1936 (SA)1


2
I,                     , do solemnly and sincerely declare that the information I have provided in this
application is true and accurate and I make this solemn declaration conscientiously believing the same to
be true, and by virtue of the provisions of the Oaths Act (SA) 1936.


                                   3
Signed



Declared at                                the          day of        (month)              (year)


                                       4
Before me,


                                       5




________________________________

1
    A person who wilfully makes a false declaration is guilty of an offence punishable by imprisonment.
2
    Here print the name, address and occupation of person making the declaration.
3
    Signature of person making the declaration.
4
    Signature of person before whom the declaration is made.
5
    Here insert title of person before whom the declaration is made (Justice of the Peace, notary public,
    Commissioner for taking affidavits in the Supreme Court, proclaimed member of the police force of the
    State).
________________________________




Version 3 RTO1 Initial Registration Application, June 2011                                   Page 15 of 16
SECTION 8– EVIDENCE TO ATTACH WITH THIS APPLICATION


SEE GUIDE A FOR MORE INFORMATION

Please ensure all relevant sections of this application form have been completed prior to submitting your
application. You are also required to submit the following evidence along with your application:
1.    A self-assessment report, detailing against each standard and element, the evidence of your
     organisation’s compliance with the AQTF Essential Conditions and Standards for Initial Registration.

2.    A National Police Certificate issued within the last 3 months for the Chief Executive / Principal
     Officer. Either the original or a copy which has been certified by a Justice of the Peace, notary public,
     Commissioner for taking affidavits in the Supreme Court, or proclaimed member of the police force of
     the State. The National Police certificate must be issued by your local police service or by seeking a
     National Criminal History Check as an individual through CrimTrac at www.crimtrac.gov.au

3.   Application fee must be in the form of a cheque payable to DFEEST. Refer to Schedule of Fees for
     Recognition Services in SA www.training.sa.gov.au

4.   A Business Plan, including, but not limited to:
        a. evidence of market research and budget projections
        b. financial projections for the first two years of operation
        c. appropriate consideration as of financial resources
        d. staffing and assets required to deliver the plan
        e. a comprehensive risk plan and appropriate mitigation strategies and appropriate governance
            structure with clear and transparent roles and accountabilities.

5.    A statement by an independent qualified accountant on the whether the assumptions made in
     preparing the financial projections are reasonable. This statement must have regard to the Australian
     Audit and Assurance Standards: AUS804 - The Audit of Prospective Financial Information and
     ASAE3000 - Assurance Engagements Other than Audits or Reviews of Historical Financial
     Information (Refer to Guide A for an example of an Independent Limited Assurance Report.)

6.    Certificate of Occupancy for the organisation’s premises from which training and assessment will be
     delivered

7.   A copy of your Certificate of Corporation. If your organisation has a trading name, a Certificate of
     Registration of a Business Name is also required.

If you answered yes to any questions in 4.3 – 4.7, provide the appropriate evidence to answer these
questions as outlined in Guide A.

Once your application has been received and assigned to a Lead Auditor, you will be asked to forward a
completed Special Purpose Financial Report (SPFR), which is available to download from
www.training.sa.gov.au (Forms and Templates – Vocational Education and Training). The SPFR provides
an assessment of the financial health of the applicant. This information will be taken into account in
assessing risks associated with the applicant, which in turn may impact on decisions about the scope and
registration period for the applicant. It is recommended you download and complete the form at the time of
preparing your application and business plan so that it may be provided without delay when requested by
the Lead Auditor.

Important note: On receipt, your application will be checked for completeness. If the application is
incomplete or the required evidence is not attached to your application, it will be held over
pending receipt of all relevant information.

Applications for registration will be assessed by a Lead Auditor and an audit team. The Lead
Auditor will contact you and advise you of the assessment process and further evidence you will
be required to provide.




Version 3 RTO1 Initial Registration Application, June 2011                                      Page 16 of 16

				
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