WORK INSTRUCTION 1: DOCUMENT CONTROL

AUSTRALIAN ULTIMATE TRAINING COLLEGE PTY LTD

Suite 201, 11 Spring Street, Chatswood NSW 2067

Policy and Procedures Manual

Work Instruction 1

Document Control

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WORK INSTRUCTION 1: DOCUMENT CONTROL

TABLE OF CONTENTS

TABLE OF CONTENTS............................................................................................................2
DOCUMENT CONTROL POLICY.............................................................................................3
0. DEFINITIONS....................................................................................................................3
1. PURPOSE..........................................................................................................................3
2. RESPONSIBILITIES..........................................................................................................4
3. CONTROL OF DOCUMENTS............................................................................................4
5. STUDENT LEARNING MATERIALS.................................................................................5
6. DOCUMENT INITIATION, REVIEW AND AMENDMENTS..............................................5
7. FORMS..............................................................................................................................6
8. EXTERNAL DOCUMENTS................................................................................................7
9. BACKUP OF CONTROLLED DOCUMENTS......................................................................7

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DOCUMENT CONTROL POLICY

Documents generated internally or externally and considered integral

to our operations are ‘controlled’ to demonstrate who has a copy and
the date of the current issue. They are listed on the register of
controlled documents and the external controlled documents register.

All controlled documents are stored on the file server; all other
documents are uncontrolled.

Controlled documents become uncontrolled 2 days after the

document has been printed.

Management system documents are made available by the Director

in the workplace to allow easy access by those who need to know the
information contained.

0. DEFINITIONS
Controlled document – the document is subject to revision and re-issue periodically with
the master copy found on the file server. They are identifiable by an issue date.

Document – any uncontrolled document

External documents – those documents created by external entities that directly impact on
day-to-day operation of Australian Ultimate Training College Pty Ltd.
Internal documents – documents created by external entities that directly impact on day-to-
day operation of Australian Ultimate Training College Pty Ltd.
Issue date – the date on which the document is revised and returned to the workplace
Issue history – a record of the history of revisions and re-issue of a document
Form – a controlled document which is referenced to policy and work instructions
Full date backup – a defined set of data files that are backed up according to a specified
schedule

1. PURPOSE

1.1 This work instruction ensures that all essential documents are reviewed at least
annually and approved for release by the Director. Through immediate replacement
of obsolete documents only the current versions of documents will be in circulation.

1.2 This work instruction covers the control and distribution of all internally generated
documentation within Australian Ultimate Training College Pty Ltd. The following
internal documents are classed as controlled and are retained as a soft copy on the
file server:

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(a) Code of Practice

(b) Policy and Procedures Manual
(c) Work Instructions
(d) Staff Handbook
(e) Student Handbook
(f) Forms
(g) Training and assessment materials
(e) Advertising and marketing materials.

1.3 External controlled documents are listed on the External Controlled Documents
Register (Form 25) and these are kept up to date and reviewed as necessary by the
Director. This information is updated with staff as necessary. External documents
include:
(a) Standards for Registered Training Organisations (RTOs) 2015 (the Standards)
(b) BSB Business Services Training Package
(c) Industry-approved assessment tools.

2. RESPONSIBILITIES

2.1 The Director has the overall responsibility for the formal approval, distribution and
ongoing management of all documentation used within Australian Ultimate Training
College Pty Ltd.

2.2 The Director has the responsibility to ensure that newly approved documents are
posted onto the file server and added to the document index.

2.3 Documents are not distributed as such but are available for use or reference as
required. Controlled copies may also be displayed on the website for Australian
Ultimate Training College Pty Ltd. The website is the responsibility of the Director.

2.4 The Director is responsible for the posting of newly approved assessment material
and courseware to the server.

3. CONTROL OF DOCUMENTS

3.1 The master copy and therefore current version of all controlled documents is that
version posted in the management system folder of the local area network. This is
available to all staff and, if required, to students.

3.2 Hard copies of documents are not made available unless requested. Hard copy
documents are not considered to be current 2 days after printing. Policy work
instruction manual documents stipulate the issue date of the document in the footer.

3.3 The version date of the current Policy and Procedures Manual documents is in the
Table of Contents in the Introduction.

3.4 The version date of the current forms is in the Forms Index (Form 00).

3.5 All forms and their appropriate use are referenced in the Policy and Procedures
Manual.

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4. POLICIES AND PROCEDURES MANUAL

4.1 Policies define the corporate intent to comply with the required Standards while work
instructions document how the organisation meets those Standards.

4.2 The staff and student handbooks provide information to staff and students respectively
on the policy, procedures and work instructions and how the organisation complies
with the Standards.

4.3 Forms demonstrate the need to record critical points of information within the
management system and records are the completed forms.

5. STUDENT LEARNING MATERIALS

5.1 All learning materials available are listed on the Register of Learning and Assessment
Materials (Form 26) and are subject to version control.

5.2 Each component of the learning materials, assessment tools and marketing guide will
contain written instructions on how any given activity is to be taught or carried out and
the records required.

5.3 These materials will be mapped to demonstrate that they meet the performance
criteria and elements of competencies outlined in the BSB Business Services Training
Package.

5.4 Further information on the preparation and customisation of learning and assessment
materials is available in Policy and Procedures Manual: Section 4 – Learning and
Assessment.

5.5 Where hard copies of learning or assessment materials have been purchased from a
commercial source, a master copy shall be retained and marked as the ‘master copy’.
The version date shall be the date the document was formally approved for use within
Australian Ultimate Training College Pty Ltd.

5.6 The current version of learning materials is given to current students, to ensure
students receive quality training.

6. DOCUMENT INITIATION, REVIEW AND AMENDMENTS

6.1 Documents and document amendments may be suggested by any member of staff.
The proposal may be submitted using a marked up copy of an existing policy, work
instruction or form, a handwritten or computer-generated proposal or by completing an
Improvement Request (Form 18) and working through the continuous improvement
process defined in Section 6 of this policies and procedures manual.

6.2 Alternatively, suggestions for changes may be proposed verbally and the
Administration Manager will oversee the creation of a working draft.

6.3 Each draft document or amendment is discussed with the originator by the
Administration Manager.

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6.4 The proposed changes or new document is presented and discussed with the
Administration Manager with an Improvement Request (Form 18) attached. The final
draft of the document is agreed between the originator and the Administration
Manager.

6.5 The final draft of the document is formally approved by the Director by signing the
Improvement Request (Form 18).

6.6 The newly approved document is posted to the relevant section of the management
system and a hard (uncontrolled) copy is to be issued if necessary. The management
system folder is classed as the master copy, which is available to all staff and, if
required, to students.

6.7 The issue date of the new documents noted as the current version in the appropriate
register. The registers are:

Documents Location
Policies and Procedures & Work Table of contents in Policy and Procedure Manual –
Instructions Introduction
Forms Forms Index (Form 00)
Assessment tools Register of Learning and Assessment Materials
(Form 26)
Learning materials Register of Learning and Assessment Materials
(Form 26)
External documents Register of External Documents (Form 25)

6.8 Only the Director has the authority to change the documents contained in the
management system folder and will advise all staff that there has been a change by
email. Hard copies of revised documents are not issued unless requested.

6.9 Amendments may be manually inserted into a printed document provided the manual
adjustment is initialled and dated in the margin by the Director for procedural and
policy changes. The maximum number of manual adjustments will not exceed 5 per
section of the manual.

6.10 Where amendments are made to the Policy and Procedures Manual, the change is
recorded in the issue history of the relevant documents either in the history box or
using the versions function of Microsoft Word.

6.11 Amendments to forms are recorded by changing the issue date of the form and
updating the Forms Index (Form 00) accordingly. The Forms Index is signed off by
the Director as evidence of approval.

6.12 A soft copy of all superseded documents is moved to the ‘00 Archive’ subdirectory.

7. FORMS
7.1 Forms are introduced on an ‘as needed’ basis to record that a particular control point
has been recognised and attained. Once a form has been filled out it becomes a
record.

7.2 Each form will have a form number, the number of pages making up the form and date
of issue.

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7.3 The list of forms in the Forms Index (Form 00) is updated each time a new form is
added. Forms will be raised, reviewed and approved by the Director.

7.4 Forms are printed on an ‘as needed’ basis.

7.5 Superseded forms are removed from the Forms subdirectory and stored in the 00
Archive directory.

8. EXTERNAL DOCUMENTS
8.1 External documents are those documents created by external entities that directly
impact on day-to-day operations.

8.2 All external documents are listed on the Register of External Documents (Form 25).

8.3 The Director has the authority and responsibility to manage all external documents.
Updates are communicated by the Director to those members of staff who should be
informed, by email or other written means where appropriate.

8.4 Appropriate Commonwealth and state legislation, regulations and Codes of Practice
will be stored in a folder called ‘External Documents’ in the management system on
the server at the instruction of the Director and reviewed annually.

8.5 External documents are available electronically for all staff who need access to them.

8.6 Commonwealth and state legislation and regulations may be accessed through the
following link: www.austlii.edu.au.

9. BACKUP OF CONTROLLED DOCUMENTS

9.1 We are aware of the commercial risks and dangers involved with the loss of stored
electronic data on computer systems. These risks and dangers can include fire,
computer problems such as hard disk failure, theft and electrical outages.

9.2 To ensure the continuing operation of the business in the event of interruption to
normal operations, all data files are backed up.

9.3 The Director is responsible for ensuring that a backup is conducted and that the
backup will allow for either full or partial data recovery if required.

9.4 The Director will ensure that backup data is stored in a secure location off campus.

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