QUALITY & COMPLIANCE MANUAL

Transcription

1 QUALITY & COMPLIANCE MANUAL AUG 2016 V 6.4 Plicies and Prcedures Manual RTO Name: CMS Training Phne: Website: inf@cmstraining.cm.au h"p:// Pstal Address: Suite 1, 875 Glen Huntly Rad Suth Caulfield VIC 3162 RTO ID: ABN:

2 CMS Training Quality & Cmpliance Manual Quality & Cmpliance Manual Plicies and Prcedures Manual Cpyright Vivacity Caching and Cnsulting 2016 This wrk is cpyright. Apart frm any use as permitted under the Cpyright Act 1967, n part may be reprduced by any prcess withut prir written permissin (Licence) frm Vivacity Caching and Cnsulting. Requests and enquiries shuld be addressed t Vivacity, thrugh the fllwing pints f cntact: enquirenw@vivacitycaching.cm.au Web: Acknwledgements Where cntent fr this publicatin has been surced frm an acknwledged cpyright wner, a reference has been inserted. This manual has been written in line with the guidance prvided in the Users Guide: Standards fr Registered Training Organisatins (RTOs) 2015, versin 1.1 dated 10 December 2014, published by the Australian Gvernment under the Australian Skills Quality Authrity. Please nte: As the Licence, disclaimer, claim t cpyright, acknwledgements (all f this frnt matter) is issued in a separate certified dcument, there is n need t retain this infrmatin in the frnt f yur plicies and prcedures. Yu need t custmise this dcument t be a representatin f yur rganisatin. END USER LICENCE Licensee: CMS Training Date Issued: 15 August 2016 Date Expires: Territry: Fr the dura+n f subsistence f cpyright Everywhere The licensee is entitled t print, cpy r amend this publicatin t aid the implementatin and applicatin f this publicatin. The licensee is nt entitled t distribute r cmmunicate this material, except where such cmmunicatin ccurs in the cntext f infrming specified third parties f the licensee s peratins, plicies and prcedures. Material distributed fr these purpsed must be in an unamendable frmat (such as lcked PDF). The licensee is nt entitled t cmmunicate r publish the material ver the Internet r in an unrestricted public dmain where it is likely t be freely distributed and cpied. The licensee is nt entitled t distribute r cmmunicate this material either as a prduct r a service. The licensee is nt entitled t charge a fee fr distributin r cmmunicatin f this material. This licensee must take all care t prevent the distributin f this publicatin t ther parties wh may nt respect the requirements f this licence r the cpyright. This license des nt extend t any subsidiaries, ventures r parent rganisatins f the licensee. The licensee s warrants that they are entitled t grant licence and that a licensee s exercise f the licence will nt infringe third party rights. Page 1 f 162 SEP16 Quality & Cmpliance P&P-v6.4

3 Quality & Cmpliance Manual Disclaimer Vivacity RTO Caching and Cnsulting makes this material available n the understanding that users exercise their wn skills and care with respect t its use. Befre relying n the material in any imprtant matter, users shuld carefully evaluate the accuracy, cmpleteness and relevance f the infrmatin fr their purpses and shuld btain apprpriate prfessinal advice relevant t their particular circumstances. The material within this publicatin may include views f Vivacity r indicate its cmmitment t a particular curse f actin. Links t ther publicatins have been inserted fr cnvenience and d nt cnstitute endrsement f material within thse publicatins r any assciated rganisatin, prduct r service. These external infrmatin surces are utside ur cntrl. It is the respnsibility f users t make their wn decisins abut the accuracy, currency and reliability f the infrmatin at thse sites. By accessing infrmatin thrugh this publicatin the licensee waives and releases Vivacity RTO Caching and Cnsulting t the full extent permitted by law frm any and all claims relating t the usage f the material made available thrugh this publicatin. In n circumstances shall Vivacity RTO Caching and Cnsulting be liable fr any incident r cnsequential damages resulting frm the use f this material. Imprvements Vivacity is cnstantly imprving and develping its Cntinuus Imprvement System t meet clients needs. If yu have any prpsed amendments r suggested imprvements, please us at: enquirenw@vivacitycaching.cm.au Quality & Cmpliance P&P-v6.03 AUG16 Page 2 f 162

4 CMS Training Quality & Cmpliance Manual VERSION CONTROL Title: Authr: Quality and Cmpliance Manual Vivacity Caching and Cnsul2ng Pty Ltd Versin Number: 6.4 Date f Apprval: 5 September 2016 Next Review Date: 1 January 2017 Cverage: RTO Opera)ns Vivacity RTO Caching and Cnsul5ng File Lca*n: SUMMARY OF CHANGES September 2016 Minr changes t Standards 5.3 and 5.4 August 2016 May 2016 April 2015 February 2015 Additin t Standard 8.4, t include the new requirements n Annual Declaratin f Cmpliance. Review and update f all hyperlinks Versin 5.3 Full revisin, update links & standards. Versin 5.1 Full revisin f the Standards against the ASQA Audit Tl Versin Full revisin fr the new Standards fr Registered Training Organisatins (RTOs) 2015, released 1 January 2015 Where in this manual there is a (T), (S) r (T&S) referenced, it means the fllwing: (T) (S) (T&S) This plicy and prcedure is als in the Trainers Handbk This plicy and prcedure is als in the Student Handbk This plicy and prcedure is in bth the Trainers and Student s Handbk Page 3 f 162 SEP16 Quality & Cmpliance P&P-v6.4

5 Quality & Cmpliance Manual Table f Cntents Methdlgy and Purpse f Manual... 8 Opera&ng Systems... 9 Glssary Cde f Cnduct (T&S) Cn$nuus Imprvement Cycle DPR4 Student recrds management system What is AVETMISS? AVETMISS - Data cllec)n and repr)ng Hw t submit AVETMISS cmpliant data Exemp&ns DPR 6 Cllec&n f data against quality indicatrs Quality Indicatr (QI) Repr4ng QI Repr)ng Prcedure Standard 1 The RTO s training and assessment strategies and prac5ces are respnsive t industry and learner needs and meet the requirements f training packages and VET accredited curses Implement a cmprehensive training and assessment strategy ( ) Training and Assessment Strategy (T) Training and Assessment Strategy Develpment (T) Staff, Facili+es, Resurces and Equipment (T) Staff Matrix (T) Industry Relevance (Clauses ) Industry Engagement Strategies (T) Trainers Currency (T) Training Evalua,ns Frms (T&S) Learner Supprt (Clause 1.7) Target Grup Needs (T) Iden%fy Client Needs (T) Assessing the Students Suitability 1.7 (T) Language, Literacy and Numeracy (LLN) (T&S) Training Needs Analysis Mnitring the Effec.veness f Services Supprt Services (T&S) Training Adjustment Plan (T) Assessment (Clauses ) Assessment (T) Training and Assessment Plans (T) Principles f Assessment and the Rules f Evidence (T&S) Chea%ng and Plagiarism (T&S) Assessment Valida-n Plan (T) Recgni(n f Prir Learning (RPL) (T&S) Wrk Placement (S) Mnitring Traineeship Supervisin Traineeship Assessment Visits Trainers and Assessrs (Clauses ) Trainers Qualifica.ns and Experience (T) Trainer and Assessr Respnsibili0es (T) 1.13 and Recruitment Prcess Quality & Cmpliance P&P-v6.03 AUG16 Page 4 f 162

6 CMS Training Quality & Cmpliance Manual Recrds Management Staff Files Perfrmance Review (T) Prfessinal Develpment (T) Individuals wrking under the supervisin f a trainer (Clauses ) Trainers and Assessrs under Supervisin Wrkplace Supervisrs Respnsibili3es Delivery f the training and assessment qualifica7ns fr trainers and assessrs (Clauses ) TAE Trainers Qualifica0ns (T) Independent valida,n f training and assessment qualifica,ns (1.25) Independent Valida,n f TAE qualifica,ns r Assessr skill set Transi'n f training prducts (Clauses ) Training Prduct Transi+n (T) Standard 2 The Opera)ns f the RTO are quality assured Implement Quality Assurance Strategies ( ) Systema(c mnitring f Training and Assessment Strategies Cn$nuus Imprvement Strategy Quality and Cmpliance Mee2ngs (Q&C) Cn$nuus Imprvement Cycle (T) Opprtunity fr Imprvement (T&S) Annual Internal Audits Recrds required fr Audit Trainers Reprt (T) Cnsulta)n with Trainers and Assessrs (T) Mnitr independent Third Par/es (Clauses ) Third Party Arrangement Marke&ng Third Par)es Mnitring f Third Party Arrangements Third Party Trainers and Assessrs Standard 3 The RTO issues, maintains and accepts AQF cer2fica2n dcumenta2n in accrdance with these Standards and prvides access t learner recrds Prvide secure cer,fica"n ( ) Cer$fica$n (T&S) Issuing AQF Qualifica(ns Issuing Statements f A0ainment Prcess fr Issuing Cer/ficates/Statements f A7ainment Lgs n Cer*fica*n 3.1 and Using AQF cpyright materials NRT Lg Cer$ficate Register Recrds Management Paper Based (T) Access t Recrds (S) Recrds Management Electrnic (T) Versin Cntrl Assessment Verifica.n (T) Archiving Prcedure Prvide credit fr prir studies (3.5) Credit Transfer (T&S) Student Iden)fier Scheme (3.6) Page 5 f 162 SEP16 Quality & Cmpliance P&P-v6.4

7 Quality & Cmpliance Manual Unique Student Iden,fier (S) Standard 4 Accurate and accessible infrma2n abut an RTO, its services and perfrmance is available t infrm prspec,ve and current learners and clients Prvide accurate infrma0n t learners abut services and qualifica0ns (4.1) Adver&sing and Marke&ng Curse Flyers and Marke0ng Material Organisa(nal Prfile Student Handbk Student Induc*n (T&S) Websites NRT Lg - Cndi&ns f Use AQF lg Cndi&ns f use Standard 5 Each learner is prperly infrmed and prtected Infrm and Prtect Learners ( ) Infrm and Prtect Learners Curse Flyer Student Respnsibili/es (S) Enrlment Agreement Frm (T&S) Enrlment and Selec.n (S) Infrma(n Sessin Enrlment & Selec-n (S) Curse Fees, Payments, Refunds and Cer3fica3n 5.3 (S) Cnsumer Guarantee (S) Changes t Agreed Services 5.4 (S) Standard 6 Cmplaints and appeals are recrded, acknwledge and dealt with fairly, efficiently and effec$vely Manage cmplaints and appeals ( ) Cmplaints Plicy (T&S) Assessment Appeals Plicy (T&S) Standard 7 The RTO has effec+ve gvernance and administra+n arrangements in place Ensure authrised execu0ve fficers are in place (7.1) and assess Financial Viability Risk (7.2) Execu&ve Officer r High Managerial Agent s Respnsibili&es Fit and Prper Persn Requirements Financial Viability Risk Assessment Requirements Financial Viability Prtect prepaid fees by learners (7.3) Fee Prtec)n Plicy (S) Hld Public Liability Insurance (7.4) Insurance (S) Prvide accurate infrma0n abut perfrmance and gvernance (7.5) AVETMISS Repr.ng Quality Indicatr Repr2ng Exemp&ns Standard 8 The RTO cperates with the VET Regulatr and is legally cmpliant at all #mes Prvide requested infrma1n t ASQA (8.1 & 8.2) N#fy ASQA regarding Third Party Agreements (8.3) N#fy ASQA f Third Party Arrangements Quality & Cmpliance P&P-v6.03 AUG16 Page 6 f 162

8 CMS Training Quality & Cmpliance Manual Make an annual declara,n n cmpliance with the Standards (8.4) Annual Internal Audits Annual Declara+n Cmply with all relevant legal requirements (8.5 and 8.6) Legisla(ve and Regulatry Requirements (T&S) Statutry Educa!n Licence Standards fr Registered Training Organisa1ns 2015 (T) Na#nal Vca#nal Educa#n and Training Regulatr Act 2011 (T&S) Australian Qualifica.ns Framewrk (AQF) (T) Fit and Prper Persn Requirements (T) Financial Viability Risk Assessment Requirements (T) Data Prvisin Requirements 2012 (T) Privacy Prtec,n Act 2012 & Privacy Act Wrkplace Health and Safety Act 2011 (T&S) WHS Incident Reprt (T&S) Hazard Iden*fica*n (T&S) Emergency Prcedures (T&S) Evacua&n Prcedure (T&S) Risk Management fr Excursins An#-Discrimina)n Act 1977 (T&S) Sexual Harassment Act 1984 (T&S) Harassment Act 1997 (T&S) An#-Bullying (T&S) AFP Na'nal Plice Check (T&S) Cpyright Act 1968 (T&S) Wrking with Children Check (T) Child Prtec-n (Wrking with Children) Regula1n 2013 (T) Changes in Legisla,n Induc&n Prcess - Legisla(n Page 7 f 162 SEP16 Quality & Cmpliance P&P-v6.4

9 Quality & Cmpliance Manual METHODOLOGY AND PURPOSE OF MANUAL This Quality & Cmpliance Plicies and Prcedures Manual has been written against the requirements f the VET Quality Framewrk, which includes:! the Standards fr Registered Training Organisatins (RTOs) 2015! the Australian Qualificatins Framewrk! the Fit and Prper Persn Requirements 2011! the Financial Viability Risk Assessment Requirements 2011! the Data Prvisin Requirements 2012 Each f the requirements within the legislatin has been addressed with plicies and prcedures, which has been develped against the requirements f the regulatry bdy, as well as taking int cnsideratin hw the rganisatin perates as a Registered Training Organisatin. STRUCTURE OF MANUAL Heading Strategy Plicy and Prcedure/s Evidence Cntinuus Imprvement Respnsibility The Clause within the Standard, as per the Standards fr Registered Training Organisatins (RTOs) 2015 The rganisatins strategic plan t achieve cmpliance against the clause within the Standard The prcess fr implementing the strategy t achieve cmpliance against the Clause, being a plicy r prcedure r bth, which is applicable t staff and/r students The frms and dcumentatin that are related t the plicies and prcedures. The evidence can als be used during an audit t supprt hw the RTO has implemented the Plicy and Prcedure. When the Plicy and Prcedure fr this Clause will be reviewed, accrding t the Cntinuus Imprvement Cycle n a mnthly basis. The title f the persn respnsible fr ensuring cmpliance against the Plicy and Prcedure The plicies and prcedures frm this manual, that are relevant t the RTO s clients/students, are als included in the Student Handbk. The plicies and prcedures frm this manual, that are relevant fr trainers, are als included in the Trainers Handbk. DISTRIBUTION OF MANUALS Administratin and Management Staff! Quality & Cmpliance Manual! Trainers Handbk! Student Handbk Trainer and Assessr Staff! Trainers Handbk! Student Handbk Clients and Students! Student Handbk Quality & Cmpliance P&P-v6.03 AUG16 Page 8 f 162

10 CMS Training Quality & Cmpliance Manual OPERATING SYSTEMS Type f System Name Cmmencement Expiry Date Student Management Accunting VetTrak MYOB Page 9 f 162 SEP16 Quality & Cmpliance P&P-v6.4

11 GLOSSARY Quality & Cmpliance Manual The fllwing glssary defines certain wrds and expressins which have specific meaning in the standards, as utlined in the Standards fr Registered Training Organisatins In these Standards the fllwing terminlgy is used, unless the cntrary intentin appears: Access and equity means plicies and appraches aimed at ensuring that VET is respnsive t the individual needs f clients whse age, gender, cultural r ethnic backgrund, disability, sexuality, language skills, literacy r numeracy level, unemplyment, imprisnment r remte lcatin may present a barrier t access, participatin and the achievement f suitable utcmes. Accredited shrt curse means a curse accredited by the VET Regulatr in accrdance with the Standards fr VET Accredited Curses that leads t an AQF statement f attainment. AQF certificatin dcumentatin is the set f fficial dcuments that cnfirms that an AQF qualificatin r statement f attainment has been issued t an individual. AQF qualificatin means an AQF qualificatin type endrsed in a training package r accredited in a VET accredited curse. Assessment means the prcess f cllecting evidence and making judgements n whether cmpetency has been achieved, t cnfirm that an individual can perfrm t the standard required in the wrkplace, as specified in training prduct r VET accredited curse. Assessment system is a crdinated set f dcumented plicies and prcedures (including assessment materials and tls) that ensure assessments are cnsistent and are based n the Principles f Assessment cntained in Table and the Rules f Evidence cntained in Table Assessrs are persns wh assess a learner s cmpetence in accrdance with Clauses 1.13 t 1.16 Audit means an audit r cmpliance audit undertaken by the VET Regulatr. Australian Qualificatins Framewrk (AQF) means the framewrk fr regulated qualificatins in the Australian educatin and training system, as agreed by the Cmmnwealth, State and Territry ministerial cuncil with respnsibility fr higher educatin. Authenticated VET transcript has the meaning given in the Student Identifiers Act Client means a learner, enterprise r rganisatin that uses r purchases the services prvided by an RTO. Cde means the unique identifier fr units f cmpetency, skill sets, VET accredited curses, mdules, AQF qualificatins r Training Packages as required by the Standards fr Training Packages and Standards fr VET Accredited Curses. Cmpetency means the cnsistent applicatin f knwledge and skill t the standard f perfrmance required in the wrkplace. It embdies the ability t transfer and apply skills and knwledge t new situatins and envirnments. Current industry skills are the knwledge, skills and experience required by VET trainers and assessrs and thse wh prvide training and assessment under supervisin t ensure that their training and assessment is based n current industry practices and meets the needs f industry. Current industry skills may be infrmed by cnsultatins with industry and may include, but is nt limited t: a) having knwledge f and/r experience using the latest techniques and prcesses; b) pssessing a high level f prduct knwledge; c) understanding and knwledge f legislatin relevant t the industry and t emplyment and wrkplaces; d) being custmer/client-riented; e) pssessing frmal industry and training qualificatins; and f) training cntent that reflects current industry practice. Data Prvisin Requirements are the requirements fr data prvisin as agreed by the Industry and Skills Cuncil and implemented by the VET Regulatr as required by its gverning legislatin. Quality & Cmpliance P&P-v6.03 AUG16 Page 10 f 162

12 CMS Training Quality & Cmpliance Manual Educatinal and supprt services may include, but are nt limited t: a) pre-enrlment materials; b) study supprt and study skills prgrams; c) language, literacy and numeracy (LLN) prgrams r referrals t these prgrams; d) equipment, resurces and/r prgrams t increase access fr learners with disabilities and ther learners in accrdance with access and equity; e) learning resurce centres; f) mediatin services r referrals t these services; g) flexible scheduling and delivery f training and assessment; h) cunselling services r referrals t these services; i) infrmatin and cmmunicatins technlgy (ICT) supprt; j) learning materials in alternative frmats, fr example, in large print; k) learning and assessment prgrams cntextualised t the wrkplace; and l) any ther services that the RTO cnsiders necessary t supprt learners t achieve cmpetency. Executive fficer means: a) a persn, by whatever name called and whether r nt a directr f the rganisatin, wh is cncerned in r takes part in the management f the RTO; r b) an administratr, receiver and manager, r liquidatr f the rganisatin (ther than a receiver and manager, r liquidatr, appinted by a curt); r c) if the RTO is a bdy crprate: (i) a persn wh, at any time during a perid fr which the rganisatin is registered, wns 15% r mre f the rganisatin; r (ii) a persn wh, at any time during a perid fr which the rganisatin is registered, is entitled t receive 15% r mre f dividends paid by the rganisatin; r (iii) the administratr f a deed f cmpany arrangement executed by an rganisatin; r (iv) a trustee r ther persn administering a cmprmise r arrangement made between the rganisatin and anther persn r ther persns. Financial Viability Risk Assessment Requirements means the requirements made under sectin 158 f the Natinal Vcatinal Educatin and Training Regulatr Act 2011 r equivalent requirements made r adpted by the VET Regulatr f a nn-referring State as the case requires. Gvernment entity means: a) a Department f State f the Cmmnwealth; r b) a Department f the Parliament established under the Parliamentary Service Act 1999 f the Cmmnwealth; c) an Executive Agency, r Statutry Agency, within the meaning f the Public Service Act 1999 f the Cmmnwealth; d) a Department f State f a State r Territry; r e) an rganisatin that: f) is nt an entity; and g) is either established by the Cmmnwealth, a State r a Territry (whether under a law r nt) t carry n an enterprise r established fr a public purpse by an Australian law; and h) can be separately identified by reference t the nature f the activities carried n thrugh the rganisatin r the lcatin f the rganisatin whether r nt the rganisatin is part f a department r branch described in paragraph (a), (b), (c) r (d) r f anther rganisatin f the kind described in this paragraph. Page 11 f 162 SEP16 Quality & Cmpliance P&P-v6.4

13 Quality & Cmpliance Manual High managerial agent means an emplyee r agent f the rganisatin with duties f such respnsibility that his r her cnduct may fairly be assumed t represent the rganisatin in relatin t the business f prviding curses. Independent validatin means, fr the purpses f Clause 1.25, that the validatin is carried ut by a validatr r validatrs wh: a) are nt emplyed r subcntracted by the RTO t prvide training and assessment; and b) have n ther invlvement r interest in the peratins f the RTO. Industry means the bdies that have a stake in the services prvided by RTOs. These can include, but are nt limited t: a) enterprise/industry clients, e.g. emplyers; b) grup training rganisatins; c) industry rganisatins; d) industry regulatrs; e) industry skills cuncils r similar bdies; f) industry training advisry bdies; and g) unins. Industry and Skills Cuncil means the Cmmnwealth, State and Territry ministerial cuncil established by the Cuncil f Australian Gvernments (COAG), r its successr. Industry engagement, fr the purpses f Clauses 1.5 & 1.6, may include, but is nt limited t, strategies such as: a) partnering with lcal emplyers, reginal/natinal businesses, relevant industry bdies and/r enterprise RTOs; b) invlving emplyer nminees in industry advisry cmmittees and/r reference grups; c) embedding staff within enterprises; d) netwrking in an nging way with industry netwrks, peak bdies and/r emplyers; e) develping netwrks f relevant emplyers and industry representatives t participate in assessment validatin; and f) exchanging knwledge, staff, and/r resurces with emplyers, netwrks and industry bdies. Industry regulatr means a bdy r rganisatin respnsible fr the regulatin and/r licensing arrangements within a specific industry r ccupatin. Learner means a persn being trained and/r assessed by the RTO fr the purpse f issuing AQF certificatin dcumentatin. Licensed r regulated utcme means cmpliance with an eligibility requirement fr an ccupatinal licence r a legislative requirement t hld a particular training prduct in rder t carry ut an activity. Mde f delivery means the methd adpted t deliver training and assessment, including nline, distance, r blended methds. Mdule means a grup f learning utcmes in a VET accredited curse where it can be established that it is nt pssible t develp an apprpriate unit f cmpetency. Natinal Register means the register maintained by the Cmmnwealth Department respnsible fr VET and referred t in sectin 216 f the Natinal Vcatinal Educatin and Training Regulatr Act Natinally Recgnised Training (NRT) Lg means the lg used natinally t signify training packages and VET accredited curses. Operatins f an RTO include training, assessment and administratin and supprt services related t its registratin, including thse delivered acrss jurisdictins and ffshre. Persn includes a bdy plitic r crprate as well as an individual. Prfessinal develpment means activities that develp and/r maintain an individual s skills, knwledge, expertise and ther characteristics as a trainer r assessr. This includes bth frmal and infrmal activities that encmpass vcatinal cmpetencies, currency f industry skills and knwledge and practice f vcatinal training, learning and Quality & Cmpliance P&P-v6.03 AUG16 Page 12 f 162

14 CMS Training Quality & Cmpliance Manual assessment, including cmpetency based training and assessment. Examples f prfessinal develpment activities include: a) participatin in curses, wrkshps, seminars, cnferences, r frmal learning prgrams; b) participatin in mentring, prfessinal assciatins r ther learning netwrks; c) persnal develpment thrugh individual research r reading f publicatins r ther relevant infrmatin; d) participatin in mderatin r validatin activities; and e) participatin in industry release schemes. Recgnitin f Prir Learning (RPL) means an assessment prcess that assesses the cmpetency/s f an individual that may have been acquired thrugh frmal, nn-frmal and infrmal learning t determine the extent t which that individual meets the requirements specified in the training package r VET accredited curses. a) frmal learning refers t learning that takes place thrugh a structured prgram f instructin and is linked t the attainment f an AQF qualificatin r statement f attainment (fr example, a certificate, diplma r university degree); b) nn-frmal learning refers t learning that takes place thrugh a structured prgram f instructin, but des nt lead t the attainment f an AQF qualificatin r statement f attainment (fr example, in-huse prfessinal develpment prgrams cnducted by a business); and c) infrmal learning refers t learning that results thrugh experience f wrk-related, scial, family, hbby r leisure activities (fr example the acquisitin f interpersnal skills develped thrugh several years as a sales representative). Recrd means a written, printed, r electrnic dcument prviding evidence that activities have been perfrmed. Registrar has the meaning given in the Student Identifiers Act Registratin means registratin as an RTO by the VET Regulatr, where that registratin is then entered n the Natinal Register. RTO means a Registered Training Organisatin. RTO cde means the registratin identifier given t the RTO n the Natinal Register. Scpe f registratin means the training prducts fr which an RTO is registered t issue AQF certificatin dcumentatin. It allws the RTO t: a) bth prvide training delivery and assessment resulting in the issuance f AQF certificatin dcumentatin by the RTO; r b) prvide assessment resulting in the issuance f AQF certificatin dcumentatin by the RTO. Services mean training, assessment, related educatinal and supprt services and/r any activities related t the recruitment f prspective learners. It des nt include services such as student cunselling, mediatin r ICT supprt. Skill set means a single unit f cmpetency r a cmbinatin f units f cmpetency frm a training package which link t a licensing r regulatry requirement, r a defined industry need. Standards fr VET Accredited Curses are the standards made under subsectin 188(1) f the Natinal Vcatinal Educatin and Training Regulatr Act 2011 r the equivalent requirements adpted by a nn-referring State. Statement f attainment means a statement issued t a persn cnfirming that the persn has satisfied the requirements f the unit/s f cmpetency r accredited shrt curse specified in the statement. Statistically valid means fr the purpses f these Standards, a randm sample f apprpriate size is selected t enable cnfidence that the result is sufficiently accurate t be accepted as representative f the ttal ppulatin f assessments being validated. Student Identifier has the meaning given in the Student Identifiers Act Third party means any party that prvides services n behalf f the RTO but des nt include a cntract f emplyment between an RTO and its emplyee. Trainers are persns wh prvide training in accrdance with Clause 1.13, 1.14 and Training is the prcess used by an RTO r a third party delivering services n its behalf, t facilitate learning and the acquisitin f cmpetencies in relatin t the training prduct n the RTO s scpe f registratin. Page 13 f 162 SEP16 Quality & Cmpliance P&P-v6.4

15 Quality & Cmpliance Manual Training and assessment strategies and practices are the apprach f, and methd adpted by, an RTO with respect t training and assessment designed t enable learners t meet the requirements f the training package r accredited curse. Training Package means the cmpnents f a training package endrsed by the Industry and Skills Cuncil r its delegate in accrdance with the Standards fr Training Packages. The endrsed cmpnents f a Training Package are: units f cmpetency; assessment requirements (assciated with each unit f cmpetency); qualificatins; and credit arrangements. The endrsed cmpnents frm part f the requirements that an RTO must meet under these Standards. A training package als cnsists f a nn-endrsed, quality assured cmpanin vlume/s which cntains industry advice t RTOs n different aspects f implementatin. Training Prduct means AQF qualificatin, skill set, unit f cmpetency, accredited shrt curse and mdule. Unit f cmpetency means the specificatin f the standards f perfrmance required in the wrkplace as defined in a training package. Validatin is the quality review f the assessment prcess. Validatin invlves checking that the assessment tl/s prduce/s valid, reliable, sufficient, current and authentic evidence t enable reasnable judgements t be made as t whether the requirements f the training package r VET accredited curses are met. It includes reviewing a statistically valid sample f the assessments and making recmmendatins fr future imprvements t the assessment tl, prcess and/r utcmes and acting upn such recmmendatins. VET means vcatinal educatin and training. VET accredited curse means a curse accredited by the VET regulatr in accrdance with the Standards fr VET Accredited Curses. VET Quality Framewrk cmprises: a) the Standards fr Registered Training Organisatins b) the Australian Qualificatins Framewrk c) the Fit and Prper Persn Requirements d) the Financial Viability Risk Assessment Requirements e) the Data Prvisin Requirements VET Regulatr means: a) the Natinal VET Regulatr; and b) a bdy f a nn-referring State that is respnsible fr the kinds f matters dealt with under the VET legislatin fr that State. Quality & Cmpliance P&P-v6.03 AUG16 Page 14 f 162

16 CMS Training Quality & Cmpliance Manual CODE OF CONDUCT (T&S) CMS Training is respnsible fr ensuring nging cmpliance with the Standards fr Registered Training Oganisatins, including where services may be delivered n the RTO s behalf. The Chief Executive Officer is respnsible fr ensuring that the peratins, staff and students f the RTO cmplies with the requirements f the VET Quality Framewrk, which includes the fllwing:! the Standards fr Registered Training Organisatins (RTOs) 2015! the Australian Qualificatins Framewrk! the Fit and Prper Persn Requirements 2011! the Financial Viability Risk Assessment Requirements 2011! the Data Prvisin Requirements 2012 CMS Training will ensure that cmpliance applies acrss all f its peratins within the RTO s scpe f registratin, as listed n the Natinal Register ( (5.3) CMS Training has plicies and prcedures in place fr ensuring cmpliance with the VET Quality Framewrk, which are distributed t Staff and Students as part f their inductin prcess, these plicies and prcedures include hw the RTO will cmply with the fllwing: Standards fr Registered Training Organisatins 2015 Standard 1 Training and Assessment Learners benefit frm high-quality training that equips them fr emplyment and/r further study in their chsen field. Learners are cnfident they hld the skills and knwledge their certificatin describes and are well-equipped t undertake relevant tasks safely and prductively. Graduates have enhanced emplyment prspects because emplyers are cnfident in their abilities. Standard 2 Quality Assurance Strategies Learners are cnfident that the quality f training is mnitred t ensure it meets their needs and the needs f emplyers. Standard 3 - Certificatin Learners receive certificatin that clearly dcuments their skills and knwledge in a timely manner. Standard 4 - Marketing Learners can make infrmed chices that the RTO has training that meets their needs with clear and accurate infrmatin including infrmatin abut the perfrmance f the RTO Standard 5 Students rights and bligatins Learners can make infrmed chices abut the RTO and the training prgram that best suits their needs Learners knw wh is delivering their training and wh is issuing any qualificatin r statement f attainment Learners are aware f their rights and respnsibilities Standard 6 Cmplaints and appeals Learners have any cncerns abut their training r assessment addressed prmptly and equitably Standard 7 - Gvernance Learners knw their prvider is stable and well-gverned, s are cnfident it will cntinue t perate and be prperly resurced t deliver training Learners knw that their expsure t financial lss is limited in the case f a prvider clsing r nt being able t prvide the training Standard 8 Cmpliance with legislatin Learners are assured that ur RTO is mnitred by a regulatr that has accurate, up-t-date infrmatin abut the prvider Learners are cnfident ur RTO cmplies with relevant legislatin and regulatry requirements Page 15 f 162 SEP16 Quality & Cmpliance P&P-v6.4

17 Learners are aware f requirements that relate t their training Quality & Cmpliance Manual Learners can make infrmed chices abut the RTO using accurate and up-t-date infrmatin Australian Qualificatins Framewrk: Adhere t the requirements f the AQF Qualificatins Issuance Plicy Adhere t the requirements f the AQF Qualificatins Pathways Plicy Fit and Prper Persn Requirements All senir management, r persns wh wuld have a significant impact n the RTO, are required t cmplete and submit a Fit and Prper Persn frm t the Natinal VET Regulatr Data Prvisin Requirements Cllect and stre student and training recrds within an AVETMISS cmpliant Student Management System (DPR 4) Cllect data n behalf f the Natinal VET Regulatr against the AVETMISS requirements (DPR 4.1) Cllect data n behalf f the Natinal VET Regulatr against the Quality Indicatrs (DPR 6) Submit annual reprts t the Natinal VET Regulatr n data cllected (DPR 7) Wrking with Children Check All Trainers and Assessrs are required t undertake a Wrking with Children Check prir t cmmencing training and assessment if they will be delivering training and assessment t students under the age f 18 years. Quality & Cmpliance P&P-v6.03 AUG16 Page 16 f 162

18 CMS Training Quality & Cmpliance Manual CONTINUOUS IMPROVEMENT CYCLE The standards within the fllwing cycle are t be reviewed n a mnthly basis at the mnthly Quality and Cmpliance Meetings (see clause 2.2 n page 80 fr the plicy and prcedure). All staff and cntractrs are encuraged t cntribute t the cntinuus imprvement f ur rganisatinal systems and services by cmpleting an pprtunity fr imprvement frm. (see clause 2.2 n page 82 fr the plicy and prcedure) JAN FEB 1.7 DPR 4.1 MAR APR MAY JUN DPR 6.1 JUL AUG SEP OCT NOV DEC Reprting Dates JUN DPR 6.1 Submit Quality Indicatr Summary Reprt FEB DPR 4.1 Submit AVETMISS Reprt MAR 8.4 Annual Declaramn f Cmpliance Annual Internal Audit T be cmpleted befre Annual Declaratin f Cmpliance due fr submissin in March f each year. RTO s delivering TAE training prducts JUN Page 17 f 162 SEP16 Quality & Cmpliance P&P-v6.4

19 Quality & Cmpliance Manual DPR4 STUDENT RECORDS MANAGEMENT SYSTEM DPR 4.1 Bth applicants seeking initial registratin under the Act, and NVR registered training rganisatins, must have a student recrds management system that has the capacity t prvide the Natinal VET Regulatr with AVETMISS cmpliant data. Strategy Plicy and Prcedure/s In accrdance with the Natinal VET Prvider Cllectin Data Requirements Plicy the RTO cllects AVETMISS data frm students thrugh the Enrlment Agreement Frm, in line with the requirements f the AVETMISS VET Prvider Cllectin Specificatins: Release 7.0, which is entered int the AVETMISS cmpliant Student Recrds Management System. All AVETMISS data cllected is utilised t prvide the Natinal VET Regulatr with an AVETMISS cmpliant reprt n a yearly basis t be submitted by n later than the end f February each year r t be submitted in accrdance with the State Training Services requirements. What is AVETMISS? AVETMISS stands fr the Australian Vcatinal Educatin and Training Management Infrmatin Statistical Standard. It is a natinal data standard that ensures cnsistent and accurate capture and reprting f Vcatinal Educatin and Training (VET) infrmatin abut students. The Natinal Centre fr Vcatinal Educatin Research (NCVER) is the custdian f the Standard. CMS Training is respnsible fr reprting their natinally recgnised training t the Natinal VET Prvider Cllectin managed by the Natinal Centre fr Vcatinal Educatin Research. Cmprehensive and timely infrmatin abut the training being undertaken acrss all RTOs will:! be used by VET regulatrs t infrm risk-based regulatin f registered training rganisatins and establish benchmarks fr cntinuus imprvement in the VET sectr;! enable individuals t access transcripts that shw any natinally recgnised training undertaken thrugh links with the Unique Student Identifier;! prvide details abut RTOs and curses n the My Skills website t assist students and businesses t make infrmed training chices;! imprve gvernment, industry and business understanding f where and when skills are being develped t assist wrkfrce planning;! prvide gvernments with a better understanding f training effrts acrss Australia assisting with the develpment f plicy and assessing interventins; and! enhance understanding f the training market and assist RTOs with planning training delivery. The infrmatin made available fr these purpses will nt identify individuals, except where an individual requests a Unique Student Identifier authenticated VET transcript. The infrmatin will als be presented in aggregate frm, either by RTO, by training type r by industry sectr, except where unit level data is required by VET regulatrs t supprt VET regulatin r t ppulate a Unique Student Identifier authenticated VET transcript. Fr further infrmatin n hw data will be able t be accessed, refer t the Natinal Centre fr Vcatinal Educatin Research s Data Access Prtcls, available at AVETMISS - Data cllectin and reprting 1. Each student is required t cmplete the RTO apprved Enrlment Agreement Frm, prir t curse cmmencement, this Enrlment Agreement Frm has been designed and develped against the requirements f the AVETMISS 7.0 VET Prvider Cllectin specificatins, which includes relevant data required by the regulatry bdy. Quality & Cmpliance P&P-v6.03 AUG16 Page 18 f 162

20 CMS Training Quality & Cmpliance Manual 2. All students are required t cmplete all fields within the RTO s Enrlment Agreement Frm. 3. Once the enrlment frm is cllected, the RTO is respnsible fr checking that all fields have been cmpleted. If all fields are nt cmplete the RTO is required t fllw up with the student. 4. The CEO is respnsible fr ensuring that all data frm the enrlment frm is entered int the Student Management System within tw weeks f receiving the cmpleted Enrlment Agreement Frm frm each student 5. Assessment results are t be entered int the Student Management System, fllwing the cmpletin f each unit. 6. Each year, as required by the Regulatry bdy, the RTO prepares and submits an AVETMISS reprt f all data cllected n student enrlments and utcmes (see fr details a. State-funded training activity data State-funded training activity data must be submitted accrding t the current arrangements in the relevant state r territry. Please cntact yur STA fr mre infrmatin. b. Nn-state-funded training activity data RTOs delivering fee-fr-service training can submit their data directly t NCVER. Sme STAs will als accept data n nn-state-funded training. Please cntact yur STA t find ut if yur state/territry accepts data n nn-state-funded training. Supprt in yur state r territry fr questins regarding the Natinal VET Prvider Cllectin (AVETMISS) ACT- Educatin and Training avetmiss.reprting@act.gv.au Directrate NSW- Bard f Vcatinal Educatin trainingmarket@det.nsw.edu.au & Training NT- Department f Business, Nrthern avetmiss@nt.gv.au Territry Gvernment QLD- Department f Educatin stac@dete.qld.gv.au Training & Emplyment SA- Department f State Kathy.Hancck@sa.gv.au Develpment TAS- Skills Tasmania VIC- Department f Educatin & Training WA- Department f Training & Wrkfrce Develpment avetmiss@skills.tas.gv.au statscllectin@edumail.vic.gv.au avetmiss@dtwd.wa.gv.au Hw t submit AVETMISS cmpliant data Submissins via STAs Each STA has its wn data submissin prcess. Please cntact yur STA t find ut abut this prcess. Yu can find STA cntact infrmatin n the Australian Apprenticeships website Direct submissin t NCVER Use the AVETMISS Validatin Sftware t submit yur data t NCVER. Yu can find supprt materials abut the AVETMISS Validatin Sftware n the AVETMISS validatin sftware page. Page 19 f 162 SEP16 Quality & Cmpliance P&P-v6.4

21 Quality & Cmpliance Manual Imprtant: r pst submissins are nt accepted. AVETMISS supprt at NCVER Cntact NCVER's client supprt team using their cntact frm r call them n r Hurs f peratin are 8:45am t 5pm (ACDT), Mnday - Friday. Website: AVETMISS Supprt Please nte that this infrmatin has been taken frm the NCVER website Exemptins Natinal security, brder prtectin and plicing issues Registered training rganisatins d nt need t cllect and submit AVETMISS cmpliant data n natinally recgnised training activity where submissin f that data: i. wuld cnflict with defence r natinal security legislatin; and/r ii. culd jepardise the security r safety f defence, brder prtectin, custms, natinal security r plice persnnel. The RTO is required t cnsult with its regulatr t identify what training activity is t be exempted, including the reasn/s fr that exemptin (i.e. criteria i. r ii). Fr training activity determined t be exempt but fr which submissin f data des nt ffend legislatin (i.e. activity exempted under criteria ii.), the Registered Training Organisatin must prvide annual aggregate cmpetency cmmencement and cmpletin data fr each qualificatin r unit that des nt identify the client t its regulatr and the Natinal Centre fr Vcatinal Educatin Research fr regulatin, research and plicy purpses. The RTO has in place this plicy and prcedure t ensure that it is cllecting full AVETMISS data frm its clients that undertake training except t the extent they are exempt frm cllecting such data. Prvisin f emergency, fire, rescue r first-aid services t the Australian cmmunity Where the RTO is delivering vital cmmunity services cnsiders that that cllectin and submissin f data under the Natinal VET Prvider Cllectin Data Requirements Plicy wuld adversely affect its ability t cntinue t deliver services t the Australian cmmunity, it may ntify the VET regulatr that it will nt cllect and submit AVETMISS cmpliant data n all r part f its natinally recgnised training activity. Where the RTO is delivering vital cmmunity services wishes t cllect and submit AVETMISS cmpliant data, it will cllect and submit a partial Client File fr natinally recgnised training, where partial Client File means cllectin and reprting f the fllwing data des nt need t be cllected r submitted: i. Highest schl level cmpleted; ii. Year highest schl level cmpleted; iii. Language identifier; iv. Labur frce status identifier; v. Cuntry identifier; vi. Disability flag; vii. Prir educatinal achievement flag; viii. At schl flag; ix. Indigenus status identifier; and x. Prficiency in spken English identifier. Enterprise Registered Training Organisatins certain training An enterprise registered training rganisatin must submit at least a partial Client File fr each emplyee r vlunteer wh undertakes natinally recgnised training where the emplyee r vlunteer cmmenced emplyment r vlunteering with that rganisatin prir t 1 January 2014, where partial Client File means the fllwing data des nt need t be cllected r submitted: i. Highest schl level cmpleted; ii. Year highest schl level cmpleted; Quality & Cmpliance P&P-v6.03 AUG16 Page 20 f 162

22 CMS Training Quality & Cmpliance Manual iii. Language identifier; iv. Labur frce status identifier; v. Cuntry identifier; vi. Disability flag; vii. Prir educatinal achievement flag; viii. At schl flag; ix. Indigenus status identifier; and x. Prficiency in spken English identifier. Shrt stand-alne units/mdules A registered training rganisatin that delivers a shrt unit r mdule listed in Appendix 1 Shrt units/mdules must cllect and submit at least a partial Client File where a client undertakes a shrt unit r mdule that is als a stand-alne unit r mdule, where partial Client File means the fllwing data des nt need t be cllected r submitted: i. Highest schl level cmpleted; ii. Year highest schl level cmpleted; iii. Language identifier; iv. Labur frce status identifier; v. Cuntry identifier; vi. Disability flag; vii. Prir educatinal achievement flag; viii. At schl flag; and ix. Prficiency in spken English identifier. Reprting data where the student is nt required t have a Unique Student Identifier Upn implementatin f the Unique Student Identifier, the RTO will reprt natinally recgnised training activity undertaken by an individual wh is nt required t have a Unique Student Identifier in rder t be issued with a qualificatin r statement f attainment (nting that the Unique Student Identifier will nt be available fr inclusin in the Client File), unless a full reprting exemptin is prvided. Ensuring clients are aware f the implicatins f nt reprting Upn implementatin f the Unique Student Identifier, if the RTO is exempt frm reprting requirements they will infrm its clients prir t cmmencement f the training that training within scpe f these exemptins will nt be included in the Natinal VET Prvider Cllectin and will nt appear n the authenticated VET transcript btainable frm the Student Identifiers Agency. Upn implementatin f the Unique Student Identifier, each registered training rganisatin prvided with an exemptin frm reprting requirements under paragraph 3.1 must infrm its clients prir t enrlment that training undertaken within the exemptin perid will nt be included in the Natinal VET Prvider Cllectin and will nt appear n the authenticated VET transcript btainable frm the Student Identifiers Agency Evidence! Student Management System! Enrlment Agreement Frm Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f February n an annual basis. Respnsibility! Chief Executive Officer Page 21 f 162 SEP16 Quality & Cmpliance P&P-v6.4

23 Quality & Cmpliance Manual DPR 6 COLLECTION OF DATA AGAINST QUALITY INDICATORS DPR 6.1 The NVR registered training rganisatin must cllect data n the quality indicatrs agreed upn by the Ministerial Cuncil, r its delegate. Strategy Plicy and Prcedure/s T cllect data using the Quality Indicatr Survey, by distributing t students and emplyers and entering the data cllected int the Student Management System. Quality Indicatr (QI) Reprting The RTO cllects, analyses and reprts n perfrmance against the fllwing three AQTF Quality Indicatrs (QI) t the Regulatry Bdy. The fllwing is an extract frm! Learner engagement & Emplyer satisfactin - Yu are required t use the Learner Questinnaire (PDF 134 kb) and the Emplyer Questinnaire (PDF 128 kb) t cllect the data fr the learner engagement and emplyer satisfactin quality indicatrs. Yur Quality Indicatr Reprt is t be submitted using the fllwing frm: ASQA's Quality Indicatr annual summary reprt template can be accessed frm Cmpetency cmpletin With the intrductin f natinal VET reprting fr all RTOs, there is n lnger a requirement fr RTOs t reprt cmpetency cmpletins via CCOS.! Submitting Reprts - Yu must submit yur quality indicatr data reprts in full t qidata@asqa.gv.au by clse f business 30 June f Quality Indicatr data is required fr previus calendar year (1 January t 31 December 2015). Failure t d s will result in yur RTO nt cmplying with its statutry registratin requirements and ptentially cnstitute a breach f the Natinal Vcatinal Educatin and Training Regulatr Act A set f fact sheets and frequently asked questins (FAQs) are accessible frm the NCVER website. QI Reprting Prcedure 1. The QI Learner Questinnaire and the QI Emplyer Questinnaire are t be distributed t all students and emplyers wh engage the RTO fr VET training services. These frms are t be cmpleted by the student prir t (r in sme cases n the day f) the final assessment. 2. Surveys are t be cllected by the RTO within 5 wrking days f curse cmpletin. 3. Once a mnth, and prir t the Quality and Cmpliance Meeting, a Quality Indicatr Summary Reprt shuld be cmpleted. 4. The summary is t be tabled at the mnthly Quality and Cmpliance Meeting t identify pprtunities fr imprvement and t mnitr training prgress. 5. On a yearly basis, and prir t the reprt being submitted t NCVER, a yearly Quality Indicatr Summary is t be cmpleted. 6. Senir management are respnsible fr submitting QI Reprts t NCVER n 30 June f each year, perid f reprting includes 1 July t 30 June f each year. Emplyers are defined as Supervisrs f an rganisatins wh have:! engaged the RTO t deliver training n their behalf engaged the RTO t deliver and Quality & Cmpliance P&P-v6.03 AUG16 Page 22 f 162

24 CMS Training Quality & Cmpliance Manual assess their staff under a Traineeship/Apprenticeship arrangement! engaged a student frm the RTO under a wrk placement arrangement Evidence! Quality Indicatr Surveys! Quality Indicatr Summary! ASQA Audit Template Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f June n an annual basis. Respnsibility! Chief Executive Officer! Senir Management Page 23 f 162 SEP16 Quality & Cmpliance P&P-v6.4

25 Quality & Cmpliance Manual Standard 1 The RTO s training and assessment strategies and practices are respnsive t industry and learner needs and meet the requirements f training packages and VET accredited curses Quality & Cmpliance P&P-v6.03 AUG16 Page 24 f 162

26 CMS Training Quality & Cmpliance Manual IMPLEMENT A COMPREHENSIVE TRAINING AND ASSESSMENT STRATEGY ( ) 1.1 The RTO s training and assessment strategies and practices, including the amunt f training they prvide, are cnsistent with the requirements f training package and VET accredited curses and enable each learner t meet the requirements fr each unit f cmpetency r mdule in which they are enrlled. 1.2 Fr the purpses f Clause 1.1, the RTO determines the amunt f training they prvide t each learner with regard t: a) the existing skills, knwledge and the experience f the learner; b) the mde f delivery; and c) where a full qualificatin is nt being delivered, the number f units and/r mdules being delivered as a prprtin f the full qualificatin. 1.3 The RTO has, fr all f its scpe f registratin, and cnsistent with its training and assessment strategies, sufficient: a) trainers and assessrs t deliver the training and assessment; b) educatinal and supprt services t meet the needs f the learner chrt/s undertaking the training and assessment; c) learning resurces t enable learners t meet the requirements fr each unit f cmpetency, and which are accessible t the learner regardless f lcatin r mde f delivery; and d) facilities, whether physical r virtual, and equipment t accmmdate and supprt the number f learners undertaking the training and assessment. 1.4 The RTO meets all requirements specified in the relevant training package r VET accredited curse. Strategy The RTO identifies, negtiates, plans and implements apprpriate training and assessment strategies and practices t meet the needs f each f its clients, in cnsultatin with industry, as well as the apprpriate Training Prduct and the requirements f the Australian Qualificatins Framewrk (AQF) fr the apprpriate AQF level requirements. Plicy and Prcedure/s Training and Assessment Strategy (T) A strategic apprach t training and assessment is applied t ensure cnsistency and cmpliance are maintained thrughut the custmisatin and develpment f training and assessment prgram materials and accredited curses. When develping r revising a Training and Assessment Strategy the RTO engages with industry and students thrugh cnsultatin via meetings, surveys, attendance at industry seminars and emplyer feedback, this ensures that the training and assessment strategies and practices adpted are relevant t the identified needs f industry and the RTO s clients. Senir Management are respnsible fr implementing Training and Assessment Strategies fr training prducts delivered within the Scpe f Registratin, this strategy is develped int a reprt that includes infrmatin n hw the RTO wishes its training and assessment t be prvided t ur clients. The RTO has in place a Training and Assessment Strategy template, which is used fr all training and assessment develpment and addresses the fllwing: Training prduct Cre and elective cmpnents (full Clearly identifying the training prduct, the strategy relates t, including the cde and full title t ensure this is clear. If delivering a full qualificatin, identified cre and elective cmpnents in accrdance with the structure defined in the Page 25 f 162 SEP16 Quality & Cmpliance P&P-v6.4

27 Quality & Cmpliance Manual qualificatins) Target Audience Mde f delivery Entry requirements Duratin and scheduling Assessment resurces, methds and timing Learning resurces Human resurces Physical resurces Strategies fr standalne single units r skill sets training package r curse. Define which elective units r mdules are being ffered s the RTO can prperly plan fr all delivery variables. Identify any entry requirements, as well as pre-requisite and c-requisite units, and the sequencing f delivery and assessment. Existing skills, knwledge and experience f learners. Identified hw the training and assessment is t be delivered face-t-face, nline, thrugh wrkplace training r a mixture f different mdes. Identified any mandatry requirements fr learners cmmencing the prgram, such as qualificatins that must be held r perids f industry experience, any areas where learners may need additinal supprt (e.g. if they have lw English levels) and identify whether learners physical attributes may influence their ability t cmplete the training and assessment (e.g. if heavy lifting is required). Analyse the nature f yur learner chrt. Use the analysis and any specific requirements f the training prduct t determine hw the RTO will schedule training and assessment activities t ensure learners are able t fully develp the required skills and knwledge prir t being assessed. Training package and VET accredited curses ften specify resurces that must be used in assessment at a unit f cmpetency level. The TAS includes details f hw the RTO will ensure learners have access t the resurces that will give them the best chance f cmpleting their study. Identify:! assessment resurces! assessment methds t be used! timing f assessment, and! any adjustments that may be needed t cater fr different learner characteristics. T ensure learners are able t btain and absrb the required knwledge and skills prir t assessment, the RTO has carefully chsen and planned the learning resurces we will use t guide them. The Staff Matrix identifies the human resurces available t deliver the training prduct, this is recrded at the unit f cmpetency level t ensure any specific requirements are met, and t allw the RTO t deply staff efficiently. Cmpare the physical resurces required t deliver a training prduct with the resurces available t the RTO. Many units f cmpetency include detailed specificatins f resurces required, s cnducting this analysis at a unit f cmpetency level ensures these requirements are met. Develp and implement a strategy in the same way as yu wuld fr a qualificatin, nting that sme infrmatin may nt be relevant, such as infrmatin n cre and elective units. Often, this type f delivery is aimed at an industry licence r accreditatin. Identify all f the requirements f that licence r Quality & Cmpliance P&P-v6.03 AUG16 Page 26 f 162

28 CMS Training Quality & Cmpliance Manual accreditatin in the strategy (including any pssible entry requirements such as minimum age) and explain hw learners can readily attain the desired utcme. Identify any prerequisite and c-requisite units, and the sequence f delivery and assessment. Strategies fr assessment nly pathways Where the RTO ffers an assessment nly pathway, we have develped and implemented a strategy that cvers:! assessment methds, timing and resurces, and! hw issues will be addressed (fr example, if a learner des nt achieve the cmpetency requirements). Specific requirements may be set, such as a minimum perid f industry experience befre cmmencing the prgram, t allw fr Vlume f Learning. Page 27 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Attentin t varius learning styles, learners existing skills, knwledge and experience, literacy and numeracy issues, equipment and resurces, mde f delivery, reasnable adjustment, delivery and assessment methds has been incrprated int the Training and Assessment Strategies. This infrmatin prvides trainers and assessrs with a backgrund n hw the RTO wishes the training prduct t be delivered. The amunt f training included in each training prduct is determined by the learner s existing skills and knwledge and mde f delivery, which is reflected in the Training and Assessment Strategy. Prgram cntext, delivery, material and assessment methds are evaluated and adjusted accrdingly thrugh a cntinuus imprvement prcess. Refer t Standard 1, Clause 2.2 a) fr mre details. Infrmatin cntained within rganisatinal marketing materials fr curse delivery is t be derived frm the infrmatin cntained within the Training and Assessment Strategies, this will ensure cnsistency f infrmatin thrughut the RTO, including curse flyers and the rganisatinal website. Industry Cnsultatin Flders, kept at the head ffice, are in place fr each Training Prduct we have n ur Scpe f Registratin. In the Industry Cnsultatin Flders infrmatin is stred n: Industry Surveys; Research materials; minutes frm Industry Meetings; Cnference Ntes, Relevant news articles; etc Vlume f Learning 1.1 In rder t ensure that the Training and Assessment Strategy includes the amunt f training the RTO will prvide, the Training and Assessment Strategy includes the ttal Vlume f Learning in accrdance with the timeframes utlined in the AQF Handbk. The ttal vlume f learning includes all the hurs the student shuld undertake t meet the typical timeframe requirements f the qualificatin level. This can include, but is nt limited t, the fllwing:! Face t face learning! Wrk Placement! Self-paced learning! On the jb assessments! Prtfli f evidence! Prir qualificatins! Evidence f prir skills and knwledge Vlume f learning can be identified thrugh the relevant Industry Skills Cuncil Cmpanin Guide and the AQF Handbk. Where the learner chrt cnsists f new entrants r inexperienced wrkers, the curse length will be determined by ensuring that the learners are able t fully absrb the required skills and t develp skills ver time in the different cntexts they wuld experience in the

29 Quality & Cmpliance Manual wrkplace. Fllwing is an extract frm the AQF Handbk that includes the typical timeframe f each qualificatin level. ( Level Vlume f Learning Years Hurs 1 The vlume f learning f a Certificate I is typically The vlume f learning f a Certificate II is typically The vlume f learning f a Certificate III is typically Up t 4 years may be required t achieve the learning utcmes thrugh a prgram f indentured training/emplyment 4 The vlume f learning f a Certificate IV is typically. There may be variatins between shrt duratin specialist qualificatins that build n knwledge and skills already acquired and lnger duratin qualificatins that are designed as entry level requirements fr wrk The vlume f learning f a Diplma is typically The vlume f learning f an Advanced Diplma is typically Training prducts r curses that d nt meet the required hurs will include a validatin f why the hurs have been shrtened. Fllwing is an example f reasns why the hurs wuld be shrtened:! The learner chrt cmprises f experienced wrkers wh already have mst f the required skills and knwledge (i.e. 3 years current industry experience within a rle that utilises mst f the skills being delivered)! Students must be existing wrkers already wrking with the rle where they may wish t up-skill! Student hlds a qualificatin belw the training prduct being delivered r equivalent experience! Students are required fr licensing purpses t cmplete a refresher curse every 1-3 years as part f their emplyment. The RTO has plicies in place t ensure that each learner achieves the requirements f their training, these include:! Supprt Services! Training and Assessment Strategies! Mnthly Quality and Cmpliance Meetings! Mnthly reprts frm Trainers and Assessrs! Assessing student suitability prir t curse cmmencement Training and Assessment Strategy Develpment (T) 1.2 Prcedure fr the develpment f Training and Assessment Strategies as fllws: 1. Identify Training Prduct t be updated r added t the Scpe f Registratin 2. Cnduct Industry cnsultatin thrugh meeting key stakehlders, wh are respnsible fr the recruitment f peple frm the industry f the training prduct 3. Undertake industry surveys by distributing the Industry Survey Frm t ptential emplyers, supervisrs r Human Resurces Managers within the industry 4. Research the relevant Industry Skills Cuncil fr the Training Package t acquire Quality & Cmpliance P&P-v6.03 AUG16 Page 28 f 162

30 CMS Training Quality & Cmpliance Manual Page 29 f 162 SEP16 Quality & Cmpliance P&P-v6.4 further infrmatin n the training prduct, industry trends and industry feedback 5. Draft the Training and Assessment Strategy utilising the rganisatinal template addressing each f the fllwing areas: a. define the RTO s target client grup/s and describe hw it will deliver the training prduct/s t meet client needs b. demnstrate hw each strategy has been develped thrugh effective cnsultatin with industry c. demnstrate hw each prpsed trainer/assessr pssesses (equivalence t) all relevant vcatinal cmpetencies at least t the level f the training r assessment t be delivered d. list all physical resurces and equipment that are accessible at each prpsed delivery venue e. identify the range and frmat f all delivery and assessment methdlgies and resurces/tls t be used f. describe hw assessment prcesses, tls and judgements have been and will cntinue t be systematically validated 6. Develp a plan n hw the RTO plans t deliver and assess, this can be dne by either a: a. Sessin Plan Fr single units r skill sets; r b. Delivery and Assessment Plan Fr full qualificatins (refer t page 46 fr mre details n Delivery and Assessment Plans) 7. Once a draft TAS has been finalised, have a range f staff and industry review the TAS t ensure currency and validity f prpsed training and assessment 8. Finalise TAS and distribute t relevant staff, including Trainers and Assessrs, Cmpliance Managers, Administratin Staff. If the TAS has been develped fr a specific client, distribute t the client. Variatins t the apprved Training and Assessment Strategy Our rganisatin recgnises that changes may be required t the training and assessment strategy t meet learner, industry and trainer needs. Where changes are required an Opprtunity fr Imprvement Frm shuld be submitted fr cnsideratin, see page 82 fr the prcedure n hw t submit an Opprtunity fr Imprvement. The fllwing circumstances wuld warrant an update f the TAS:! Training Package changes (Transitin)! Change f delivery methd r additinal delivery methds! Change f Training and Assessment tls! Change in legislatin that affects the training prduct! Change in licensing requirements! Change in industry requirements! Learner chrt r target audience changes Staff, Facilities, Resurces and Equipment (T) 1.3 The RTO will ensure that all staff, facilities, resurces and equipment is in place fr the RTO s entire scpe f registratin at all times. T ensure that students and trainers have access t the required resurces, t accmmdate the number f learners, as per the requirements f the training prducts n the RTO s scpe f registratin, we have the fllwing strategy in place:! The resurce requirements fr each training prduct is identified during the develpment f the Training and Assessment Strategy (TAS) and included within the TAS. This includes identifying the Critical Aspects fr Assessment Requirements

31 Quality & Cmpliance Manual frm and/r the Training Package cmpanin guides.! Data cllected frm Industry Cnsultatin are reviewed and identified. Facilities and equipment fr training and assessment are included in the Training and Assessment Strategy.! Trainers are prvided access t training and assessment materials either thrugh the RTO r thrugh the Emplyer fr n-the-jb training, at the r ff-site training facilities.! Access t resurces may include: Staff, including relevant industry prfessinals; subject matter experts Trainer/assessr guides Assessment plans/tls Relevant nline resurces Delivery and Assessment Plans Facilities, including n the jb training Equipment and resurces, as utlined in the training prduct Equipment and prcesses used by the industry Learner tls, including text bks, wrkbks and/r ther resurces Industry specific facilities and equipment Resurces fr learners with special needs! If a trainer identifies a resurce that they require, the trainer is instructed t cmplete a Resurces Order Frm, t validate why the resurce is required and submit t the CEO r RTO Manager fr apprval. Refer t the Resurces Ordering Prcess n page 31.! If a resurce is rejected, the RTO will give a valid reasn, which culd include: a) Resurce is already in stck b) Resurce is nt in line with Training Prduct requirements c) A similar resurce is already in place! The TAS is t prvide evidence f arrangements fr student and trainer/assessr access t suitably equipped wrkplace r simulated wrkplace envirnments fr delivery and assessment. The RTO develps r purchases training and assessment tls that meet:! Current industry requirements! Learner needs! Written against the Training Prduct requirements! Easy t use, prviding clear instructins! Mapped t the Units f Cmpetencies and the elements within the UOC s! Written specifically t meet the requirements f the Training Prduct! Language Literacy and Numeracy requirements! Cntextualisatin Training Facility Checklist (T) 1.3 Each training venue, including classrm based and n the jb based, shuld be fully equipped with the resurces required t deliver the training, accrding t the training prduct requirements. The RTO has in place a Training Facility Checklist template, which is t be used t identify that all the required resurces are in place prir t curse cmmencement, this checklist shuld be custmised fr each training prduct and prvided t the Trainer/Assessr prir t curse delivery. The Trainer/Assessr is respnsible fr cmpleting the Training Facility Checklist prir t curse cmmencement. If the training facility des nt have all the required resurces, the trainer/assessr is respnsible fr ntifying the RTO Manager and cmplete a Resurces Order Frm t rder the required resurces. See the Resurces Ordering Prcess n page 31 fr further details. Quality & Cmpliance P&P-v6.03 AUG16 Page 30 f 162

32 CMS Training Quality & Cmpliance Manual Page 31 f 162 SEP16 Quality & Cmpliance P&P-v6.4 The Training Facility Checklist is t be cmpleted t ascertain whether a training rm meets the requirements fr training. Adjustments can be made t the rm if the requirements are nt met, but in sme cases, anther training rm may need t be surced. The Training Facility Checklist identifies the training facility meets the fllwing:! WHS requirements! Has enugh tables and chairs fr each student (if thery based training)! Have the required resurces as per the training prduct requirements and in line with the Training and Assessment Strategy requirements. Resurces Ordering Prcess (T) 1.3 All staff are required t cmplete a Resurces Order Frm fr all resurces that they wish t have in place, nce cmpleted, this rder frm is t be submitted t the RTO Manager fr apprval. The RTO Manager will determine whether the resurce requested is a necessary requirement, if yes the RTO Manager will then determine whether the resurce is currently in stck r the resurce will need t be rdered. There are tw types f resurces that may be rdered, these include: 1. Cnsumable Resurces - Any resurce, such as paper, ink cartridges used in printers, textbks that are given t students r dispsable training specific resurces (such as urine testing kits and sanitary napkins), by its nature these resurces are usable n nly a limited number f ccasins. 2. Reusable Resurce - A resurce, such as tables, chairs, r training equipment that is nt rendered useless by being used. A table r chair can be used ften indefinitely and are t be regarded as reusable resurces, unless it has been damaged r is brken. An Inventry f Resurces is t be kept n file by the RTO Manager t ensure that all resurces identified within the Training and Assessment Strategies are in place. This Resurce Inventry Register is t be maintained by the RTO Manager t keep a recrd f all the required resurces by the RTO. Resurces Order Frm (T) Once yu have identified a need fr a new resurce, the fllwing prcess shuld be fllwed: 1. Obtain a cpy f the Resurces Order Frm, which can be accessed frm the Administratin Office r the RTO Manager 2. Cmplete the frm, including: a. Yur name, Curse Name and Date b. Name f Resurce/s, number f units t be rdered and ISBN Cde (if applicable) c. Circle the level f imprtance and the date the resurce is required by d. State the Reasn fr the resurce (ie Replace existing stck r a piece f equipment needs t be replaced due t being brken) 3. Frward Resurces Order Frm t the RTO Manager fr apprval 4. The RTO Manager will review the Resurces Order Frm t identify whether resurces t be rdered are necessary r whether there is sufficient resurces already in stck. The Resurce Order Frm may be rejected if it is identified that the resurces are already in stck r an equivalent piece f equipment r resurce is already in place and sufficient. 5. Once the rder is apprved, the RTO Manager is t sign and apprve the rder and frward t accunts fr prcessing.

33 Quality & Cmpliance Manual Staff Matrix (T) 1.2 All trainers are required t cmplete a staff matrix prir t cmmencement f training with the RTO, this shuld include the trainers relevant industry experience t the qualificatin t be delivered as well as Prfessinal Develpment that has been undertaken in the VET sectr, including any wrkshps r cnferences that they have attended. Certified cpies f Certificates and any ther dcumentatin that supprts Industry experience and VET develpment is t be prvided t the RTO Manager. A Staff Matrix is t be develped and updated fr each Trainer/Assessr against each qualificatin and/r Unit f Cmpetency n the RTO s Scpe f Registratin. The Staff Matrix is t be updated under all f the fllwing circumstances:! When a Training and Assessment Strategy has been updated! When preparing fr an Additin t Scpe! Whenever a new trainer jins r leaves the RTO! When transitining frm a superseded Training Prduct The Staff Matrix template is t be used fr all Training and Assessing staff. This template frmat shuld nt be amended by the trainer; this is t ensure cnsistency f ur Staff Matrix s. When updating the Staff Matrix, the RTO will ensure that the tl maps t the trainers qualificatins and experience that is relevant fr the qualificatin they are t deliver. Trainers are respnsible fr ensuring their Staff Matrix is kept up t date and shuld be reviewed at least annually. Trainers shuld ensure that they address each Unit f Cmpetency with their relevant industry experience. Evidence! Staff Matrix! Resurces Order Frm! Training and Assessment Strategy! Delivery and Assessment Plan! Training Facility Checklist Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f January n an annual basis. Respnsibility! CEO! RTO Manager! Trainers & Assessrs Quality & Cmpliance P&P-v6.03 AUG16 Page 32 f 162

34 CMS Training Quality & Cmpliance Manual INDUSTRY RELEVANCE (CLAUSES ) 1.5 The RTO s training and assessment practices are relevant t the needs f industry and infrmed by industry engagement. 1.6 The RTO implements a range f strategies fr industry engagement and systematically uses the utcme f that industry engagement t ensure the industry relevance f: a) its training and assessment strategies, prac/ces and resurces; and b) the current industry skills f its trainers and assessrs. Strategy T prvide training that is relevant t emplyers and t maximise learner pprtunities fr emplyment, advancement r further educatin, ur RTO engages with relevant industry stakehlders t establish apprpriate cntexts, methds, resurces, trainers and assessrs t deliver training and cnduct assessment. The infrmatin gathered thrugh industry engagement is used in the develpment f the RTO s Training and Assessment Strategy and in the selectin f suitable resurces, including the currency f industry skills f its trainers and assessrs. Plicy and Prcedure/s Industry Engagement Strategies (T) 1.5 Page 33 f 162 SEP16 Quality & Cmpliance P&P-v6.4 The RTO cnsults directly with industry t identify hw the RTO will deliver and assess training prducts t meet industry needs. The RTO, including its trainers and assessrs, undertakes a range f cnsultatin with industry, these include:! Attending Industry Wrkshps, Cnferences and Frums. Being actively invlved in industry fcussed wrkshps, cnferences and frums t increase skills and knwledge f the industry! Attending Industry Skills Cuncil wrkshps and meetings, t gain a better understanding n hw t implement a Training Prduct as well as actively be invlved in training prduct develpment! Attending VET Cnferences and Wrkshps, t further develp VET knwledge and skills f RTO and Training staff! Undertaking Industry Surveys, utilising the industry survey frm which directly aligns with this Training & Assessment Strategy, t identify the desired training delivery and assessment methds required by emplyers and supervisrs within the industry we service (see page 34 fr plicy and prcedure)! Attaining Letters f Supprt frm rganisatins that have stated that they wish t supprt ur RTO t add a training prduct t ur scpe f registratin! Meeting with industry and clients t discuss their specific training needs! Undertaking Training Needs Analysis fr clients t identify the mst apprpriate training t fulfil the needs f their rganisatin and the industry (see page 42 fr plicy and prcedure)! Subscribing t Industry Newsletters, either direct with industry r thrugh industry skills cuncils, and scial netwrks (i.e. LinkedIn and facebk)! Engaging cnsultants wh are experts in their industry and/r cmpliance requirements Senir Management, in cnsultatin with the Trainers and Assessrs, are t develp a Training and Assessment Strategy fr the intended training prducts utilising the data cllected frm industry engagement. See Clauses fr further infrmatin. Strategies t engage emplyers 1.5 Strategies t engage emplyers and ther parties, such as third party supervisrs, are utlined belw:

35 Quality & Cmpliance Manual 1. During the Develpment f Training and Assessment Strategies, thrugh interviews and requesting that they review ur Training and Assessment Strategies 2. When utilising emplyers and supervisrs during traineeship visits r Wrk Placement t identify whether ur training is meeting their needs 3. Meeting with emplyers and supervisrs t identify if training utcmes are meeting industry needs 4. Cnducting QI Emplyer Surveys and Training Evaluatins t identify that skills and experience f ur trainers and assessrs meet industry needs. Fllwing is an utline f hw the RTO ensures that the cntributin by emplyers and ther parties are incrprated int training and assessment: 1. Develpment Prir t placing a qualificatin nt the RTO s Scpe f Registratin r prir t implementing new assessment tls, changes t existing training prducts; the RTO engages emplyers and ther parties in the develpment f the Training and Assessment Strategies by undertaking industry cnsultatin and industry surveys t identify emplyer/industry needs. 2. Delivery and Mnitring Emplyers and ther parties may be required t cntribute t the delivery and assessment f training, this culd include prviding: 1. Third Party Reprts: whereby a supervisr may be required t prvide feedback n the students prgress in the wrkplace. 2. Wrk Placement: whereby the student undertakes wrk placement with an rganisatin as part f their qualificatin cmpletin requirements. In rder t undertake assessments, the Assessr must hld the relevant Vcatinal and Training qualificatins, as per the requirements set ut in Clause 1.13, this includes emplyees/cntractrs f the RTO and emplyees/cntractrs f any ther rganisatin. All assessments, including Third Party Reprts and Wrk Placement, are t be finalised and signed ff by a qualified Assessr f the RTO. The RTO maintains evidence that we have cnsulted with industry stakehlders thrugh the fllwing methds: The RTO has in place an Industry Cnsultatin Flder, which includes evidence f cnsultatin including cpies f Industry Surveys Once a mnth we hld Quality and Cmpliance Meetings, at this meeting ne f the agenda items is Industry Cnsultatin, a recrd f meetings with industry is minuted at this meeting. Refer t the plicy and prcedure fr Quality and Cmpliance Meetings n page 80, which includes hw data cllected frm Industry Cnsultatin will be utilised fr imprving practices If any Opprtunities fr Imprvement are identified during Industry Cnsultatin r thrugh the mnthly Quality and Cmpliance Meeting an Opprtunity fr Imprvement Frm will be cmpleted, please refer t the Opprtunity fr Imprvement plicy and prcedure n page 82 fr mre infrmatin. Industry Survey Frm The Industry Survey Frm has been develped in line with the types f data the RTO cllects t write the TAS, this includes feedback frm industry n hw they wuld like t have the curse delivered. The Industry Survey Frm includes questins n the fllwing:! Relevant units t select fr the training prduct! Skills the industry believe are essential t their industry! Identifies the rle f the persn cmpleting the frm! Mde f delivery preferred by the persn cmpleting the frm! What the persn cmpleting the frm thinks abut training currently being supplied! What d they cnsider t be essential skills and experience f trainers and assessrs Quality & Cmpliance P&P-v6.03 AUG16 Page 34 f 162

36 CMS Training Quality & Cmpliance Manual! What they believe t be essential resurces fr the industry When undertaking Industry Surveys the RTO targets peple wh will be emplying ur students nce they cmplete the training (fr example Managers, Human Resurce Managers, Directrs, Management Staff, Supervisrs etc.). This Survey can be cnducted either via ing the Survey direct t relevant rganisatins within the Industry r we cnduct the survey ver the phne r at an interview/ meeting with the relevant staff. Industry Surveys can als be sent via an nline platfrm, such as Survey Mnkey. When preparing fr an Additin t Scpe, a minimum f five Industry Survey Frms are t be cllected fr each qualificatin t be placed nt the scpe f registratin. Letter f Supprt 1.6 The Letter f Supprt template is a letter that the RTO sends t assciates r cmpanies that the RTO is currently wrking with, wh wish t supprt the RTO s applicatin fr an additin t scpe. Letters f Supprt shuld be btained frm Senir Management staff f the rganisatin, this will ensure that the Letters f Supprt are valid. It is als best if the rganisatin is a pssible future client, whereby the RTO culd pssibly prvide training fr that rganisatin in the future. Trainers Currency (T) 1.6 All Trainers and Assessrs are required t maintain currency within their industry as a part f their emplyment. Refer t the plicy n Trainers Qualificatins and Experience under Clause In rder t ensure that trainers and assessrs currency with required industry skills is infrmed by industry engagement, the RTO has in place the fllwing plicy:! Industry Surveys are distributed t industry and includes questins n trainers skills and knwledge! Cnsulting directly with industry t ascertain current skills and knwledge requirements! Training Evaluatin Frms and QI Emplyer Frms include feedback n trainers skills and knwledge! Trainers and Assessrs are required t cnsult with industry directly abut current industry skills and knwledge! Trainers and Assessrs are required t undertake Prfessinal Develpment and/r training activities fcussed n industry skills and knwledge in bth the industry they deliver and the VET sectr. Training Evaluatins Frms (T&S) Page 35 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Training Evaluatin Frm - Student The purpse f the Training Evaluatin Frm is t cllect feedback frm students n the delivery f training and assessment, including training facilities, the trainers skills and knwledge, as well as feedback n the resurces utilised fr delivery f training, and verall satisfactin ranking with the curse. At the mid-way pint and cmpletin f each training prgram a Training Evaluatin Frm is t be handed ut t the participants fr cmpletin. The Training Evaluatin Frms are t be cllected and the relevant trainer will prepare a summary f the evaluatins t be given t the RTO Manager fr reviewing at the mnthly Quality and Cmpliance Meetings. In additin t training evaluatin, the RTO will cnduct randm surveys and interviews with industry leaders, clients, students and ther cmmunity bdies t identify future needs in training.

37 Quality & Cmpliance Manual The RTO Manager will reprt bth psitive and negative feedback t the relevant peple fr discussin. Feedback regarding delivered prgrams is t be discussed with the trainer that delivered the training with psitive feedback being acknwledged. These discussins are t assist in the revisin and adjustment f training material and delivery methds and enable t trainers prfessinal develpment. Any cmplaints r issues that are identified frm feedback are t be recrded in an Opprtunity fr Imprvement Frm fr actin. Once actin has been taken the Opprtunity fr Imprvement Frm is t be filed int the Opprtunity fr Imprvement Register. Frms filed int the flder are reviewed at the mnthly Quality and Cmpliance Meetings. Trainers are t prvide feedback n training thrugh the Trainers Reprt. Training Evaluatin Frm Emplyer The purpse f the Emplyer Training Evaluatin Frm is t cllect feedback frm emplyers participating in any wrk placement arrangements, abut the delivery f training and assessment, including training facilities, trainers skills and knwledge, as well as feedback n the resurces utilised fr delivery f training, including their supervisrs, and verall satisfactin ranking with the curse. At the mid-way pint and cmpletin f each training prgram an Emplyer Training Evaluatin Frm is t be handed ut t the emplyers fr cmpletin. The Emplyer Training Evaluatin Frms are t be cllected and the relevant trainer will prepare a summary f the evaluatins t be given t the RTO Manager fr reviewing at the mnthly Quality and Cmpliance Meetings. In additin t training evaluatin, the RTO will cnduct randm surveys and interviews with industry leaders, clients, students and ther cmmunity bdies t identify future needs in training. The RTO Manager will reprt bth psitive and negative feedback t the relevant peple fr discussin. Feedback regarding delivered prgrams is t be discussed with the trainer and supervisr that participated in the training with psitive feedback being acknwledged. These discussins are t assist in the revisin and adjustment f training material and delivery methds and supprt prfessinal develpment strategies. Any cmplaints r issues that are identified frm feedback are t be recrded in an Opprtunity fr Imprvement Frm fr actin. Once actin has been taken the Opprtunity fr Imprvement Frm is t be filed int the Opprtunity fr Imprvement Register. Frms filed int the flder are reviewed at the mnthly Quality and Cmpliance Meetings. Trainers are t prvide feedback n training thrugh the Trainers Reprt. Evidence! Training and Assessment Strategy template! Industry Survey Frm! Training Evaluatin Frm- Student and Emplyer! Industry Cnsultatin Flder! Staff Matrix! Trainers and Assessrs Psitin Descriptin Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f January n an annual basis. Respnsibility! Chief Executive Officer! Senir Management! Trainers & Assessrs Quality & Cmpliance P&P-v6.03 AUG16 Page 36 f 162

38 CMS Training Quality & Cmpliance Manual LEARNER SUPPORT (CLAUSE 1.7) 1.7 The RTO determines the supprt needs f individual learners and prvides access t the educatinal and supprt services necessary fr the individual learner t meet the requirements f the training prduct as specified in training packages r VET accredited curses. Strategy Plicy and Prcedure/s Client needs are established thrugh the cllectin f data, the frms used fr establishing these needs are as fllws: Enrlment Agreement Frm Each student is required t cmplete an Enrlment Agreement Frm prir t curse cmmencement. The needs f the client will be identified n this frm thrugh the declaratin f prir skills and knwledge as well as any disabilities they may have LLN Assessment Quiz Written specifically t capture data that will identify hw the student prcesses infrmatin, thereby prviding the RTO with a basic understanding f the student s abilities in Language, Literacy and Numeracy. The needs f the client will be identified n this frm thrugh the data cllected, which will include the Student s understanding f the questins and ability t answer the questins and the level f supprt required will be identified. Training Needs Analysis Where applicable, the RTO undertakes a Training Needs Analysis f emplyers and industry, t identify current weaknesses within the rganisatin and adjustments are made t training t meet the needs identified fr that cmpany. The type and level f supprt is identified frm these methds and learners are referred t supprt services t meet their needs identified as applicable. Target Grup Needs (T) The RTO will identify supprt services fr the intended target grup when develping the TAS, this culd include:! English as a Secnd Language (ESL)! Language Literacy and Numeracy (LLN)! Physical capabilities! Entrance requirements including age, qualificatins and experience! Required pre-requisites like skills and knwledge Required supprt services will be identified thrugh the fllwing methds:! Cnsulting with industry! Industry surveys! Addressing the requirements f the training prduct! Identifying learners needs in cmpanin guides frm the Training Package! Cntacting Skills Service Organisatins! Undertaking a Training needs analysis All identified needs will be included in the TAS and Curse Flyer. Identify Client Needs (T) 1.7 Our RTO caters t a diverse range f learners needs and aims t identify and respnd t these needs fr all students. Students are encuraged t express their views abut their Page 37 f 162 SEP16 Quality & Cmpliance P&P-v6.4

39 Quality & Cmpliance Manual learning needs at all stages f their learning experience, frm the initial cunselling and enrlment stage thrugh t cmpletin f their training. It is the respnsibility f all staff t identify the students needs thrughut the curse f their enrlment, as the Trainer will have the majrity f the cntact with the student, it is their respnsibility t mnitr student prgress and ntify the RTO Manager f any needs that they have identified. Our RTO is cmmitted t prviding students with additinal supprt, advice r assistance thrughut their training. T achieve this, and t ensure the quality f the delivery f training and assessment, we prvide ur student s with Supprt Services t imprve and extend their training utcmes. Students wh wish t discuss these supprt services are advised t make an appintment with their trainer in the first instance, if required they can then make an appintment t see the RTO Manager. Student needs may be identified as, but nt limited t, the fllwing:! Flexibility f training! Adjustment t training! Disabilities! Access t materials and equipment! Knwledge and understanding f subject! Validatin f current cmpetencies! Using adaptive technlgy r specific equipment t assist learning! Cnsidering cultural beliefs, traditinal practises/religin bservances! Referral t supprt services (ie hardship services like Lifeline r Supprt Services fr addictins like drugs and alchl)! Making adjustments t the physical envirnment! Language, Literacy and Numeracy! Access t payment plans Additinal t mnitring student prgress within the training envirnment, client needs can be identified thrugh the fllwing dcumentatin: Enrlment Agreement Frm (See page 114 fr plicy and prcedure) LLN Assessment Quiz (See page 39 fr plicy and prcedure) Industry Cnsultatin (See page 33 fr plicy and prcedure) Training Evaluatin (See page 37 fr plicy and prcedure) Cmplaints and Appeals (See page 124 fr plicy and prcedure) Opprtunity fr Imprvement (See page 82 fr plicy and prcedure) Quality Indicatr Surveys (See page 22 fr plicy and prcedure) The abve frms are mnitred and recrded at the mnthly Quality and Cmpliance Meeting. If a staff member identifies that a Student is in need f additinal supprt, they are t cntact the RTO Manager and discuss strategies t meet the student needs. Fr further infrmatin n hw t access referral services r hw t prvide further supprt fr a student, please refer t the Supprt Services plicy and prcedure n page 42. If an adjustment t training is required the trainer shuld cmplete an Adjustment t Training Frm, please see page 44 fr plicy and prcedure. All client needs are discussed at the Quality and Cmpliance Meeting, refer t plicy and prcedure n page 80. Assessing the Students Suitability 1.7 (T) Full Qualificatins The students ability t meet the requirements f the curse will be assessed thrugh a range f methds, these include: 1. Ptential student t cmplete the Enrlment Agreement Frm, which includes questins Quality & Cmpliance P&P-v6.03 AUG16 Page 38 f 162

40 CMS Training Quality & Cmpliance Manual t the student n their suitability fr enrlment int the curse f chice 2. The curse flyer utlines the minimum entry requirements that the student must meet t enter int the curse, including any pre-requisites, age restrictins r required skills and knwledge 3. Students will be required t attend an Infrmatin Sessin, whereby the students will be prvided infrmatin n the training and assessment, including the requirements t be assessed in the wrkplace. During the Infrmatin Sessins, the students will be given the pprtunity t ask any questins they may have abut the training, assessment and wrk placement requirements. 4. The RTO will identify the student suitability t cmmence the curse, this includes:! LLN Assessment! Physical Ability! Suitability Checklist 5. Students wh d nt hld a minimum qualificatin f Certificate III r abve frm an Australian institutin will be required t cmplete an LLN Assessment activity (fr single units prir t curse cmmencement) at the Infrmatin Sessin, s that the RTO can determine the level f supprt the student may need. 6. If required, an interview can be held with the individual candidate by the RTO Manager r Training Crdinatr t discuss curse requirements further. Single Units The students ability t meet the requirements f the curse will be assessed thrugh a range f methds, these include: 1. Ptential student t cmplete the Enrlment Agreement Frm, which includes questins t the student n their suitability fr enrlment int the curse f chice 2. The curse flyer utlines the minimum entry requirements that the student must meet t enter int the curse, including any pre-requisites, age restrictins r required skills and knwledge 3. Trainer will mnitr the student thrughut their training. Page 39 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Language, Literacy and Numeracy (LLN) (T&S) 1.7 LLN supprt is available t prvide students with advice and supprt services in the prvisin f language, literacy and numeracy assessment services. Student s needing assistance with their learning shuld be identified upn enrlment. Trainers and staff within the RTO can prvide students with supprt t assist the student thrughut the learning prcess. Language, Literacy and Numeracy skills are generally included and identified in Training Prducts and accredited curse prgrams. In identifying language, literacy and numeracy requirements, students are required t have basic skills in:! Cunt, check and recrd accurately! Read and interpret! Estimate, calculate and measure All students undertaking training are required t undertake an LLN Assessment, unless the student currently hlds a Certificate III qualificatin r abve, r can demnstrate equivalent industry experience. Prcess fr LLN Assessment: 1. RTO t distribute LLN Assessment prir t curse cmmencement, this may be at an infrmatin sessin fr full qualificatin training, r befre the sessin has started fr shrt curses (single units and/r skill set). 2. Student t cmplete the LLN Assessment 3. An Assessr wh hlds the TAELLN411 - Address adult language, literacy and

41 Quality & Cmpliance Manual numeracy skills unit frm the Certificate IV in Training and Assessment qualificatin, will review the LLN Assessment using the LLN Assessment Tl Assessrs Guide t identify any difficulties the student may have experienced in cmpleting the tl 4. Determine frm the LLN Assessment tl, using the Hw t determine the supprt required fr the learner sectin at the back f the LLN Assessment Tl Assessrs Guide t determine the level f supprt the student may require t cmplete the training and assessments. 5. If the student has demnstrated that they have the skills t cmmence training, determine whether any adjustments shuld be made t the training t meet the needs f the student (i.e. assistance with writing etc.). If adjustment t training is required cmplete a Training Adjustment Plan as per the plicy and prcedure set ut n page If the student des nt have the skills required t cmplete training and assessment, determine whether the student needs t be redirected t Language, Literacy and Numeracy Training. (i.e. The Reading Writing Htline) 7. Trainers are required t mnitr student prgress t identify needs n an nging basis, thrugh assessment tls and curse participatin, t determine whether further assessment r assistance is required 8. If a Trainer identifies any LLN barriers they are required t ntify the RTO Manager as sn as pssible s that further assistance can be prvided 9. If required, the student may be referred t a third party if the RTO is unable t assist with any barriers t learning. Please refer t the Supprt Services plicy and prcedure n page 42 fr the prcess n hw t refer a student t supprt services. 10. Once a student has cmpleted further training t imprve their language, literacy and numeracy, they are invited t return t the RTO t cntinue their training. The LLN Assessment Tl may be replaced by an industry specific tl. LLN Assessment Prcess (T&S) 1.7 Quality & Cmpliance P&P-v6.03 AUG16 Page 40 f 162

42 CMS Training Quality & Cmpliance Manual Idenmfy whether the student shuld cmplete an LLN Assessment Student has cmpleted a Cermficate III r abve Yes Student des nt present as having a barrier t learning? N Issue the Student with an LLN Assessment Yes N Student t return cmpleted assessment prir t curse cmmencement N LLN Assessment Was the student able t cmplete the task with minimal dificulty? Yes N Student t prcess t enrlment Was the student idenfied as having an LLN limitamn, these culd include: Inability t answer all quesmns; demnstrated limited understanding f quesmns; student required assistance t cmplete Yes Recmmend the student undertake an LLN curse t imprve skills N Student t be mnitred and adjustments made t meet student needs Once the student has successfully cmpleted further training, they are welcme t return t the RTO Page 41 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Trainers Respnsibilities (T) 1.7 Trainers/Assessrs are respnsible fr:! Adapting their training/assessment t meet the needs f students! Identify and assist students with LLN difficulties! Ensure that training and assessment fcuses n the training and assessment f the perfrmance criteria and nt LLN skills! Identify the level f LLN skills required t achieve cmpetency! Address any issues r cncerns with Senir Management! Nt t place demands n training if it is nt a requirement f the training prduct. Depending n the skills and knwledge being assessed and the resurces available, a number f ptins are available t trainers/assessrs t adapt t the LLN needs f students r access further supprt fr students, including:! Accessing r referral t an interpreter! Writing in clear and cncise English! Reading written material t participants wh have difficulties in reading! Using signs, graphics and pictures! Using vide! Practical, real life training, practice and assessment! Supprt frm supervisrs! Supprt frm third party prviders such as LLN Training It is imprtant fr trainers t cnsider the LLN skills needed t achieve the cmpetency, therefre if the perfrmance criteria require a degree (high, medium r lw) f LLN skills then these must be cvered. The required skills and knwledge fr the training prducts is identified in the TAS. Trainers cannt adjust their training r assessment s that the LLN skill level is lwer than that required t demnstrate cmpetency.

43 Quality & Cmpliance Manual Training Needs Analysis 1.7 The Training Needs Analysis lks at each aspect f an peratinal dmain s that the initial skills, cncepts and attitudes f the rganisatin can be effectively identified and apprpriate training can be develped t meet the needs f the rganisatin. If an rganisatin requires the RTO t undertake training and assessment with the rganisatin, a Training Needs Analysis can be undertaken t identify skills shrtages r gaps. The Training Needs Analysis will assist the RTO t identify current weaknesses within the rganisatin and enable the RTO t make adjustments t training t meet the needs identified. Once a Training Needs Analysis has been requested by a Client the fllwing prcess shuld be fllwed: 1. Cntact the rganisatin and ascertain wh is the key persn wh yu will be wrking with t develp the Training Needs Analysis 2. Explain that the prcess will invlve a tw stage prcess, firstly yu will be prviding the rganisatin with a Training Needs Analysis frm fr them t cmplete, and secndly yu will be visiting the rganisatin t discuss the frm and their needs further. 3. the Training Needs Analysis Frm 4. Set a date t meet with the key staff member frm the rganisatin 5. Meet with the client and review the Training Needs Analysis with the key staff member, taking int cnsideratin that the frm may nt be fully cmpleted at the time f the meeting 6. Discuss with the client the fllwing: a. Current rganisatinal structure b. Areas f training currently under cnsideratin c. Any Strategic Gals they may have in place d. Plicies and prcedures that will need t be cnsidered e. Review f current emplyees and their needs f. Past perfrmance r training results f the cmpany, failures and successes g. Staff perfrmance h. Feedback they have received frm clients 7. Once a review has been cnducted yu can discuss prpsed training and what their desired results will be fr the training. 8. Frmalise int an agreement 9. Prepare a Training Plan and submit fr the rganisatins apprval 10. Cmmence Training Mnitring the Effectiveness f Services 1.7 Student prgress will be mnitred by the Assessr, in cnjunctin with the RTO Manager, t ensure that the students needs are being met. The Trainer is required t reprt t the RTO Manager n student prgress thrugh the Trainers Reprt, which is submitted nce a mnth t the RTO Manager. Please refer t plicy and prcedure n page 84 fr the Trainers Reprt Prcess. Supprt Services (T&S) 1.7 The RTO caters t diverse client learning needs and aims t identify and respnd t the Quality & Cmpliance P&P-v6.03 AUG16 Page 42 f 162

44 CMS Training Quality & Cmpliance Manual learning needs f all students. All students are encuraged t express their views abut their learning needs at all stages f their learning experience frm the initial enrlment and inductin stage. The RTO is cmmitted t prviding students requiring additinal supprt, advice r assistance while training. T achieve this and t ensure the quality delivery f training and assessment, the RTO prvides supprt services t imprve and extend training utcmes. Students are advised t make an appintment with their trainer in the first instance, if required the student can then schedule an appintment with the RTO manager t discuss supprt services. Additinal supprt services include:! Learning Supprt! Assistance when applying fr RPL r credit transfer! Whether r nt specialist supprt equipment r persnnel is required! Whether r nt any reasnable adjustments need t be applied t suit the candidate cntext! Briefings n the assessment prcess, may be written r verbal. If verbal, must be lked up in writing! Prvisin r access t assistive technlgy! Additinal tutrials t assist with learning! Assistance in using technlgy! Adjustment t equipment (i.e. change f study t supprt a student with a bad back)! Referral t LLN assistance! Mentring! Referral t cunselling services! Grievance /cnflict reslutin! Stress management! Access and equity issues! Client welfare and supprt Genuine difficulties fr a learner t cmplete a prgram in the alltted timeframe are t be brught t the attentin f the RTO manager at the first available pprtunity. Services are mnitred and imprved thrugh Opprtunity fr Imprvement and the Quality and Cmpliance Meetings. Refer t page 37 fr the plicy n hw the RTO identifies client needs, and delivers services t meet thse needs. Supprt Services Frm (T&S) The Supprt Services Frm is t be used by the RTO staff t recrd any cunselling they may have undertaken with a student, including any discussin abut prviding extra supprt r referral t the Supprt Services List. This frm is available frm the ffice and can als be ed t yu upn request. In this frm yu shuld include any f the fllwing: Discussins raised by students that may be f a cncern, this may have been during class r individually Referrals t ther Supprt Services that may have been advised r discussed with the student Any discussin n disabilities that the student has disclsed, whereby they may need further assistance Discussins n any adjustments t training that may be required t meet student needs. Yu may als cmplete an Adjustment Plan fllwing this meeting t identify a strategy t assist the student. See prcedure belw fr the Training Adjustment Plan. Page 43 f 162 SEP16 Quality & Cmpliance P&P-v6.4

45 Quality & Cmpliance Manual Discussins n Language Literacy and Numeracy and referral t third parties Upn cmpletin f the Supprt Services Frm the staff member shuld submit this frm t the RTO Manager and arrange a time t discuss the student needs with the RTO Manager r ther senir management. All cmpleted Supprt Services Frms will be discussed at the mnthly Quality and Cmpliance Meeting t mnitr student prgress. Supprt Services List (S) The Supprt Services List prvides a list f supprt services available t students thrugh referral, please refer t the list t identify the mst apprpriate service fr the students. This list is prvided n the back f the Student Handbk and includes website addresses and phne numbers t access these services. If a student is unsure f the service that they require, they shuld cntact their trainer r the RTO Manager t discuss further. Training Adjustment Plan (T) 1.7 On ccasin trainers will be required t adjust training t meet student needs, this culd be due t an LLN limitatin being identified r a disability, r ther individual need. Trainers are respnsible, in cnsultatin with the CEO r Senir Management, t adjust training t meet individual needs. The fllwing prcess shuld be fllwed: 1. Adjustment requirement identified with student 2. Discuss a plan fr adjusting training t meet student needs with CEO r Senir Management 3. Cmplete a Training Adjustment Plan 4. Review Training Adjustment Plan with student and update, if required. 5. Submit Training Adjustment Plan t CEO r Senir Management fr apprval 6. Implement and mnitr Training Adjustment Plan The Training Adjustment Plan is t be filed nt the Student s file. Evidence! Enrlment Agreement Frm! Language, Literacy and Numeracy Assessment! Training and Assessment Strategy! Student Handbk! Trainers Handbk! Trainers Reprt! Training Needs Analysis Frm! Student Supprt Services Frm! Training Adjustment Plan! Opprtunity fr Imprvement Register Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f February n an annual basis. Respnsibility! Chief Executive Officer! Senir Management! Trainers and Assessrs Quality & Cmpliance P&P-v6.03 AUG16 Page 44 f 162

46 CMS Training Quality & Cmpliance Manual ASSESSMENT (CLAUSES ) 1.8 The RTO implements an assessment system that ensures that assessment (including Recgnitin f Prir Learning): a) cmplies with the assessment requirements f the relevant training package r VET accredited curse; b) is cnducted in accrdance with the Principles f Assessment cntained in Table and the Rules f Evidence cntained in Table 1.8-2; 1.9 The RTO implements a plan fr nging systematic validatin f assessment practices and judgments that includes fr each training prduct n the RTO s scpe f registratin: a) when assessment valida.n will ccur; b) which training prducts will be the fcus f the valida5n; c) wh will lead and par-cipate in valida-n ac-vi-es; and d) hw the utcmes f these ac-vi-es will be dcumented and acted upn 1.10 Fr the purpses f Clause 1.9, each training prduct is validated at least nce every five years, with at least 50% f prducts validated within the first three years f each five year cycle, taking int accunt the relative risks f all f the training prducts n the RTO s scpe f registratin including thse risks identified by the VET Regulatr 1.11 Fr the purpses f Clause 1.9, systematic validatin f an RTO s assessment practices and judgements is undertaken by ne r mre persns wh are nt directly invlve in the particular instance f delivery and assessment f the training prduct being validated, and wh cllectively have: a) vca%nal cmpetencies and current industry skills relevant t the assessment being validated; b) current knwledge and skills in vca2nal teaching and learning; and c) the training and assessment qualifica2n r assessr skill set referred t in item 1 r 3 f Schedule The RTO ffers recgnitin f prir learning t individual learners Strategy The RTO acknwledges the Natinal Assessment Principles issued under the Australian Recgnitin Framewrk and is cmmitted t validity, reliability, flexibility and fairness in assessment prcesses fr the training prducts that it delivers t its clients. The RTO aims t prvide clients and training/assessment staff with an assessment system that is as fair and equitable as pssible. Assessments are cmpetency based and are designed t determine whether the student can demnstrate the targeted cmpetencies. Students wh are unable t demnstrate cmpetency at any given time, r wh successfully appeal assessment results may be reassessed at an apprpriate later date, (reassessment may attract an additinal fee). Assessments are set t meet the assessment criteria f the training prduct r accredited curse n which the prgram is based. Assessment may be undertaken n r ff the jb. If cnducted in the wrkplace, suitable wrkplace assessrs and assessment prcedures are t be used. All assessment materials must be apprpriate t the client s needs and prgram delivery methds. Page 45 f 162 SEP16 Quality & Cmpliance P&P-v6.4

47 Quality & Cmpliance Manual Plicy and Prcedure/s Assessment (T) 1.8 Student Assessment Guide The Student Assessment Guide prvides the student with a guide t the assessment tasks required t be cmpleted in rder t demnstrate cmpetence. The guide includes an utline f the types f assessments and the expectatins t achieve cmpetence. A Student Assessment Guide is t be prvided with each Assessment Task. Assessrs must prvide a cpy f the Assessment Guide t all students prir t cmmencement f assessment in rder t meet the principles f assessment. Trainers Assessment Guide The Trainers Assessment Guide prvides the Trainer with instructins n hw t cnduct assessments, with a guide fr the typical answers fr each assessment activity. The assessment guide shuld prvide clear instructins s that cnsistency f assessment is maintained thrughut the RTO. A Trainers Assessment Guide is t be prvided with each Assessment Task. In rder t cnduct quality assessments, the RTO has develped an assessment guide t meet the Rules f Evidence and Principles f Assessment, by prviding clear infrmative instructins t the Assessr n the structure and methds f assessment. Assessment Cver Sheet (S) The Assessment Cver Sheet is t be prvided t the student t cmplete and attach t their cmpleted Assessment Tasks prir t submissin t their Assessr. The cver sheet prvides a mechanism fr the student t sign a declaratin that the wrk submitted is all their wn wrk and that they have kept a cpy f their assessment task fr their reference. The cver sheet als prvides a mechanism fr the assessr t prvide feedback t the student as well as their result fr wrk cmpleted. A cpy f the Assessment Cver Sheet is prvided n the back f the Student Handbk. Cntextualisatin Assessment tls that have been purchased frm a publisher shuld be cntextualised t meet the target client grup f the RTO, i.e. language and literacy skills, specific industry requirements, current experience f target grup, etc. Cntextualisatin can include:! Adding the rganisatinal lg and details! Adjusting the wrding t the target grup! Adding r refining assessment tasks t delivery methd Training Prduct Requirements (T) Assessment tls are develped r purchased fr each curse that maximises assessment pprtunities and meets the specific needs f the industry. All assessrs will be prvided access t the relevant Training Prduct. At present, all Training Prducts have been r will be ging thrugh a review, due t this transitin there are tw frmats fr Training Packages, this includes Old Training Package Frmat and the New Training Package Frmat. Assessments are t be based n the requirements set ut in the Training Prduct as fllws: Old Training Package Frmat! Evidence guide New Training Package Frmat! Assessment Requirements! Cmpanin Guide prvided by the Quality & Cmpliance P&P-v6.03 AUG16 Page 46 f 162

48 CMS Training Quality & Cmpliance Manual! Assessment guidelines! Units f Cmpetency! Elements! Critical Aspects! Perfrmance criteria! Range Statement! Assessment Requirements ISC! Fundatin Skills! UOC s! Elements Assessments are t be develped in cnsultatin with industry t ensure that it meets the requirements f the wrkplace. Purchased assessment tls shuld be cntextualised t suit particular methds, learner prfiles, enterprise equipment requirements t meet the needs f the RTO s Target Audience. Sub-cntractrs may, n ccasin, be cntracted t develp assessment tls, which are t be validated by a minimum f tw assessrs. Assessment Mapping Tls In rder t best identify hw an assessment tl addresses the requirements f the UOC a mapping tl shuld be in place fr each assessment tl. This mapping tl shuld identify the assessment tasks against each perfrmance Criteria and Assessment Criteria f each UOC. Training and Assessment Plans (T) Page 47 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Delivery and Assessment Plan (DAP) The Delivery and Assessment Plan utlines hw the RTO plans t deliver and assess and shuld be develped fr each full qualificatin r skill set. The Delivery and Assessment Plan includes:! Delivery An utline f hw each unit will be delivered, including the resurces required t deliver that unit and any instructins t the trainer n hw t set up the training! Assessment A list f all the assessments fr each UOC, including prpsed due dates fr each assessment task. The Delivery and Assessment Plan shuld be distributed t each Trainer/Assessr respnsible fr the delivery f the curse. Trainers/Assessrs are respnsible fr fllwing the DAP and suggesting any imprvements t Senir Management thrugh an Opprtunity fr Imprvement Frm. The DAP can als be distributed t students, prviding them with a plan fr their training and assessment. DAP s can be custmised fr specific emplyer clients t meet the needs f the emplyer; this shuld be dne in cnsultatin with the emplyer. Custmisatin can include changes t:! Delivery methds! Delivery sites! Assessment methds Sessin Plan The Sessin Plan is t be used fr single units r shrt curses (ie ne day curses). The sessin plan template is nt as cmprehensive as the DAP, as it is mre fcussed n shrt curses and the plan fr the day. The plan shuld include details such as:! Activities t be undertaken! Resurces Required! Reference t textbks and ther readings

49 ! Assessment Tasks! Relevant Unit f Cmpetencies! Excursins! Gals f the sessin Quality & Cmpliance Manual The Sessin Plan shuld be develped by the trainer prir t cmmencement f training and shuld be reviewed at least nce per year r when there is a change in the Training Prduct, text bk r assessment tls. Once develped, the Sessin Plan shuld be submitted t the RTO Manager fr apprval, nce apprved the trainer can implement the Sessin Plan. Principles f Assessment and the Rules f Evidence (T&S) Assessrs are respnsible fr ensuring that all assessments are cnducted in accrdance with the principles f assessment and the rules f evidence. Principles f assessment are required t ensure quality utcmes. Assessments shuld be fair, flexible, valid and reliable as fllws: Fairness: Flexible: Validity: Reliability: Fairness requires cnsideratin f the individual candidate s needs and characteristics, and any reasnable adjustments that need t be applied t take accunt f them. It requires clear cmmunicatin between the assessr and the candidate t ensure that the candidate is fully infrmed abut, understands, and is able t participate in, the assessment prcess, and agrees that the prcess is apprpriate. It als includes an pprtunity fr the persn being assessed t challenge the result f the assessment and t be reassessed if necessary. T be flexible, assessment shuld reflect the candidate s needs; prvide fr recgnitin f cmpetencies n matter hw, where r when they have been acquired; draw n a range f methds apprpriate t the cntext, cmpetency and the candidate; and, supprt cntinuus cmpetency develpment. There are five majr types f validity: face, cntent, criterin (i.e. predictive and cncurrent), cnstruct and cnsequential. In general, validity is cncerned with the apprpriateness f the inferences, use and cnsequences that result frm the assessment. In simple terms, it is cncerned with the extent t which an assessment decisin abut a candidate (e.g. cmpetent/nt yet cmpetent, a grade and/r a mark), based n the evidence f perfrmance by the candidate, is justified. It requires determining cnditins that weaken the truthfulness f the decisin, explring alternative explanatins fr gd r pr perfrmance, and feeding them back int the assessment prcess t reduce errrs when making inferences abut cmpetence. Unlike reliability, validity is nt simply a prperty f the assessment tl. As such, an assessment tl designed fr a particular purpse and target grup may nt necessarily lead t valid interpretatins f perfrmance and assessment decisins if the tl was used fr a different purpse and/r target grup There are five types f reliability: internal cnsistency; parallel frms; splithalf; inter-rater; and, intra-rater. In general, reliability is an estimate f hw accurate r precise the task is as a measurement instrument. Reliability is cncerned with hw much errr is included in the evidence. Fllwing is a guide t what shuld be in the assessment tls t meet the Principles f Assessment :! Elements addressed (t levels as defined in perfrmance criteria)! Knwledge evidence/required knwledge addressed! Perfrmance evidence/required skills addressed! Assessment cnditins/critical aspects f evidence addressed! Cntext and cnsistency f assessment addressed t apprpriate AQF level! Assessment f knwledge and skills is integrated with their practical applicatin Quality & Cmpliance P&P-v6.03 AUG16 Page 48 f 162

50 CMS Training Quality & Cmpliance Manual! Assessment uses a range f assessment methds! Criteria defining acceptable perfrmance are utlined fr all instruments! Clear infrmatin abut assessment requirements is prvided (fr assessrs and students)! Allws fr reasnable adjustment and prvides fr bjective feedback! Cnsiders dimensins f cmpetency and transferability Rules f evidence are clsely related t the principles f assessment and prvide guidance n the cllectin f evidence t ensure that it is valid, sufficient, authentic and current as fllws: Validity: Sufficiency: Assessment evidence cnsidered has direct relevant t the unit r mdule s specificatins. Sufficiency relates t the quality and quantity f evidence assessed. It requires cllectin f enugh apprpriate evidence t ensure that all aspects f cmpetency have been satisfied and that cmpetency can be demnstrated repeatedly. Supplementary surces f evidence may be necessary. The specific evidence requirements f each unit f cmpetency prvide advice n sufficiency. Authenticity: T accept evidence as authentic, an assessr must be assured that the evidence presented fr assessment is the candidate s wn wrk. Currency: Currency relates t the age f the evidence presented by candidates t demnstrate that they are still cmpetent. Cmpetency requires demnstratin f current perfrmance, s the evidence must be frm either the present r the very recent past. Fllwing is a guide t what shuld be in the assessment tls t meet the Rules f Evidence : Validity Sufficiency Authenticity Currency Assessment evidence cnsidered has direct relevance t the unit r mdule s specificatins Sufficient assessment evidence is cnsidered t substantiate a cmpetency judgement Assessment evidence gathered is the learner s wn wrk Cmpetency judgements include cnsideratin f evidence frm the present r the very recent past In rder t ensure that assessment activities/tasks meet the Principles f Assessment and the Rules f Evidence requirements, which includes meeting wrkplace requirements and t ensure the reliability and flexibility f assessment, all assessment activities/tasks must be validated. Please refer t the plicy and prcess fr Assessment Validatin belw fr mre details n hw t validate. Cheating and Plagiarism (T&S) CMS Training will nt cndne cheating r plagiarism in any frm by students f the RTO and will ensure that these standards are upheld. Trainers must be diligent in reducing ptential pprtunities fr cheating and plagiarism t ccur by adhering t ur plicy n Cheating and Plagiarism. Definitin f Cheating Cheating is defined as btaining r attempting t btain, r aiding anther t btain credit fr wrk, r any imprvement in evaluatin f perfrmance, by any dishnest r deceptive means. Cheating includes, but is nt limited t: lying; cpying frm anther's test r examinatin; discussin at any time f answers r questins n an examinatin r test, unless such discussin is specifically authrized by the instructr; taking r receiving cpies f an exam withut the permissin f the instructr; using r displaying ntes, "cheat Page 49 f 162 SEP16 Quality & Cmpliance P&P-v6.4

51 Quality & Cmpliance Manual sheets," r ther infrmatin devices inapprpriate t the prescribed test cnditins; allwing smene ther than the fficially enrlled student t represent same. Definitin f Plagiarism Plagiarism is defined as the act f using the ideas r wrk f anther persn r persns as if they were ne's wn withut giving prper credit t the surce. Such an act is nt plagiarism if it is ascertained that the ideas were arrived thrugh independent reasning r lgic r where the thught r idea is cmmn knwledge. Acknwledgement f an riginal authr r surce must be made thrugh apprpriate references; i.e. qutatin marks, ftntes, r cmmentary. Examples f plagiarism include, but are nt limited t the fllwing: the submissin f a wrk, either in part r in whle cmpleted by anther; failure t give credit fr ideas, statements, facts r cnclusins which rightfully belng t anther; failure t use qutatin marks (r ther means f setting apart, such as the use f indentatin r a different fnt size) when quting directly frm anther, whether it be a paragraph, a sentence, r even a part theref; clse and lengthy paraphrasing f anther's writing withut credit r riginality; use f anther's prject r prgrams r part theref withut giving credit. It is cheating t:! use ntes r ther resurces withut permissin during frmal testing! hand in smene else s wrk as yur wn (with r withut that persn s permissin)! hand in a cmpletely duplicated assignment! take wrk withut the authr s knwledge! allw smene else t hand up yur wrk as their wn! have several peple write ne cmputer prgram r exercise and hand up multiple cpies, all represented (implicitly r explicitly) as individual wrk! use any part f smene else s wrk withut the prper acknwledgement! steal an examinatin r slutin frm a Trainer/Assessr. It is nt cheating t:! discuss assignments with yur Trainer/Assessr r ther students t understand what is being asked fr! hand in wrk dne alne r with the help f staff! get help t crrect minr errrs in spelling, grammar r syntax (sentence cnstructin)! discuss assignment requirements and curse materials s that yu can better understand the subject (this is, in fact, encuraged)! submit ne assignment frm a grup f students where this is explicitly permitted r required! use ther peple s ideas where they are acknwledged in the apprpriate way, such as referencing using ftntes, end ntes r the Harvard system f referencing. Penalties If yu are suspected f cheating, yur Trainer/Assessr will investigate t establish evidence t supprt the suspicin. If there is evidence t supprt the suspicin, yur Trainer/Assessr will ntify the RTO Manager and set ut the cncerns t yu in writing, requesting a time t discuss the matter. Yu will have the pprtunity t cunter the allegatins made against yu. Once yu have prvided yur infrmatin, CMS Training may cme t ne f tw decisins:! It is a minr r unintentinal ffence and yu will need t underg an alternative frm f assessment, such as a shrt ral assessment, which may invlve talking abut the wrk r questining. The penalty in this case is that yu will receive the lwest level f cmpetency r pass fr all the learning utcmes being assessed.! It is a serius ffence and yu will fail the mdule. Repeated ffences f cheating minr r serius will result in failure f the mdule plus a recrd n yur student Quality & Cmpliance P&P-v6.03 AUG16 Page 50 f 162

52 CMS Training Quality & Cmpliance Manual Page 51 f 162 SEP16 Quality & Cmpliance P&P-v6.4 file, tgether with the reasn. Yu will be advised f all penalties writing. What if I dn t agree with the decisin? If yu are accused f and penalised fr cheating and believe that the accusatin is unjust, yu have the right t appeal against the charge. This appeal must be ldged in writing with the educatinal manager f the prgram within ne week f the penalty being impsed. The appeal may be ldged against:! the prcess! the decisin! the penalty. The appeal will be investigated and a decisin will be advised t yu within a week f yur appeal. If yu are having difficulties with yur studies, yu are encuraged t seek help frm yur Trainer/Assessr. Assessment Validatin Plan (T) The gal f this Assessment Validatin Plan is t ensure thrugh and rigrus assessment practices and results are in place, by implementing a cmprehensive plan f systematic validatin. Decisins abut cmpetence are made n the basis f quality evidence, sufficiency f the evidence and the relevance f the evidence cllected n the assessment tls. Validatin is als a way t ensure that different applicatins f industry perfrmance criteria r perfrmance benchmarks remain within acceptable limits. This plan sets ut a strategy fr nging systematic validatin f assessment practices and judgements that includes validatin f each training prduct n the RTO s scpe f registratin. The plan includes: 1. When assessment validatin will ccur (Assessment Validatin Schedule) including: a. Prpsed Pre-Assessment Validatin and b. Prpsed Pst-Assessment Validatin 2. Which training prducts will be the fcus f the validatin (Assessment Validatin Schedule) 3. Wh will lead and participate in validatin activities (Assessment Validatin Meeting) and 4. Hw the utcmes f these activities will be dcumented and acted upn (Validatin Frms and Opprtunity fr Imprvement Frms) Assessment Validatin Schedule ( ) The purpse f the Assessment Validatin Schedule is t ensure that all assessment tls are validated ver a 5-year perid, with 50% f the tls t be validated ver the first 3 years. All training prducts are placed int the schedule t identify when they shuld be validated ver a 5-year perid. Training prducts are validated accrding t a risk rating. Higher risk units, thse units that have a higher risk f safety fr students, are priritised as high pririty fr validatin and shuld be validated befre lw risk units. The schedule includes a risk rating fr each unit t identify whether a unit is a high, medium r lw risk t the student. Units identified as a high risk, is t be validated befre the lw risk units and shuld be validated within the first 3-year perid. Fllwing is an utline f the risk ratings. Lw Minimal t lw risk t students. Unit is mainly thery based and des nt include skills required fr wrking with the public (i.e. units frm Business qualificatins such as custmer service)

53 Quality & Cmpliance Manual Medium Mre technical units that require the use f lw risk equipment that d nt have a high risk impact n the public (i.e. cmputer skills r ffice equipment) High High risk units include units that teach the student a service based skill that will impact the public (i.e. Child Care r Aged Care). The Assessment Validatin Schedule is t be reviewed as fllws: a. Minimum f nce per year b. Updated when a new Training Prduct is added r remved frm the scpe f registratin c. Prir t a regulatry audit d. When a Training and Assessment Strategy is updated. Types f Assessment Validatin There are tw types f Assessment Validatin, they include:! Pre-Assessment Validatin This is the prcess f validating assessment tls prir t using them with students, nrmally cnducted when intrducing a new assessment tl t ensure that they meet the Training Package requirements, Rules f Evidence and Principles f Assessment! Pst-Assessment Validatin This is the prcess f validating assessment tls fllwing the assessment tls being utilised, whereby the cmpleted assessment tls are validated against the Training Package requirements, Rules f Evidence and Principles f Assessment, as well as validating the cnsistency f answers r mderatin f the tls between different students and assessrs Fr mre infrmatin, the prcess f Assessment Validatin, please refer t the prcedure Hw t Validate belw. Assessment Validatin Meeting The plicy f the RTO is t hld a minimum f Tw (2) Assessment Validatin Meetings per year, where a minimum f 9% f the training prducts frm the RTO s scpe is validated at each meeting, with a minimum f 50% f the RTO s training prducts being validated ver a 3-year perid. The aim f validatin meetings is t:! discuss the assessment instruments and the assessment decisins being made! scrutinise the evidence that has been presented by students! check that there has been cnsistent interpretatin f the assessments in bth the design f the instrument and the judgments made! that the answers t the questins are aligned t the mdel answers in the Assessrs Guide Tls required fr the Assessment Validatin Meeting At the meeting the fllwing is t be reviewed frm each training prduct:! Assessment tls including written, ral, demnstratin, third party, RPL Kits, wrk placement tls, etc! Training prduct utline frm training.gv.au r the accredited curse wner (if applicable)! Assessment prcesses, including instructins t the student and assessr! Assessment Mapping Tl, nrmally prvided by the publisher, r develped by the RTO Hw t Validate The fllwing steps shuld be taken at the Assessment Validatin Meeting. Quality & Cmpliance P&P-v6.03 AUG16 Page 52 f 162

54 CMS Training Quality & Cmpliance Manual 1. A meeting date shuld be set up with Trainers and Assessrs 2. Select the qualificatins t be validated as per the validatin schedule 3. The fllwing tls shuld be cllected prir t the meeting and be ready fr the meeting! Printed cpies f the units f cmpetencies frm the training prduct fr all units t be reviewed! Printed cpies f the assessment tls fr each unit f cmpetency t be reviewed! Printed cpy f this Assessment Validatin Reprt! Cpy f the AQF Handbk! If available, a cpy f the Assessment Mapping tl fr each qualificatin. This is nrmally supplied by the publisher r develper 4. At the meeting, utline what is the purpse f the meeting and the units that will be validated 5. Validate as fllws:! Read the Perfrmance Criteria frm the Training Prduct! Map each perfrmance criteria against the questins within the assessment tl! Identify whether there is a questin that addresses the perfrmance criteria! Des the questin enable the assessr t ascertain the student s cmpetence against the perfrmance criteria?! Once yu have reviewed each perfrmance criteria, mve nt the Assessment Evidence Requirements! Des the questin in the assessment tl address the Assessment Evidence Requirements? I.e. are yu able t ascertain frm the assessment questin that it includes all the required evidence! Once yu have reviewed each assessment tl against the Training Prduct, mve nt the Assessment Validatin Reprt. 6. Answer each questin in the Assessment Validatin Reprt by addressing:! Des the tl meet the required Rules f Evidence?! Des the tl meet the required Principles f Assessment? 7. Nw review each tl against the qualificatin level within the AQF Handbk 8. Once all this has been dne, yu can sign ff the Assessment Validatin Reprt, staple tgether the tl and the evidence validated 9. If the assessment tl validated met all the Evidence requirements ie:! Perfrmance Criteria! Assessment Requirements! Principles f Assessment! Rules f Evidence! AQF level Yu can finalise the validatin and review at yur next Quality and Cmpliance Meeting. 10. If the assessment tl DID NOT meet the required evidence, an Opprtunity fr Imprvement Frm shuld be cmpleted and identify what rectificatins that shuld be undertaken, these culd include:! Redevelp current tls! Cntact publisher (if applicable) and advise that yu fund gaps in the tl and prvide them with a cpy f yur reprt! Purchase new tls frm anther publisher Assessment Validatin Team 1.11 Assessment Validatin is t be cnducted by ne r mre persns wh are nt directly invlved in the particular instance f delivery f the training prduct being validated and wh cllectively hld:! Relevant vcatinal cmpetencies and current industry skills! Current knwledge and skills in VET teaching and learning! TAE40110 Certificate IV in Training and Assessment (r its successr) r TAESS00001 Assessr skill set (r its successr) The Validatin team is facilitated and led by either the Chief Executive Officer r the RTO Manager. Page 53 f 162 SEP16 Quality & Cmpliance P&P-v6.4

55 Quality & Cmpliance Manual Final validatin decisins are t be made by persns wh are nt directly invlved with the delivery and assessment f the training prduct being validated. The Assessment Validatin Team may include:! Trainers and Assessrs frm the RTO! The RTO Manager r ther senir management! Industry experts! Cnsultants wh have expertise in Assessment Validatin! Staff frm ther RTO s Fllwing is a graph f hw the validatin culd be cnducted t ensure that assessment tls are validated by assessrs that did nt deliver the training and assessment: Assessr Assessment Tls Training Prducts Assessment Tls Training Prducts Assessr Assessr Assessment Tls Training Prducts Recgnitin f Prir Learning (RPL) (T&S) All students are eligible t apply fr Recgnitin f Prir Learning and are advised f this n the back f the Enrlment Agreement Frm and n the curse flyer. CMS currently desn t ffer RPL and will refer yu t an rganisatin that des if eligible. Wrk Placement (S) There are tw main types f Wrk Placement requirements, firstly there is the Cmpulsry Wrk Placement requirement and secndly it may be a requirement by the RTO that the Quality & Cmpliance P&P-v6.03 AUG16 Page 54 f 162

56 CMS Training Quality & Cmpliance Manual Page 55 f 162 SEP16 Quality & Cmpliance P&P-v6.4 student undertakes wrk placement as a key cmpnent f their training t assist them t gain emplyment upn cmpletin r t prvide a simulated wrkplace envirnment. Fr Cmpulsry Wrk Placements, students may be required t cmplete a set number f hurs in rder t meet the minimum requirements f a qualificatin accrding t the Training Prduct requirements. Wrk Placement Supervisrs Reprt When cnducting wrk placement the student must have evidence f sign ff frm a suitably qualified supervisr within the wrkplace envirnment. This supervisr must have apprpriate industry qualificatins fr the area in which the student is wrking, with a minimum f three years experience within that r a similar rle. Assessrs Respnsibilities An assessr must hld the TAE40110 Certificate IV in Training and Assessment r at the very least the TAEASS Skillset t satisfy requirements fr assessing candidates in the wrkplace. It is expected the assessr will have industry experience in the field being assessed f at least 5 years. An assessr will prvide a fair and equitable assessment envirnment cnsidering allwance fr reasnable adjustment where necessary. Student Respnsibilities (S) The RTO has a respnsibility t prtect members f the public (and the students themselves) frm being harmed by students taking part in wrkplace r simulated wrkplace learning. If there is evidence that yur skills r behaviur culd present a risk t yurself r ther peple in the wrkplace, yu may nt be allwed t participate in a wrk placement, at least fr a perid f time. T help yu understand yur respnsibilities in the wrkplace, yu will be given a cde f practice, which indicates expected standards f behaviur. Yur trainer will explain t yu and yur wrkplace supervisr the range f duties fr which yu have the skills and knwledge. Yu must nt carry ut duties ther than thse indicated by yur trainer. Yu need t take particular care if wrkplace clients are peple wh may be in vulnerable circumstances fr example, peple wh are frail, children, yung peple, peple with a disability r peple wh are receiving a type f service which may put them in vulnerable circumstances (e.g. massage therapy r nursing care). A Wrking with Children Check must be signed by a student in curses where cntact will be made with children and yung peple. Yur trainer will give yu mre infrmatin abut this, if required. Students wh have cmmitted a breach f discipline r wh are assessed as presenting a significant risk t themselves r thers during wrk placement may be prevented frm undertaking r cntinuing further wrk placement. This may mean they will nt cmplete the curse. Yur trainer can prvide yu with mre infrmatin abut this plicy. If yu are unsure abut whether it may prevent yu frm cmpleting a curse yu shuld discuss the matter with yur trainer. In sme circumstances students may be required t undertake a Plice Recrds Check prir t undertaking wrk placement, this will be identified n the curse flyer if it is a requirement. All students shuld refer t their trainer if they have any questins r require any assistance with regards t their wrk placement. Supervisrs Respnsibilities If an emplyer agrees t take n a student fr wrk placement, the emplyer is respnsible fr prviding the apprpriate facilities and a qualified persn t supprt the training and supervisin f the student in the wrkplace. Where applicable the supervisr shuld hld a current qualificatin fr their rle and/r skills and knwledge as deemed apprpriate fr

57 Quality & Cmpliance Manual their industry. The level f supervisin prvided shuld be aimed at facilitating the successful achievement f the relevant cmpetencies fr each student. This level f supervisin shuld be reassessed n a regular basis, by taking int accunt the stage f the student and the knwledge, previus experience and training the student has received in a particular area. The Wrkplace Supervisr is required t prvide pprtunities fr the student t develp their skills and knwledge and may be invlved in caching r mentring f the student but des NOT assess the student. The Supervisr will be required t cmplete a Wrk Placement Supervisr s Third Party Reprt in cnsultatin with the Assessr. The Third Party Reprt prvides infrmatin n what the student is required t demnstrate n the jb, including the required skills and knwledge fr the qualificatin that the student is undertaking, as well as fllwing r prviding feedback n relevant plicies and prcedures f the wrkplace. Depending n the qualificatin being undertaken plicies and prcedures may include:! WHS Plicies and Prcedures! Operatin f relevant equipment used in the wrkplace! Participating in wrkplace meetings! Grievance prcedure! Cnfidentiality and Privacy! Respecting thers! Prperty and resurces! Reprting prcedures The Supervisr is prvided with an utline f their respnsibilities within the Third Party Reprt, as well as the Assessr and Students respnsibilities. Each Wrk Placement Supervisr s Third Party Reprt, will include the relevant units that will be required t be cmpleted in the wrkplace, including the respnsibility f the Supervisr fr mnitring the students cmpetency against these units. This will be cmpleted under the supervisin f the Assessr frm the RTO. The Student is respnsible fr fllwing the instructins f the supervisr, as well as demnstrate t their supervisr that they are cmpetent in each f the tasks they are required t cmplete as part f their Wrk Placement requirements. If a Supervisr requires assistance with their rle as a Supervisr, they shuld cntact the RTO Manager r Assessr, wh can prvide yu with further assistance. Supervisrs Checklist The Supervisrs Checklist shuld be distributed by the RTO t a Supervisr in the wrkplace and the frm be cmpleted by the Supervisr prir t undertaking supervisin f a Student in the wrkplace t ensure that the Supervisr understands their respnsibilities. Once cmpleted the Supervisrs Checklist is t be returned t the Assessr and placed nt the Students File. Wrk Placement Supervisrs Third Party Reprt A third party reprt can be cmpleted by a persn wh has the ability t prvide supplementary evidence in supprt f the student cmpetence with regards t wrk placement. The Wrk Placement Supervisrs-Third Party Reprt has been designed t be easily used in the wrkplace by Supervisrs, Students and Assessrs t assess the student perfrmance in the wrkplace and fr recrding n the jb assessments r bservatins. Mnitring Traineeship Supervisin The State Training Services guide supervising yur apprentice r trainee is prvided at inductin fr trainee; this guide is used t explain t supervisrs their rle as a wrkplace Quality & Cmpliance P&P-v6.03 AUG16 Page 56 f 162

58 CMS Training Quality & Cmpliance Manual supervisr and tips n caching Page 57 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Reference t the apprpriate State Training bdy in yur state can be fund thrugh the fllwing link: Supervisin Arrangements fr Traineeships An emplyer must prvide the apprpriate facilities and a qualified persn/s t supprt the training and supervisin f trainees in the wrkplace. Where applicable the supervisr shuld hld a current ccupatinal licence and /r skills and knwledge as deemed apprpriate fr their industry. The level f supervisin prvided shuld be aimed at facilitating the successful achievement f the relevant cmpetencies fr each individual. It shuld be reassessed n a regular basis by taking int accunt the stage f the trainee and the knwledge and previus experience and training the trainee has received in a particular task. The Wrkplace Supervisr will prvide pprtunities fr the trainee t develp skills and knwledge and may be invlved in caching r mentring f the trainee but des NOT assess the trainee. The Supervisr will be required t cmplete a third party reprt in cnsultatin with the Assessr. The third party reprt prvides infrmatin n what the trainee des n the jb t demnstrate the required skills and knwledge fr the qualificatin that the trainee is undertaking as well as fllwing / prviding feedback n relevant plicies and prcedures f the wrkplace. Depending n the qualificatin being undertaken plicies and prcedures include:! WHS plicies and prcedures! Operatin f relevant equipment used in the wrkplace! Participating in wrkplace meetings! Grievance prcedure! Cnfidentiality and Privacy! Respecting thers! Prperty and resurces! Reprting prcedures Traineeship Assessment Visits The rles and respnsibilities f the student, supervisr, RTO, trainer/assessr and the Australian Apprenticeship Centre (AAC) are explained at inductin f the trainee. The cmpletin f a training plan is cmpleted in cnsultatin with and signed ff by trainee, emplyer/ supervisr and RTO representative usually the trainer/assessr. The training plan is used t capture the units f cmpetence, the number f visits, evidence t be gathered, clustering f any specific units and any required needs f the individual student such as slw reader r specific disabilities. In the event f a schl based traineeship the parent r guardian is always included with all relevant stakehlders At assessment visits the Assessr:! cllects and reviews any cmpleted evidence! bserves trainee n the jb r carrying ut specific tasks and cmpletes relevant dcumentatin! meets with bth the trainee and supervisr t ensure all assessments cmpleted accurately in line with wrkplace plicies and prcedures, discuss prgress, identify any areas fr imprvement, whether r nt extra evidence is required, t prvide nging feedback and t allcate requirements fr next visit. The Trainer/Assessr will either call r visit the Trainee between actual scheduled visits t mnitr and prvide nging directin and supprt. The Trainee r Supervisr can call r their Trainer/Assessr if they require extra

59 Quality & Cmpliance Manual clarificatin r assistance in understanding what is required fr their traineeship Evidence! Training and Assessment Strategies! Opprtunity fr Imprvement Frms! Equipment! Training and Assessment tls! Learner Resurces! Resurces Order Frm! Trainers Handbk! Assessment Validatin Reprt Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f March n an annual basis. Respnsibility! Chief Executive Officer! Senir Management! Trainers & Assessrs Quality & Cmpliance P&P-v6.03 AUG16 Page 58 f 162

60 CMS Training Quality & Cmpliance Manual TRAINERS AND ASSESSORS (CLAUSES ) 1.13 In additin t the requirements specified in Clause 1.14 and Clause 1.15, the RTO s training and assessment is delivered nly by persns wh have: a) vcatinal cmpetencies at least t the level being delivered and assessed; b) current industry skills directly relevant t the training and assessment being prvided; and c) current knwledge and skills in vcatinal training and learning that infrms their training and assessment. Industry experts may als be invlved in the assessment judgement, wrking alngside the trainer and/r assessr t cnduct the assessment The RTO s training and assessment is delivered nly by persns wh have: b) frm 1 January 2016, the training and assessment qualificatin specified in Item 1 r Item 2 f Schedule Where a persn cnducts assessment nly, the RTO ensures that the persn has: b) frm 1 January 2016, Item 1 r Item 2 r Item 3 f Schedule The RTO ensures that all trainers and assessrs undertake prfessinal develpment in the fields f the knwledge and practice f vcatinal training, learning and assessment including cmpetency based training and assessment. Strategy Plicy and Prcedure/s T have a systematic apprach fr engaging Trainers and Assessrs wh pssess the required skills and experience as set ut under these Standards. The RTO will d this by requesting that all trainers engaged by the RTO meet the Essential Requirements, which will be assessed against the Selectin Criteria within the psitin descriptin. All Trainers and Assessrs will underg a Perfrmance Review n a yearly basis, t mnitr prfessinal develpment, currency within industry and perfrmance f duties as utlined in their Psitin Descriptin. All Trainers are required t hld TAE40110 r a Diplma r higher level qualificatin in adult educatin. Trainers Qualificatins and Experience (T) Page 59 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Training and assessment is delivered by trainers and assessrs wh meet the minimum qualificatin and prfessinal develpment requirements as set ut belw, as per clause 1.13 a) have the necessary training and assessment cmpetencies as determined by the Natinal Quality Cuncil r its successrs Demnstrate that they have maintained currency in qualificatins in training and assessment:! TAE40110 Certificate IV in Training and Assessment r a diplma r higher level qualificatin in adult educatin and have the relevant vcatinal cmpetencies at least t the level being delivered and assessed! Diplma r Higher Educatin in Adult Educatin Demnstrate current knwledge and skills in assessing against the Training Prduct in a range f cntexts. This may be demnstrated thrugh at least tw f the fllwing; whereby the blded requirements are the tw preferred:! Hld a current vcatinal qualificatin at least t the level being delivered and assessed! Familiarity with the units f cmpetency in the Training Prduct t be used by the learner as a basis f assessment! Recent planning, cnduct and review f assessment and/r wrkplace training activities in a wrkplace cntext

61 Quality & Cmpliance Manual! Participatin in mderatin r validatin prcesses! Attendance at prfessinal develpment activities fcused n assessment and/r wrkplace training. b) can demnstrate current industry skills directly relevant t the training/assessment being prvided Demnstrate current knwledge, experience and qualificatins f the industry, industry practices, and the jb r rle against which perfrmance is being assessed, this may be demnstrated thrugh the fllwing:! Have current wrkplace experience, within the last tw years! Vcatinal Develpment! Attendance at prfessinal develpment r training and educatin activities fcusing n gd practice in the relevant industry cmpetencies! Participatin in prfessinal r industry netwrks. c) cntinue t develp their vcatinal educatin and training (VET) knwledge and skills as well as their industry currency and trainer/assessr cmpetence. Demnstrate the necessary knwledge and skills required t cnduct training and assessment, in line with the rules f evidence and principles f assessment. This may be demnstrated thrugh evidence f ne r mre f the fllwing:! Attendance in prfessinal develpment and/r training activities fcused n effective cmmunicatin in assessment and/r wrkplace training cntexts! Knwledge f language, literacy and numeracy issues in the cntext f assessment and wrkplace training! Attending seminars/webinars in the VET sectr! Recent assessment and/r wrkplace training activities! Participatin in VET Prfessinal Netwrks! Observe thers deliver training and assessment! Delivered Curses with a head assessr Assessrs Cnducting Assessment Only Where an assessr cnducts assessment nly, the assessr must meet at least ne f the fllwing six requirements:! TAE40110 Certificate IV in Training and Assessment r its successr! Diplma r higher qualificatin in adult educatin! TAESS00001 Assessr skill set r its successr Each assessr (the cnducts assessment nly) must meet all f the fllwing requirements:! Vcatinal cmpetencies at least t the level being delivered! Current relevant industry skills! Current vcatinal training and learning knwledge and skills Trainer and Assessr Respnsibilities (T) 1.13 and 1.16 The Trainer and Assessr is respnsible fr ensuring that they cmply with the VET Quality Framewrk, with a particular fcus n the fllwing: Assessment including Recgnitin f Prir Learning (RPL): a) meets the requirements f the relevant Training Prduct r VET accredited curse; b) is cnducted in accrdance with the principles f assessment and the rules f evidence; and c) meets wrkplace and, where relevant, regulatry requirements; and d) is systematically validated. The Trainer, in line with the requirements stated in 1.7 belw, is respnsible fr ensuring Quality & Cmpliance P&P-v6.03 AUG16 Page 60 f 162

62 CMS Training Quality & Cmpliance Manual Page 61 f 162 SEP16 Quality & Cmpliance P&P-v6.4 that they establish the needs f their clients n behalf f the RTO during the delivery f training and assessment t allw fr reasnable adjustment. 1.6 Emplyers and ther parties wh cntribute t each learner s training and assessment are engaged in the develpment, delivery and mnitring f training and assessment.! The Trainer is respnsible fr reprting t the RTO, as required, n the delivery f training and/r assessment services 2.4 The RTO mnitrs training and/r assessment quality. 8.5 The trainer/assessr must cmply with relevant Cmmnwealth, State r Territry legislatin and regulatry requirements relevant t the RTO and its scpe f registratin. Recruitment Prcess 1.13 The purpse f this prcess is t recruit and engage trainers that have the necessary training and assessment cmpetencies and relevant vcatinal cmpetencies t the level f the qualificatin being delivered and/r assessed. The ptential Trainer/Assessr shuld demnstrate current industry skills directly related t the training/assessment being undertaken and be cntinually develping their VET knwledge and skills as well as maintaining industry currency and trainer/assessr cmpetence. Trainers and assessrs are required t supply evidence f their suitability by prviding certified cpies f certificates fr any frmalised training r prfessinal develpment they have achieved as well as prvide referees frm previus/current emplyers r rganisatins that have engaged their services, Resumes/ CV s, evidence f attendance t seminars r cnferences r subscriptins t relevant industry newsletters, frums r webinars. Trainers/Assessrs need t be able t satisfy the fllwing:! Vcatinal cmpetencies at least t the level being delivered and assessed! Current industry skills directly relevant t the training and assessment being prvided! current knwledge and skills in vcatinal training and learning that infrms their training and assessment! Certificate IV TAE TAE40110 r its successr r Diplma r higher qualificatins in Adult Educatin The next step is t btain certified cpies (signed by a Justice f the Peace), f the trainer s certificates, t supprt their Staff Matrix and a cpy f their Resume r CV. Certificates can be verified by cntacting the issuing RTO and asking them t cnfirm the issuance. As extra assurance, it wuld be recmmended that yu lk up the issuing RTO n training.gv.au and check that they have the qualificatin n their scpe f registratin. Certificates must be current and match the details listed n TGA and frmatted in line with the AQF Qualificatins Issuance Plicy and Schedule 5 f the Standards. (A fact sheet n Sample frms f AQF certificatin dcumentatin, can be accessed thrugh the ASQA website.) If trainers d nt hld the current qualificatin they will need t prvide evidence f vcatinal and training currency against each unit f cmpetency they will be delivering. Further evidence f currency culd be reference letters frm emplyers, f which yu culd easily cntact t verify their rle respnsibilities. Rle respnsibilities shuld be relevant t their vcatinal and training experience, and evidence f current prfessinal develpment ie subscriptins t relevant industry bdies, attendance t seminars r cnferences, recgnised r nn-recgnised training, current licenses, plice clearances, wrking with children checks r memberships. The mre evidence yu btain, the mre cnfident yu will be that yu are able t deliver high standards f training and ensure quality utcmes fr students. Fllwing is the prcess t be fllwed fr engaging new trainers: (relevant dcuments are in bld belw)! Identify the need t recruit a trainer and allcate apprpriate Psitin Descriptin (Please see Trainer and Assessr Psitin Descriptin)

63 Quality & Cmpliance Manual! Place an advertisement, n Seek r thrugh the newspaper, that includes the key perfrmance criteria frm the psitin descriptin allcated Advertisement Request Frm! Receive applicatins and address suitability against key perfrmance criteria fr each applicant and shrtlist. Applicant Suitability Checklist! Make cntact with shrtlisted applicants, advise they have prgressed in the selectin prcess and wuld like t rganise a time fr them t attend an interview.! successful candidates an applicatin frm t be cmpleted and returned t the RTO Trainer Applicatin Frm! Carry ut interview using the trainer and assessr interview questins. This may be a ne n ne interviewer r a panel f interviewers. Interview Questins - Trainer! Review the interviewed applicants and select thse wh are mst suitable t prgress t the next stage f selectin prcess.! Phne applicant t advise that they have prgressed t the next stage f the selectin prcess and that they are t cmplete a staff matrix fr each qualificatin they will be engaged t deliver and assess and supply certified cpies f their certificates. Staff Matrix and certificates Cmplete a Wrking with Children Check! Review each cmpleted staff matrix, verify credentials and select the mst suitable applicant.! Carry ut tw (2) reference checks n the applicant and cmplete the Recruitment Checklist.! If satisfied with reference checks, make cntact with the applicant t advise that they have been successful in the recruitment prcess and that yu wuld like t ffer them the psitin.! If the applicant accepts the psitin, send via , a Letter f Offer and Cntract f Emplyment. Offer f Emplyment Letter Cntract f Emplyment Template! On receipt f the signed cntract, schedule an inductin with the successful applicant! Ntify all staff f new emplyee cmmencing, their psitin and cmmencement date.! On the day f the inductin have an inductin schedule prepared that will utline what will be cvered and the applicants partially cmpleted recruitment checklist! Cnduct inductin using the Staff Inductin PwerPint and cmplete inductin checklist. Staff Inductin Presentatin Cmplete Inductin Checklist! Take the successful applicant n a tur f the premises (if applicable) and intrduce t ther staff members! Cmplete emplyment administratin including Tax File Number declaratin (if applicable), Staff Details Frm, Superannuatin Chice Frm. At this pint prvide the applicant with a cpy f the signed Emplyment Cntract and Psitin Descriptin fr their recrds.! Begin a detailed review f the Trainers Handbk, relevant Frms and training/assessment tls. Quality & Cmpliance P&P-v6.03 AUG16 Page 62 f 162

64 CMS Training Quality & Cmpliance Manual Page 63 f 162 SEP16 Quality & Cmpliance P&P-v6.4! Issue the applicant with the required resurces and equipment t undertake their duties.! Review the Psitin Descriptin and discuss the expectatins f the psitin.! Develp a Prfessinal Develpment Plan and Schedule fr the trainer, identifying PD that the trainer culd undertake in the next 12 mnths! Cmplete the Emplyment Checklist n the Recruitment Checklist! Create a trainer file refer t the Recrds Management Prcess fr setting up Staff Files (Refers t Recrds Management- Staff Files Plicy n page 63 Advertisement Request Frm The purpse f the frm is t assist in preparing t place an advertisement n Seek r in a newspaper fr a psitin vacant, it captures relevant infrmatin t target the mst suitable applicants. A cpy f the draft advertisement shuld be attached t the frm fr apprval by the CEO. Applicant Suitability Checklist This frm is utilised when reviewing an applicatin fr a psitin vacant. The frm allws the RTO t recrd if the applicant has met/addressed the selectin criteria f the psitin and allws the RTO t make an infrmed decisin n the applicant s suitability based n their applicatin and interview. Interview Questins Trainer There are tw interview questin frms, ne fr Trainers and the ther fr Administratin staff, each has questins specifically fr the recruitment f staff fr training and administratin. This frm is used t assist with the interview prcess it prvides questins suitable t the psitin t capture infrmatin abut the applicant and t assist in making an infrmed decisin in the recruitment prcess. Trainer Inductin Prcess Once yu have engaged yur trainer, yu will need t cnduct an induc4n u4lizing the Staff Induc&n Pwer pint presenta&n and issue each trainer with a Trainers Handbk. The Trainers handbk utlines the trainer s rle and respnsibili3es in rela3n t the delivery f training, rganisa+nal cmpliance and adherence t legisla+ve and regulatry requirements whilst engaged by yur rganisa2n. Trainers wrking with persn under the age f 18 need t adhere t Child Prtec.n Regula.ns 2013, including btaining a Wrking with Children check clearance. Recrds Management Staff Files In rder t ensure that the emplyee files are maintained in a systematic and rderly manner, all files are t be set up as fllws:! All qualificatins are t have the riginals sighted, and a cpy signed as Original Sighted r Certified as true and crrect cpy including date sighted and signed by an RTO emplyee. The cpies are t be placed int the Trainer/Assessr s staff file.! Ensure the Staff Matrix is cmpleted by the Trainer and verified fr authenticity, then placed nt file. Verificatin includes checking that qualificatins are valid by either calling the RTO t verify cmpletin r checking Verify emplyment by calling referees and previus emplyers t cnfirm that the trainer was emplyed by the emplyer and that the trainer has the experience utlined in the resume.! Senir Management is t cnfirm and validate the authenticity f all qualificatins and stated industry experience and prfessinal assciatins prir t engaging a trainer and assessr, thrugh undertaking a reference checks fr each candidate and cmpleting the Applicant suitability checklist.! A Prfessinal Develpment plan is t be cmpleted fr the trainer and the RTO t encurage prfessinal grwth in relatin t their psitin and t maintain currency

65 Quality & Cmpliance Manual f skills t industry standards.! Senir Management cnducts annual Perfrmance Reviews by reviewing prfessinal develpment schedules fr all Administratin, Training and Assessing staff.! All newly engaged trainers and assessrs will cmplete an inductin prgram and be prvided with a Trainers Handbk t ensure that The RTO s Plicies and Prcedures are understd.! The fllwing Inductin frms are t be cmpleted at inductin and placed nt the Staff members file: Recruitment Checklist (which includes a checklist f dcuments that shuld be included n the staff file) Cntract f Emplyment Psitin Descriptin (signed) Staff File Frm Current and up t date Resume Staff Matrix Training and VET qualificatins (certified cpies f Certificates n file) Prfessinal Develpment (certified cpies f certificates f attendance t wrkshps and cnferences attended) Wrking with Children Check (if delivering training and assessment services t students under the age f 18) Plice Recrd Check (if applicable t industry requirements) Superannuatin Frm (Permanent staff nly) Tax File Number Declaratin (Permanent staff nly) Perfrmance Review (T) The Perfrmance Review is a tl t identify hw staff are achieving the key perfrmance criteria, as utlined in their Psitin Descriptin. The Perfrmance Review bjectives will be agreed t and signed by the staff member, appraiser and Senir Management t be reviewed at the next Perfrmance Review meeting. The prcedure fr Perfrmance Reviews is as fllws: 1. T be undertaken tw weeks prir t the end f a new emplyees prbatinary perid 2. After successful cmpletin f the prbatinary perid a secnd perfrmance review interview may be held within six mnths. 3. Annual perfrmance reviews will be held subject t satisfactry perfrmance. 4. Perfrmance reviews can be held mre frequently if there are cncerns related t perfrmance. 5. Reviews will be undertaken by senir management (in a mre senir psitin t the persn being reviewed). 6. Staff will be given tw weeks ntice that their perfrmance will be reviewed. 7. Senir Management will prvide a Perfrmance Review frm t the staff member, s that they are given an pprtunity t cmment n perfrmance, tw weeks prir t the review, these need t be returned t the reviewer within ne week. The Reviewer will use this frm during the Perfrmance Review meeting. 8. Objectives that the staff mnitr intends t get dne fr the next perid will be set and agreed t by bth Senir Management and the staff member. These will be signed by bth parties. 9. Objectives will be signed by Senir Management fr final apprval. 10. If the emplyee being appraised des nt agree with the utcmes f the Review he r she may enter int the Cmplaints Prcedure (see SRTO 6 fr prcedure n hw t submit a cmplaint). Quality & Cmpliance P&P-v6.03 AUG16 Page 64 f 162

66 CMS Training Quality & Cmpliance Manual Page 65 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Prfessinal Develpment (T) 1.16 It is the gal f the RTO t have all training staff qualified in Training and Assessment, in rder t achieve this gal all training staff must endeavur t cmplete the required training and assessment qualificatin. It is a requirement f all Trainers and Assessrs t undertake Prfessinal Develpment that relates t bth the area f training/assessment and industry currency, it is the trainers respnsibility t ensure that their skills and knwledge are current. All Training and Assessing staff are required t:! Attain the full trainers and assessrs qualificatin, TAE40110 Certificate IV in Training and Assessment.! Attend inductin training with the RTO! Attend at least tw prfessinal develpment activities each year, either with the RTO r thrugh ther VET and Industry bdies! Attend an assessment validatin meeting at least nce per year! Trainers/assessrs are required t dcument and submit a recrd f their currency and prfessinal develpment activities at least annually, this can be prvided thrugh an updated Staff Matrix and by prviding certified cpies f certificates and r letters f supprt. Every 12 mnths Trainers/assessrs are required t submit an updated Staff Matrix, this shuld include details and supprting dcumentatin f all activities t demnstrate that relevant industry skills and knwledge and prfessinal develpment cmpleted. Failure t submit r cmply with currency requirements will result in cancellatin f their emplyment cntract. Prfessinal Develpment Plan 1.16 A Prfessinal Develpment Plan is cmpleted fr each Trainer/Assessr upn cmmencement f their emplyment as well as cnducted annually at the Trainer/Assessrs Perfrmance Review. The plan is t include prpsed Prfessinal Develpment activities that shuld be undertaken by the staff member t maintain industry and VET currency. The Prfessinal Develpment Plan shuld include netwrking pprtunities, wrkshps, cnferences, accredited and nn-accredited training that will prvide evidence f the Trainer/Assessr s currency within the industry. Prfessinal Develpment Schedule 1.16 The Prfessinal Develpment Schedule is used fr recrding Prfessinal Develpment that has been undertaken by a staff member, this shuld include any training and/r wrkshps that the staff member has attended in bth the VET and vcatinal sectr. The Prfessinal Develpment Schedule shuld be updated at least annually, but preferably is updated fllwing the staff member submitting evidence f attending the Prfessinal Develpment. In rder t verify that the staff member has cmpleted the prfessinal develpment, the staff member and CEO are required t sign the Prfessinal Develpment Schedule fllwing each PD activity being cmpleted. The riginal cpy f the Prfessinal Develpment Schedule is t be placed nt the staff members file. Evidence! Psitin Descriptins! Recruitment Checklist! Applicant Suitability checklist! Prfessinal Develpment Plan! Prfessinal Develpment Schedule! Trainer/Assessr File! Trainer cntract! Staff Matrix

67 Quality & Cmpliance Manual! Perfrmance Review Frm! Trainers Handbk Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f April n an annual basis. Respnsibility! Chief Executive Officer! Senir Management! Trainers and Assessrs Quality & Cmpliance P&P-v6.03 AUG16 Page 66 f 162

68 CMS Training Quality & Cmpliance Manual INDIVIDUALS WORKING UNDER THE SUPERVISION OF A TRAINER (CLAUSES ) 1.17 Where the RTO, in delivering training and assessment, engages an individual wh is nt a trainer r assessr, the individual wrks under the supervisin f a trainer r assessr and des nt determine assessment utcmes The RTO ensures that any individual wrking under the supervisin f a trainer under Clause 1.17: a) hlds the skill set defined in Item 4 f Schedule 1 b) has vca(nal cmpetencies at least t the level being delivered and assessed; and c) has current industry skills directly relevant t the training and assessment being prvided Where the RTO engages an individual under Clause 1.17, it ensures that the training and assessment cmplies with Standard Withut limiting Clauses , the RTO must: a) determine and put in place: i) the level f supervisin required; and ii) any requirements, cndi1ns r restric1ns cnsidered necessary n the individual s invlvement in the prvisin f training and cllec3n f assessment evidence; and b) ensures that trainers prviding supervisin mnitr and are accuntable fr all training prvisin and cllec)n f assessment evidence by the individual under their supervisin. Strategy T ensure that all training staff, wh d nt currently hld the required qualificatins t train and assess a training prduct, wrks under the supervisin f a qualified trainer/assessr. Persn s that may undertake training under the supervisin f a suitably qualified trainer may include:! Partners f the RTO! Trainers under supervisin within an RTO! Supervisrs within a wrkplace. Plicy and Prcedure/s Trainers and Assessrs under Supervisin 1.17 A - Supervisin is prvided by a trainer that meets the fllwing (as per clause 1.13 & 1.14) i. hld the TAE40110 Certificate IV in Training and Assessment frm the TAE10 Training and Educatin Training Package ii. iii. be able t demnstrate vcatinal cmpetencies at least t the level being delivered and assessed; and be able t demnstrate hw they are cntinuing t develp their VET knwledge and skills as well as maintaining their industry currency and trainer/ assessr cmpetence. Page 67 f 162 SEP16 Quality & Cmpliance P&P-v6.4 B - Persns delivering training under the supervisin f a trainer must: i. wrk under the supervisin f a trainer with the TAE40110 Certificate IV in Training and Assessment r f a persn wh has demnstrated equivalence f cmpetencies; and ii. be able t demnstrate vcatinal cmpetencies at least t the level being

69 Quality & Cmpliance Manual delivered and assessed as well as maintaining their industry currency. Each trainer (that cnducts training under supervisin) must hld the skill set defined in Item 4 f Schedule 1:! TAESS00003 Enterprise trainer and assessr skill set r its successr! TAESS00007 Enterprise trainer presenting skill set r its successr! TAESS00008 Enterprise trainer mentring skill set r its successr Each trainer (that cnducts training under supervisin) must meet all f the fllwing requirements:! has vcatinal cmpetencies at least t the level being delivered and assessed; and! has current industry skills directly relevant t the training and assessment being! prvided. Ntes: 1. Evidence used t demnstrate cmpetencies may include cnsideratin f relevant past training, including cnsideratin f superseded and pre-existing teaching qualificatins, experience, and prfessinal develpment. 2. Supervisin is the prvisin f regular and nging guidance, directin and leadership frm a persn hlding the TAE40110 Certificate IV in Training and Assessment The supervising persn mnitrs and is accuntable fr the training delivery. C - Assessrs must: i. hld the TAESS00001 Assessr Skill Set ii. iii. Nte: be able t demnstrate vcatinal cmpetencies at least t the level being assessed; and be able t demnstrate hw they are cntinuing t develp their VET knwledge and skills as well as maintaining their industry currency and assessr cmpetence. If a persn des nt have all the assessment cmpetencies as defined in (i),(ii) and (iii) then ne r mre persns with the cmbined expertise in (i), (ii) and (iii) may wrk tgether t cnduct the assessment. Peple under supervisin d nt determine assessment utcmes. Training and Assessment under supervisin ( ) All training and assessment cnducted under supervisin will be cnducted and cmply with Standard 1 Clause 1.17: Where the RTO, in delivering training and assessment, engages an individual wh is nt a trainer r assessr, the individual wrks under the supervisin f a trainer and des nt determine assessment utcmes. Standard 1 - Clause 1.18: The RTO ensures that any individual wrking under the supervisin f a trainer under Clause 1.17: a) hlds the skill set defined in Item 4 f Schedule 1 b) has vcatinal cmpetencies at least t the level being delivered and assessed; and c) has current industry skills directly relevant t the training and assessment being d) prvided Supervisin Arrangements fr Traineeships r Wrk Placement (S) 1. An emplyer must prvide the apprpriate facilities and qualified persn/s t supprt the training and supervisin f trainees in the wrkplace. Where applicable the supervisr shuld hld a current ccupatinal licence and /r skills and knwledge as deemed apprpriate fr their industry. 2. The level f supervisin prvided shuld be aimed at facilitating the successful Quality & Cmpliance P&P-v6.03 AUG16 Page 68 f 162

70 CMS Training Quality & Cmpliance Manual achievement f the relevant cmpetencies fr each individual. It shuld be reassessed n a regular basis by taking int accunt the stage f the trainee and the knwledge and previus experience and training the trainee has received in a particular task. 3. The Wrkplace Supervisr will prvide pprtunities fr the trainee t develp skills and knwledge and may be invlved in caching r mentring f the trainee but des NOT assess the trainee. 4. The Supervisr will be required t cmplete a third party reprt in cnsultatin with the Assessr. The third party reprt prvides infrmatin n what the trainee des n the jb t demnstrate the required skills and knwledge fr the qualificatin that the trainee is undertaking as well as fllwing / prviding feedback n relevant plicies and prcedures f the wrkplace. 5. Depending n the qualificatin being undertaken plicies and prcedures include:! WHS plicies and prcedures! Operatin f relevant equipment used in the wrkplace! Participating in wrkplace meetings! Grievance prcedure! Cnfidentiality and Privacy! Respecting thers! Prperty and resurces! Reprting prcedures Wrkplace Supervisrs Respnsibilities The Wrkplace Supervisr has an imprtant rle where they are required t be a rle mdel and cach t the student during their wrk placement. Wrkplace supervisrs must have at least 3 years vcatinal experience within a psitin at the same r higher level than the students and must either hld the relevant qualificatin r higher, r have equivalent experience. Wrkplace Supervisrs will be required t cmplete a Wrkplace Supervisrs Checklist, prir t the cmmencement f wrk placement, ensuring they meet the requirements f their supervisry rle. During training they will cmplete a Third Party Supervisrs reprt, ensuring students have sufficient time t practice and apply the required skills, knwledge and practical tasks assciated with the training they are undertaking. Supervisrs will need t cnsider the requirements f the training and any cnditins r restrictins that may prevent the student frm wrking twards achieving cmpetence. Supervisr s will be mnitred by a suitably qualified trainer that meet the requirements f Clauses 1.13 and Clauses 1.13 and Peple under supervisin d nt determine assessment utcmes. Wrkplace supervisrs are required t reprt t the RTO s trainers and submit all supprt dcumentatin when requested. Successful achievement f cmpetence will be determined thrugh assessment activities and infrmatin supplied by the wrkplace supervisr. Evidence! Trainers Files! Trainers Handbk! Wrkplace Supervisrs Checklist! Third Party Supervisrs reprt Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f April n an annual basis. Respnsibility! CEO! RTO Manager! Trainers and Assessrs Page 69 f 162 SEP16 Quality & Cmpliance P&P-v6.4

71 Quality & Cmpliance Manual Quality & Cmpliance P&P-v6.03 AUG16 Page 70 f 162

72 CMS Training Quality & Cmpliance Manual DELIVERY OF THE TRAINING AND ASSESSMENT QUALIFICATIONS FOR TRAINERS AND ASSESSORS (CLAUSES ) 1.21 Prir t 1 January 2016, t deliver any AQF qualificatin r skill set frm the Training and Educatin Training Package (r its successr) the RTO must ensure all trainers and assessrs delivering the training and assessment: a) hld the training and assessment qualificatin at least t the level being delivered; r b) have demnstrated equivalence f cmpetencies Frm 1 January 2016, t deliver any AQF qualificatin r skill set frm the Training and Educatin Training Package (r its successr) the RTO must ensure all trainers and assessrs delivering the training and assessment hld the training and assessment qualificatin at least t the level being delivered Frm 1 January 2017, t deliver the training and assessment qualificatin specified in Item 1 f Schedule 1, r any assessr skill set frm the Training and Educatin Training Package (r its successr), the RTO must ensure all trainers and assessrs delivering the training and assessment: a) hld the qualificatin specified in Item 5 f Schedule 1; r b) wrk under the supervisin f a trainer that meets the requirement set ut in (a) abve The RTO must ensure that any individual wrking under supervisin under Clause 1.23 b)hlds the qualificatin specified in Item 1 f Schedule 1 and des nt determine assessment utcmes. Strategy Plicy and Prcedure/s Frm 1 January 2016, t deliver any AQF qualificatin r skill set frm the Training and Educatin Training Package (r its successr) the RTO must ensure all trainers and assessrs delivering the training and assessment hld the training and assessment qualificatin at least t the level being delivered. Frm 1 January 2017, t deliver the training and assessment qualificatin specified in Item 1 f Schedule 1, r any assessr skill set frm the Training and Educatin Training Package (r its successr), the RTO must ensure all trainers and assessrs delivering the training and assessment: a) hld the qualificatin specified in Item 5 f Schedule 1; r b) wrk under the supervisin f a trainer that meets the requirement set ut in (a) abve. The RTO must ensure that any individual wrking under supervisin under Clause 1.23 b) hlds the qualificatin specified in Item 1 f Schedule 1 and des nt determine assessment utcmes. Nte: frm 1 January 2017, the requirements set ut in Clause 1.22 cntinue t apply t any ther AQF qualificatin r skill set frm the Training and Educatin Training Package (r its successr). Frm 1 January 2016, t deliver any AQF qualificatin r assessr skill set frm the Training and Educatin Training Package (r its successr), the RTO must have undergne an independent validatin f its assessment system, tls, prcesses and utcmes in accrdance with the requirements cntained in Schedule 2 (and the definitins f independent validatin and validatin). TAE Trainers Qualificatins (T) Each trainer/assessr that intends t deliver TAE40110 Certificate IV in Training and Assessment r TAESS00001 Assessr skill set must hld the training and assessment qualificatin at least t the level being delivered. Page 71 f 162 SEP16 Quality & Cmpliance P&P-v6.4

73 Quality & Cmpliance Manual! TAE40110 Certificate IV in Training and Assessment r its successr! TAE50111 Diplma f Vcatinal Educatin and Training r its successr! TAE50211 Diplma f Training Design and Develpment r its successr! Diplma r Higher qualificatin in Adult Educatin Evidence! Trainer/Assessr File Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f June n an annual basis. Respnsibility! Chief Executive Officer Quality & Cmpliance P&P-v6.03 AUG16 Page 72 f 162

74 CMS Training Quality & Cmpliance Manual INDEPENDENT VALIDATION OF TRAINING AND ASSESSMENT QUALIFICATIONS (1.25) 1.25 Frm 1 January 2016, t deliver any AQF qualificatin r assessr skill set frm the Training and Educatin Training Package (r its successr), the RTO must have undergne an independent validatin f its assessment system, tls, prcesses and utcmes in accrdance with the requirements cntained in Schedule 2 (and the definitins f independent validatin and validatin). Strategy Plicy and Prcedure/s A systematic apprach t independent validatin f all assessment systems, tls, prcesses and utcmes fr all AQF qualificatins r assessr skill set fr the Training and Educatin Training Prduct. Independent Validatin f TAE qualificatins r Assessr skill set All validatin f assessment tls prcesses and utcmes fr any AQF qualificatin r assessr skill set frm the Training and Educatin Training Prduct (r its successr) must be independently validated. Independent validatin must be cnducted by ne r mre persns wh cllectively have: a) Current knwledge and skills in vcatinal teaching and learning b) The training and assessment qualificatin r assessr skill st at least t the level being validated. Validatin is t be cnducted as per the Plicy and Prcedure fr Assessment Validatin See Schedule 2 fr requirements and definitins f independent validatin. Evidence! Trainer files! Assessment tls Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f June n an annual basis. Respnsibility! Chief Executive Officer Page 73 f 162 SEP16 Quality & Cmpliance P&P-v6.4

75 Quality & Cmpliance Manual TRANSITION OF TRAINING PRODUCTS (CLAUSES ) 1.26 Subject t Clause 1.27 and unless therwise apprved by the VET Regulatr, the RTO ensures that: a) where a training prduct n its scpe f registratin is superseded, all learners training and assessment is cmpleted and the relevant AQF certificatin dcumentatin is issued r learners are transferred int its replacement, within a perid f ne year frm the date the replacement training prduct was released n the Natinal Register; b) where an AQF qualificatin is n lnger current and has nt been superseded, all learners training and assessment is cmpleted and the relevant AQF certificatin dcumentatin issued within a perid f tw years frm the date the AQF qualificatin was remved r deleted frm the Natinal Register; c) where a skill set, unit f cmpetency, accredited shrt curse r mdule is n lnger current and has nt been superseded, all learners training and assessment is cmpleted and the relevant AQF certificatin dcumentatin issued within a perid f ne year frm the date the skill set, unit f cmpetency, accredited shrt curse r mdule was remved r deleted frm the Natinal Register; and d) a new learner des nt cmmence training and assessment in a training prduct that has been remved r deleted frm the Natinal Register The requirements specified in Clause 1.26 (a) d nt apply where a training package requires the delivery f a superseded unit f cmpetency. Strategy Plicy and Prcedure/s When a Training Package is superseded by a new Training Package, a strategic plan will be put int place fr the transitin t the new Training Package within 12 mnths f its publicatin n the Natinal Register. The RTO will develp a Strategic Plan, which will incrprate the prcess and respnsibility cvering the transitin t new Training Package within 12 mnths f publicatin n the Natinal Regulatr f Training Package n the RTO s scpe f registratin. Natinal Standards clarify requirements t:! deliver current training prducts! cnsider teach ut and transitin perids.! apprve exemptins Training Prduct Transitin (T) All Senir Management and the RTO Manager are required t register with t receive updates when Training Prducts n the RTO s Scpe f Registratin has been updated. When a new Training Prduct is rlled ut, a strategy will be put int place t transitin t the new prduct. The strategy will include: 1. Review and map ld Training Prduct with the new Training Prduct 2. Review all training and assessment systems, tls and prcesses t be mapped acrss t the new Training Prduct 3. Make necessary changes t the training and assessment materials in cnsultatin with all training and assessment staff in preparatins fr additin t scpe 4. Cmplete an Assessment Validatin Schedule with all units t be validated within a 5-year perid. High-risk units are t be validated befre lw risk. (See p&p fr Assessment Validatin n page 51) 5. Update the Training and Assessment Strategy t meet the new requirements f the Training Prduct as per plicy and prcedure under 1.1 n page 28 Quality & Cmpliance P&P-v6.03 AUG16 Page 74 f 162

76 CMS Training Quality & Cmpliance Manual 6. Cmplete a Change f Scpe Applicatin using ASQAnet if training prduct is nt a direct equivalent r nt eligible fr a direct transitin. Fllw the instructins prvided n ASQAnet 7. Once the new training prduct has been added t the Scpe f Registratin, curses can be scheduled with the new training prduct 8. Once added t scpe, ensure that all material, assessment, marketing infrmatin and statements f attainment reflect changes with crrect cdes, names and titles 9. RTO will disseminate the updated Training and Assessment Strategy t all its relevant staff 10. During the 12-mnth transitin perid the CEO will review the status and prgress f existing participants t determine which participants can cmplete their studies during the transitin. Participants wh cannt cmplete their studies within the transitin perid are t be transitined t the new units 11. Learners wh have cmpleted are issued with certificatin placement within 1 year f training prduct being superseded. 12. If learners have nt cmpleted within 12 mnths f being superseded, learners are transferred t the replacement training prduct within the year f training prduct being superseded. 13. All learners will have cmpleted and been issued a certificatin within tw years f qualificatin being remved r deleted. 14. Learners have been issued certificatin within ne year f skill sets, units, mdules r shrt curses being remved r deleted. 15. The CEO is required t advise all current participants and emplyers (if relevant) abut the revised units and the requirement t cmplete studies within the transitin perid r transitin t the new training prduct The CEO is required t ensure relevant parties are aware that the rganisatin cannt issue a statement f attainment after the expiry f the teach-ut perid, therefre a participant must cmplete their studies r transitin within ne year f training prduct being superseded. Relevant persnnel include trainers, administratin staff, cntractrs, participants and emplyers Superseded Units imprted int a training prduct Where a unit f cmpetency is superseded but the qualificatin requires delivery f that superseded unit, the unit can cntinue t be delivered as requested by the Training Prduct (i.e. a Certificate III in Business may cntain an elective frm the Hspitality Training package which has been superseded but the Certificate III qualificatin still refers t the superseded unit). Evidence! Training and Assessment Strategy! Q&C Meeting Minutes Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f May n an annual basis. Respnsibility! Chief Executive Officer! Senir Management! Trainers and Assessrs Page 75 f 162 SEP16 Quality & Cmpliance P&P-v6.4

77 Quality & Cmpliance Manual Standard 2 The Operatins f the RTO are quality assured Quality & Cmpliance P&P-v6.03 AUG16 Page 76 f 162

78 CMS Training Quality & Cmpliance Manual IMPLEMENT QUALITY ASSURANCE STRATEGIES ( ) 2.1 The RTO ensures it cmplies with these Standards at all times, including where services are being delivered n its behalf. This applies t all peratins f an RTO within its scpe f registratin. Strategy Plicy and Prcedure/s Maintain cmpliance by mnitring and imprving practices thrugh its cntinuus imprvement practices and by instilling a quality and cmpliance culture thrughut the rganisatin. The CEO will ensure that the RTO will cmply with the VET Quality Framewrk by:! Adhering t the Cde f Cnduct utlined within this Quality & Cmpliance Manual, Student Handbk and Trainers Handbk! Implementing and updating these plicies and prcedures! Ensuring that all staff and students understand their rights and respnsibilities thrugh the plicies, prcedures and ther supprt dcumentatin! Implementing a mnthly Quality & Cmpliance Meeting, whereby the RTO s systems and practices are reviewed n a mnthly basis and by ensuring that these systems and practices are cntinuusly imprved thrugh the Cntinuus Imprvement Strategy! Implement systems t manage the RTO s cntinuus imprvement, including creating a culture f cntinuus imprvement thrughut the RTO! Ensuring that key management staff are kept up t date with the changes with the VET industry! Undertake annual internal audits t ensure cmpliance is mnitred and rectified t maintain cmpliance with the VET Quality Framewrk.! If applicable, mnitr all partnering arrangements t ensure that Third Parties cmply with the RTO s plicies and prcedures and with the requirements f the VET Quality Framewrk. Evidence! Chief Executive Officer s Psitin Descriptin! RTO Manager s Psitin Descriptin! Cntinuus Imprvement Cycle! Quality and Cmpliance Meetings! Staff Meetings! Assessr and Trainer Meetings! Netwrk Meetings Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f June n an annual basis. Respnsibility! Chief Executive Officer! Senir Management Page 77 f 162 SEP16 Quality & Cmpliance P&P-v6.4

79 Quality & Cmpliance Manual 2.2 The RTO: a) systematically mnitrs the RTO s training and assessment strategies and practices t ensure nging cmpliance with Standard 1; and b) systematically evaluates and uses the utcmes f the evaluatins t cntinually imprve the RTO s training and assessment strategies and practices. Evaluatin infrmatin includes but is nt limited t quality/perfrmance indicatr data cllected under Clause 7.5, validatin utcmes, client, trainer and assessr feedback and cmplaints and appeals. Strategy Plicy and Prcedure/s Cntinuus imprvement is abut applying gd business practices within ur rganisatin t ensure the best utcmes fr ur clients. This invlves the cllectin f relevant infrmatin (r data), analysing that data and then applying crrective actins t imprve the practices f the RTO. Relevant infrmatin is cllected thrugh actively engaging with key stakehlders, befre, during and after training and assessment. Systematic mnitring f Training and Assessment Strategies 2.2 As per clauses , TAS s will be systematically mnitred n an annual basis t ensure currency with the Training Prduct and updated with industry cnsultatin. See cntinuus imprvement strategy fr mre details n imprvements and mnitring f TAS s. Cntinuus Imprvement Strategy 2.2 T ensure that we are systematically mnitring ur systems, we have implemented a cntinuus imprvement strategy, this strategy includes: 1. Types f stakehlders 2. Types f data cllected 3. Mechanisms fr cllecting data 4. The timing f the data cllectin 5. Hw data will be analysed 6. Wh is respnsible 7. Hw the data will be acted upn 8. Implementatin f imprvements 9. Mnitring f data The strategy includes a list f stakehlders frm which we will cllect data, this is als mapped against each frm within the RTO t identify wh the key stakehlders are. Types f data t be cllected Data required fr the develpment and imprvement f training, assessment, strategies and practices. Mechanisms fr cllecting data Data cllected fr imprving training, assessment, systems and practices in the cnduct f its Cntinuus Imprvement Strategy, is cllected thrugh the fllwing mechanisms: 1. AVETMISS data! Enrlment Agreement Frm (refer plicy and prcedure n page 115! Annual Internal Audits (refer t plicy and prcedure n page 83)! Annual internal audits (refer t plicy and prcedure n page 83) Quality & Cmpliance P&P-v6.03 AUG16 Page 78 f 162

80 CMS Training Quality & Cmpliance Manual! Meeting Agenda and Minutes template (refer t plicy and prcedure n page 80) 2. Quality indicatr data! Quality Indicatrs (refer t plicy and prcedure n page 22)! Annual internal audits (refer t plicy and prcedure n page 83)! Meeting Agenda and Minutes template (refer t plicy and prcedure n page 80) 3. Validatin utcmes! Annual internal audits (refer t plicy and prcedure n page 83)! Meeting Agenda and Minutes template (refer t plicy and prcedure n page 80) 4. Client feedback! Training Needs Analysis (refer plicy and prcedure n page 42)! Training Evaluatin Frm (refer plicy and prcedure n page 35)! Industry Survey Frm (refer plicy and prcedure n page 46)! Opprtunity fr Imprvement Frm and Register (refer plicy and prcedure n page 82)! WHS Incident and Reprt and Register (refer t plicy and prcedure n page 153)! Annual internal audits (refer t plicy and prcedure n page 83)! Meeting Agenda and Minutes template (refer t plicy and prcedure n page 80) 5. Training and assessr and feedback! Staff Matrix (refer plicy and prcedure n page 32)! Opprtunity fr Imprvement Frm and Register (refer plicy and prcedure n page 82)! Trainers Reprt (refer plicy and prcedure n page 84)! WHS Incident and Reprt and Register (refer t plicy and prcedure n page 153)! Annual internal audits (refer t plicy and prcedure n page 83)! Meeting Agenda and Minutes template (refer t plicy and prcedure n page 80) 6. Cmplaints and appeals! Cmplaints and Appeals Frm (refer t plicy and prcedure n page 124)! Annual internal audits (refer t plicy and prcedure n page 83)! Meeting Agenda and Minutes template (refer t plicy and prcedure n page 80) The timing f data cllectin Using a variety f methds fr cllecting data as identified abve, the cntinuus imprvement strategy includes the timing f when this data shuld be cllected mapped against each frm frm which we cllect data. Hw data will be analysed Data is utilised fr the imprvement f training, assessment, strategies and practices which means that all data cllected shuld be relevant t the imprvement f these services. T ensure that data is relevant, the data cllected is analysed by the apprpriate persnnel, the staff member respnsible will depend n the frm utilised fr cllecting the data. Each frm has been mapped against hw the data cllected will be analysed within the Cntinuus Imprvement Strategy under Part 2: Data cllected n RTO frms. In the majrity f cases, data cllected is reviewed at the mnthly Quality and Cmpliance Meeting. At this meeting there are standing agenda items fr the review f Cntinuus Page 79 f 162 SEP16 Quality & Cmpliance P&P-v6.4

81 Quality & Cmpliance Manual Imprvement, these Standing Agenda Items include: 1. Opprtunities fr Imprvement Register 2. Cmplaints and Appeals - Register 3. WHS Incident - Register 4. Quality Indicatrs and Student Feedback 5. Industry Cnsultatin 6. Trainers Reprt 7. Cntinual Imprvement Cycle 8. Changes t Training Packages 9. General administratin and training issues 10. Previus Business 11. Business Arising 12. Business withut ntice 13. Date f next meeting The relevant data cllected and received by the RTO will be discussed at the next scheduled Quality and Cmpliance Meeting, with data cllected being analysed fr cntinuus imprvement. Wh is respnsible fr analysing the data Ultimately the CEO r RTO Manager will be respnsible fr the data cllected, but n ccasin the respnsibility may als be n the Trainer/Assessr r ther key RTO Staff. Please see the relevant plicy and prcedure fr each frm t identify wh is respnsible fr the data cllected. Hw the data will be acted upn Data cllected and analysed fr cntinuus imprvement is t be acted upn within a timely manner. Each frm has a plicy and prcedure within the Quality and Cmpliance Manual, with the types f actin that shuld be taken n the data cllected, all staff shuld refer t this manual fr the prcedure. Implementatin f Imprvements If an Opprtunity fr Imprvement is identified thrugh the data cllected, an Opprtunity fr Imprvement frm shuld be cmpleted, as per the prcess utlined n page 82 Mnitring f imprvements identified thrugh the data cllected will be undertaken at the mnthly Quality and Cmpliance Meetings, as per the prcess n page 84. Mnitring f Data Data cllected fr the imprvement f training, assessment, strategies and practices is mnitred thrugh the mnthly Quality and Cmpliance Meeting, this is dne thrugh discussins held at the meeting and minutes f the meeting are then distributed t all staff (including trainers and assessrs) fllwing the meeting. Any data cllected that requires t be reviewed again, will be carried ver t the next meeting. Once a year an Internal Audit is cnducted, whereby all systems and practices are reviewed, which includes a review f cntinuus imprvement data that had been cllected ver the year. Quality and Cmpliance Meetings (Q&C) The Quality and Cmpliance Meetings are held n a mnthly basis t review and analyse data cllected and plan the RTO s cntinuus imprvement activities. All staff will be prvided with an pprtunity t present individual needs, stakehlder feedback frms, cntinuus imprvement items r client feedback advice t the management team. Fllwing is the prcess fr the Quality and Cmpliance Meeting: 1. CEO r RTO manager sets the date and time f the next Q&C Meeting t all Quality & Cmpliance P&P-v6.03 AUG16 Page 80 f 162

82 CMS Training Quality & Cmpliance Manual members at the end f each Q&C meeting. 2. The Minute Taker will request any Agenda items t be added t the agenda at least five business days prir t the scheduled meeting. 3. Minute Taker distributes agenda t all attendees. 4. The CEO shall ensure that the appinted Minute Taker accurately recrds the management team meetings. 5. The CEO shall ensure that all current stakehlder feedback frms presented by staff are reviewed and analysed fr relevant crrective actins that may cntribute t imprvements t the peratins. 6. The Minute Taker shall ensure that all stakehlder feedback frms and client feedback surveys are stred in the apprpriate files. 7. All items f the agenda shall be allcated t a staff member fr actin. 8. The Minute Taker shall ensure that the recrded management meeting minutes are stred and cpies f the minutes are circulated t attendees and ther relevant staff wh shuld receive the minutes, this includes Trainers, Assessrs, and Management and Administratin staff. Standing Agenda Items fr the Quality and Cmpliance Meetings include: 1. Opprtunities fr Imprvement Register 2. Cmplaints and Appeals - Register 3. WHS Incident - Register 4. Quality Indicatrs and Student Feedback 5. Industry Cnsultatin 6. Trainers Reprt 7. Cntinual Imprvement Cycle 8. Changes t Training Package 9. General administratin and training issues 10. Previus Business 11. Business Arising 12. Business withut ntice 13. Date f next meeting Cntinuus Imprvement Cycle (T) All staff are encuraged t cntribute t the cntinual imprvement f ur systems and practices by assisting with the review f the RTO s plicies and prcedures. The cycle f when each Plicy and Prcedure is t be reviewed is within the cntinuus imprvement cycle n page 17. The Cntinuus Imprvement Cycle is implemented thrughut the rganisatin t maintain a cntinuus imprvement apprach t cmpliance, this is achieved by: 1. Issuing each staff member with the Cntinuus Imprvement Cycle. 2. Each staff member is required t read the Cycle prir t the Quality and Cmpliance Meetings 3. Each mnth up t 4 clauses frm the Standards are reviewed at the Quality and Cmpliance Meetings 4. Staff are invited t submit ideas r suggestins fr imprvement accrding t the standard being reviewed 5. Refer t the cycle fr a schedule f imprvement reviews If a staff member wuld like t submit an item t be discussed at the Quality and Cmpliance Meetings, they shuld cmplete an Opprtunity fr Imprvement Frm and submit t the RTO fr actin. Page 81 f 162 SEP16 Quality & Cmpliance P&P-v6.4

83 Quality & Cmpliance Manual Opprtunity fr Imprvement (T&S) A key prcess fr managing cntinuus imprvement thrughut the RTO is thrugh identifying Opprtunities fr Imprvement, these can be imprvements t Training and Assessment, Client Services r Management Systems. Examples f when Opprtunities fr Imprvement may be identified include:! Training and Assessment:! Client Services: Reviewing a Training and Assessment Strategy Feedback n Training and Assessment Industry Cnsultatin Assessment Validatin Internal Audits Opprtunities fr Imprvement Training Evaluatin Frm Enrlment Agreement Frms Internal Audit Reprts Cmplaints and Appeals Frms! Management Systems: Quality and Cmpliance Meeting minutes Review f Cntinuus Imprvement Cycle Cnducting Annual Internal Audits All staff and students are encuraged t cmplete an Opprtunity fr Imprvement Frm if they identify a system, prcess r prcedure requiring implementatin r imprvement. The implementatin f the actins identified in the Opprtunity fr Imprvement Frm will be reviewed and discussed at the Mnthly Quality and Cmpliance Meetings. Fllwing is the prcess fr pprtunities fr imprvement: 1. An pprtunity fr imprvement is identified 2. An Opprtunity fr Imprvement Frm is cmpleted, by utlining the details f the current weakness in the system, prcess, prcedure r practice. 3. In rder t fcus n the slutin and nt the weakness, the persn wh has identified the imprvement is given the pprtunity t als identity the Actin required fr Imprvement. If they are nt able t identify a slutin, this will be given t the RTO Manager t reslve. 4. Submit the Opprtunity fr Imprvement Frm t the RTO Manager. 5. RTO Manager reviews the Opprtunity fr Imprvement Frm, and either reviews the suggested Actin required fr Imprvement identified by the persn wh cmpleted the frm, r identifies what they believe the Actin required fr Imprvement. 6. The RTO Manager enters the Opprtunity fr Imprvement int the Opprtunity fr Imprvement Register. 7. RTO Manager either then delegates the Opprtunity fr Imprvement t be actined by anther staff member, r undertakes the Actin t be cmpleted. 8. Once Actined and finalised, the Opprtunity fr Imprvement Frm is t be filed int the Opprtunities fr Imprvement Register. 9. The Opprtunity fr Imprvement is reviewed at the mnthly Quality and Cmpliance Meeting. Minutes frm the Quality and Cmpliance Meeting are distributed t all Training and Administratin staff s that they can review the Opprtunities identified. Quality & Cmpliance P&P-v6.03 AUG16 Page 82 f 162

84 CMS Training Quality & Cmpliance Manual Annual Internal Audits The CEO shall ensure that the persn respnsible fr carrying ut an Internal Audit is cnversant with the plicy and prcedures fr cnducting internal audits acrss the RTO s scale f peratins, Plicies and Prcedures and thse rganisatins that cnduct training n its behalf. The CEO will ensure that all annual Internal Audits cnducted by the RTO are against the VET Quality Framewrk and will apply t all f the RTO s training delivery and assessment within it s scpe f registratin. The CEO shall ensure that all Internal audits cnducted has an actin plan fr addressing the nn-cmpliances. The RTO shuld utilise the Regulatry Bdies Audit Reprt template fr undertaking the internal audit t identify level f cmpliance against the requirements f the Standards. The CEO shall review and act upn all nn-cmpliance issues within 20 business days fllwing all Internal Audits. Prcedure fr cnducting Internal Audits 1. Ntify all staff by r mem advising the schedule f the audit and the scale f the audit (including partnership rganisatins, if applicable) 2. Review the management meeting minutes frm the previus 12 mnths fr any inactin frm Opprtunities fr Imprvement that were identified. 3. Review the Opprtunity fr Imprvements frm the previus 12 mnths f peratin r fr the perid f registratin. 4. Review Assessment Validatin activities frm the previus 12 mnths f peratin r fr the perid f registratin. 5. Review all Third Party Arrangements, agreements and assessment validatin activities fr the previus 12 mnths. 6. Review the legislatin under the VET Quality Framewrk and all ther apprpriate legislative requirements. 7. Surce the apprpriate regulatry authrity fr updates f cmpliance requirements. 8. Review all relevant State and Cmmnwealth Legislatin and its availability t all staff. 9. Cmplete a full reprt, using the ASQA Audit Reprt Template identifying nncmpliances against the Standards fr RTO s 10. Prvide the CEO with a cpy f the full reprt f nn-cmpliances. 11. Date and file a cpy f the recrd f internal audit and the full reprt f nncmpliance in the RTO s Audit File. 12. Review Audit nn-cmpliances and identify an actin plan at the mnthly Quality and Cmpliance Meeting 13. The RTO may als chse t engage an external cnsultant t cnduct the Internal Audit, which will prvide an external view f the RTO s cmpliance against the VET Quality Framewrk. Recrds required fr Audit The fllwing dcuments will be required fr audit purpses and will be *securely retained fr a perid f 6 mnths frm the date n which the judgment f cmpetence was made r a qualificatin was awarded. Page 83 f 162 SEP16 Quality & Cmpliance P&P-v6.4

85 Quality & Cmpliance Manual These dcuments will include the fllwing:! Attendance rlls that shw the names f students, the unit/s f cmpetency identifier and/r name,! Date/s f attendance and signature r initial f Trainer/Assessr.! Recrds f assessment and/r training recrd bks that shw the date f assessment/s, unit/s f cmpetency, student name and utcme f assessment/s.! Training delivery and assessment plicies and strategies fr all qualificatins/curses.! Cmpleted assessment tls and instruments.! Recgnitin f Prir Learning assessment recrds.! Cmplaints, Appeals and the cmplaints reslutin recrds *Securely retain: T retain recrds in a manner that safeguards them against unauthrised access, fire, fld, termites r any ther pests, and which ensures that cpies f recrds can be prduced if the riginals are destryed r inaccessible. Trainers Reprt (T) 2.2 The Trainers Reprt is t be cmpleted by Trainers and Assessrs and submitted fr review at the mnthly Quality and Cmpliance Meeting. The Trainers Reprt includes feedback n the fllwing:! Feedback n training and assessment! Feedback n peratins! Student cncerns! Disruptive behaviur! Cntinuus imprvement Trainers can use this reprt t raise any areas f cncern, r aspect f peratins that may be impacting n their ability t perfrm their rle effectively. They can als use it as a means t make suggestins t management and the team that will supprt the cntinuus imprvement culture f the RTO. Each mnth Trainers and Assessrs are required t submit a Trainers Reprt t the RTO Manager, fllwing is the prcedure that shuld be fllwed: 1. Trainers will be advised f the due date fr the Trainers Reprt by the RTO Manager 2. Three days prir t the reprt being submitted t the RTO Manager, the Trainer/Assessr cmpletes the Trainers Reprt 3. Trainer/Assessr submits the Trainers Reprt t the RTO Manager by n later than the due date, this can be electrnically r n paper. 4. The RTO Manager is t review the reprts and prepare a summary fr the Quality and Cmpliance Meeting. 5. Trainers Reprts, with RTO Managers summary, is t be tabled at the mnthly Quality and Cmpliance Meeting and minuted as tabled. 6. Any actin items frm the Trainers Reprt identified will be tabled as actin items. 7. Any pprtunities fr imprvement identified are transferred nt an Opprtunity fr Imprvement Frm and actin taken, as per the Opprtunities fr Imprvement prcedure (see page 82 fr prcedure). Each reprt is reviewed at the mnthly Quality and Cmpliance Meetings t discuss strategies fr imprving practices thrugh any issues identified in the reprts. Cnsultatin with Trainers and Assessrs (T) Feedback prvided by trainers and assessrs can cntribute t the imprvement f the verall service prvided as they have the industry experience and are in direct cntact with the clients and implementing the training and assessment activities. In rder t ensure that Senir Management are able t make infrmed decisins based n the experiences f ur Quality & Cmpliance P&P-v6.03 AUG16 Page 84 f 162

86 CMS Training Quality & Cmpliance Manual trainers we: 1. Advise all new emplyees f the imprtance f cmmunicatin and sharing any suggestins and recmmendatins fr imprvement 2. Make sure that all staff have the necessary dcuments and prcedures t cllect feedback (such as feedback frms, sessin reprts, recrds f meetings, etc) 3. Hld regular meetings t prvide pprtunities fr pen discussins regarding training and assessment services and pprtunities fr imprvement 4. Encurage trainers and assessrs t prvide feedback and suggestins fr imprvement as identified and reprt this feedback thrugh fr cnsideratin and where apprpriate actin/implementatin Prvide a range f pprtunities and activities fr trainers/assessrs t be invlved in the review prcess and prvide feedback. Evidence! Cntinuus Imprvement Strategy! Quality and Cmpliance Meeting Register! OFI Register! Cmplaints and Appeals Register! Audit Reprts! Trainers Reprts Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f June n an annual basis. Respnsibility! Chief Executive Officer! Senir Management! Trainers and Assessrs Page 85 f 162 SEP16 Quality & Cmpliance P&P-v6.4

87 Quality & Cmpliance Manual MONITOR INDEPENDENT THIRD PARTIES (CLAUSES ) 2.3 The RTO ensures that where services are prvided n its behalf by a third party the prvisin f thse services is the subject f a written agreement. 2.4 The RTO has sufficient strategies and resurces t systematically mnitr any services delivered n its behalf, and uses these t ensure that the services delivered cmply with these Standards at all times. Strategy The RTO is respnsible fr ensuring the quality f all training and assessment undertaken by third parties, including ensuring that all training and assessment undertaken by the third party n its behalf meets the requirements f the VET Quality Framewrk. All training delivered by a third parties, that is nt an emplyee r staff member f the RTO, are subject t a written agreement being in place which is signed by the authrised persn f each party. Training delivered by the Third Party n behalf f the RTO, fr which the RTO issues the AQF qualificatin r statement f attainment, will be the subject f a cmmercial arrangement nly as each RTO is fully accuntable fr the training it delivers and assessment cnducted. Third Parties can als be knwn as a Partner f the RTO. Plicy and Prcedure/s Third Party Arrangement 2.3 A written agreement is t be implemented which clearly specifies the rles and respnsibilities f each party t the third parties agreement including the respnsibilities fr cmpliance with the VET Quality Framewrk. The written agreement is t be signed by each party t the agreement and the RTO shall maintain an up-t-date register f all/any agreements entered int by the RTO.! Name and address f bth parties! Name f the authrised persn f each party! Name and primary cntact details f bth parties! Cmpliance with the VET Quality Framewrk! Training Prducts ffered, cdes, titles and units! Services ffered i.e. training nly, assessment nly r training and assessment! Level f service ffered by each party! Statement acknwledging that the RTO is always respnsible fr training, assessment and certificatin t be issued in its name! Verified cpy f the RTO s certificate f registratin and scpe certificatin! Signed by bth parties! Dates fr perid f agreement! Fees related t agreement What is a third-party arrangement? The Standards fr Registered Training Organisatins 2015 define a third party as any party that prvides services n behalf f the RTO. This definitin des nt include a cntract f emplyment between an RTO and an emplyee. Services means training, assessment, related educatinal and supprt services and/r any activities related t the recruitment f prspective learners. It des nt include services such as student cunselling, mediatin r infrmatin and cmmunicatins technlgy (ICT) supprt. Educatinal and supprt services may include:! pre-enrlment materials! study supprt and study skills prgrams! language, literacy and numeracy (LLN) prgrams r referrals t these prgrams! equipment, resurces and/r prgrams t increase access fr learners with Quality & Cmpliance P&P-v6.03 AUG16 Page 86 f 162

88 CMS Training Quality & Cmpliance Manual Page 87 f 162 SEP16 Quality & Cmpliance P&P-v6.4 disabilities and ther learners! learning resurce centres! flexible scheduling and delivery f training and assessment! learning materials in alternative frmats, fr example, in large print! learning and assessment prgrams cntextualised t the wrkplace, and! any ther services that the RTO cnsiders necessary t supprt learners t achieve cmpetency. What kind f third-party arrangements culd RTOs have? An RTO might be invlved in third-party arrangements with:! ther RTOs! nn-registered training prviders! recruitment agents r brkers! emplyment/jb services agencies When t ntify the Regulatr Yur RTO must ntify ASQA whenever yu start r end a third-party agreement. The RTO ntifies the Regulatr:! Of any written agreement entered int under Clause 2.3 fr the delivery f services n its behalf within 30 calendar days f that agreement being entered int r prir t the bligatins under the agreement taking effect, whichever ccurs first, and! Within 30 calendar days f the agreement cming t an end. T ntify ASQA:! Lg int ASQAnet.! G t the Ntificatins tab and select Third-party service arrangements Marketing Third Parties 4.1 All marketing materials, fr the purpse f the training and assessment utlined within the agreement, is t be apprved by the RTO prir t distributin. Fllwing is the prcedure fr apprval f marketing: 1. Third Party drafts an advertisement, curse flyer r ther marketing material. All marketing includes the wrding: This qualificatin/unit is delivered in partnership with RTO NAME and ID 2. All marketing and advertising material is t be submitted t the CEO f the RTO fr apprval 3. Written apprval frm an individual r rganisatin is t be btained if reference is t be made t the individual r rganisatin n any prmtinal material 4. A cpy f the authrised marketing and advertising material, tgether with any apprvals are t be kept n the Third Parties file. 5. The printing and publishing f marketing and advertising material can nly be authrised by the CEO 6. All printed, published r advertising will clearly distinguish between natinally recgnised training with scpe f registratin and nn-accredited training, ffered. 7. The CEO gives apprval t the Third Party t utilise the marketing material 8. The Third Party can then cmmence marketing utilising the apprved marketing material Mnitring f Third Party Arrangements 2.4 In rder t ensure that all training and assessment services being prvided n behalf f the

89 Quality & Cmpliance Manual RTO cmplies with the VET Quality Framewrk, the fllwing is t be implemented fr each Third Party:! Annual Audits t be undertaken by the RTO r an external qualified cnsultant, against the requirements f the VET Quality Framewrk. Refer t the plicy and prcedures fr the prcess fr cnducting internal audits.! Pst Assessment validatin is t be undertaken by the RTO n an annual basis. Refer t plicy and prcedure fr the prcess n Assessment Validatin.! Verificatin f assessment tls t be undertaken by the RTO! Cmpletin f Cntinuus Imprvement frms by the Third Party rganisatin, these include: Trainers Reprt Training Evaluatin Frms Industry Cnsultatin Opprtunity fr Imprvement Cmplaints and Appeals WHS Incident Reprting Quality and Cmpliance Meetings! Mnitring f Cntinuus Imprvement prcess by the RTO, including tabling f items at the mnthly Quality and Cmpliance Meetings. Refer t the Plicies and Prcedures n cntinuus imprvement.! Prfessinal develpment f Trainers/Assessrs frm the Third Party. Refer t the plicies and prcedures n trainer s respnsibilities.! Internal audit f third parties, ntifying the VET Regulatr f Third Party arrangements. Auditing Third Parties Auditing f Third parties is cnducted at least nce a year as part f yur cntinuus imprvement strategy. When develping a strategy t mnitr yur agreements, yu shuld cnsider:! Timeframes fr mnitring when and hw ften?! Prcedures fr mnitring wh will cnduct the review and hw will utcmes f the review be acted upn?! Hw will yu mnitr student assessments, pre-enrlment infrmatin given t students, training and assessment resurces, facilities and equipment, trainer/assessr cmpetencies and qualificatins, marketing/advertising infrmatin, issuance f qualificatins/statements f attainment and recrds management practices?! Hw will yu implement strategies fr tw-way feedback between yur RTO and the third party? Outcmes are t be tabled at annual Quality and Cmpliance meetings fr discussin and decisin making arund suitability and cntinued arrangements. Third Party Trainers and Assessrs 8.2 Third Party trainers and assessrs are required t be ntified that they are delivering training and assessment under a third party agreement with the RTO, it shuld be clear wh is the RTO and that they are required t cmply with the Plicies and Prcedures f the RTO. As per clauses 1.13 t 1.16, all Third Party trainers and assessrs must cmply with the requirements f the Plicies and Prcedures fr trainers and assessrs. Third Party trainers and assessrs respnsibilities include: 1. Maintain prfessinal develpment in bth the VET and Vcatinal sectr 2. Attend trainer meetings when requested and at least ne (1) validatin meeting per year Quality & Cmpliance P&P-v6.03 AUG16 Page 88 f 162

90 CMS Training Quality & Cmpliance Manual 3. Prepare delivery and assessment plans as requested 4. Maintain accurate curse administratin material including the submissin f: Cmpetency assessment recrds, attendance recrds, curse timetables, curse sessin plans, curse/trainer ntes, assessment tasks, benchmark answers and resurces fr all accredited training prgrams 5. Distribute and cllect Quality Indicatr Surveys 6. Cmply with the Plicies and Prcedures set ut in the Trainers Handbk 7. Cmply with the requirements and regulatins f apprpriate legislatin 8. Reprt student grievances using the RTO s dcumented cmplaints and appeals prcess 9. Ensure training is delivered as per the apprved delivery and assessment plan 10. Cmplete all require recruitment frms as per Plicies and Prcedures n page 61. Evidence! Trainers Files! Third Party Files! Recrd f Third Party Agreements ldged n ASQAnet Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f July n an annual basis. Respnsibility! Chief Executive Officer Page 89 f 162 SEP16 Quality & Cmpliance P&P-v6.4

91 Quality & Cmpliance Manual Standard 3 The RTO issues, maintains and accepts AQF certificatin dcumentatin in accrdance with these Standards and prvides access t learner recrds. Quality & Cmpliance P&P-v6.03 AUG16 Page 90 f 162

92 CMS Training Quality & Cmpliance Manual PROVIDE SECURE CERTIFICATION ( ) 3.1 The RTO issues AQF certificatin dcumentatin nly t a learner whm it has assessed as meeting the requirements f the training prduct as specified in the relevant training package r VET accredited curse. 3.2 All AQF certificatin dcumentatin issued by an RTO meets the requirements f Schedule AQF certificatin dcumentatin is issued t a learner within 30 calendar days f the learner being assessed as meeting the requirements f the training prduct if the training prgram in which the learner is enrlled is cmplete, and prviding all agreed fees the learner wes t the RTO have been paid. Strategy The RTO ensures that nly students wh have met the qualificatin requirements, in all f the required units, have been deemed cmpetent and will be issued with an AQF Certificatin. All AQF Certificatin meets the requirements f Schedule 5 f the Standards and will be issued t the student within 30 calendar dates f the leaner being deemed cmpetent. A register f all qualificatins issued will be maintained n the AVETMISS cmpliant database. Plicy and Prcedure/s Certificatin (T&S) In determining whether a student is cmpetent/r nt yet cmpetent, the student is assessed against the requirements f the qualificatin, including the units f cmpetencies and the perfrmance criteria and assessment requirements within the units f cmpetency. Students are issued with a VET Statement f Attainment r VET Qualificatin nce cmpetency has been achieved, as utlined within the Training Prduct. The testamur fr all AQF qualificatins issued will identify the qualificatin as an AQF qualificatin with the wrds The qualificatin is recgnised within the Australian Qualificatins Framewrk. Issuing AQF Qualificatins Applicatin f the AQF Qualificatins Issuance Plicy within the VET Sectr RTOs must meet the requirements f the AQF fr issuing AQF qualificatins and statements f attainment, in additin t the fllwing requirements. Issuing AQF Qualificatins RTOs must include the fllwing infrmatin n the testamur, in additin t the requirements f the AQF Qualificatins Issuance Plicy:! the name, Natinal RTO cde and lg f the issuing rganisatin! the cde and title f the awarded AQF qualificatin, and! the NRT Lg in accrdance with the current cnditins f use cntained in Schedule 4. The fllwing elements are t be included n the testamur as applicable: the State / Territry Training Authrity lg (nly where use f the lg is directed by State / Territry Training Authrities, e.g. within User Chice cntracts)! the industry descriptr, e.g. Engineering! the ccupatinal r functinal stream, in brackets, e.g. (Fabricatin)! where relevant, the wrds, achieved thrugh Australian Apprenticeship arrangements, and! where relevant, the wrds, these units/mdules have been delivered and assessed in <insert language> fllwed by a listing f the relevant units/mdules. Page 91 f 162 SEP16 Quality & Cmpliance P&P-v6.4

93 Quality & Cmpliance Manual RTOs must nt include the learner s Student Identifier n the testamur cnsistent with the Student Identifiers Act RTOs will:! retain registers f AQF qualificatins they are authrised t issue and f all AQF qualificatins issued! retain recrds f AQF certificatin dcumentatin issued fr a perid f 30 years, and! prvide reprts f Recrds f qualificatins issued t its VET Regulatr n a regular basis as determined by the VET Regulatr. Issuing Statements f Attainment RTOs must include the fllwing infrmatin n a statement f attainment: the name, Natinal RTO Cde and lg f the issuing rganisatin! a list f units f cmpetency (r mdules where n units f cmpetency exist) shwing their full title and the natinal cde fr each unit f cmpetency! the authrised signatry! the NRT Lg! the issuing rganisatin s seal, crprate identifier r unique watermark! the wrds A statement f attainment is issued by a Registered Training Organisatin when an individual has cmpleted ne r mre accredited units The fllwing elements are t be included n the statement f attainment as applicable:! the State/Territry Training Authrity lg (nly where use f the lg is directed by State/ Territry Training Authrities)! the wrds These cmpetencies frm part f [cde and title f qualificatin(s)/curse(s)]! the wrds, These cmpetencies were attained in cmpletin f [cde] curse in [full title], and! where relevant, the wrds, these units / mdules have been delivered and assessed in <insert language> fllwed by a listing f the relevant units/mdules. RTOs must nt include the learner s Student Identifier n the statement f attainment cnsistent with the Student Identifier Act RTOs will:! maintain registers f all statements f attainments issued! retain recrds f statements f attainment issued fr a perid f 30 years, and! prvide reprts f its recrds f statements f attainment issued t its VET Regulatr n a regular basis, as determined by the VET Regulatr. The RTO will issue Certificates and/r Statements f Attainment 30 calendar days f the student being deemed cmpetent, prviding all agreed fees the student has utstanding t the RTO have been paid. Cntact yur regulatry bdy (ASQA, VRQA, TACWA) r the State r Territry registering bdy where yur rganisatin is registered t btain hard r electrnic cpies f the NRT lg. The AQF lg can be accessed frm: Prcess fr Issuing Certificates/Statements f Attainment Fllwing is the prcess fr ensuring that accunts have been paid prir t a Certificate and/r Statement f Attainment is issued, as well as ensuring that the student has cmpleted all the required cmpetencies. Quality & Cmpliance P&P-v6.03 AUG16 Page 92 f 162

94 CMS Training Quality & Cmpliance Manual Check that student has cmpleted all the required Units f Cmpetencies, in line with the Training Prduct requirements, using the Assessment Verificatin Frm Check that details n certificate are crrect, against the actual units cmpleted CEO r ther Authrised Signatury t sign Certificate r Statement f Attainment Once it has been determined that the student is eligible t have a Certificate r Statement f Attainment issued, check that the student has paid their accunt in full Print Certificate r Statement f Attainment Issue Certificate r Statement f Attainment t Student Check that the students details within the Database is crrect Ensure that all assessment evidence has been scanned and saved nt the server Recrd issuance f Certificate/ Statement f Attainment nt database Lgs n Certificatin 3.1 and 3.2 Fllwing is an utline f what lgs shuld be used n each type f certificatin. All staff are required t adhere t these requirements. Full Qualificatin Statement f Attainment Nn Accredited Yes Yes N Yes N N Yes Yes Yes Outline f Lgs Page 93 f 162 SEP16 Quality & Cmpliance P&P-v6.4

95 Quality & Cmpliance Manual Using AQF cpyright materials Users wishing t prduce items in the AQF Secnd Editin January 2013, r the AQF lg, require permissin prir t use NRT Lg The Natinally Recgnised Training lg is a distinguishable mark f quality fr prmting and certifying natinal vcatinal educatin and training leading t Australian Qualificatin r Statements f Attainment. Evidence! Student Management Database! Certificates! Statements f Attainment! Marketing Materials Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f August n an annual basis. Respnsibility! Chief Executive Officer! Senir Management Quality & Cmpliance P&P-v6.03 AUG16 Page 94 f 162

96 CMS Training Quality & Cmpliance Manual 3.4 Recrds f learner AQF certificatin dcumentatin are maintained by the RTO in accrdance with the requirements f Schedule 5 and are accessible t current and past learners. Strategy All The RTO emplyees and Third Parties must ensure that student recrds are kept up-tdate s that current and accurate recrds can be prvided t students upn request. The RTO will securely retain, and be able t prduce in full at audit if requested t d s, all cmpleted student assessment items fr each student, as per the definitin utlined in ASQA s General Directin: Retentin Requirements fr Cmpleted Student Assessment Items, fr a perid f six mnths frm the date n which the judgement f cmpetence fr the student was made. Plicy and Prcedure/s Certificate Register 3.4 A register f all certificates will be maintained n the AVETMISS Cmpliant database and will be kept fr a perid f 30 years. The database will keep a recrd f all required infrmatin that will enable reissuance f certificatin. In line with the AQF Qualificatins Register Plicy the RTO will maintain a register that will cntain sufficient infrmatin t identify crrectly the:! Authrised issuing rganisatin;! Respnsible persn r persns and cntact details f the rganisatin, including cntact details fr public enquiries; and! AQF qualificatins the rganisatin is authrised t issue, including the full and crrect AQF qualificatins titles, the accreditatin perid, and any caveats. These registers will clearly distinguish AQF qualificatins frm nn-aqf qualificatins. The RTO will maintain an auditable-quality register f the AQF qualificatins that they have issued.! The registered will cntact sufficient infrmatin t identify crrectly the:! Hlder f the qualificatin;! AQF qualificatin by its full title; and! Date f issue/award/cnferral. Recrds Management Paper Based (T) 3.4 In accrdance with The AQF Qualificatins Register Plicy, the RTO will ensure that all recrds kept fr students meets the requirements f the AQF Qualificatins Register Plicy. The RTO is cmmitted t implementing best practice in its recrds management practices and systems. All student recrds are t be entered and maintain n the AVETMISS cmpliant Student Management System. The RTO will prvide returns f its client recrds f attainment f units f cmpetence and qualificatins t the Natinal VET Regulatr n a regular basis, r as determined by the Natinal VET Regulatr. All staff emplyed by the RTO will be required t apply themselves t the fllwing written prcedures and safeguard cnfidential and persnal infrmatin accrding t the Privacy and Prtectin f Persnal Infrmatin Act 1998:! All staff are respnsible fr recrding all student fee payments and details f refunds paid.! Upn enrlment each student s persnal details are t be entered int the Student Management System.! A student file will be created in hard cpy and n the database! Paper based file will include Page 95 f 162 SEP16 Quality & Cmpliance P&P-v6.4

97 Quality & Cmpliance Manual Recrd f Attendance fr class Recrd f enrlment Cmpleted assessment tasks Recrd f prgress Cpies f any frms cmpleted, ie Cmplaints and Appeals, Opprtunities fr Imprvement, WHS Incidents! All paper based files are kept fr a minimum perid f 6 mnths pst curse cmpletin fr each student! Paper based files will be stred in a lcked filing cabinet in alphabetical rder under the students surname! Electrnic file will include Participants name, address and cntact details Recrd f participatin Qualificatins and Statements f Attainment issued Recrd f Units f Cmpetencies cmpleted Trainer/Assessr details Place f Training Dates f Training! All electrnic recrds will be kept fr a perid f 30 years.! Student persnal details and recrds shall be maintained in a current up t date cnditin, updating f recrds will be actined as advised by the student/client.! Student recrds are backed up and maintained electrnically daily thrugh the student management system.! Only RTO staff directly invlved with student welfare and r student results will have access t persnal student details.! Upn written request and given sufficient ntice administrative staff shall prvide a student with access t their persnal student recrds fr prgress infrmatin (see page 97 fr prcedure).! Students may request a reissuance f statements f attainment r qualificatins achieved by cmpleting a Certificate Re-issue frm.! The CEO permits the replacement f certificatin dcumentatin. All re-issuance f certificatin dcumentatin will be based n the verificatin and authenticatin f testamurs issued by the RTO prir t issue. (refer t the current fees schedule fr Certificate Re-issue Fees) Where a request fr a replacement testamur is received frm a current r past student the student s identificatin must be verified by sighting the clients pht ID, such as a driver s license r Passprt. The student s recrds f curse achievement will then be accessed and any issued testamur may be reissued in accrdance with the RTO s Issuance Plicy and current fee structure.! All staff will cmply with all external reprting respnsibilities at the required date t d s. (i.e. AVETMISS and Quality Indicatr Reprting ) including returns f its client recrds f attainment f units f cmpetence and qualificatins t the Natinal VET Regulatr n a regular basis (as determined by the Australian Skills Quality Authrity).! Designated RTO staff will maintain up t date recrds f the emplyment histry and qualificatins f all staff emplyed by the RTO.! Designated RTO staff shall ensure that all student recrds are maintained in an accurate manner prviding fr the safekeeping f all student assessment results fr a term n less that 30 years.! On cessatin f services and the discntinuatin f its business the CEO shall ensure that all student recrds are made available t the Natinal VET Regulatr.! Electrnic cpies f recrds will be maintained thrugh the database.! Hard cpies f recrds will be kept fr a perid f n less than 6 mnths n the RTO site. Fllwing this perid an electrnic recrd will be maintained and the hard cpy will be destryed by either shredding r burning. N cnfidential recrds will be kept as these will be destryed. Quality & Cmpliance P&P-v6.03 AUG16 Page 96 f 162

98 CMS Training Quality & Cmpliance Manual Page 97 f 162 SEP16 Quality & Cmpliance P&P-v6.4! If student recrds are required t be stred fr mre than 6 mnths, in accrdance with agreements fr Gvernment funded cntracts, recrds will be archived at an ffsite lcatin which will be secure frm water r pest infestatin, which will ensure the integrity f the data is kept n the files. Access t Recrds (S) All student recrds, such as persnal details and recrds f participatin and prgress (this includes data cllected n the Enrlment Agreement Frm and assessment results that are cllected), are kept within a secure area (bth electrnic and hard files). An electrnic recrd f each Student s enrlment and participatin is kept n the Student Management System fr a perid f 30 years, this recrd is passwrd prtected and is nly accessible by emplyees f the RTO. All students have the right t access their recrd f participatin and prgress within a timely manner. In rder fr a student t access their recrds they are required t submit a request in writing t the RTO. If the student wishes t prvide a third party with access t their recrds, they shuld state this in their frmal request in writing. The RTO will prvide, within 48 hurs f receiving the written request, a cnfirmatin in writing that the RTO has received a request fr Access t Recrds and cnfirmatin f hw lng it will take fr the access t be granted. In n mre than 5 business days the RTO will prvide the student with access t their recrds as well as a transcript f the student s participatin and prgress. Recrds Management Electrnic (T) 3.4 In rder t ensure accuracy, integrity and currency f student recrd f participatin and prgress, all data cllected frm the Enrlment Agreement Frm and Assessment results (this includes persnal details and recrds f participatin and prgress are cllected are entered int the Student Management System in a timely manner. Fllwing is the prcedure fr ensuring recrds are current: 1. Data t be entered int the Student Management System includes persnal details and recrds f participatin and prgress 2. All student enrlment data is t be entered int the Student Management System prir t curse cmmencement. Late enrlments may be accepted up t 7 days after curse cmmencement depending n student circumstances. 3. Assessments are given t the students by the trainer, wh als sets a reasnable due date fr the assessment within the timeframe f the curse. 4. Students are t submit their cmpleted assessments t their trainer by n later than the set due date. In certain circumstances trainers may give an extensin after reviewing such a request fr a student. Any such extensins t be nted in the student file and Student Management System. 5. Trainers are t submit the marked assessment within tw weeks f receipt frm student, t the RTO Manager 6. Assessments that are deemed Nt Yet Cmpetent are t be resubmitted by the student fr reassessment. 7. The RTO Manager is respnsible fr ensuring that all assessments are entered int the Student Management System, nce submitted by the trainer, within 5 business days. 8. Prir t Certificate issue, all recrds f cmpetency are t be verified against the Assessment Verificatin Frm, please see page 98 fr the plicy and prcedure fr Assessment Verificatin. 9. The RTO Manager is respnsible fr ensuring that all data is entered within the Student Management System. The RTO Manager can delegate these duties t

99 Quality & Cmpliance Manual apprpriate persnnel. 10. The CEO is respnsible fr issuing the Certificate and ensuring that the crrect units f cmpetencies are n the Certificate prir t distributin. The fllwing are triggers fr Certificates r Statements f Attainment t be issued A recrd f their results and has successfully cmpleted sme UOC s and is eligible t receive a Statement f Attainment: Student has requested Student has cmpleted all requirements f training and has been signed ff by their trainer. Student has withdrawn frm training and submitted in writing a request t withdraw, wh has successfully cmpleted sme UOC s and is eligible fr a Statement f Attainment Student has drpped ut f training, but may nt have prvided a frmal request fr withdrawal, and has successfully cmpleted sme UOC s and is eligible fr a Statement f Attainment 11. Students are required t have paid their accunt in full prir t the RTO issuing the student a Certificate r Statement f Attainment. It is the respnsibility f the RTO Manager t ensure that all accunts have been paid IN FULL 12. If the accunt has nt been paid in full, the RTO is t print the Certificate r Statement f Attainment and stre n the Paper Based File until such time as the accunt being paid in full Als refer t Prcess fr Issuing Certificates/Statements f Attainment n page 92 under Clause 3.3. Versin Cntrl In rder t ensure that the current dcumentatin is being used, the RTO has implemented a Versin Cntrl system t identify the fllwing: Name f the dcument (Dcument Name) Date the versin was released (MMYY) Versin number (v01) Date apprved (app RTO 5-Mar-14) Fllwing is an example f hw the versin cntrl shuld lk n the bttm f the dcument: CMS Training Dcument Name-MMYY-v01.Dcx App RTO 27-Feb-17 A dcument register is in place fr recrding all dcuments, which includes all f the abve details. This register is kept in a flder with all versins f the dcument kept in hard cpy. The RTO manager is respnsible fr ensuring that the versin cntrl is managed and in place. Assessment Verificatin (T) In rder t ensure cnsistency f bth paper based and electrnic recrds f assessment, all training staff are required t cmplete an Assessment Verificatin Frm. This frm identifies all the units that are t be assessed fr each qualificatin against the assessment methds used t assess the student as well as includes the results f assessment (ie Cmpetent, Nt Yet Cmpetent, RPL etc). Results recrded nt the Assessment Verificatin Frm are t be entered int the Student Management System r verified against the database. The assessr is respnsible fr the safe strage f the Assessment Verificatin. Quality & Cmpliance P&P-v6.03 AUG16 Page 98 f 162

100 CMS Training Quality & Cmpliance Manual Prcess fr Verificatin Trainer t recrd details f the student and their curse enrlment nt the Assessment Verificatin Frm As the student cmpletes a Unit f Cmpetency, the Assessr recrds the result and methd f assessment nt the frm The Assessr cntinues t recrd results until the student has cmpleted all the required units On cmpletin f training and assessment fr each student, the Assessr returns the cmpleted frm t the RTO Manager fr verificatin. The RTO Manager is t utilise the frm t check student cmpletin against the database Once the recrds are verified between the Assessment Verificatin Frm and the database, a certificate can be issued If the recrds are incnsistent the RTO Manager is respnsible fr: Fllwing up with the trainer t ensure the student has met the requirements f their curse f enrlment Mnitr and review Accuracy and Integrity f Recrds Assessment Verificatin Frm cmpleted by Trainer Results entered int database frm assessment tls Results verified against Assessment Verificatin Frm prir t issue f certificatin Certificate issued Archiving Prcedure 3.4 When a student has cmpleted all the requirements fr a curse, all student files are t be entered int the database and archived fr a perid f six mnths. See Recrds Management Plicy and Prcedure fr details n what is t be kept n file. Evidence! Student Management Database! Student and class files! Student Handbk! Student Management Database! Archiving recrds! Accunting system! Backup systems management Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f August n an annual basis. Respnsibility! Chief Executive Officer! Senir Management Page 99 f 162 SEP16 Quality & Cmpliance P&P-v6.4

101 Quality & Cmpliance Manual PROVIDE CREDIT FOR PRIOR STUDIES (3.5) 3.5 The RTO accepts and prvides credit t learners fr units f cmpetency and/r mdules (unless licensing r regulatry requirements prevent this) where these are evidenced by: a) AQF certificatin dcumentatin issued by any ther RTO r AQF authrised issuing rganisatin; r b) authenticated VET transcripts issued by the Registrar. Strategy The RTO has in place a credit transfer plicy and prcedure t ensure that all students are advised that they are eligible t apply fr credit transfer fr units r mdules where evidenced by AQF certificatin dcumentatin r an authenticated VET transcript (unless licensing r regulatry requirement prevent this). Plicy and Prcedure/s Credit Transfer (T&S) 3.5 AQF Certificatins issued by ther Registered Training Organisatins (RTO) are recgnised by CMS Training, this enables individuals t receive natinal recgnitin f their achievements. In rder t apply fr a credit transfer, the student is required t cmplete the fllwing steps: 1. Cmplete the Credit Transfer Frm 2. Attach a certified cpy f the authenticated VET transcript frm the ther RTO and highlight the units yu wish t have applied t yur current enrlment 3. Submit cmpleted Credit Transfer Frm and VET transcript t the RTO 4. Units are verified n nly applicable if student cmpleted the units after 1 January The RTO in cnsultatin with relevant Assessr will review and cnfirm whether student is eligible fr Credit Transfer (CT) 6. If the student is eligible, the result f CT shuld be applied t the unit within the Student Database 7. The RTO t advise the student in writing f the utcme f the credit transfer applicatin: a) Student is eligible fr CT and the result has been entered int the Database b) Student is nt eligible fr CT and the reasn why Authenticated cpies are t be certified by a Justice f the Peace r smene within the RTO can sight the riginals and authenticate a cpy. Evidence! Enrlment Agreement Frm! Student Handbk! Credit Transfer Frm Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f September n an annual basis. Respnsibility! Chief Executive Officer! Senir Management Quality & Cmpliance P&P-v6.03 AUG16 Page 100 f 162

102 CMS Training Quality & Cmpliance Manual STUDENT IDENTIFIER SCHEME (3.6) 3.6 The RTO meets the requirements f the Student Identifier scheme, including: a) verifying with the Registrar, a Student Identifier prvided t it by an individual befre using that Student Identifier fr any purpse; b) ensuring that it will nt issue AQF certificatin dcumentatin t an individual withut being in receipt f a verified Student Identifier fr that individual, unless an exemptin applies under the Student Identifiers Act 2014; c) ensuring that where an exemptin described in Clause 3.6 (b) applies, it will infrm the student prir t either the cmpletin f the enrlment r cmmencement f training and assessment, whichever ccurs first, that the results f the training will nt be accessible thrugh the Cmmnwealth and will nt appear n any authenticated VET transcript prepared by the Registrar; and d) ensuring the security f Student Identifiers and all related dcumentatin under its cntrl, including infrmatin stred in its student management systems. Strategy Plicy and Prcedure/s The RTO has in place an AVETMISS cmpliant database that is USI cmpliant, fr managing student files including the recrding f the students Unique Student Identifier (USI). The RTO will nt issue any qualificatins r statements f attainment withut being in receipt f a verified Student Identifier fr that individual, unless an exemptin has been applies under the Student Identifiers Act Unique Student Identifier (S) The Unique Student Identifier (USI) scheme, enabled by the Student Identifiers Act 2014, allws learners t access a single nline recrd f their VET achievements. The scheme als allws fr reliable cnfirmatin f these achievements by emplyers and ther RTOs. Unless exempt, the RTO must nly issue a qualificatin r statement f attainment t a learner after: Page 101 f 162 SEP16 Quality & Cmpliance P&P-v6.4! The learner has prvided the RTO with a verified USI, r! The RTO has applied fr a USI n the students behalf. A USI gives yu access t yur nline USI accunt, which is made up f ten numbers and letters. It will lk smething like this: 3AW88YH9U5. A USI accunt will cntain all yur natinally recgnised training recrds and results frm 1 January 2015 nwards. Yur results frm 2015 will be available in yur USI accunt in When applying fr a jb r enrlling in further study, yu will ften need t prvide yur training recrds and results. One f the main benefits f the USI is that yu will have easy access t yur training recrds and results thrughut yur life. Yu can access yur USI accunt nline frm a cmputer, tablet r smart phne anywhere and anytime. D yu need a USI? Yu will need a USI when yu enrl r re-enrl in training frm 1 January 2015 if yu are a:! student enrlling in natinally recgnised training fr the first time, fr example if yu are studying at TAFE r with a private training rganisatin, cmpleting an apprenticeship r skill set, certificate r diplma curse; r! schl student cmpleting natinally recgnised training; r! student cntinuing with natinally recgnised training. Yu are a cntinuing student if yu are a student wh has already started yur curse in a previus year (and nt yet cmpleted it) and will cntinue studying after 1 January 2015.

103 Quality & Cmpliance Manual Once yu create yur USI yu will need t give yur USI t each training rganisatin yu study with s yur training utcmes can be linked and yu will be able t:! view and update yur details in yur USI accunt;! give yur training rganisatin permissin t view and/r update yur USI accunt;! give yur training rganisatin view access t yur transcript;! cntrl access t yur transcript; and! view nline and dwnlad yur training recrds and results in the frm f a transcript which will help yu with jb applicatins and enrlment in further training. If yu are an internatinal, verseas r an ffshre student please visit usi.gv.au fr mre infrmatin. While students may create their wn USI, ur RTO is als able t create USIs fr ur students. As a part f the enrlment prcess we have included n the Enrlment Agreement Frm a sectin fr the student t prvide their USI, if yu d nt have a USI in place, we can prvide yu with a USI Privacy Ntice s that we can apply fr a USI n the students behalf. Fr mre infrmatin, please refer t the fllwing Organisatins/Dcuments/FactSheet-RTO-Student-Infrmatin-fr-the-USI.pdf, a cpy f the USI Fact Sheet is als accessible frm the RTO head ffice. Enrlment Prcess fr USI 1. All clients are t cmplete an Enrlment Agreement Frm, which includes a sectin fr the student t prvide their USI. 2. RTO t verify the USI supplied by the student befre visiting 3. If the student des nt currently have a USI, the RTO can apply fr a USI n their behalf, by prviding the fllwing frms f ID t the RTO: Driver s Licence Medicare Card Australian Passprt Visa (with Nn-Australian Passprt) fr internatinal students Birth Certificate (Australian) Certificate f Registratin by Descent Citizenship Certificate Immi Card (internatinal students) 4. Cmpleted enrlment frms are entered int the Student Management Database creating a client recrd within the database 5. The client recrd will be retained within the Student Management System with all recrds f attainments in an accessible frmat fr a perid f thirty (30) years.\ 6. Where a qualificatin r statement f attainment is recrded in the USI scheme, n additinal recrds are required t be kept, as the recrds required will exist within the USI scheme. Security f the Student USI The RTO will ensure the security f USIs and all related dcumentatin fr verifying the student identity, all persnal infrmatin cllected slely fr the purpse f applying fr a USI n behalf f a student will be destryed in manner that will keep all persnal infrmatin cnfidential, this includes digital and hard-cpy f recrds. The fllwing prcess is in place fr ensuring the security f a student s USI:! Only authrised persnnel will have access t a student s persnal infrmatin, fr bth hard cpy and electrnic recrds.! All student recrds, including evidence cllected fr verifying the students recrd, are stred in lcked filing cabinets within the head ffice.! Strng passwrds n all netwrk-cnnect cmputers are in place, which is nly accessible by authrised persnnel.! Back-up cpies f the database is autmatic as the Database is clud based. Quality & Cmpliance P&P-v6.03 AUG16 Page 102 f 162

104 CMS Training Quality & Cmpliance Manual USI Privacy Ntice All students wh d nt currently have a Unique Student Identifier (USI) in place, and want the RTO t apply fr a USI n their behalf, will be issued with a USI Privacy Ntice. The student will be required t sign this frm prir t the RTO setting up the students USI. Page 103 f 162 SEP16 Quality & Cmpliance P&P-v6.4 Issuance f recgnised qualificatins r statements f attainment Once a USI has been cllected and stred int the RTO s database, and n successful cmpletin f training, the RTO will prvide natinally recgnised qualificatins r statement f attainments t students in a variety f different frmats. Belw are sme examples that are cnsidered a statement f attainment and they cannt be issued until the student has supplied the RTO with a USI that has been verified. They can include:! A certificate! A building industry white card! A stamp n their license t certify they can nw drive heavy machinery When a student lgs int their USI accunt it will link t the natinal data cllectin using the USI. The students USI accunt will then be able t see their recrds and results cmpleted. The student s results frm 2015 will be available in their USI accunts in Internatinal students in Australia Fr internatinal students studying in Australia the RTO s students will als need a Unique Student Identifier (USI). All internatinal students in Australia must have been issued with an Australian Visa. This will let thse students use their passprts as their frm f ID when creating their USI as their Visa is linked t their passprt number. Students studying verseas An verseas student studying ffshre and nt having an Australian passprt r visa, may be cvered by arrangements fr cllectin f USIs and the student will need t cntact the RTO r the USI Team fr advice abut the need t apply fr a USI. Australian students studying verseas If yu are an Australian training rganisatin and yu are training Australian students ffshre then these students will be able t create a USI fllwing the nrmal prcess. USI Exemptin - RTO An RTO may be exempt frm issuing a USI r recding results within the USI database if they meet certain criteria. If the RTO is exempt frm USI, student details will nt be recrded n the USI database r n AVETMISS, this means that yur assessment results will nt appear n their authenticated VET transcript r be available via the USI system. Learners are required t sign a declaratin t acknwledge this during the enrlment prcess. USI Exemptin - Student A student may be exempt frm applying fr a USI r recding results within the USI database if they wrk within an industry that culd affect the security f the natin, fr example if they wrk in the military, State r Federal Plice Departments. In additin, individuals wh have a genuine persnal bjectin t being assigned a student identifier will be able t apply fr an exemptin t the Student Identifiers Registrar.

105 Quality & Cmpliance Manual If the student is exempt frm USI, student details will nt be recrded n the USI database r n AVETMISS, this means that yur assessment results will nt appear n their authenticated VET transcript r be available via the USI system. Learners are required t sign a declaratin t acknwledge this during the enrlment prcess. Evidence! Student Management Database! Enrlment Agreement Frm! USI Privacy Ntice Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f September n an annual basis. Respnsibility! Chief Executive Officer! Senir Management Quality & Cmpliance P&P-v6.03 AUG16 Page 104 f 162

106 CMS Training Quality & Cmpliance Manual Standard 4 Accurate and accessible infrmatin abut an RTO, its services and perfrmance is available t infrm prspective and current learners and clients. Page 105 f 162 SEP16 Quality & Cmpliance P&P-v6.4

107 Quality & Cmpliance Manual PROVIDE ACCURATE INFORMATION TO LEARNERS ABOUT SERVICES AND QUALIFICATIONS (4.1) 4.1 Infrmatin, whether disseminated directly by the RTO r n its behalf, is bth accurate and factual, and: a) accurately represents the services it prvides and the training prducts n its scpe f registratin; b) includes its RTO Cde; c) refers t anther persn r rganisatin in its marketing material nly if the cnsent f that persn r rganisatin has been btained; d) uses the NRT Lg nly in accrdance with the cnditins f use specified in Schedule 4; e) makes clear where a third party is recruiting prspective learners fr the RTO n its behalf; f) distinguishes where it is delivering training and assessment n behalf f anther RTO r where training and assessment is being delivered n its behalf by a third party; g) distinguishes between natinally recgnised training and assessment leading t the issuance f AQF certificatin dcumentatin frm any ther training r assessment delivered by the RTO; h) includes the cde and title f any training prduct, as published n the Natinal Register, referred t in that infrmatin; i) nly advertises r markets a nn-current training prduct while it remains n the RTO s scpe f registratin; j) nly advertises r markets that a training prduct it delivers will enable learners t btain a licensed r regulated utcme where this has been cnfirmed by the industry regulatr in the jurisdictin in which it is being advertised; k) includes details abut any VET FEE-HELP, gvernment funded subsidy r ther financial supprt arrangements assciated with the RTO s prvisin f training and assessment; and l) des nt guarantee that: i) a learner will successfully cmplete a training prduct n its scpe f registratin; r ii) iii) a training prduct can be cmpleted in a manner which des nt meet the requirements f Clause 1.1 and 1.2; r a learner will btain a particular emplyment utcme where this is utside the cntrl f the RTO. Strategy Prir t enrlment students are prvided with relevant infrmatin that infrms them abut the training, assessment and supprt services that will be prvided, including their rights and respnsibilities as a student, s as the student can make an infrmed decisin prir t curse cmmencement. The fllwing dcumentatin is prvided t clients prir t curse cmmencement:! Curse Flyer! Enrlment Agreement Frm! Student Handbk! Website! Organisatinal Prfile! Infrmatin Sessin Quality & Cmpliance P&P-v6.03 AUG16 Page 106 f 162

108 CMS Training Quality & Cmpliance Manual Plicy and Prcedure/s Advertising and Marketing All marketing material fr AQF and VET qualificatins are designed and develped accrding t the Training and Assessment Strategy, which is written against the Training Prduct requirements fr each qualificatin n ur Scpe f Registratin. In rder t maintain accuracy and integrity f marketing materials, the cntent is develped in cnsultatin with industry, and the Training Prducts fr each qualificatin within the RTO S scpe f registratin (as per scpe f registratin fr the RTO listed n training.gv.au). All marketing materials (including websites) need t be clear abut wh is delivering and assessing the Training Prduct. Any Training Prduct delivered under a Third Party arrangement shuld identify the Third Party s cmpany name and RTO ID, in accrdance with the RTO s Scpe f Registratin. Any qualificatins delivered in Third Party s with anther RTO needs t clearly state This qualificatin/unit f cmpetency will be delivered and assessed under a Third Party s arrangement with the RTO (RTO ID) In authrising marketing and advertising: Page 107 f 162 SEP16 Quality & Cmpliance P&P-v6.4! The CEO shall ensure that written permissin has been btained by any persn and rganisatin featured in RTO s marketing r advertising materials in name r image.! The CEO shall ensure that all clients are prvided with clear and accurate infrmatin relating t Curse Fee Schedules fr all curses n RTO s scpe f registratin prir t enrlment. The Curse Fee Infrmatin shall cntain the fllwing: the ttal amunt f all fees including curse fees, administratin fees, materials fees and any ther charges payment terms, including the timing and amunt f fees t be paid and any nn-refundable depsit/administratin fee the nature f the guarantee given by the RTO t cmplete the training and/r assessment nce the student has cmmenced study in their chsen qualificatin r curse the fees and charges fr additinal services, including such items as issuance f a replacement qualificatin testamur and the ptins available t students wh are deemed nt yet cmpetent n cmpletin f training and assessment, and the rganisatin s refund plicy.! The CEO shall ensure that all advertising cntains accurate infrmatin regarding current curse fees and curse refund prcedures.! The CEO shall ensure that all prmtinal and marketing materials cntain a cnfirmatin that the RTO will recgnise the AQF qualificatins and statements f attainment issued by any ther RTO.! The CEO f RTO shall ensure that all materials develped fr marketing and advertising purpses receive authrisatin prir t release. The authrisatin shall be applied thrugh a phtcpy bearing a signature f the CEO and filed by the RTO.! The CEO shall ensure that the marketing and advertising f RTO accurately represents its training and assessment services and the AQF qualificatins n its scpe f registratin.! The CEO shall ensure that training and assessment that leads t AQF certificatins are marketed and advertised separately frm any ther nn-accredited training service ffered by RTO.! The CEO shall ensure that the NRT lg and AQF lg are emplyed in RTO prmtinal and advertising materials in accrdance with its current cnditins f use. Marketing will nt guarantee t a learner:! That they will successfully cmplete a training prduct

109 Quality & Cmpliance Manual! Can cmplete a training prduct in a manner nt cmpliant with clauses 1.1 r 1.2! Will btain a particular emplyment utcme unless this is in the cntrl f the RTO The CEO will ensure that all advertising and marketing is:! Accurate and factual! Accurately represents the services prvided! Accurately represents the RTO scpe f registratin! Includes the RTO cde! Only refers t a persn r rganisatin with their cnsent! Uses the NRT lg in accrdance with the cnditins f use specific in Schedule 4 f these standards! Identifies where a third party is recruiting prspective leaners n behalf f the RTO! Identifies where training and assessment is being prvided n behalf f anther RTO! Identifies where training and assessment is being prvided by third party! Distinguishes between natinal recgnised training and ther training! Includes the cde and title f each training prduct as per trainng.gv.au! Includes accurate infrmatin abut licensed r regulated utcmes! Includes details abut financial supprt prvided, including VET FEE-HELP! Includes details abut relevant gvernment funding subsidies Marketing Apprval All marketing cnducted by the RTO will be undertaken with integrity and accuracy t prvide clients with sufficient infrmatin t make an infrmed decisin. 1. All marketing and advertising material is t be submitted t the CEO 2. Written apprval frm an individual r rganisatin is t be btained if reference is t be made t the individual r rganisatin is any prmtinal material 3. All advertising material must include the cntact details f the CEO and/r a persn qualified and experienced in the AQF qualificatin being prmted 4. A cpy f the authrised marketing and advertising material, tgether with any apprvals are t be kept n file by the CEO 5. The printing and publishing f marketing and advertising material can nly be authrised by the CEO 6. All printed, published r advertising will clearly distinguish between natinally recgnised training with scpe f registratin and nn-accredited training, ffered. Curse Flyers and Marketing Material Curse flyers are t include relevant infrmatin abut the curse t be ffered, s as the student/client can make an infrmed decisin prir t enrlment based n the infrmatin supplied in the curse flyer, enrlment frm and ther marketing materials. Relevant infrmatin that shuld be included n the curse flyer include:! Qualificatin Cde and Title r Unit Cde and Title! Break dwn f units (fr full qualificatins nly)! Fees including curse fees, administratin fees, material fees and any ther charges (ie Plice Recrd Check r First Aid)! Payment terms, including timing and amunt f fees and any nn-refundable depsit r administratin fee! Re-assessment fees (where applicable)! The curse flyer will cmply with the plicies and prcedures under Adverting and Marketing n Page 118. Organisatinal Prfile The rganisatinal Prfile is used by the RTO as an additinal piece f marketing material, Quality & Cmpliance P&P-v6.03 AUG16 Page 108 f 162

110 CMS Training Quality & Cmpliance Manual which is distributed t ptential clients t assist them t make an infrmed decisin abut the capabilities f the RTO prir t enrlment. The Organisatinal Prfile includes the fllwing details: Page 109 f 162 SEP16 Quality & Cmpliance P&P-v6.4! Backgrund f the RTO and the Directrs! Memberships and assciatins the RTO has in place! Scpe f Registratin! Outline f facilities! Industry dcumentatin agreements! Trainers and Assessrs Student Handbk All students are given access t the Student Handbk, which details the student s rights and respnsibilities. The handbk is distributed as fllws:! One t three days Training Students are advised where t access an electrnic cpy f the Student Handbk thrugh the rganisatinal website! Training delivered ver fur r mre days Students are issued with a Student Handbk prir t curse cmmencement, r during inductin. The student handbk includes plicies and prcedures that are relevant t the student, including their rights and respnsibilities as a student f the RTO.! The Student Handbk is accessible frm the RTO s website. Student Inductin (T&S) The RTO has an electrnic presentatin in place t ensure cnsistency at Inductin, this presentatin includes relevant infrmatin n the plicies and prcedures f the RTO, including the students rights and respnsibilities. The Student Inductin is t be cnducted prir t curse cmmencement, this presentatin includes the fllwing infrmatin:! Training and Assessment arrangements; including RPL! Selectin and enrlment f learners! Client supprt services! Legislative and ccupatinal licensing requirements! Cmplaints and appeals prcedures! Curse Outline, including attendance requirements Websites 4.1 The rganisatinal website includes infrmatin abut each curse ffered by the RTO, including:! Entrance requirements and pre-requisites! Curse Structure and delivery mde! Qualificatin Cde and Title r Unit Cde and Title! Break dwn f units (fr full qualificatins nly)! Fees including curse fees, administratin fees, material fees and any ther charges (ie Plice Recrd Check r First Aid)! Payment terms, including timing and amunt f fees and any nn-refundable depsit r administratin fee! Re-assessment fees (where applicable) The website will cmply with the Advertising and Marketing plicy and prcedure n page 107. NRT Lg - Cnditins f Use The Natinally Recgnised Training (NRT) lg is a distinguishable mark f quality fr

111 Quality & Cmpliance Manual prmting and certifying natinal vcatinal educatin and training leading t Australian Qualificatins Framewrk (AQF) qualificatins r Statements f Attainment. The NRT lg can nly be used by registered training rganisatins (RTOs), the Australian Skills Quality Authrity (ASQA), State and Territry registering/curse accrediting bdies and ther authrised bdies. Fr guidance n using the NRT lg, visit the Natinally Recgnised Training (NRT) Lg Specificatins page. Here yu can find ut wh can use the NRT lg, cnditins f use and hw t request the lg. The RTO acknwledges it bligatins in ensuring the crrect use f the NRT lg. In accrdance with these requirements the RTO will ensure that is cmplies with the guidelines fr usage f the lg. The RTO will nly use the NRT lg:! On AQF qualificatins dcuments within its scpe f registratin! In advertisements in accrdance with the VET Quality Framewrk fr VET certificatins and prducts! On certificates fr relevant training Use f NRT Lg The fllwing details the situatins and cnditins fr using the NRT lg. Advertisements and prmtinal infrmatin in any medium (print, televisin, radi, banners, internet, websites etc) 1. The RTO may use the NRT lg t prmte training prducts listed n training.gv.au, prvided that training is within the RTO s scpe f registratin 2. The NRT lg must nt be used in assciatin with training which des nt lead t an AQF qualificatin r statement f attainment, this includes shrt curses, nnaccredited training and services utside f training such as cnsulting 3. Use f the NRT lg is nly permitted where there is a direct relatinship t an accredited Training Prduct meeting the requirements f the AQF 4. When prmting the training and using the NRT lg, all prmtinal material such as brchures, handbks and prspectuses must clearly distinguish between natinally recgnised training within the scpe f registratin and that which is nt natinally recgnised. 5. The NRT lg must nt be used n prducts such as crprate statinary, business cards, building signage, muse pads, pens, satchels, signatures, packaging arund prducts r materials supprting training. 6. The NRT lg must be depicted n all AQF qualificatins and Statements f Attainment. These can nly be issued by an RTO when the training delivered is cvered by the RTO s scpe f registratin. 7. The NRT lg must nt be depicted n transcripts/statements f results. Frmat fr Reprductin! The triangle f the lg is nt t be used withut the descriptr. The lg and fnt used are under n circumstances, t be altered.! The cmplete NRT lg may be varied in size. Althugh the prprtins f the triangle may nt be varied. Under n circumstance is the lg t be reprduced in mirrr image r be rtated. Tw Clur Reprductin! Where the NRT lg is reprduced in clur, it must cmply with these clur requirements. Deviatin frm these clurs is nt permitted, nr are clurs t be Quality & Cmpliance P&P-v6.03 AUG16 Page 110 f 162

112 CMS Training Quality & Cmpliance Manual swapped arund r stippled. The nly clurs t be used are:! GREEN PMS 343! RED PMS 192 One Clur Reprductin! Where the NRT lg is reprduced in ne clur, it shuld preferably be in GREEN PMS 343 r, where this is nt suitable, it may be reprduced in black. In sme situatins the backgrund clur may clash r the lg may nt be prminent. In thse situatins, the black lg may be reversed ut t display in white. Examples f Lg Reprductin AQF lg Cnditins f use The AQF lg is the hallmark f Australian quality assured qualificatins and is used by registered prviders f AQF qualificatins n testamurs and fr advertising f AQF qualificatins that the RTO currently has n their scpe f registratin. The fllwing link details the specific requirements surrunding use f the lg: h"p:// Reissued-May-2012.pdf Evidence! Curse Flyers! Newspaper Adverts! Website! Student Handbk! Student Management Database! Certificates! Statements f Attainment! Marketing Materials Cntinuus Imprvement This standard is reviewed, accrding t the Cntinuus Imprvement Cycle, during the mnth f September n an annual basis. Respnsibility! Chief Executive Officer! Senir Management Page 111 f 162 SEP16 Quality & Cmpliance P&P-v6.4