AQTF self-assessment tool AQTF Essential Conditions and Standards by niusheng11

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									AQTF self-assessment tool
AQTF Essential Conditions and Standards for Continuing Registration

         The Queensland Studies Authority is a delegate of the Training and Employment Recognition Council



      About this self-assessment tool
      Queensland school RTOs may use this tool when preparing for an audit, to guide and record the
      outcome of self-assessment against the AQTF Essential Conditions and Standards for Continuing
      Registration. Others wishing to use QSA-developed tools must obtain permission, as stated in the
      QSA copyright notice, available from www.qsa.qld.edu.au/copyright.html.

      The aim of this tool is to provide Queensland school RTOs with a systematic framework to guide
      them through a self-assessment, and a thorough and concise record of the outcomes of that
      assessment. This tool can also be used for Queensland school RTOs internal audits and
      continuous improvement processes.

      The tool does not mandate the type of evidence that must be provided to demonstrate
      compliance. Listed on the form are some of the ways a Queensland school RTO could provide
      evidence, including:
       suggestions in the AQTF Users’ Guide to the Essential Conditions and Standards for
         Continuing Registration
       specific requirements of the Queensland Studies Authority
       the Department of Education and Training’s policies for registered training organisations
       evidence usually provided at audit by Queensland school RTOs.

      Also refer to the users’ guide (available at www.training.com.au) for assistance in interpreting the
      conditions and standards and understanding how they apply to your school RTO’s operations.
      The scale of this self-assessment activity and the type of evidence required to demonstrate
      compliance will vary depending on the Queensland school RTO’s size and scope of operations.

      The chief executive officer of the Queensland school RTO (usually the Principal) should review
      the findings of the self-assessment and formally note the outcome by signing in the section
      provided. A comments section is also provided.

        AQTF Audit Self-Assessment Report

        School name                                                                                  QSA
                                                                                                     number
        Date of                                                                                      NTIS
        assessment                                                                                   number
        Chief Executive

        People involved
        in the self-
        assessment
        Findings noted by Chief Executive as the person responsible for the RTO’s compliance

        Comments

        Signature                                                               Date

      Privacy disclaimer: The information that you provide on this form is collected so that the legislative functions of the QSA
      concerning vocational education described in the Vocational Education, Training and Employment Act 2000 can be carried out.
      Personal information will be handled in accordance with the Information Privacy Act 2009, and will be accessed by authorised
      QSA staff.
        AQTF conditions of registration for continuing registration

        Condition 1 — Governance
        At time of initial self-assessment:                     compliant                   not compliant
        Following analysis of additional evidence:              compliant                   not compliant
        Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
        with the following:                                     mandatory evidence):
         The RTO’s chief executive ensures compliance              position description/role statement of CEO
          with all the AQTF Essential Conditions and                position description/role statements of
          Standards for Continuing Registration and any             trainers/assessors (including decision-making
          national guidelines approved by the National              role)
          Quality Council across all its operations.                organisational chart
                                                                    minutes of meetings where chief executive
         Decision making of senior management is                   takes a leadership role in monitoring and
          consistently informed by trainers’ and assessors’         reviewing AQTF compliance
          experiences.                                              communication from chief executive to staff
         All senior officers and directors, substantial            decision-making guidelines/flowcharts/
          shareholders or other associates who are in a             procedures
          position to influence the management of the               statement in regard to compliance with “fit and
          organisation satisfy the “fit and proper person”          proper person” covered by the requirements of
          requirements (This is covered by the                      the College of Teachers, Education
          requirements of the College of Teachers,                  Queensland or the Non-State Schools
          Education Queensland and the Non-State                    Accreditation Board
          Schools Accreditation Board).                             other evidence (please specify):




        Summary of non-compliances identified at initial assessment:


        Rectification required to demonstrate compliance:


        System improvements identified:




2   |     AQTF self-assessment tool — Continuing registration
Condition 2 — Interactions with the registering body
At time of initial self-assessment:                        compliant                   not compliant
Following analysis of additional evidence:                 compliant                   not compliant
Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
with the following:                                       mandatory evidence):
 The organisation’s chief executive has                       procedures or guidelines on how the school
  cooperated with its registering body:                        cooperates with the QSA as its registering body
                                                               position descriptions/role statements include
    in the conduct of audits and in the monitoring            responsibilities for communicating with the
     of its operations                                         registering body
    by providing accurate and timely data relevant            collection and reporting of data to the QSA
     to measures of its performance                            including SDCS, RABS
                                                               collection and reporting of data to DET if
    by providing information about significant
                                                               registered for higher qualifications
     changes to its operations (must include the
                                                               sending AQTF Quality Indicator Reports (CCOS
     strategy in place to communicate these
                                                               Reports and SMART Report) to QSA by due
     changes to the registering body)
                                                               date
    in the retention, archiving, retrieval and                The Department of Education and Training’s
     transfer of records consistent with its                   policy Retention of Student Results and
     registering body’s requirements                           Assessment Records incorporated into policies
    by providing a statement of its financial                 and procedures
     viability, an annual report, and/or a business            business plan
     plan on the request of the registering body.              NTIS details correct
                                                               QSA VET Action Form completed at the
                                                               beginning of each year
                                                               other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                      Queensland Studies Authority Version: November 2010   |   3
        Condition 3 — Compliance with legislation
        At time of initial self-assessment:                     compliant                   not compliant
        Following analysis of additional evidence:              compliant                   not compliant
        Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
        with the following:                                     mandatory evidence):
         The organisation complies with relevant                   staff induction and professional development
          Commonwealth, state or territory legislation and          programs
          regulatory requirements that are relevant to its          student induction programs
          operations as an RTO and scope of registration.           information provided to staff
                                                                    information provided to students
         The organisation ensures that its staff and clients       internal audits reports
          are fully informed of these requirements that             workplace safety reports
          affect their duties or participation in vocational        other evidence (please specify)
          education and training.

        Summary of non-compliances identified at initial assessment:


        Rectification required to demonstrate compliance:


        System improvements identified:




4   |     AQTF self-assessment tool — Continuing registration
Condition 4 — Insurance
At time of initial self-assessment:                   compliant                     not compliant
Following analysis of additional evidence:            compliant                     not compliant
Evidence is required to demonstrate compliance        Description of possible evidence (not a list of
with the following:                                   mandatory evidence):
 The organisation holds public liability insurance       statement in regard to insurance covered by the
  (This is covered by the requirements of Education       requirements of Education Queensland or the
  Queensland and the Non-State Schools                    Non-State Schools Accreditation Board
  Accreditation Board).
Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                 Queensland Studies Authority Version: November 2010   |   5
        Condition 5 — Financial management
        At time of initial self-assessment:                      compliant                  not compliant
        Following analysis of additional evidence:               compliant                  not compliant
        Evidence is required to demonstrate compliance           Description of possible evidence (not a list of
        with the following:                                      mandatory evidence):
         The organisation demonstrates that it is                   fees, charges and refunds policy
          financially viable at all times during the period of       pre-enrolment information to students about
          its registration. (This is covered by the                  fees, charges and refunds is clear and
          requirements of Education Queensland and the               accessible
          Non-State Schools Accreditation Board.)                    statement in regard to financial management
                                                                     covered by the requirements of Education
         The following fee information is provided to each          Queensland or the Non-State Schools
          client:                                                    Accreditation Board
            the total amount of all fees including course           other evidence (please specify)
             fees, administration fees, materials fees and
             any other charges
            payment terms, including the timing and
             amount of fees to be paid and any non-
             refundable deposit/administration fee
            the nature of the guarantee the organisation
             will give to complete the training and/or
             assessment once the student has commenced
             study in their chosen qualification or course
            the fees and charges for additional services,
             including such items as issuance of a
             replacement qualification or statement of
             attainment and the options available to
             students who are deemed not yet competent
             upon completion of training and assessment
            the organisation’s refund policy.
         In regards to collecting fees in advance from
          students:
            Where the organisation collects fees in
             advance, the organisation complies with
             Option 1 — the RTO is administered by a
             state, territory or Commonwealth government
             agency. (This is covered by the requirements
             of Education Queensland and the Non-State
             Schools Accreditation Board.)
           or
            The organisation does not collect fees in
             advance from students.
         Financial accounts are certified by a qualified
          accountant at least annually (This is covered by
          the requirements of Education Queensland and
          the Non-State Schools Accreditation Board).
        Summary of non-compliances identified at initial assessment:


        Rectification required to demonstrate compliance:


        System improvements identified:




6   |     AQTF self-assessment tool — Continuing registration
Condition 6 — Certification and issuing of qualifications and statements of attainment
At time of initial self-assessment:                       compliant                     not compliant
Following analysis of additional evidence:                compliant                     not compliant
Evidence is required to demonstrate compliance           Description of possible evidence (not a list of
with the following:                                      mandatory evidence):
 The organisation has issued to persons it has               certification and issuing of qualifications and
  assessed as competent a qualification or                    statement of attainment procedures
  statement of attainment (as appropriate) that:              records management procedure including
                                                              requirement to review ongoing accessibility of
    meets the Australian Qualifications Framework            records
     (AQF) requirements                                       if applicable, agreement to use QSA’s printing
    identifies the RTO by its national provider              service for qualifications and statements of
     number from the National Training Information            attainment (meets requirement)
     Service                                                  if applicable, copies of qualifications and
                                                              statements of attainment issued if producing
    includes the “Nationally Recognised Training”
                                                              own qualifications and statements of attainment
     logo in accordance with its conditions of use.
                                                              delivering VET to students from the school —
 The organisation has a system in place to retain            records management system with a capacity to
  client records of attainment of units of                    provide AVETMISS compliant data (using
  competency and qualifications in an accessible              SDCS covers this requirement)
  format for a period of 30 years.                            if applicable, delivering VET to students from
 The organisation has a student records                      other schools — records management system
  management system in place that has the                     with a capacity to provide AVETMISS compliant
  capacity to provide the registering body with               data (using SLIMS covers this requirement)
  AVETMISS compliant data.                                    if applicable, delivering qualifications registered
                                                              through DET to students from the school or
 The organisation provides returns of its client             other schools — records management system
  records of attainment of units of competence and            with a capacity to provide AVETMISS compliant
  qualifications to its registering body on a regular         data to DET
  basis (as determined by the registering body).              enrolment and achievement of units of
 The organisation meets the requirements for                 competency and qualifications up to date —
  implementation of a national unique student                 SDCS, SLIMS (if applicable), information to
  identifier. (Note: not required until a National            DET (if applicable)
  system is in place.)                                        other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                     Queensland Studies Authority Version: November 2010   |   7
        Condition 7 — Recognition of qualifications issued by other RTOs
        At time of initial self-assessment:                     compliant                     not compliant
        Following analysis of additional evidence:              compliant                     not compliant
        Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
        with the following:                                     mandatory evidence):
         The organisation recognises AQF qualifications             policy and procedure for recognising
          and statements of attainment issued by any other           qualifications and statements of attainment
          RTO.                                                       issued by other RTOs
                                                                     information about recognising qualifications and
                                                                     statements of attainment issued by other RTOs
                                                                     in pre-enrolment materials
                                                                     information to staff
                                                                     examples of recognition of qualifications/units of
                                                                     competency
                                                                     other evidence (please specify)


        Summary of non-compliances identified at initial assessment:


        Rectification required to demonstrate compliance:


        System improvements identified:




8   |     AQTF self-assessment tool — Continuing registration
Condition 8 — Accuracy and integrity of marketing
At time of initial self-assessment:                         compliant                    not compliant
Following analysis of additional evidence:                  compliant                    not compliant
Evidence is required to demonstrate compliance             Description of possible evidence (not a list of
with the following:                                        mandatory evidence):
 The organisation’s marketing and advertising of               marketing procedure
  AQF qualifications to prospective students is                 marketing materials
  ethical, accurate and consistent with its scope of            induction program for staff, including
  registration.                                                 information about how to ensure that marketing
                                                                is accurate and is not misleading
 The “Nationally Recognised Training” logo, if                 other evidence (please specify)
  used, is used in marketing material in accordance
  with its conditions of use.
Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                       Queensland Studies Authority Version: November 2010   |   9
       Condition 9 — Transition to training packages/expiry of accredited courses
       At time of initial self-assessment:                     compliant                  not compliant
       Following analysis of additional evidence:              compliant                  not compliant
       Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
       with the following:                                     mandatory evidence):
        The organisation manages the transition from              The Department of Education and Training’s
         superseded training packages within 12 months             policy Transition Requirements for Superseded
         of their publication on the National Training             Qualifications and Expired Accredited Courses
         Information Service and transition from                   incorporated into policies and procedures
         superseded accredited courses so that it delivers         current marketing materials
         only currently endorsed training packages or              current training and assessment strategies
         accredited courses.                                       other evidence (please specify)


       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




10 |     AQTF self-assessment tool — Continuing registration
AQTF standards for continuing registration

Standard 1 — The RTO provides quality training and assessment across
all its operations

Element 1.1 The RTO collects, analyses and acts on relevant data for continuous
improvement of training and assessment.
Intent: The RTO improves training and assessment arrangements in accordance with data collected.
At time of initial self-assessment:                   compliant                     not compliant
Following analysis of additional evidence:            compliant                     not compliant
Evidence is required to demonstrate compliance        Description of possible evidence (not a list of
with the following:                                   mandatory evidence):
 The organisation’s continuous improvement                process/procedure for data collection and
  approach to training and assessment is                   continuous improvement
  systematic.                                              analysis of the quality indicator data i.e.
                                                           Competency Completion Online System
 Data on the quality of training and assessment is        (CCOS) and Survey Management, Analysis and
  collected and analysed.                                  Reporting Tool (SMART) Learner Questionnaire
 Data is relevant and sufficient to make judgments        collection and analysis of feedback from
  about the quality of training and assessment             stakeholders
  across the RTO’s scope of registration.                  assessment validation and/or moderation
                                                           changes to training and assessment strategies,
 Improvements to training and assessment are
                                                           assessment instruments, etc from feedback
  demonstrated.
                                                           internal reviews
                                                           internal audits
                                                           continuous improvement process/log
                                                           other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                  Queensland Studies Authority Version: November 2010   |   11
       Element 1.2 Strategies for training and assessment meet the requirements of the relevant
       training package or accredited course and are developed in consultation with industry.
       Intent: All training and assessment strategies meet the requirements of the training package or accredited
       course. All training and assessment strategies are clearly informed by industry consultation and are
       systematically reviewed.
       At time of initial self-assessment:                     compliant                    not compliant
       Following analysis of additional evidence:              compliant                    not compliant
       Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
       with the following:                                     mandatory evidence):
        Each training and assessment strategy:                    training and assessment strategy for each
                                                                   qualification
           is clearly articulated and informed by                 evidence of industry consultation in the
            information collected on industry requirements         development of the training and assessment
            and learners’ needs through effective                  strategy for each qualification
            consultation with industry                             records of meetings
           specifies the resources, both human and                revisions to strategies in response to industry
            physical, that will be used to meet the                feedback
            requirements of the training package                   internal reviews
            qualification (or unit of competency) or               internal audits
            accredited course (or unit/module)                     validation processes
                                                                   other evidence (please specify)
           is monitored and reviewed through effective
            consultation.
       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




12 |     AQTF self-assessment tool — Continuing registration
Element 1.3 Staff, facilities, equipment and training and assessment materials used by the
RTO are consistent with the requirements of the training package or accredited course and
the RTO’s own training and assessment strategies.
Intent: The resources used by the RTO across all of its operations are consistent with current industry
standards and training package requirements.
At time of initial self-assessment:                    compliant                     not compliant
Following analysis of additional evidence:             compliant                     not compliant
Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
with the following:                                       mandatory evidence):
 The resources specified in each training and                physical resources available at the school
  assessment strategy are used across all of the              agreements for the use of resources outside of
  RTO’s operations by staff and learners.                     the school
                                                              simulated environment that meets the
 The currency, sufficiency and effectiveness of the          requirements of the qualification or accredited
  facilities, equipment and training materials are            course
  systematically reviewed and improvements are                resources meet the requirement of the training
  demonstrated.                                               package or accredited course
                                                              review of resources as part of the continuous
                                                              improvement processes
                                                              industry review of resources
                                                              other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                   Queensland Studies Authority Version: November 2010    |   13
       Element 1.4 Training and assessment is delivered by trainers and assessors who:
        have the necessary training and assessment competencies as determined by the National Quality
         Council or its successors, and
        have the relevant vocational competencies at least to the level being delivered or assessed, and
        can demonstrate current industry skills directly relevant to the training/assessment being
         undertaken, and
        continue to develop their vocational education and training (VET) knowledge and skills as well as
         their industry currency and trainer/assessor competence.
       Intent: All trainers and assessors of nationally recognised training meet nationally agreed competency
       requirements and continue to develop their competence (refer to Appendixes 2 and 3 from the AQTF Users’
       Guide to the Essential Conditions and Standards for Initial Registration regarding training and assessment
       competencies for trainers and assessors).
       At time of initial self-assessment:                     compliant                     not compliant
       Following analysis of additional evidence:              compliant                     not compliant
       Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
       with the following:                                       mandatory evidence):
        Trainers’ and assessors’ competence, including              staff induction materials
         vocational currency, is established, verified and           policies and procedures or other guidance
         monitored.                                                  regarding selection of trainers and assessors
                                                                     staff review and professional development plan
        If applicable, assessors who have the vocational            procedure in regard to trainers/assessors who
         competencies, but not the assessment                        do not have training and assessment
         competencies required, work together to conduct             competencies
         assessment with a person who has the required               trainers/assessors are identified on the training
         assessment competencies.                                    and assessment strategies
        If applicable, direct supervision arrangements for          staff profiles, copies of qualifications, mapping
         trainers are implemented and managed as                     of work history to the units of competency,
         required.                                                   professional development activities etc. show
                                                                     that the trainers/assessors have:
        Trainers’ and assessors’ competencies are
                                                                           training and assessment competencies
         continuously developed.
                                                                           relevant vocational competencies
                                                                           current industry skills in the units of
                                                                           competency being delivered
                                                                           continually developed industry currency
                                                                           and trainer/assessor competence
                                                                     other evidence (please specify)



       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




14 |     AQTF self-assessment tool — Continuing registration
Element 1.5 Assessment, including recognition of prior learning (RPL):
 meets the requirements of the relevant training package or accredited course
 is conducted in accordance with the principles of assessment and the rules of evidence
 meets workplace and, where relevant, regulatory requirements
 is systematically validated.
Intent: Assessment ensures that only learners who hold the requisite skills and knowledge are certified as
competent.
At time of initial self-assessment:                     compliant                    not compliant
Following analysis of additional evidence:              compliant                    not compliant
Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
with the following:                                       mandatory evidence):
 Assessment (which includes RPL):                            RPL processes, procedures and application
   meets the requirements of the training                    form and copies of completed process (if
     package or accredited course                             applicable)
   is consistent with the training and assessment            validation of assessment and moderation of
     strategy                                                 assessment
                                                              master copies of assessment tools and
   is valid, reliable, flexible and fair
                                                              intended responses/actions for units of
   focuses on the application of knowledge and               competency for each qualification/accredited
     skill to the standard of performance required in         course that:
     the workplace                                                    are consistent with the training and
   involves the collection of sufficient, valid,                     assessment strategy
     authentic and current evidence to enable a                       cover the required knowledge
     judgment to be made about whether                                cover the required skills
     competency has been attained                                     meet the critical aspects
   confirms that workplace and regulatory                            are valid, reliable, flexible and fair
     requirements are met (if applicable)                     (it is recommended that two units of
   is validated and/or moderated.                            competency from each qualification/accredited
                                                              course be reviewed)
                                                              student assessment work which is:
                                                                      sufficient, valid, authentic and current
                                                              (it is recommended that the assessment for two
                                                              students from each qualification or accredited
                                                              course be reviewed)
                                                              other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                   Queensland Studies Authority Version: November 2010   |   15
       Standard 2 — The RTO adheres to the principles of access and equity
       and maximises outcomes for its clients

       Element 2.1 The RTO establishes the needs of clients and delivers services to meet these
       needs.
       Intent: Client services meet clients’ needs.
       At time of initial self-assessment:                     compliant                    not compliant
       Following analysis of additional evidence:              compliant                    not compliant
       Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
       with the following:                                       mandatory evidence):
        The needs of clients are established.                       SET plans
                                                                     guidance services
        Client services are put in place or accessed to             services available for students with special
         address the identified needs.                               needs
        The provision of services is monitored to ensure            subject selection processes
         that they continue to address the identified need.          monitoring/reviewing of the SET plans
                                                                     other evidence (please specify)


       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




16 |     AQTF self-assessment tool — Continuing registration
Element 2.2 The RTO continuously improves client services by collecting, analysing and
acting upon relevant data
Intent: Client services are continuously improved in accordance with data collected about their
effectiveness. Continuous improvement processes refer to the continual enhancement of an RTO’s
performance so that the changing needs of clients and industry continue to be met. Continuous
improvement does not relate to actions to achieve compliance as such actions are considered rectifications.
At time of initial self-assessment:                   compliant                       not compliant
Following analysis of additional evidence:            compliant                       not compliant
Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
with the following:                                     mandatory evidence):
 The RTO’s continuous improvement approach is               continuous improvement process/log
  systematic.                                                induction materials for staff about their role in
                                                             continuous improvement
 Data on the effectiveness of services provided to          induction materials for learners that describe
  clients is collected and analysed systematically.          their input to continuous improvement of client
 Data that is collected and analysed is relevant            services
  and sufficient to allow judgments to be made               analysis of the quality indicator data i.e. Survey
  about the quality of client services across the            Management, Analysis and Reporting Tool
  RTO’s scope of registration and operations.                (SMART) Learner Questionnaire
                                                             collection and analysis of feedback from
 Improvements to client services are
                                                             stakeholders
  demonstrated.
                                                             internal reviews
                                                             internal audits
                                                             revised policies, processes and procedures
                                                             other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                    Queensland Studies Authority Version: November 2010   |   17
       Element 2.3 Before clients enrol or enter into an agreement, the RTO informs them about
       the training, assessment and support services to be provided, and about their rights and
       obligations.
       Intent: Clients are provided with accurate and sufficient information to make an informed choice about their
       enrolment and/or agreement.
       At time of initial self-assessment:                     compliant                     not compliant
       Following analysis of additional evidence:              compliant                     not compliant
       Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
       with the following:                                     mandatory evidence):
        Information provided to clients is clear, accurate         pre-enrolment information provided to students
         and sufficient to assist them to make an informed          which covers:
         choice.                                                          fee information
                                                                          qualification/accredited course details
        The agreement between the RTO and the client is                  training and assessment arrangements
         clearly defined and accurate.                                    including RPL
        Improvements to client information services are                  selection and enrolment of learners
         demonstrated.                                                    client support services
                                                                          complaints and appeals procedure
                                                                    written agreements between the RTO and the
                                                                    learners
                                                                    policy/procedure/enrolment flowchart and/or
                                                                    information for relevant staff to ensure that
                                                                    clients receive the information before they enrol
                                                                    or sign an agreement
                                                                    changes to pre-enrolment information
                                                                    internal reviews
                                                                    internal audits
                                                                    other evidence (please specify)


       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




18 |     AQTF self-assessment tool — Continuing registration
Element 2.4 Employers and other parties who contribute to each learner’s training and
assessment are engaged in the development, delivery and monitoring of training and
assessment.
Intent: Learners, including apprentices and trainees, receive support from all parties engaged in their
training and assessment.

At time of initial self-assessment:                      compliant                    not compliant
Following analysis of additional evidence:               compliant                    not compliant
Evidence is required to demonstrate compliance             Description of possible evidence (not a list of
with the following:                                        mandatory evidence):
This element only applies for schools when                     documentation to support adherence to the
supplementary evidence is gathered from a                      Education (Work Experience) Act 1996 (Qld)
student’s workplace which contributes to a                     workplace induction processes
competency judgment.                                           student or training logs
 Workplace personnel are consulted in the                     roster of visits to workplaces
  development of the workplace training and                    third-party reports
  assessment processes.                                        interviews with supervisors
                                                               interviews with learners
 Workplace personnel are informed of their                    other evidence (please specify)
  training and assessment roles and
  responsibilities, where relevant to the training and
  assessment program.
 The RTO monitors the contribution of workplace
  personnel in supporting each learner’s training
  and assessment.
 The RTO monitors each learner’s progress.
 Information from workplace personnel is used to
  continuously improve training and assessment.
Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                    Queensland Studies Authority Version: November 2010   |   19
       Element 2.5 Learners receive training, assessment and support services that meet their
       individual needs.
       Intent: Learners have every reasonable opportunity to complete their training program.
       At time of initial self-assessment:                     compliant                    not compliant
       Following analysis of additional evidence:              compliant                    not compliant
       Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
       with the following:                                       mandatory evidence):
        Learners’ training and learning support needs are           procedures for determining support needs
         systematically assessed.                                    personnel and resources to support learners
                                                                     information for learners about support services
        Learners have access to relevant learning                   available and how to access them
         support services, including assistance with                 RPL applications
         language, literacy and numeracy.                            other evidence (please specify)
        Training, assessment and learning support
         services provided to each client are consistent
         with the training and assessment strategies.
        Learning, assessment and learning support
         services are monitored and improved.
       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




20 |     AQTF self-assessment tool — Continuing registration
Element 2.6 Learners have timely access to current and accurate records of their
participation and progress.
Intent: Learners have access to their records.
At time of initial self-assessment:                    compliant                     not compliant
Following analysis of additional evidence:             compliant                     not compliant
Evidence is required to demonstrate compliance           Description of possible evidence (not a list of
with the following:                                      mandatory evidence):
 Learners are informed about how to gain access             pre enrolment materials
  their records.                                             induction materials — staff
                                                             induction materials — learners
 Records of learners’ participation and progress            website information
  through their training programs are systematically         learners’ records
  collected, recorded and stored.                                  enrolment
 Records management practices are monitored                       attendance
  and improvements are demonstrated.                               learner support
                                                                   outcomes — qualification/unit of
                                                                   competency
                                                                   qualifications and statements of attainment
                                                             records management policies and procedures
                                                             internal reviews
                                                             internal audits
                                                             other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                   Queensland Studies Authority Version: November 2010   |   21
       Element 2.7 The RTO provides appropriate mechanisms and services for learners to have
       complaints and appeals addressed effectively and efficiently.
       Intent: Complaints and appeals are managed fairly, efficiently and effectively. The RTO creates an
       environment where clients’ views are valued.
       At time of initial self-assessment:                     compliant                    not compliant
       Following analysis of additional evidence:              compliant                    not compliant
       Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
       with the following:                                     mandatory evidence):
        Effective management of complaints and appeals             complaints and appeals policy and procedure
         and their resolution is demonstrated.                      complaints and appeals form
                                                                    information to students about how to access
        Complaints and appeals are monitored and                   complaints and appeals processes
         reviewed to prevent their recurrence and to                information to staff
         improve the RTO’s operations or services.                  complaints and appeals dealt with as per policy
                                                                    and procedure
                                                                    complaints and appeals register
                                                                    continuous improvement process/log
                                                                    other evidence (please specify)


       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




22 |     AQTF self-assessment tool — Continuing registration
Standard 3 — Management systems are responsive to the needs of
clients, staff and stakeholders, and the environment in which the RTO
operates.

Element 3.1 The RTO’s management of its operations ensures clients receive the services
detailed in their agreement with the RTO.
Intent: Clients’ rights as consumers are protected.
At time of initial self-assessment:                         compliant                   not compliant
Following analysis of additional evidence:                  compliant                   not compliant
Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
with the following:                                       mandatory evidence):
 Agreements are in place with each client                     policies and procedures
                                                               copies of written agreements e.g. pre-enrolment
 The RTO ensures that clients’ rights as                      forms, SET Plans, subject selection forms,
  consumers are protected.                                     subject change forms
 The RTO’s systems are sufficient to support the              surveys for monitoring client satisfaction with
  provision of quality training, assessment and                the services provided
  client services.                                             moderation activities checking students are
                                                               receiving the services outlined in the
 The RTO monitors and reviews the provision of
                                                               agreements
  services to clients and demonstrates
                                                               internal reviews
  improvements.
                                                               internal audits
                                                               other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                      Queensland Studies Authority Version: November 2010   |   23
       Element 3.2 The RTO uses a systematic and continuous improvement approach to the
       management of operations.
       Intent: The management system ensures that the RTO meets:
        AQTF Essential Conditions and Standards for Continuing Registration
        legislation and regulations under which it is registered.
       Continuous improvement processes refer to the continual enhancement of an RTO’s performance so that
       the changing needs of clients and industry continue to be met. Continuous improvement does not relate to
       actions to achieve compliance as such actions are considered rectifications.
       At time of initial self-assessment:                     compliant                   not compliant
       Following analysis of additional evidence:              compliant                   not compliant
       Evidence is required to demonstrate compliance            Description of possible evidence (not a list of
       with the following:                                       mandatory evidence):
        Management systems are:                                     policies and procedures e.g. quality manual
                                                                     register of documents
           appropriate for the size and scope of the                continuous improvement plan
            RTO’s operations                                         VET schedule or calendar
           focused on providing quality training,                   internal reviews/monitoring activities
            assessment and support services                          internal audits
                                                                     communication throughout the RTO e.g. emails,
           consistently implemented across all of the
                                                                     memos
            RTO’s operations
                                                                     VET meetings
           systematically monitored and improved.                   staff induction
                                                                     position description/role statements
                                                                     organisational chart
                                                                     analysis of data from stakeholders
                                                                     other evidence (please specify)


       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




24 |     AQTF self-assessment tool — Continuing registration
Element 3.3 The RTO monitors training and/or assessment services provided on its behalf
to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards
for Continuing Registration.
Intent: Services delivered under partnering arrangements will comply with the AQTF Essential Conditions
and Standards for Continuing Registration.
At time of initial self-assessment:                       compliant                   not compliant
Following analysis of additional evidence:                compliant                   not compliant
Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
with the following:                                     mandatory evidence):
 Documented agreements are in place with each               N/A (no other schools will be delivering
  organisation that provides training and/or                 qualifications using the applicant’s registration
  assessment on its behalf. The agreements                   as an RTO)
  describe the responsibilities of each party and the   If another school will be delivering qualifications
  management strategies to be implemented,              using the applicant’s registration as an RTO, then
  including monitoring arrangements.                    the applicant could have:
 The implementation of the agreement is                     agreements
  monitored to ensure that it is being adhered to            policies and procedures for monitoring the
  and improvements are made where required.                  agreements
                                                             agreement checklist
 Improvements to arrangements for the                       position description of staff who monitor the
  establishment, monitoring and implementation of            agreement
  agreements are demonstrated.                               monitoring and moderation activities
                                                             agendas and minutes of meetings
                                                             continuous improvement process/log
                                                             other evidence (please specify)


Summary of non-compliances identified at initial assessment:


Rectification required to demonstrate compliance:


System improvements identified:




                                                    Queensland Studies Authority Version: November 2010   |   25
       Element 3.4 The RTO manages records to ensure their accuracy and integrity.
       Intent: Records maintained by the RTO support the continuous improvement of its operations and provide
       evidence of compliance with the AQTF Essential Conditions and Standards for Continuing Registration.
       At time of initial self-assessment:                       compliant               not compliant
       Following analysis of additional evidence:                compliant               not compliant
       Evidence is required to demonstrate compliance          Description of possible evidence (not a list of
       with the following:                                     mandatory evidence):
        Records are systematically managed.                       records management policies and procedures
                                                                   electronic records
        Records for demonstrating compliance with the             paper-based records
         AQTF Essential Conditions and Standards for               backed up and archived records
         Continuing Registration are maintained.                   AQF qualifications register
        Staff meet their responsibilities for records             staff induction materials
         management.                                               processes used to check the accuracy of
                                                                   records
        The effectiveness of records management is
                                                                   regularly updated VET records on SDCS to
         monitored and reviewed.
                                                                   meet QSA requirements
        The continuous improvement of record                      position description of staff who have
         management is monitored and reviewed.                     responsibility for record keeping
        Compliance with the Department of Education               continuous improvement process/log
         and Training’s Retention of Student Results and           other evidence (please specify)
         Assessment Records Policy for RTOs is
         demonstrated.
       Summary of non-compliances identified at initial assessment:


       Rectification required to demonstrate compliance:


       System improvements identified:




26 |     AQTF self-assessment tool — Continuing registration

								
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