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Australian Multicultural Community Services Inc
RTO: 20008
AMCS RTO POLICY & PROCEDURES
Copyright © 2012 Australian-Multicultural Community Services Inc.
No part of this document may be reproduced without written permission
from Australian-Multicultural Community Services Inc.
Contents
1.
1.1.
INTRODUCTION ................................................................................................................... 5
Scope ............................................................................................................................. 7
AMCS RTO Policy & Procedure v1.3 March 2012
AUSTRALIAN M ULTICULTURAL COMMUNITY SERVICES (AMCS RTO)
RTO: 20008
2.
3.
4.
1.2.
CODE OF PRACTICE.............................................................................................................. 8
Client Service ................................................................................................................. 8
1.3.
Administrative Practices ................................................................................................. 9
1.4.
Training and Assessment Standards................................................................................ 9
1.5.
Issuance of Qualifications ............................................................................................... 9
1.6.
LEADERSHIP AND COMMUNICATION .................................................................................. 9
Policy Statement ............................................................................................................ 9
1.7.
Legislation affecting operations.................................................................................... 10
1.8.
Responsibilities and authorities .................................................................................... 10
1.9.
Insurance ..................................................................................................................... 10
1.10.
Academic and Industry Advisory Committee (Academic Board) ................................ 10
1.11.
The main objectives of the Academic Board are to: .................................................. 11
1.12.
Duties and Responsibilities of the Academic Board ................................................... 11
1.13.
Administration.......................................................................................................... 12
1.14.
Quarterly Compliance Review................................................................................... 13
1.15.
Business Planning ..................................................................................................... 13
1.16.
Privacy Policy............................................................................................................ 14
1.17.
RTO Organizational Chart ......................................................................................... 15
1.18.
Student Learning Materials....................................................................................... 15
1.19.
External Documents ................................................................................................. 16
CONTROL OF RECORDS...................................................................................................... 16
1.20.
General Storage Requirements ................................................................................. 16
1.21.
Retention of Student Records ................................................................................... 16
1.22.
Records Maintenance ............................................................................................... 17
1.23.
Training Records....................................................................................................... 17
1.24.
Staff Records ............................................................................................................ 17
1.25.
Storage of files and records ...................................................................................... 17
1.26.
Archiving files ........................................................................................................... 18
1.27.
Records Retained for Audit ....................................................................................... 18
1.28.
Version Control ........................................................................................................ 18
1.29.
Completed Assessment Items ................................................................................... 19
1.30.
External Reporting Requirements ............................................................................. 19
1.31.
Destruction of Records ............................................................................................. 19
1.32.
Locating Records in the Event of Closure .................................................................. 19
1.33.
Computer and Network Management ...................................................................... 20
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5.
6.
1.34.
Data Backup and Retrieval ........................................................................................ 20
1.35.
Control of Software .................................................................................................. 21
1.36.
Internet Use ............................................................................................................. 21
1.37.
E-mail Use ................................................................................................................ 21
STAFF ................................................................................................................................ 21
1.38.
Selection Criteria ...................................................................................................... 21
1.39.
Staff Recruitment ..................................................................................................... 22
1.40.
Induction and Orientation of New Staff .................................................................... 22
1.41.
Identification of Professional Development needs .................................................... 22
1.42.
Training & Professional Development ....................................................................... 22
1.43.
Advertising and Marketing Materials ........................................................................ 23
1.44.
Use of Logos ............................................................................................................. 23
STUDENTS ......................................................................................................................... 24
1.45.
Policy........................................................................................................................ 24
1.46.
Definitions ................................................................................................................ 24
1.47.
Purpose .................................................................................................................... 25
1.48.
Scope ....................................................................................................................... 25
1.49.
References ............................................................................................................... 25
1.50.
Responsibilities and Authorities ................................................................................ 25
1.51.
Access and Equity ..................................................................................................... 25
1.52.
Role of the Registrar ................................................................................................. 26
1.53.
Student Training Inquiry ........................................................................................... 26
1.54.
Recognition of Prior Learning.................................................................................... 27
1.55.
Student Enrolment and Induction ............................................................................. 28
1.56.
Recording Attendance and Performance .................................................................. 29
1.57.
Student Performance ............................................................................................... 29
1.58.
Assessment Appeals ................................................................................................. 30
1.59.
Workplace Assessment............................................................................................. 31
1.60.
Verification of Status ................................................................................................ 31
1.61.
Issuing Certificates and Statements .......................................................................... 32
1.62.
Re-Issue of Qualifications and Statements ................................................................ 32
1.63.
Plagiarism and Cheating ........................................................................................... 32
1.64.
Plagiarism ................................................................................................................. 33
1.65.
Cheating ................................................................................................................... 33
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7.
LEARNING AND ASSESSMENT ............................................................................................ 34
1.66.
Scope ....................................................................................................................... 34
1.67.
Purpose .................................................................................................................... 35
1.68.
References ............................................................................................................... 35
1.69.
Responsibilities......................................................................................................... 35
1.70.
Training Needs Analysis ............................................................................................ 35
1.71.
Accredited Training Courses ..................................................................................... 35
1.72.
Units of Competency ................................................................................................ 36
1.73.
Competency Based Assessment................................................................................ 36
1.74.
The Dimensions of Competency................................................................................ 36
1.75.
Holistic Assessment .................................................................................................. 37
1.76.
Interpreting Competency Standards ......................................................................... 37
1.77.
Reasonable Adjustment............................................................................................ 38
1.78.
Assessment Tools ..................................................................................................... 39
1.79.
Facility Management ................................................................................................ 40
1.80.
Learning and Assessment Strategies ......................................................................... 40
1.81.
Assessment Validation.............................................................................................. 41
1.82.
What is assessment validation? ................................................................................ 41
1.83.
Objectives of validation ............................................................................................ 41
1.84.
What is to be validated? ........................................................................................... 41
1.86.
When should validation take place? ......................................................................... 42
1.87.
Approaches will be used to validate assessment strategies....................................... 42
1.88.
What documentation is required? ............................................................................ 43
1.89.
Moderation of Assessment ....................................................................................... 43
1.90.
Training Plans ........................................................................................................... 44
1.91.
Training and Progress ............................................................................................... 44
1.92.
Extension to Scope ................................................................................................... 44
1.93.
Transitioning for New National Training Packages..................................................... 45
1.94.
Currently Enrolled Student: ...................................................................................... 45
1.95.
Previously Enrolled Student: ..................................................................................... 45
1.96.
New Enrolment: ....................................................................................................... 45
1.97.
Qualification: ............................................................................................................ 46
1.98.
Coordinator of Training: ........................................................................................... 46
1.99.
Principles.................................................................................................................. 46
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1.100.
1.
Teacher Assessment Process Flowchart .................................................................... 47
INTRODUCTION
This Policy & Procedures Manual has been developed by AMCS RTO to support our mission.
AMCS RTO is a community based organisation delivering a range of welfare and education
based services and this document illustrates how we interpret and meet the standards that
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apply to the operation of our Registered Training Organisation for the delivery of high
quality training outcomes. Hereafter we have referred to our Registered Training
Organisation as AMCS RTO.
The system has been developed by the Management Team to support their involvement in
the provision of Training and Assessment services within Victoria. We will be the benchmark
operation for Training and Assessment for Victoria.
The Chief Executive Officer (CEO) hereafter referred to as CEO and the Coordinator of
Training performs the duties as specified in the 2010 AQTF Standards. Individual position
descriptions are available for the Chief Executive Officer position and the Coordinator of
Training roles.
Our scope of registration is:
• CHC30208 Certificate III in Aged Care
•
CHC30308 Certificate III in Home & Community Care
This manual is designed to coordinate our efforts to demonstrate that our operations
comply with good corporate governance in meeting the requirements of Australian Quality
Training Framework. In Victoria the Victorian Registration & Qualifications Authority (VRQA)
is the caretaker of such legislation.
Our management system consists of:
1. AMCS RTO General Policy & Procedures Manual
2. AMCS RTO Human Resource (HR) Policy & Procedures Manual
3. AMCS RTO Occupational Health and Safety (OHS) Policies and Procedures Manual &
Guidelines
4. AMCS RTO Staff Induction Manual
5. This Policy and Procedures Manual (Education Program)
6. Student Handbook.
7. Staff Handbook.
8. Training materials and tools.
9. Assessment materials and tools.
10. Operational forms.
11. Code of Practice.
These manuals are circulated by the Coordinator of Training/RTO Coordinator to those staff
requiring access and understanding and as directed by the Chief Executive Officer. Their
signatures on the AMCS RTO and Education Program Induction Checklists indicate they have
read and understood the contents of the manual.
Our documented systems are essential for our success as they focus staff on the key
elements of successful performance and compliance as required by the AQTF and assist in
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the planning and implementation of our Business Plan. Our system has been developed to
contain the following elements:
•
Customer Focus: This is essential because quality is defined in terms of the AQTF
Standards, which in turn depend on the identification of customer needs and monitoring
of customer satisfaction. Customer relationships are built externally and internally.
•
Maintaining Standards: It is essential that management and staff are aware of, and
adhere to a Code of Practice to allow a common understanding and expectation of
professional practice and behaviour that apply as accepted standards.
•
Logical Systems: Quality improvements depend on a planned and systematic approach
to monitoring, reviewing and analysing performance, identifying opportunities for
improvement, and implementing the necessary changes in order to comply with the
AQTF requirements.
•
Process Management: Improvements to performance are achieved by changing the way
that things are done, that is, by managing processes. It is not simply a matter of telling
people to do things better. Rather they should be provided with the opportunity to
contribute their knowledge and experience to changes in the way work is done.
•
Continuous Improvement: The cyclical process of “evaluation – review – action –
evaluation” should be continuous. This ensures that the organisations maintains the
currency and incrementally raise the standard of their services and products. (See AMCS
RTO General Policy and Procedures Manual, Section 7: Continuous Improvement)
•
Employee Participation: System improvement depends on the detailed knowledge of
the AQTF Standards by all staff in the RTO. In order to contribute this knowledge, staff
must be encouraged and supported to communicate.
1.1. Scope
AMCS RTO delivers training to local students.
An individual’s competency is ascertained through evidence of prior qualifications, tests of
underpinning knowledge and practical assessments and projects to determine skill and
knowledge. With the accumulation of validated skills, students progress through
appropriate levels to be assessed as competent or not yet competent.
The system of documentation is based upon the following processes:
Process
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Outputs
OUTCOMES
MEMBERS/
NTRACTING
Inputs
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Money
Financial
Management
Receipts
Students
Training
Graduate
Equipment
Purchasing
Asset
Trainers
Induction
Monitoring
Training Packages
and
Ex-Employee
Document
Development
Learning
Instruments
Document
Development
Assessment Tools
Our processes are underpinned by management requirements for:
•
•
•
•
2.
Document Control
Records Management
Computer hardware and software management
Risk management and continuous improvement
CODE OF PRACTICE
The information below relates specifically to the Code of Practice for the AMCS RTO activities
and should be read in conjunction with the AMCS RTO General Policy & Procedures Manual
Section 1: Code of Practice
1.2. Client Service
We have sound management and administrative processes to ensure delivery of an efficient
client service. Students assessment results, Qualifications and Statements of Attainment are
issued in a timely manner and competencies are recorded and certified in accordance with
national guidelines.
Our commitment to quality client service is also demonstrated by the following:
•
•
a Recognition of Prior Learning Policy and Procedure;
Plagiarism and Cheating Policy;
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•
•
•
•
a fair and reasonable Refund Policy;
a Complaints and Appeals Policy;
an Access and Equity Policy; and
Language, Literacy and Numeracy Assistance Information.
1.3. Administrative Practices
AMCS RTO guarantees the sound financial position of the business. All fees are paid on the
day of the commencement of the course or according to the individual payment plan.
Students’ records are managed to ensure confidentiality and security of all student
information maintained.
1.4. Training and Assessment Standards
All training staff has the appropriate qualifications and experience to deliver training and
assessment relevant to the training products and services offered.
We are committed to the ongoing professional development of our staff and we regularly
conduct assessor monitoring and peer review to continually improve assessment methods
and training delivery.
Assessment is conducted in accordance with the requirements of the AQTF standards and
the relevant National Training Package (including Mutual Recognition, Recognition of Prior
Learning and Credit Transfer) and where necessary, arrangements for language, literacy or
numeracy assistance are made.
At all times, we will provide adequate facilities, equipment and materials to create an
environment that is conductive to successful learning.
1.5. Issuance of Qualifications
AMCS RTO RTO will issue either a full Certificate or Statement of Attainment to students
who meet the requirements of the Performance Criteria of Units of Competency within the
relevant training package or nationally accredited courses.
3.
LEADERSHIP AND COMMUNICATION
1.6. Policy Statement
The RTO is structured and co-ordinated to ensure maximum efficiency of the team and to
ensure student satisfaction is maintained.
AMCS RTO meets the needs of industry at all times and consults with relevant industry
bodies to align current delivery practices with industry requirements.
The Chief Executive Officer is the ultimate authority responsible for the safety of the
workplace, workplace operations and injury management.
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The Chief Executive Officer is the ultimate authority responsible for the standard and
content of all training and assessment delivered.
The Coordinator of Training ensures that information is communicated to all those who
must have it, so that all staff are kept informed. The Coordinator of Training has the power
to enact a lot of the CEO role due to the particular nature of this business and the
availability of the CEO at any given time.
1.7. Legislation affecting operations
See AMCS RTO General Policy & Procedures Manual Appendix 6: Legislation relevant to
AMCS RTO
1.8. Responsibilities and authorities
The authority for the quality and standard of training lies with the Coordinator of Training.
The authority for the safety of operational staff and students lies with the Chief Executive
Officer.
The Coordinator of Training is responsible for ensuring that policies and procedures are
available for use by staff. Where appropriate, students may access policies and procedures
by reference to relevant available copies.
The Chief Executive Officer and / or the Coordinator of Training have responsibility for
documentation, process management and the RTO’s compliance with current AQTF
Standards. This responsibility is reflected in the relevant duty statements.
When a person is absent, their responsibilities are delegated by the organisational position
immediately below theirs. Authorities are taken up by the organisational position
immediately above theirs on the organisation chart. Detailed authorities, responsibilities
and tasks for each position are listed in job descriptions.
The Chief Executive Officer oversees the organisation of audits on OH&S compliance on at
least an annual basis. Such audits are conducted with accidents and injuries reported in
accordance with such requirements.
1.9. Insurance
See AMCS RTO General Policy & Procedures Manual: Insurance
1.10. Academic and Industry Advisory Committee (Academic Board)
Mandate
The Management Team as recommended by the Coordinator of Training agree to a
committee or board be formed by each study area chaired by the Coordinator of Training
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and consisting of industry representatives and study area representatives. The composition,
timing and agenda would be the responsibility of the Coordinator of Training however it
should have a major focus on industry consultation. This would adequately show industry
consultation as required under the standards. It would also show continuous improvement.
1.11. The main objectives of the Academic Board are to:
1. Provide advice and guidance in a wide range of skills and expertise to Australian
Multicultural Community Services Inc RTO enhancing its ability to facilitate and
support further education.
2. To act as a forum for debate of RTO-wide academic issues.
3. To foster excellence in teaching and learning in all taught programs
4. Protect and balance the interests of all stakeholders in Australian Multicultural
Community Services Inc including, in particular, the management, students and
employees of AMCS RTO; and
5. Oversee and enhance academic quality, capability, academic operations and
development of courses that AMCS RTO delivers including advising the coordinator)
and staff on compliance and policy and procedure.
6. To approve and monitor the AMCS RTO RTO’s Learning, Training and Assessment
Strategy.
7. To annually monitor and benchmark academic standards via:
a. Quarterly monitoring and benchmarking of student recruitment,
achievement and retention
b. Quarterly monitoring and benchmarking of student experience
c. Quarterly monitoring of development of the curriculum.
8. To receive and approve reports in relation to course, program and training quality
assurance and improvement processes
9. The Academic Board shall advise on matters relating to quality educational processes
and the current industry requirements.
1.12. Duties and Responsibilities of the Academic Board
Advice, Guidance & Expertise
1. On recommendation from Academic Board to approve new programs, the phasing
out of programs and major amendments to existing programs. To recommend to
the CEO establishment of new Divisions, or fields of study and the phasing out of
existing Divisions, or fields of study.
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2. In particular, the Academic Board will provide advice and guidance to Coordinator of
Training on issues relating to Courses, Programs
3. Advise on course development and taking part where required in assessment
validation
a. The Academic Board is also responsible in relation to continuous
improvement and quality In particular:
4.
5.
6.
7.
b. Ensure appropriate mechanisms are in place to collect regular, valid and
reliable feedback from stakeholders such as students, graduates, staff and
employers of graduates.
Ensure appropriate mechanisms are in place to analyze and monitor the feedback
collected and ensure it is acted upon to bring about organizational improvements.
Ensure it collects; analyses; and acts on relevant data to ensure continuous
improvement of its training, assessment and client services as well on the
management of its operations.
Ensure all clients receive the services detailed in their agreement.
Use a systematic and continuous improvement approach to management of its
operations.
1.13. Administration
The Academic Board will consist of at least four, and no more than ten, members
("Members"), the majority of which must be independent (see 'Independence of Members'
below). The Management of AMCS RTO believes the independence of the majority of
Academic Board members is of fundamental importance in protecting and balancing the
interests of all AMCS RTO stakeholders; and in the fair and equitable resolution of disputes
between AMCS RTO stakeholders.
Board Members will be approved annually by CEO of Australian Multicultural Community
Services Inc (on the 1st July until the 30th of June of the following year) after selection and
submission of candidates’ appropriate documentation by Coordinator of Training.
To be appointed to the Academic Board a prospective appointee must have extensive
experience in the Vocational Education and Training sector or/and has extensive experience
as a professional in aged care
sector. Upon appointment to the board members must
supply to Coordinator of Training at AMCS RTO.
1.
2.
3.
4.
Updated and current Curriculum Vitae
Documentation of qualifications and experience
Valid Police Check
Signed Agreement to become a member of the Academic Board
Any changes in qualifications experience or other relevant information is
provided to Coordinator of Training to update the files.
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to be
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Police Checks are to be renewed on regular basis and the results will be
recorded in AMCS RTO Staff and volunteers Police Check Register. AMCS RTO
Administrative Officer is responsible for keeping records up to date and to
remind the renewal dates.
1.14. Quarterly Compliance Review
The Management System is reviewed quarterly at the request of the Coordinator of Training
by an external compliance consultant appointed by the RTO.
Other resources are reviewed as required.
The focus of quarterly reviews is ongoing compliance and continuous improvement.
A detailed report will be produced for the Coordinator of Training as a part of the Quarterly
Compliance Review.
All compliance issues highlighted by the Quarterly Compliance Review will be delegated out
by the Coordinator of Training to the appropriate person via a raised improvement request
following the process outlined in the Continuous Improvement Policy and the Continuous
Improvement Process Flowchart (Appendix 9) in the AMCS RTO General Policy and
Procedures Manual.
1.15. Business Planning
AMCS RTO develops a number of organisational wide plans and strategies, including a
Strategic Plan, Service Access Strategy, Promotion and Networking Strategy and a range of
strategies to improve the business of the organisation. An RTO Business Plan will build upon
the directions provided in other organisational documents and reflect the directions of the
RTO. The Education Team drafts a business plan annually for the upcoming year. In
recognition that a source of strength and new business for AMCS RTO is our reputation and
the relationships built over time, our business plan will reflect the professional courtesy due
to competitors and new entrants to the market.
The business plan includes as a minimum:
• A description of AMCS RTO RTO operations.
• The scope of registration and scale of operation.
• Description of student needs and resources available.
• Staffing priorities.
• Goals and a timeframe for their achievement.
The Chief Executive Officer, in conjunction with the Board of Management, will authorise
the master copy of the business plan by signing it. This document will form the basis of
budget material, resources and documentation supporting action.
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Business performance will be reviewed at least monthly by the Chief Executive Officer with
input for this review will be sought from the Coordinator of Training and other key members
of staff.
A statement of accounts will be prepared each month. The report will include:
• a profit & loss statement;
• balance sheet;
• projected expenses;
• cash flow;
• sales targets performance;
• current account balances; and
• any other financial information necessary to effectively review the AMCS RTO
Education programs financial position.
Following review, the report will be signed off by the Chief Executive Officer.
1.16. Privacy Policy
See AMCS RTO General Policy & Procedures Manual Section 13.9: Privacy & Confidentiality
AMCS RTO meets the requirements of the Federal Privacy Act and the Information Privacy
Act (Victoria). The Coordinator of Training is in charge of privacy issues for the RTO. In the
absence of the Coordinator of Training this becomes the responsibility of the Appointed
Trainer & Assessor.
All students are able to access their personal file held by AMCS RTO through written request
to the Coordinator of Training. Students may also request that updates be made to
information that is incorrect or out of date.
Access may be given to an identified government officer from such agencies as the
Community Services & Health Industry Skills Council (CS&HISC), Department of
Employment, Education & Workplace Relations (DEEWR) or Victorian Registration &
Qualifications Authority (VRQA) for the purposes of audit.
Access to a copy of student or staff records by a third party can only be obtained by written
permission of the relevant person whose file has been requested. Such permission will
identify those sections of the file to be available.
Personal information is collected solely for the purposes of our operation as a Registered
Training Organisation.
All reasonable steps are taken to protect personal information from misuse, loss,
unauthorised access, modification or disclosure including restricted access to electronic
files, secure storage of paper files and secure backup of data.
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Upon enrolment students are issued a unique ID number for the purposes of maintaining
AMCS RTO electronic records or for collection of data by Commonwealth and State
Government Departments and Agencies.
1.17.
RTO Organizational Chart
Directors/
Committee
Members
Chief Executive Officer
Elizabeth Drozd
RTO
Coordinator
Student Support
Officer
Compliance
Trainers/ Assessors
Administrative
Officer
RTO
HR Manager
Accountant
1.18. Student Learning Materials
All learning materials available are listed on the Register of Learning and Assessment
Materials and are subject to version control.
Each Learning material, assessment tool and marketing guide will contain written
instructions on how any given activity is to be taught or carried out and the records required.
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These materials are required to follow a pre-determined structure, and will meet the
performance criteria and elements of competencies outlined in the National Training
Package or other accredited courses.
Where hard copies of learning or assessment materials have been purchased from a
commercial source, a master copy shall be retained and marked as the “Master Copy”. The
version date shall be the date the document was formally approved for use within AMCS
RTO.
1.19. External Documents
External documents are those documents created by external entities that directly impact on
day to day operations of the RTO.
All RTO related external documents are listed on the RTO Register of External Documents.
The Coordinator of Training has the authority and responsibility to manage all external
documents. Updates are communicated by the Coordinator of Training to those members of
staff who should be informed, by email or other written means where appropriate.
External documents are available electronically for all staff that needs access to them.
4.
CONTROL OF RECORDS
1.20. General Storage Requirements
All records are kept secure and all confidential information is safeguarded.
All electronic documents and records pertaining to the RTO are kept on the R Drive of the
AMCS RTO Server (RTO on ‘Server 1’ (R)). The Education server is only accessible to staff
involved in the Education Programs and Senior Management of AMCS RTO. Electronic
records are password protected where required. Hard copies of records are stored under
lock and key.
Student records of competency determination as well as enrolment data are to be retained
in the relevant course and/or student file.
Personal records of staff are kept in a personnel file with validated copies of qualifications
and resume. Personnel files are managed by the Accounts Department and are maintained
under lock and key. See Human Resource Management Policy & Procedures Manual Section
1.12.1 Privacy & Storage of Information
1.21. Retention of Student Records
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1.22. Records Maintenance
AMCS RTO will maintain effective, accurate, relevant records and reporting systems.
Records maintenance is the responsibility of the Administration Manager and
administration staff.
AMCS RTO will abide by the National Privacy Principles. Student information is not disclosed
to anyone outside AMCS RTO without the student’s consent. Student records are
confidential and available to the student only on request.
However, information provided by the students to AMCS RTO may be made available to the
Commonwealth and State Agencies and the Fund Manager of the ESOS Assurance Fund.
AMCS RTO keeps all records of students‟ results for 30 years in electronic format.
1.23. Training Records
These may include but are not limited to:
• the items listed on the Student File Checklist;
• records of fees paid and outstanding in relation to course duration;
• written agreements made with students;
• all correspondence and records of contact with student to date: and
• sample copies of completed assessment activities.
1.24. Staff Records
AMCS RTO reserves the right to verify qualifications presented by prospective staff by
checking with the issuing body and/or contacting referees nominated by the applicant.
Individual staff files are maintained. These contain records and/or copies of:
•
Application for employment including contact details
•
Verified qualifications and résumé Record of discussions in process of verifying
qualification (where relevant)
•
Signed employment contract and induction checklist
•
Records of performance appraisal
•
Evidence of participation in professional development opportunities
Staff files are confidential and may only be accessed by the individual staff member, the CEO
and the Coordinator of Training.
1.25. Storage of files and records
•
All staff and student files are securely stored in locked filing cabinets and scanned upon
completion
•
Student records are entered into the student database accurately and efficiently by the
Administration Staff on to the student database management system. (Capabiliti)
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•
Student electronic records are backed up daily
•
A copy of backed up records are stored securely off-site at the IT Company Computer
Discounters located in High St Penrith
•
Records of student results are kept for thirty years.
1.26. Archiving files
Completed hard copy files are separated from current files and archived alphabetically for a period
of 2 years.
After 2 years they are destroyed by shredding and disposed of in an appropriate manner.
1.27. Records Retained for Audit
The following records shall be kept and maintained for each registration period and are subject to
audit:
•
Policies and procedures
•
Training and assessment strategies
•
Assessment policies, tools and records
•
All RPL records
•
Complaints and Appeals and their outcomes
•
Evidence of continuous improvement
•
Samples of completed assessments
•
Evidence of staff internal professional development and assessment validation
•
Evidence of student participation as per contractual and prescribed requirements
•
Records of Professional Development
1.28. Version Control
AMCS RTO manages and maintains currency of materials and documents through a
Documentation Version Control System. This system covers the versioning of all
documentation and forms that are produced. All documents and forms are upon creation
entered into a Continuous Improvement Register.
All documents carry a version number, month and a year of issue, the document name and
page number. This is placed into the document footer and is to look like the example below.
AMCS RTO Policies and Procedures Page 38 V1: July 09 2012
All previous versions of the document are placed into electronic storage under an „Old
Version‟.
Prior to the release of all new documents, forms and training materials they are forwarded
to the Coordinator of Training for review.
Once the document is cleared for release the older version is archived and all copies of the
previous version are retrieved and destroyed.
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1.29. Completed Assessment Items
The data kept is sufficiently detailed to allow independent assessors to form a valid opinion
of the standard required by AMCS RTO and must include the:
1. Name of the assessor who assessed the student;
2. Date of the assessment;
3. Summary of assessment outcomes;
4. Result of the assessment; and
5. Feedback given to the student.
A master electronic copy of the assessment tools and the assessor’s marking criteria and/or
observation checklist is retained for a period of 30 years.
Course completion date and course content list are retained by AMCS RTO for 30 years to
support re-issue of a student qualification.
The Coordinator of Training maintains the integrity of all databases with data input.
1.30. External Reporting Requirements
State and Federal Government bodies may require student course data records to be
submitted in a format to suit their systems. AMCS RTO will supply such data as required in
the format determined by the State Authority. AMCS RTO currently utilises “Vettrak”
student Management system to submit AVETMISS data.
All records submission to State and Federal Government bodies is carried out using
compliant reporting software, which dictates the data and format required for submission.
The operator is to ensure that data submission has been effective.
1.31. Destruction of Records
Records must be destroyed by industrial disposal only at the end of that period of time at
the direction of the document “owner” defined in the table attached to the end of this
document.
Student records are not destroyed unless specifically directed by the Coordinator of Training
or the Chief Executive Officer.
1.32. Locating Records in the Event of Closure
All records to be kept in the event of closure are relocated to VRQA. These are provided as a
readable soft copy.
If the records are declined by VRQA, then they may be relocated to a facility as agreed
between VRQA and the Chief Executive Officer.
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The location of the documents is to be formally agreed to by VRQA prior to the records
relocation.
1.33. Computer and Network Management
Software and other relevant resources will be available to RTO staff on the Education
Server. This server is only accessible to RTO staff, relevant senior management and relevant
identified administrative staff. Procedures relating to the operation of software are available
for use by staff during day-to-day operations. RTO staff will also have access to the AMCS
RTO General Server which contains relevant organisation-wide resources (eg. Continuous
Improvement Register, various strategies, leaves planners, forms, etc).
System capability is reviewed by the Coordinator of Training in conjunction with relevant IT
personnel on an ongoing basis with a formal review at least quarterly to ensure that system
capabilities are adequate. This information is presented to the quarterly compliance
meeting.
Acceptance of new hardware takes place only after the hardware has been checked for
adequate operation and approved by the Coordinator of Training.
Electronic data interchange of corporate data does not occur without due consideration of
the sensitivity of the information.
Equipment containing media or media itself that requires disposal, is checked for sensitive
information. Such information is removed in a way that makes the data unrecoverable.
Media is overwritten to make the data unrecoverable or the media itself is physically
destroyed to make the data unreadable.
Licensed virus checking and cleaning software has been installed onto all workstations
attached to the local area network and the virus definition files are updated daily.
Only authorised traffic as defined by security requirements is permitted to pass through a
firewall.
1.34. Data Backup and Retrieval
See AMCS RTO General Policy & Procedures Manual: Backup System Policy & Retrieval of
Archived Electronic Records Policy
An annual backup based on the calendar year will occur onto an external device (eg.
external drive, CD). This backup will contain all documents and resources that are required
to be maintained by the RTO for 30 years. Backups will be clearly labelled with the
information contained on them and the calendar year they cover. The backup copies will be
stored as per AMCS RTO backup requirements.
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1.35. Control of Software
RTO specific software is maintained by the Coordinator of Training in accordance with AMCS
RTO policies. RTO software will be installed on the Education Server or on computers
utilised by the RTO staff as appropriate.
1.36. Internet Use
See AMCS RTO General Policy & Procedures Manual: Internet Use Policy
1.37. E-mail Use
See AMCS RTO General Policy & Procedures Manual: E-mail Use Policy
5.
STAFF
See Human Resource Management Policy & Procedures Manual
1.38. Selection Criteria
Training and assessment staff must have:
•
Certificate IV in Assessment and Workplace Training (BSZ40198) or
•
Certificate IV in Training and Assessment (TAA40104);
•
Vocational qualifications to at least the level being trained and assessed;
•
A preference for a minimum 3 years experience in the relevant industry;
If a person does not have all of the assessment competencies or the vocational
competencies as defined above, one person with all of the assessment competencies will
supervise and check all assessments undertaken. A person who does not hold qualifications
as described above will be required to undertake a professional development / supervision
plan that leads to the attainment of TAA40104. APD supervisions plan would consist of
a. A timeframe to obtain TAA
b. Regular supervision of class delivery
c. Regular meetings with appointed TAA qualified supervisor
d. All activities will be documented and placed on the staff members HR file by the
appointed TAA qualified supervisor
e. A person who does not hold qualifications as above is not eligible to provide final
assessments determining competence of a student
Training may also be delivered by a person who is under the direct supervision of a person
who has the competencies specified above. The holder of the qualifications must sign off on
the assessment tools at the time of marking.
The Appointed Trainer & Assessor, under instruction from the Coordinator of Training, may
allow an applicant to demonstrate their competency by completing a project or other
assessment. Where demonstration of competence requires applicants to present course
material, the observer will record observations on the Staff Observation Recording Sheet. All
evidence of trainer competence will be included in their Personnel File.
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1.39. Staff Recruitment
See AMCS RTO Human Resource Management Policy & Procedures Manual: Recruitment
In addition to the documents outlined in the Human Resource Management Policy &
Procedures Manual: Essential Documents for Commencing Employment, newly appointed
RTO Staff must complete the Trainer Competency Mapping Form.
1.40. Induction and Orientation of New Staff
In addition to the requirements and processes outlined in the Human Resource
Management Policy & Procedures Manual: Induction & Orientation of New Staff, RTO staff
will be provided with:
• The Education Program Staff Induction Manual
• Introduction to the Education Program server and resources
• Staff hand book
1.41. Identification of Professional Development needs
See Human Resource Management Policy & Procedures Manual: Staff Development and
Training Policy
AMCS RTO provides training for all staff to develop their understanding through work
related training when it is deemed useful or appropriate. We accept that under the
requirements of the AQTF, professional development must be offered by the RTO and
undertaken by staff.
All staff undergo an annual performance appraisal using the Staff Appraisal Form with the
relevant first line supervisor. Training that has been considered as useful to both the staff
member and management shall be agreed.
Where appropriate, AMCS RTO may contribute to the cost of such training through
allocated training budgets for the organisation.
1.42. Training & Professional Development
All trainers are to attend:
•
Formal observation of other trainers training sessions;
•
Industry based workshops;
•
Industry based product launches and training sessions;
•
Safety training as required.
Records of the professional development activities are recorded on the AMCS RTO Training
Register and a copy of the training outline and Certificate of Attendance (or other relevant
documentation issued) will be placed in the individual’s personnel file. See Human Resource
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Management Policy & Procedures Manual: Training Records Policy.
Training and Professional Development may be delivered at each staff meeting.
Training staff must continue to strive for excellence and to meet ever increasing skills and
other standards within the appropriate skills area.
1.43. Advertising and Marketing Materials
See AMCS RTO General Policy & Procedures Manual: Media Policy; Advertising, Sponsorship
& Naming Rights Policy; Communications Policy; Privacy & Confidentiality Policy
The marketing materials produced by Coordinator of Training accurately reflect the selling
points that have been agreed to in the creation of the business plan and the marketing
strategy.
Accredited courses within the RTO’s scope of registration, as listed on the National Training
Information Service website are delivered and result in issue of either an Australian
Qualifications Framework Certificate or Statement of Attainment.
Non-accredited courses delivered by AMCS RTO result in the issue of a Certificate of
Attendance only.
AMCS RTO will not promote any non-accredited courses with those that have been
accredited under the Nationally Recognised Training requirements without very clear
distinction of the two categories of courses.
The terms:
(a)
(b)
Nationally Recognised Training; and
Registered to issue the following qualification …
are used to describe the service being offered, but the materials in which such terms are
used are unambiguous and only released with the approval of the Coordinator of Training.
1.44. Use of Logos
The Nationally Recognised Training (NRT) logo and any regulators logo are used in
accordance with their respective conditions of use.
The VRQA logo is used on formal documents produced under delegation from the VRQA by
registered education and training organisations, including:
•
qualifications issued by registered education and training organisations
•
certificates or Statements of Attainment issued by RTO’s for the completion of
VRQA accredited courses
•
other formal documents produced under delegation from the VRQA, such as
certificates of recognition and registration.
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The Nationally Recognised Training (NRT) logo is used for any training we deliver under our
scope of registration. It is always depicted:
•
on certificates and Statements of Attainment issued for the completion of
qualifications or units of competency from a Training Package; and
•
(in addition to the VRQA logo) on certificates and Statements of Attainment
issued for the completion of VRQA-accredited qualifications, short courses and
modules/units.
The format of these documents containing the NRT logo is not changed without the express
direction and approval of the Coordinator of Training.
The AMCS RTO logo is used on all external documentation.
6.
STUDENTS
1.45. Policy
The Coordinator of Training enrols all students using an ethical marketing and selling
approach and ensures they are aware of both their responsibilities and privileges and of our
offering to them.
Training and assessment will be delivered in a planned, controlled manner that ensures the
achievement of defined competencies consistent with the requirements of both the
National Training Package and of the Australian Quality Training Framework.
All students will be traceable using a unique ID Number recorded on student records and
recorded on the Easy Stats Database or other AVETMISS compliant student management
system that the RTO may implement in the future.
AMCS RTO does not enrol students under the age of 18.
1.46. Definitions
Access and Equity ― responding to the diverse needs of individual students, including
people who face barriers due to age, gender, cultural difference, disability, language,
literacy and numeracy, unemployment, imprisonment or isolation and any other clients who
are experiencing barriers in relation to access, participation and outcomes.
National Recognition ― acceptance of valid qualifications issued by other RTO’s in a state
or territory of Australia.
Recognition of Prior Learning (RPL) ― the recognition of skills and knowledge acquired
through formal education courses, on-the-job training and work or life experience and
demonstrated through the provision of appropriate evidence.
Credit Transfer ― The acceptance of courses or units completed at other RTO’s in the
granting of exemptions from part of a course.
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Student ― an individual who enters into an agreement with AMCS RTO, and notionally pays
for the work AMCS RTO performs, to derive benefit from our training program.
1.47. Purpose
To describe the management responsibilities for the finding, engaging, processing and
training of students.
1.48. Scope
This procedure is limited to the acquisition, induction and training of students for nationally
recognised and accredited courses.
1.49.
•
•
•
References
Student Handbook
Australian Qualifications Framework
National Training Package
1.50. Responsibilities and Authorities
The Coordinator of Training has the responsibility for ensuring that all policies and
procedures are made available for use by staff and where appropriate students by reference
to this policy and procedures manual.
The Coordinator of Training has overall responsibility for the induction, training, assessment
and certification of students.
The Coordinator of Training is the approval authority for accepting claims made under
Recognition of Qualifications issued by other RTO’s (Mutual Recognition), Recognition of
Prior Learning (RPL) and Credit Transfer.
All access or equity issues are to be referred to the Coordinator of Training who has the
authority to ensure that all such issues are resolved through negotiation and mutual
acceptance of the outcome.
1.51. Access and Equity
See also AMCS RTO General Policy & Procedures Manual Access & Equity Policy
AMCS RTO is firmly committed to achieving best practice in the provision of vocational
education and training. The Coordinator of Training is in charge of access and equity issues.
In the absence of the Coordinator of Training, the Appointed Trainer & Assessor takes this
responsibility.
AMCS RTO recognises that particular groups of people in society have experienced, and
continue to experience, institutional disadvantage and unequal educational outcomes.
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Our access and equity practices ensure non-discriminatory admittance to courses and the
achievement of comparable educational outcomes by all groups in society. Our admission
processes are friendly and objective assessment by the Coordinator of Training or their
delegate ensures that students are admitted in an appropriate way and based only upon
their existing educational standing.
Student access is not limited by physical or other disadvantage.
By providing accessible and equitable vocational education our students develop knowledge
and skills to enhance life and work opportunities. Once enrolled all students are trained and
assessed equally. However, in certain cases reasonable adjustment provisions may be made
consistent with the practices of the RTO.
AMCS RTO programs and services are relevant, accessible, fair and inclusive. We promote
programs and services in a manner that includes and reflects the diverse population.
All prospective students are well informed of the options available to meet their individual
training needs and the development of their skills base by providing training that is industry
focussed.
1.52. Role of the Registrar
The Coordinator of Training fulfils the role of the Registrar.
Administration will:
(a)
Maintain the currency of student administration information;
(b)
Report student academic performance as required;
(c)
Issue and maintain copies in student files, of standard counselling / warning
letters to students that occur as a result of breaches of attendance or
performance requirements or in the code of conduct;
(d)
(e)
Record and maintain evidence of course money the student has paid or has
not yet paid; and
Include copies of written agreements between AMCS RTO and the student in
individual student files.
1.53. Student Training Inquiry
Student training enquiries are coordinated by the Coordinator of Training.
Training inquiries are directed to Coordinator of Training for processing.
Students can access information on the following prior to enrolment, by request for a
hardcopy through the Coordinator of Training.
(i)
Student Handbook
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(ii)
(iii)
(iv)
(v)
course information, including content and vocational outcomes for courses
on the scope of registration;
fees and charges, including AMCS RTO refund policy;
appeals and complaints procedures; and
Recognition of Prior Learning (RPL) arrangements and credit transfer.
Information on the following is available to students prior to enrolment by request for a
Student Handbook from the Coordinator of Training.
(i)
client selection, enrolment and induction/orientation procedures;
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
provision for language, literacy and numeracy assistance;
client support, including any external support;
flexible learning and assessment procedures;
welfare and guidance services;
disciplinary procedures; and
staff responsibilities for access and equity.
1.54. Recognition of Prior Learning
The Australian Qualifications Framework Certificates and Statements of Attainment are
recognised at enrolment through the Recognition of Prior Learning process.
RPL applications should not be submitted until the Coordinator of Training authorises the
student’s enrolment.
A general RPL Information Kit is available prior to enrolment through the website or via
request to the Coordinator of Training.
Certificate III in Aged Care & Certificate III in Home & Community Care RPL Kits are available
for students who:
•
have worked in the aged care and/or community care sectors and wish to
upgrade their qualifications;
•
have completed 12 months work experience in the aged care and/or community
care sectors.
The return of an RPL application with all supporting documentation triggers assessment
overseen by the Coordinator of Training.
AMCS RTO recognises relevant existing qualifications issued by a bona-fide RTO. An
application for Credit Application of an existing qualification is checked by the Coordinator
of Training to ensure that:
(a)
The qualification has been issued by a bona fide RTO (where possible);
(b)
The applicant has been enrolled in that RTO; and
(c)
The applicant did achieve competency in the course or unit concerned.
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The Coordinator of Training checks existing qualifications against the current National
Training Package, to determine whether the applicant’s skills, as represented by the
Certificates and/or Statements of Attainment, match the units of competency and critical
evidence of the proposed course.
Where any competency is found to be lacking recognition an approval for exemption from
course work will not take place. Further training and/or assessment is required to gain full
recognition.
The student’s study plan and course costing may be adjusted to reflect the modules
granted.
For Recognition of Current Competencies where life’s experiences provide the skills, the
validated resume demonstrates that those experiences reflect the performance criteria and
elements of the unit of competency the training package lists.
When students lodge a Recognition of Prior Learning Application, Administration provides a
Recognition of Prior Learning Feedback Form to input into the process.
1.55. Student Enrolment and Induction
Students are informed prior to enrolment that they will be required to undertake a police
check prior to any student placements required for their course of study. Once a student
has agreed to this condition, the student may proceed to enrolment.
Once all participants have completed the enrolment session they will complete an induction
program which will cover:
• Training and Assessment Plan / Course Time Table
• Student Handbook
• Relevant Policies and Procedures/ Plagiarism/ Student Welfare/ Complaints and
Appeals
• Employment Outcomes
• learning and assessments materials
• Recognition of Prior Learning (RPL) and Credit transfer
• Absenteeism options and self-study
• Student Info Kit
• Evidence of student eligibility and student declaration Form
• Enrolment Form and Student Enrolment Agreement Form
• Fees and Charges/ Payment plan/Refund Policy
• Police Check
• English Test LLN (Learning, Literacy and Numeracy Test)
• Work Placement
Confirmation that all the above information was provided and handouts were distributed is
required to be acknowledged by the participant.
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There is also a Student Induction Checklist Form that is to be completed, signed and returns
to AMCS RTO Coordinator during the Induction session.
Students are required to sign the Enrolment Agreement Form and receive a copy of this
document.
Upon enrolment students are required to pay a course deposit in accordance with the
amount stipulated on the Fee Schedule to secure a place in the chosen course. A receipt for
payment of fees will be issued by the Accounts Department.
Students are inducted into the course on the first day that the course commences, with the
issue and discussion of the contents of the Student Handbook. The student will sign an
acknowledgement of receipt of the Student Handbook and return it to AMCS RTO for
inclusion in their student file.
The inducting staff member invites students to provide feedback on their enrolment and
induction experience using the Student Enrolment and Induction Feedback Form.
1.56. Recording Attendance and Performance
All training is delivered as flexible workplace training or institution based training as defined
in the learning and assessment strategy.
Students are expected to progress through the course during the term. Such progress will be
determined by their weekly work hours in the role relating to their training program.
Trainers and Assessors will record in student files the details of time spent with students as
face-to-face meetings.
Students attending institution based training are required to sign in on the Student
Attendance Sheet.
1.57. Student Performance
Courses are delivered using learning tools either sourced externally or created in-house by
AMCS RTO training and assessment staff.
Course training files contain assessment tools utilised to assess competencies associated
with individual courses.
Assessments incorporate verbal, written and practical components and are retained in
student files. Each assessment has the purpose listed on the front of the document with
instructions to the students.
All assessment tasks are completed by the student who will be provided with formal
feedback on their assessment sheet and the determination of them being Competent or
Not-Yet-Competent.
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The assessment tasks are each signed by both the trainer and the student. The appeals
process may be triggered from this point.
A final record of competency is recorded in a student’s file using Assessment Coversheet &
Feedback Form.
1.58. Assessment Appeals
AMCS RTO maintains a supportive and fair environment allowing students to appeal
assessments and recognition decisions. AMCS RTO will deal in a constructive and timely
manner with student complaints and appeals against decisions made. Appeals must be
submitted within two weeks of the original assessment decision being advised to the
student.
Discuss the assessment outcomes with the relevant trainer.
If this does not resolve the matter, or if the trainer is an active respondent to the appeal,
then the appeal is recorded on an Appeals Form and submitted to the Coordinator of
Training.
The dispute is recorded in the RTO Appeals Register. Where the complaint identifies an
opportunity for a Continuous Improvement action, the activity will be recorded in the
Continuous Improvement Register by the Coordinator of Training and written notification is
included on the student’s file.
The Coordinator of Training assembles the following information or documents:
•
Past Student record;
•
Attendance registers;
•
Assessment tools and assessment data; and
•
Any other supporting documents.
The Coordinator of Training is an independent mediator to whom the appellant may deliver
their own version of the problem and request a support person be present.
NOTE: If the Coordinator of Training is deemed unacceptable to the Student, the CEO may
be used.
The independent mediator should then consider the issues raised and attempt to resolve
the appeal to the satisfaction of the appellant.
The submission and the final outcome of the appeal is recorded and communicated to all
parties in writing. The communication must contain the outcome of the appeal and the
reasons for the decisions made. A copy of the communication is placed in the student file.
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If the dispute has not been resolved to their satisfaction, then the student may make a
formal submission to the CEO for a review by a mutually agreed independent mediator. This
will occur at the student’s expense.
No appeal mechanism exists beyond this point in the appeals process.
The submission and the final outcome of the appeal must be recorded and communicated
to all parties in writing. The communication must contain the outcome of the appeal and
the reasons for the decisions made.
1.59. Workplace Assessment
Workplaces must be accessible and provide the resources necessary to complete the
training as per requirements.
The Coordinator of Training or a delegated person contacts the student and their employer
and arranges a meeting time. The student, employer and appointed Trainer & Assessor draft
a Training and Assessment Plan.
The training and assessment plan identifies institution based training and assessment
requirements and on the job training and assessment requirements.
Where necessary, for institution based training, the training and assessment plan specifies
the employer’s permission to release the student for training purposes.
The training and assessment plan is signed by all parties and a copy given to the employer
and student and a copy is placed in the student’s file.
Training and assessment is provided in accordance with the training and assessment plan.
The training and assessment plan will be reviewed from time to time by the student,
Appointed Trainer & Assessor and employer.
1.60. Verification of Status
Upon completion of training (or withdrawal from the course), a student’s file is reviewed by
the Coordinator of Training.
Provided at least three forms of evidence are available for each required unit of
competency, a Qualification is approved by the Coordinator of Training.
The relevant certificate and student file is forwarded to the Coordinator of Training for
review and signing. The CEO or the Coordinator of Training are the only people with the
authority to issue a Qualification on behalf of AMCS RTO.
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1.61. Issuing Certificates and Statements
AMCS RTO issues nationally recognised Qualifications and Statements of Attainment from
courses within our current scope of registration as listed on the National Training
Information Service website.
The CEO and/or the Coordinator of Training are responsible for signing and issuing of
Qualifications and Statements of Attainment.
The RTO Administrator is responsible for the updating and recording of the Qualifications
and Statements of Attainment in the appropriate register and for the preparation of issuing
Qualifications and Statements of Attainment using their respective templates.
The format for the issuing of Australian Qualifications Framework Certificates and
Statements of Attainment is prescribed in Australian Qualifications Framework
Implementation Handbook.
All Qualifications and Statements of Attainment are issued in accordance with the guidelines
and rules within the relevant training package and the Australian Qualifications Framework
Implementation Handbook with the individual modules identified by codes and titles on the
back of the Certificates and Statements of Attainment.
A record of the Qualification is placed in the student’s file and listed in the relevant Register.
The signed original Certificate or Statement of Attainment is sent to the student, and a copy
is kept in the student file.
Where the full qualification has not been completed, a Statement of Attainment may be
issued at the discretion of the Chief Executive Officer or the Coordinator of Training.
1.62. Re-Issue of Qualifications and Statements
Before an Australian Qualifications Framework Certificate or Statement of Attainment can
be re-issued, students must provide a letter of request stating the date and name of the
course and their personal details including date of birth and address. Where necessary,
photo ID may be required.
The letter of request is forwarded with the student’s file to the Coordinator of Training for
approval.
The Coordinator of Training reviews the re-issue application to ascertain that the
qualification requested was issued. Once checked the Coordinator of Training will note on
the letter of request that the qualification can be re-issued.
1.63.
Plagiarism and Cheating
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1.64. Plagiarism
Refers to the practice of using someone else`s ideas or work and presenting them as your
own. Plagiarism is a form of cheating and is not permitted at AMCS RTO. Acts of plagiarism
include:
• Copying the work of another student, whether that student is in the same class, from
an earlier year of the same subject or course, or from another educational institution
altogether.
• Copying any section, no matter how brief, from a book, journal, article or other
written or electronic sources, without duly acknowledging it as a quotation.
• Copying any map, diagram, table or figures without duly acknowledging the source
• Paraphrasing or otherwise using the ideas of another author (verbal, written or
electronic) without due acknowledgement
• Claiming someone else`s practical work for a observation assessment
1.65. Cheating
Cheating is behaving in a fraudulent way in training coursework and examinations. Cheating
includes passing off work done by someone else as your own work, or otherwise trying to
gain an unfair advantage.
Examples of cheating include, but are not limited to:
• Impersonating someone else in a test or examination, or arranging such
impersonation;
• Copying from another student during a test or examination;
• Referring to notebooks, papers, or any other materials during a closed-book exam;
• Submitting work for which credit has already been received in another course
without the express consent of the instructor;
• Helping others to cheat in these ways is also a form of cheating;
• Falsifying data. This means manipulating research materials or processes, or
changing or omitting data or results, such that the research is not accurately
represented in the research record. While there is considerable leeway in
interpreting data, the data itself must not be manipulated or distorted
Actions to prevent plagiarism and cheating:
AMCS RTO aims to minimize plagiarism by:
•
Making Students aware of the Plagiarism Policy and Procedure including
consequences of Plagiarism through the student induction process.
Students are required to:
• be aware of their responsibility in regard to Plagiarism as per the Student
Handbook
• Reference all assignments for submission appropriately
• Seek advice and support from AMCS RTO RTO Trainers.
Penalties of Plagiarism and Cheating
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Students who are found cheating or guilty of plagiarism on any form of assessment will be
deemed Not Yet Competent for the relevant Unit of Competence. The student will then
need to re-submit, re-sit assessment. See Assessment Policy and Procedure. Students who
are found cheating or guilty of plagiarism for a second time will need to re-enroll and repeat
the entire Unit of Competence and pay applicable fees. Students who are found cheating of
guilty of plagiarism for a third or subsequent time, the matter will be referred to the Acting
RTO Coordinator/CEO.
Students will also be issues an official written warning which will be placed in the students
file. Continued behaviour of this kind may result in students being expelled from the
Institute. See Complaints and Appeals Policy and Procedure.
The re-issued Qualification or Statement is forward to the CEO or the Coordinator of
Training for signing and sent to the student.
A file note stating the re-issue date and the original letter of request will be added to the
student’s file.
All re-issued Qualifications and Statements of attainment will attract a fee unless otherwise
decided at the discretion of the CEO
7.
LEARNING AND ASSESSMENT
1.66. Scope
AMCS RTO has the following scope:
•
•
CHC30208 Certificate III in Aged Care
CHC30308 Certificate III in Home & Community Care
The traceability is as follows:
Training
Package
Assessment
Guidelines
Competency
Outcome
Critical
Evidence
Training and
Assessment
Activities
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Approved
Workbooks
and
Activities
Training and
Assessment
Tools
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1.67. Purpose
The purpose of this procedure is to describe how AMCS RTO will design learning and
assessment instruments.
The development of a learning and assessment strategy is described and this underpins the
requirement for the delivery and assessment of courses.
1.68. References
National Training Packages and Accredited Courses
AQTF Standard 1 element 1.5 – RTO assessments
AQTF Standard 1 element 1.2 – Learning and assessment strategies
1.69. Responsibilities
The Coordinator of Training is responsible for:
•
•
•
Sourcing the training package and related learning and assessment materials.
Completing and maintaining the learning and assessment strategy.
Keep all learning and assessment materials current.
Trainers/Assessors ensure that all assessment tools utilised are assessing the requirements
specified within the training package.
1.70. Training Needs Analysis
The training needs of the students are directed by the ongoing needs of the relevant
industry sectors through discussion with the Industry Skills Councils, State ISC and other
industry associations.
The individual needs of students may be discussed between the Appointed Trainer &
Assessor and the student whenever the need arises. This may form part of the ongoing
Continuous Improvement process but also represents the level of support offered to all
students.
The methods used to identify student learning needs will be documented and filed in the
student file.
1.71. Accredited Training Courses
These describe the critical skills, knowledge and attitudes or competencies which individuals
acquire for employment.
AMCS RTO Accredited Courses are a set of nationally endorsed competency standards and
qualifications for recognising and assessing people's knowledge and skills.
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1.72. Units of Competency
The competency standards within the accredited courses describe the required learning
outcomes.
Each unit of competency describes a specific work activity, the conditions under which it is
conducted and the range of evidence that may be gathered in order to determine whether
the activity is being performed in a competent manner.
By examining performance criteria, trainers/assessors will be able to determine:
•
The work activity;
•
Skills required;
•
Level of skill;
•
Conditions in which work activity is undertaken; and
•
Range of possible evidence needed to prove that a person is competent in the
work activity.
1.73. Competency Based Assessment
Assessment is the process of collecting evidence and making judgments on whether
competency has been achieved and confirmation that an individual can perform the
standard expected within the workplace, as expressed in the relevant endorsed industry or
enterprise competency standards.
Key features of competency based training are:
•
Identifying pathways;
•
Making competency meaningful;
•
Actively engaging industry or enterprise;
•
Target the audience;
•
Evaluate and judging evidence; and
•
Record and feedback.
1.74. The Dimensions of Competency
People are considered to be competent when they are able to apply their knowledge, skills
and attitude to successfully complete work activities in a range of situations and
environments, in accordance with the standard of performance expected in the workplace.
Competency involves successful work performance through application of the four
dimensions of competency. In the drafting of learning materials these four dimensions as
detailed below are to be taken into account:
•
Task Skills - undertaking a specific workplace task;
•
Task Management Skills - Managing a number of different tasks to complete a
specified project (such as creating a multimedia project to develop a marketing
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strategy) to determine skills in leadership and management and direction of all in
the team;
•
Contingency Management Skills – responding to problems and irregularities such
as:
o Equipment breakdown;
o Changes in routine including product changes and customer support activities;
o Unexpected or a typical result or outcome when expected performance has not
been met; and
•
Job/Role Environment Skills - dealing with the responsibilities and expectations
when undertaking a particular work activity, such as:
o Working with other staff;
o Interacting with students and suppliers;
o OH&S;
o Complying with normal industry performance standards; and
o Observing enterprise policy and procedures.
All developed learning and assessment materials are designed to the required AQF outcome
level.
1.75. Holistic Assessment
AMCS RTO focuses on the assessment of whole work activities rather than specific tasks or
components of a work activity. Each student must practically demonstrate the skills
discussed and observed in the classroom during demonstrations or undertake a project that
encompasses a range of skills discussed and observed.
The trainer records the evidence that the student needs to show competence and the
techniques that would be used to gather the evidence.
Using this information the assessor reviews the evidence and decides whether the student is
competent.
1.76. Interpreting Competency Standards
The competency standards in the relevant National Training Package define the skills,
knowledge and attitude required for effective performance in the workplace.
Standards are expressed in outcome terms and have a common format comprising of the:
•
unit title;
•
unit descriptor;
•
elements of competency;
•
performance criteria;
•
range statement; and
•
evidence guide.
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They are the descriptions of the competencies required for effective performance in the
workplace, both in the routine conduct of the job role and in the ability to adapt to changing
role definitions.
Competency standards relate to industry as a whole, but are required to be interpreted in
terms of a specific workplace. In other words, assessors are required to take the information
contained within the competency standards, relate this to the particular workplace
situation, then use or customise that information to inform the assessment process.
Within the national vocational education and training system, competency standards form
the benchmarks for assessment and the basis for nationally recognised qualifications.
1.77. Reasonable Adjustment
There is a range of legislation and policies which promote access and equity within the
national vocational education and training system.
In keeping with these policies, assessors ensure that candidates are not disadvantaged in
the assessment process due to cultural or linguistic background, age, religion, gender or
disability.
Assessors are aware of the ways in which candidates might be disadvantaged in the
assessment process and what steps can be taken to ensure that assessment policies and
practices take account of the individuals needs.
“Reasonable adjustment” involves carrying the assessment process to take into account the
special characteristics of the student while ensuring the validity, fairness and reliability of
assessment decisions.
Adjustments are considered 'reasonable' if they do not impose an unjustifiable hardship
upon AMCS RTO.
In determining whether an adjustment would impose an unjustifiable hardship, we will take
the following factors into account:
•
The nature of the benefit or detriment likely to be experienced by the person
concerned;
•
The effect of the disability or disadvantage on the person concerned; and
•
The financial circumstances and the estimated amount of expenditure required
to be made by the organisation claiming unjustifiable hardship.
Adjusting the assessment process may involve varying the procedures for conducting the
assessment, for example allowing additional time for the completion of tasks, extending
deadlines for assignments, varying the venue, date or times for assessment.
We shall vary the evidence gathering techniques, for example, using an assignment instead
of an exam, oral rather than written questioning, and short answers instead of multiple
choice and varying question and response modalities.
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1.78. Assessment Tools
All assessments comply with the requirements of the relevant National Training Package
and accredited courses.
The assessment tools have been developed by the Appointed Trainer & Assessor and the
relevant trainer/assessors and can be mapped against the units of competency within the
training package.
To ensure our assessment tools comply with the principles of validity, reliability, fairness
and flexibility, we will ensure they have:
•
Student’s Name
•
Indication of the competency to be assessed, traceable to the Unit of
Competency (UOC) code
•
Mapping against the relevant units of competency;
•
Instructions for application;
•
Reasonable adjustment noting;
•
Conditions of assessment (e.g. number of clients, interruptions, etc) noting;
•
Tasks, questions, etc targeting the correct AQF Level Descriptor (i.e. assessment
tasks will be appropriate to the Certificate Level being assessed);
•
Indication of the decision point either “competent” or “not yet competent”;
•
Document control, with a date, page build status and unit of competency;
•
Indication that the student has passed the assessment or otherwise;
•
Sign off, dating and feedback by the assessor; and
•
Sign off, dating and feedback by the student.
Where the assessment tool forms only part of the required three pieces of evidence to
demonstrate competency, the assessment outcome must be placed in the Student File to
allow correlation of other pieces of evidence.
Assessment must cover the dimensions of competency listed above and allowing for
diversity in culture, learning ability and style and language.
The assessment tool, in following the requirements of this clause will allow for reassessment
on appeal.
The assessments lead to the issuing of a Statement of Attainment or qualification under the
AQF when a person is assessed as competent against nationally endorsed unit(s) of
competency in the applicable accredited course or modules specified in the applicable
accredited course.
Students will be provided with guidance on future options in relation to their assessment
outcomes.
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1.79. Facility Management
The Coordinator of Training / Appointed Trainer & Assessor maintains a complete list of
equipment and training aids available in their vocational area in the Register of Learning
Materials and Assessment Tools (Form26).
The Register is updated and resubmitted after such update occurs.
1.80. Learning and Assessment Strategies
The training package forms the basis for the development of the learning and assessment
strategy. An individual learning and assessment strategy is required for each qualification on
our scope of registration.
In detailed discussions with key stakeholders, we have identified negotiated, planned and
implemented appropriate learning and assessment strategies to meet the needs of each of
our students.
Learning and assessment strategies will summarise the following for each course:
•
Target group;
•
Entry requirements;
•
Relevant legislation;
•
Trainer requirements;
•
Packaging arrangements;
•
•
•
•
•
•
•
•
•
•
•
•
Delivery period;
Delivery arrangements;
Assessment arrangements;
Evidence gathering methods;
Organisation of units of competence (i.e. summary of clusters);
Delivery and assessment staff;
Table summarising units of competence, core/elective, clustering, nominal hours,
assessment methods for each unit and trainer and assessors for each unit;
Infrastructure requirements;
Assessment validation process;
Industry Consultation;
Pathways; and
Authority signoff.
AMCS RTO will make sure that all customisation / contextualisation meets the requirements
specified in the relevant Training Package or, for accredited courses, meets ANTA’s
Guidelines for Course Developers: A guide to developing VET courses for accreditation under
the AQTF: Part 4.
Where assessment or training is conducted in the workplace, AMCS RTO will negotiate the
learning and assessment strategy with the employer and learners work with the employer
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to integrate any on-the-job training and assessment; and schedule workplace visits to
monitor/ review the training and assessment.
1.81. Assessment Validation
1.82. What is assessment validation?
Assessment validation involves ‘reviewing, comparing and evaluating assessment processes,
tools and evidence contributing to judgements made by a range of assessors against the
same standards’ (Learning and Assessment Strategies Resource Guide, Australian National
Training Authority, p 101).
Standard 9.2 of the Australian Quality Training Framework Standards for Registered Training
Organisations states that a registered training organisation must validate its assessment
strategies at least annually. To comply with this standard, document any action taken to
improve the quality and consistency of assessment'.
1.83. Objectives of validation
Assessment validation facilitates processes leading to consistent and valid assessment. In
particular, validation activities:
•
•
•
•
•
•
•
ensure that assessment strategies meet the needs of clients;
facilitate the professional development of assessors;
enable enterprises and other stakeholders to contribute to assessment processes;
provide a means of gathering feedback and identifying ways of improving
assessment processes;
facilitate consistent interpretation of competency standards;
foster the development of informal networks and provide assessors with access to
up-to-date information about what is happening in their industry;
help assessors working across the industry to apply consistent standards and make
consistent judgements.
These processes build AMCS RTO assessors' confidence and industry acceptance of the
outcomes of the training.
1.84. What is to be validated?
Assessment process
• enrolments;
• assessments;
• recording;
• reporting;
• appeals.
Assessment tools
• specific assessment
tasks;
• instructions for
candidates;
• instructions for
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Evidence
• third party;
• simulation;
• sources: indirect,
direct and
supplementary.
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•
•
•
•
assessors;
evidence guides,
checklists;
assessment criteria;
rules of judgement;
examples of acceptable
responses and
descriptions of typical,
competent
performance.
1.85. Who should be involved?
All assessors who undertake assessment within AMCS RTO should be involved in some form
of an assessment validation process.
According to Standard 9.2 of the Standards for Registered Training Organisations validation
processes 'may be internal processes with stakeholder involvement or external validation
with other providers and/or stakeholders'.
Therefore, validation activities will be managed and conducted by AMCS RTO with the
involvement of key stakeholders from industry at least twice a year.
Additionally once a year will take place, an external validation involving personnel from an
industry area or from a number of registered training organisations. It may involve specialist
assessors, external validators and representatives of the relevant industry training advisory
body, or professional or industry associations and networks.
1.86. When should validation take place?
Validation will occur after assessment takes place. Procedures for checking methods,
evidence requirements and benchmarks of performance take place before any assessment
is carried out. The implementation of a new or revised training package is time to begin the
validation process.
1.87. Approaches will be used to validate assessment strategies
Assessment validation strategies that a registered training organisation may implement
include the use of:
•
•
•
•
meetings, where groups of assessors have the opportunity to compare and
discuss their assessment processes;
external assessment panels or teams of assessors;
external and written assessment tasks where markers’ results are compared
statistically;
benchmarking exercises with other organisations to compare assessment
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•
•
•
•
processes and practices;
common assessment tasks used by a number of assessors;
a ‘Coordinator of Training’ to manage or oversee the assessment process;
an assessment panel to oversee or monitor the assessment process;
a mentoring system for assessors.
This list is by no means exhaustive or mandatory.
The Learning and Assessment Strategies Resource Guide provides a description of the range
of assessment validation strategies, as well as links to the Training Package Assessment
Materials Kit which contains more detailed information.
1.88. What documentation is required?
Regardless of the assessment validation method used, AMCS RTO will maintain records of
the validation processes to satisfy the requirements of Standard 9.2. The forms of evidence
that show validation has taken place may include:







records of meetings where validation is covered (agendas, minutes,
action plans);
feedback from clients (student and/or employer satisfaction surveys:
notes recording feedback from face-to-face or telephone interviews);
position descriptions for specialist or lead assessors;
terms of reference for assessment panels;
records of benchmark activities;
records of professional development activities that focus on
improving assessment strategies;
examples of materials used in reviewing, comparing and evaluating
tools (quality criteria, review checklists).
1.89. Moderation of Assessment
Moderation is an interchange of judgement, a process designed to ensure that the levels of
documented achievement match the requirements of the courses on offer. It requires a
system of reviewing and confirming judgments by assessors. The purpose of moderation is
to ensure consistency for all learners who undertake the same assessment across different
locations and with different assessors, i.e. to meet a standard which ensures comparability
and consistency.
The AQTF standards particularly refer to the principles of assessment, i.e. validity, reliability,
fairness and flexibility.
Students are provided the information on the context and purpose of assessment and the
assessment process before assessment.
The Appointed Trainer & Assessor conducts regular trainer meetings at which student
outcomes are assessed and recorded in the minutes.
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Should a student have been dealt with unfairly, then a reassessment shall be completed by
a second assessor. The final outcome will be agreed by the RTO Coordinator.
1.90. Training Plans
For each student, AMCS RTO will conduct a pre-training review of current competencies
including literacy and numeracy skills to identify competencies previously acquired and to
ascertain that the proposed learning strategies and materials are appropriate.
The student will normally commence training within one month of signing the Student
Enrolment and the individual training plan is complete.
Limited literacy and numeracy support is available if there is a discrepancy between the
Student's skills and the skills required to successfully undertake the approved training
scheme. We can test the standard of English and of arithmetic using our LLN Assessment.
Where it is identified that the student requires additional support around language, literacy
and numeracy, we will provide the student with information about available pre-accredited
and accredited LLN options available to them.
1.91. Training and Progress
AMCS RTO is required to provide literacy and numeracy support to students where it is
deemed there is a gap in the skills they will require to successfully undertake the approved
training scheme.
AMCS RTO makes all reasonable provisions for the students to achieve all competencies of
the structured training during the term of the training program.
Any units not completed by the expiration date can be completed as a catch up activity.
1.92. Extension to Scope
It is the Coordinator of Training’s responsibility to apply for an extension to scope by
completing the application electronically on the regulators’ website.
The Coordinator of Training submits the material listed on the website under “Extension to
Scope”.
After the final results of the AQTF compliance audit have been supplied, the Coordinator of
Training monitors the NTIS website until the change to the scope of registration has been
posted.
When the change to scope been posted on the NTIS website, we commence advertising the
newly accredited course(s).
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1.93. Transitioning for New National Training Packages
Transition Arrangements:
Transition Arrangements provide details for managing the phasing out of a superseded or
expired training package qualification or accredited course. This includes arrangements and
timelines for the transfer of students to the new training package or course, and if
appropriate, arrangements for students to complete the superseded or expired qualification
or course.
Transition arrangements are usually specified by the Coordinator of Training in the relevant
Purchasing Guide or accredited course documentation. A date will be specified after which
no new enrolments are to be taken in the superseded or expired training package
qualification or accredited course.
These arrangements may also specify the period of time that the superseded qualification or
expired course may continue to be delivered.
Where necessary, Coordinator of Training will determine the appropriate transition period
and other transition details to apply at AMCS RTO taking into account the best interests of
students and the existing delivery modes for the qualification or course. The transition
period should not be longer than the normal duration of the qualification or course in
existing delivery modes.
Transition arrangements need to be made at course group level. Whilst individual students
may need to be provided with advice and guidance, transition plans for individual students
should not generally be needed.
1.94. Currently Enrolled Student:
A student who is enrolled in a particular training package qualification or accredited course,
at the AMCS RTO, in the enrolment period immediately prior to the date from which the
training package or course is superseded or expires.
1.95. Previously Enrolled Student:
A student who has been enrolled in the past, at the AMCS RTO or at another RTO, in the
qualification or course which is being superseded or is expiring but who has a gap in their
enrolment history, including in the enrolment period immediately prior to the date from
which the training package or course is superseded or expires.
1.96. New Enrolment:
A person who wishes to enrol in a particular training package qualification or accredited
course for the first time and has never previously been enrolled in this qualification or
course at either the AMCS RTO or at any other RTO. They may have been enrolled in other
qualifications or courses.
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1.97. Qualification:
For the purpose of these guidelines, the term qualification will be used to refer to training
package qualifications and accredited courses.
1.98. Coordinator of Training:
The role of the Coordinator of Training is to maintain the curriculum and provide advice on
training packages and accredited courses and to act as the interface between government
bodies, industries and RTOs.
1.99. Principles
Transition arrangements for students must be consistent with the following principles.
1. Where possible, students should have the opportunity to transfer to the most recent
qualification. When making the decision to transfer to the new qualification the following
should be considered:
• proportion of the qualification that has been completed,
• the degree of alignment with the new qualification, and
• potential advantage or disadvantage to student.
2. A student must be allowed to complete the course in which they originally enrolled or be
transferred to the replacement course with minimum disadvantage to the student.
1. Transition arrangements that are published in Purchasing Guides and curriculum
documentations must be followed.
2. Where necessary, additional transition arrangements must be developed and
documented by Coordinator of Training.
3. No New Student can be enrolled in an accredited course after its accreditation or expiry
date has passed or in a training package qualification after the date prescribed in the
Purchasing Guide for no new enrolments
4. Currently Enrolled Students and, where appropriate, Previously Enrolled Students should
be transitioned into the new/revised qualification as soon as possible after its publication on
the National Training Information Service.
5. The transition period for superseded/expired qualifications should not exceed 12 months,
except in special circumstances. Transition arrangements lasting for more than 12 months
must be approved by the CEO.
6. Transition arrangements should include AMCS RTO approved credit transfer details as
well as those contained in the relevant Purchasing Guide or curriculum document.
7. Only Currently Enrolled Students and Previously Enrolled Students can be re-enrolled in
the superseded/expired qualifications during the transition period. No new enrolments are
permitted.
8. Only Currently Enrolled Students and Previously Enrolled Students who are able to fully
complete the superseded/expired qualification during the transition period should be
enrolled in the superseded/expired qualification.
9. A student wishing to re-enrol in a superseded/expired qualification can only enrol in units
approved by The CEO for delivery during the transition period. Special arrangements should
not be made if the Department has ceased to deliver particular units.
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10. The CEO should advise full-time and part-time Currently Enrolled Students of proposed
transition arrangements as early as possible and ensure that individual advice and
counselling is available if needed.
11. The CEO should attempt to advise previously enrolled part-time UB students of the
transition arrangements.
12. Coordinator of Training will ensure that transition arrangements are documented for
each course and group, and provide details to relevant stakeholders in a timely manner,
especially Students and Student Services.
1.100. Teacher Assessment Process Flowchart
Teacher issues outline of
assessments at the beginning of unit
of competency to students
Students applies on the prescribed
form for a extension
After student have viewed
assessments teacher obtains the
signed assessment agreement from
the student
Students hand in the assessments on
the due date
Teacher assesses the task and povides
feedback to the student on a student
feedback form (SFBF)
Teacher considers the extension
application & advises student
Teacher advises the student of the
outcome and if extension is granted
advising in writing of the new due
date
Teacher or student
Requests a re- submission
Teacher collates the results from
student feedback forms and places
the results on a competency based
assessment form (CDA) at the end of
the unit
Teacher collates all documentation
including all student feedback forms
(SFBF), extentions, competency
based assessment (CDA), Student
assessment agreement (SAA) and
each assessment task submitted by
the student and submits to
administration
Teacher advises the student in
writing of the new due date
Teacher assesses the task and
provides feedback to the student on
a student feedback form
Administration file documents in
student file and record results on the
student data base
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Three Re-assessment
opportunities are provided to
a student at no charge
A Student who has attendance
less than 60%, may not be
given a re-assessment
opportunity due to missing in
class activities and essential
knowledge that enable them
to become competent
A Student that has not handed
in an assessment by the due
date or applied for an
extension prior to the due
date, will not be given the
opportunity for a reassessment