1. education

Policy and Procedure Manual
2013
Table of Contents
Acronyms and abbreviations used in this Manual
3
Code of Practice
4
CSIT Specific Policies and Procedures
10
Complaints and Appeals Policy
11
Continuous Improvement Policy
16
Equity and Access Policy
20
Human Resources Policy
26
Issuance of Qualifications and Statements of Attainment Policy
32
Management of Student Records Policy
36
Marketing and Promotion Material Policy
42
Partnership Policy
45
Recognition of Prior Learning and Current Competence Policy
49
Refund Policy
53
Risk Management Policy
55
Student Plagiarism, Cheating and Collusion Policy
63
Supervision Policy
66
Version Control Policy
68
Workplace Health and Safety Policy
71
Other related Policy and Procedure
75
Adequate training arrangements - Policy
76
Adequate Training Arrangements - Specified Community Care Qualifications
78
Adequate training arrangements – Procedure
81
National VET Provider Collection Data Requirements Policy
87
Skills Queensland Guideline Number 10 - Requirements of a training plan for an apprentice or trainee
92
Training plans and training records Policy and Procedure
94
References
100
Warning – Uncontrolled when printed. The current version of this document is located in Dropbox Quality Assurance
Authorised by:
Executive Director Darryl Scott
Original Issue:
16/04/2013
Version Number:
1.00
Current Version:
01/09/2013
Location
Dropbox, Quality Assurance QA12
Review Date:
01/09/2014
National Provider Number – 31839
Acronyms and abbreviations used in this Manual
AAC
Australian Apprenticeships Centre
AASW
Australian Association of Social Workers
AIWCW
Australian Institute of Welfare and Community Workers
AQF
Australian Qualifications Framework
ASQA
Australian Skills Quality Authority
AVETMISS
CSHIC
Australian Vocational Education and Training Management Information Statistical
Standard
Community Services and Health Industry Council
CSIT
Community Services institute of Training
DETE
Department of Education, Training and Employment
GTO
Group Training Organisation
IAP
Internal Audit Process
ICT
Information Communication Technology – related to the USI
IRP
Internal Review Process
LLN
Language, literacy and numeracy
NCCOS
National Competency Completion Online System
NCVER
National Centre for Vocational Education Research
NRT
Nationally Recognised Training
NVR
National VET Regulator
PEO
Principal Employer Organisations
RCC
Recognition of Current Competency
RPL
Recognition of Prior Learning
RTO
Registered training organisation
SNR
Standards for Continuing Registration
SRTO
Supervising Registered Training Organisation
USI
National Unique Student Identifier
Unit
Unit of Competency
VELG
VELG Training – offers professional development in the VET sector
VET
Vocational Education and Training
VQF
VET Quality Framework
Code of Practice
COMMITMENT
Community Services Institute of Training Pty Ltd (CSIT) is an organisation dedicated to furthering the skills of
people involved in the welfare and community sector.
Our staff are people who, through personal work experience, professional training and field education, have
the requisite values, attitudes, knowledge and skills to assist students and employers in their quest to
enhance the sector.
Through team teaching or individual attention, we aim to facilitate social welfare agencies and programs to
promote, relieve or restore the social functioning of individuals, families, social groups or larger
communities.
As current or former welfare and community workers, we are concerned with the promotion of the worth
and well-being of all individuals regardless of racial origin, sexuality, gender, age, ability or social status. Our
teaching reflects this approach and is focussed on maximising the human potential and worth of all persons.
COMPLIANCE
CSIT is bound by, and complies with the conditions described within the National Vocational Education and
Training Regulator (NVR) Act 2012, the VET Quality Framework and those imposed by ASQA on the
registration of a particular RTO.
The Institute also abides by relevant State and Commonwealth legislation. Access and Equity policies are
incorporated into operational procedures. CSIT (Inc.) prohibits discrimination towards any group or
individuals in any form.
In addition, CSIT abides by the Australian Association of Social Workers (2010) Social Work Education and
Accreditation Standards i principles, standards and graduate attributes for social work education in Australia.
CULTURAL CONSIDERATIONS
Accordingly, we acknowledge the Aboriginal and Torres Strait Islander peoples, the First Australians, whose
lands, winds and waters we all now share, and pay respect to their unique values, and their continuing and
enduring cultures which deepen and enrich the life of our nation and communities.
CSIT commits to acknowledge and understand the historical and contemporary disadvantage experienced
by Aboriginal and Torres Strait Islander peoples and the implication of this for social work practice. As such,
we are responsible for ensuring that our practice is culturally competent, safe and sensitive ii.
CSIT Policies and Procedures
This Staff Operational Manual is aligned to VET Quality Framework requirements. It is part of the three
Manual develop by CSIT. Part A – Standards of Operation Manual, Part B – CSIT Operational Manual and
Part C Staff Operational Manual. The eleven Essential Standards for Continuing Registration (Standards for
NVR Registered Training Organisations 2012) include:
SNR 15
The NVR registered training organisation provides quality training and assessment
across all of its operations
SNR 16
The applicant must have strategies in place to adhere to the principles of access and
equity and to maximise outcomes for its clients
SNR 17
Management systems are responsive to the needs of clients, staff and stakeholders,
and the environment in which the NVR registered training organisation operates
SNR 18
The registered training organisation has governance arrangements in place
SNR 19
Interactions with the National VET Regulator
SNR 20
Compliance with legislation
SNR 21
Insurance
SNR 22
Financial management
SNR 23
Strategy for certification, issuing and recognition of qualifications and statements of
attainment
SNR 24
Accuracy and integrity of marketing
SNR 25
Transition to Training Packages/expiry of VET accredited courses
These standards for NVR are covered in the three Operational Manuals for CSIT
Responsibilities as a VET trainer/assessor at CSIT
Responsibilities as a VET trainer/assessor at CSIT
Timeline
Before you
conduct
training or
assessment
Task
•
Complete Staff Profile
•
•
Complete VET Induction
•
•
Practice version control on all documents you
create or review
Access 1 the Training and Assessment Strategy
for all courses/units you are responsible for
delivering or create a new strategy where
required
1.1 A meeting between Industry and the
CSIT M Manager to discuss the outline
of the draft TAS, sample of assessment
and basic qualification/unit
information;
1.2 The M Manager will discuss the
session plans, staff matrix and unit
requirements with the teacher/s
involved. The teacher will forward any
information request for the
completion of the TAS to M Manager;
1.3 Once all parties agree with the TAS, all
parties will sign and date the TAS;
1.4 The new TAS must be validated by the
Quality Manager before any new TAS
is implemented;
1.5 The validated TAS is sent to the
teacher as the final copy to instruct the
course outline.
Access the Validation documentation for the
units to be assessed and check that all
mandatory requirements of the units are being
met before the course starts
Access the Course training and assessment
materials
•
Access information regarding the Units of
Competency to clarify if further information is
required
Access OR Prepare session plans and upload
them into the unit folder in Dropbox and
forward them onto M Manager to include
them into the TAS report.
•
•
•
•
•
•
1
Procedures, Forms and Resources
•
FO21 Trainer and Assessor
Profile
FO18 Staff and Contractor
Induction Checklist; Induction
procedure (in Human Resource
Procedures)
QA01 Version Control Register;
Version control procedure
FO77 Training and Assessment
Strategy Template (if new
material is to be created) or
check the relevant Course and
Units of Competency folders in
Dropbox
•
FO38 Validation of the Training
and Assessment Strategy
•
Check the relevant Course and
Units of Competency folders in
Dropbox
Available online at
training.gov.au
•
FO39 Session Plan Template (if
new material is to be created)
or check the relevant Course
and Units of Competency
All relevant training and assessment materials, including forms and templates, can be accessed online through the
CSIT folder at www.dropbox.com
Timeline
Task
•
•
Procedures, Forms and Resources
Collect information from CSIT Administration
1.6 LLN Forms
1.7 Welcome to Study Booklet
1.8 Training Plan and Records
1.9 Equity implementation plan
Where insufficient training material is
available, print sufficient copies and submit
reimbursement
•
•
•
•
•
•
•
•
First Session
of Training
•
•
•
•
•
•
•
•
•
•
•
•
Obtain a list of students enrolled in the units
from administration
Prepare the Attendance Log
Complete:
1.10 Attendance form (this is mandatory
and MUST be completed for every
training session, at the beginning of
the session)
1.11 LLN Form
1.12 Equity implementation plan
Ensure that the students’ correct, legal names
are properly noted in the attendance list using
Driver’s License/Medicare Cards to confirm
Acquire copies of student identification details
(Driver’s License and Medicare)
Collect:
1.13
Enrolment forms (for those
students who have not correctly
enrolled)
1.14
Workplace Portfolio of
Evidence (if students are involved in
the RPL/RCC Process or evidence from
Existing Workers for Gap Training)
1.15
LLN forms
1.16
Equity implementation plans
Provide all students with:
1.17 A copy of the Course/Unit information
1.18 Assessment Outline
Discuss requirements
Provide assessment outline
Provide Apprentices/Trainees with the relevant
documentation where required
Complete documentation with Students and
supervisors
Advise students that they must bring the copy
of their record plan to each training session
Outline Student roles and responsibilities
Describe support that is available to students
•
•
•
•
•
•
•
folders in Dropbox for Session
Plans
FO07 Equity Implementation
Plan
FO22 Expenditure Form (for
reimbursement of printing
costs)
FO72 CSIT LLN Checklist
FO75 Training Plan
FO76 Training Record Plan
IN01 Welcome to Study
FO67 Attendance Form
FO07 Equity Implementation
Plan
FO15 Enrolment Form
FO67 Attendance Form
FO72 CSIT LLN Checklist
FO46 Workplace Portfolio of
Evidence
FO64 RPL Kit
•
Course/Unit outlines available
in relevant folders in Dropbox
•
FO75 Training Plan
FO76 Training Record Plan
•
•
•
IN01 Welcome to Study
FO13 Fact Sheet for Steps for
Dealing with Complaints or
Appeals
Timeline
Task
Procedures, Forms and Resources
•
•
After First
session of
Training
•
•
•
•
During
Training and
Assessment
sessions
•
•
•
•
•
•
•
•
•
•
•
•
Complaints and Appeals Policy
FO72 CSIT LLN
Access and Equity Policy
FO22 Expenditure Form (for
reimbursement of mailing cost)
Distribute, conduct and collect Language,
Literacy and Numeracy Assessment
Review LLN and Equity implementation plans
to determine student needs and learning
assistance
Prior to the next training session,
prepare/collate learning materials to assist
these students
Send completed documentation (enrolment
forms, LLN Checklists, Workplace Portfolio of
Evidence – where they have been completed;
copies of Medicare Card details and Driver’s
License) to CSIT admin via Registered Mail.
Ensure that Apprentices/Trainees receive a
completed copy of their Training Plan and
Training Record Plan within 14 days after a
training plan is signed by the parties to the
training plan
Complete Attendance Form for EVERY session
Follow Training and Assessment Strategy
•
•
FO67 Attendance Form
For Courses conducted more than 6 months,
complete a Mid-Evaluation Form at the half
way point
Assess students against competencies and
record results.
Submit monthly Grading Report
Submit a Course Progress Report if a student’s
course progress has been considered
unsatisfactory, and they are required to show
cause.
Ensure that the Training Record plan of
trainees/apprentices is signed off by the
student, supervisor and teacher as each cluster
is completed
Ensure all assessment items are completed,
correctly labelled with the student’s details,
and filed in accordance with Policy
For Traineeships exceeding three months: a
review is required once every three months.
The trainer must organise a time with the
student and their supervisor to conduct the
review.
Students are required to submit all
assessments and workplace paperwork to
administration/staff by the due date.
Moderate a sample of assessment instruments
each teaching period with other Trainers as
part of a Staff Meeting
Complete a final evaluation of the course with
•
FO02 Learner Questionnaire
•
Grading Report (distributed
through Administration)
•
FO59 Course Progress Report
•
Quality Assurance of User
Choice Policy and Procedure
Management of Student
Records Policy and Procedure
Traineeship Survey
•
•
•
•
•
FO45 Internal Moderation of
Judgements
•
FO02 Learner Questionnaire
Timeline
Following
Completion
of Training
and
Assessment
Task
•
•
•
•
•
•
•
Other
•
Procedures, Forms and Resources
students
Complete a final evaluation of the course with
employers
Complete a Group File Lodgement Form for
each separate group of students and return
this to CSIT Administration
Return completed Attendance list and
Assessment items (including student
assessment cover sheets) to Administration
Ensure that the Student File Checklist is
completed and attached to these documents
Review training and assessment practice and
resources, and record any significant
improvements using the Quality Unit
Enhancement Form
Ensure improvements are registered for
Continuous Improvement purposes and any
amendments to versions of documents are
recorded in the Version Control Register
Participate in professional development
Check CSIT team calendar and plan for
important dates
•
FO01 Employer Questionnaire
•
FO84 Group File Lodgement
Form
FO85 Student File Checklist
•
•
•
•
FO37 Quality Unit
Enhancement Form
QA01 Version Control Register;
Version control procedure
Staff Development Policy
CSIT Specific Policies and Procedures
Complaints and Appeals Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
The right to register and have a complaint or appeal addressed efficiently and effectively is a fundamental right of
all consumers accessing CSIT services.
LEGISLATIVE CONTEXT


VET Quality Framework
Standards for NVR Registered Training Organisations
POLICY STATEMENT
Access to the Policy
All persons who use or intend to use the services of CSIT have a right to complain or raise issues of concern about
any aspect of that service. All students and staff are made aware of the FO13 Complaint/Appeal Fact Sheet in
their respective Handbooks, and students also have access to the information via the website, Enrolment
Agreement Form and Course Description which are made available prior to any contractual arrangements are
finalised.
Information regarding the fact sheet can be found online at: www.csitaustralia.com/studentinfo.htm
Complaint and appeal process
Regarding CSIT personnel
An appeals and reassessment process is an integral part of all training and assessment pathways leading to a
nationally recognised qualification or Statement of Attainment under the Australian Qualification Framework and
in accordance with the Australian Quality Training Framework.
A fair and impartial appeals process is available to students of CSIT.
CSIT aims to provide a fair, safe and productive study environment, however, from time to time complaints or
grievances may arise. Complaints may be offered informally (in general conversation to a trainer, for example) or
formally (via written feedback in an evaluation form, or on the relevant complaints/appeals paperwork). When a
complaint or grievance is registered against teaching staff, students are encouraged (in the first instance) to
follow the complaint process to attempt to resolve the complaint directly with the individual.
If this is not possible and the situation cannot be resolved informally through discussion with the individual
involved, a written record of the complaint needs to be lodged using F014 Complaints or Appeals Record Form.
The form can be found on the CSIT website at www.csitaustralia.com/studentinfo.htm
Regarding training related matters
If students have complaints related to training content, assessment processes and the like, they are encouraged
to record their comments on the training evaluation forms provided at the mid-point (of training sessions
conducted over periods in excess of seven weeks) and at the conclusion of the training. All complaints recorded in
this manner will be addressed in a way that is fair, consistent, prompt and with sensitivity to all parties, and in
accordance with the principles of natural justice.
Additionally, should the matter arise outside of these evaluation points, students may complete the Complaints or
Appeals Record Form and due process will be followed.
Regarding assessment outcomes
Students have the right to appeal the outcome of an assessment if they feel that their work has not been assessed
fairly or they have other concerns with the process leading to their result. They are encouraged to complete the
Complaints or Appeals Record Form, submit it to the Executive Director of CSIT and due process will be followed.
Regarding CSIT operations
If students or other clients are unhappy with the service provided by CSIT, and feel that the RTO is in breach of
ASQA guidelines, they may take the issue up directly with ASQA. Information is available on the ASQA website at
www.asqa.gov.au/complaints/making-a-complaint.html
Confidentiality and Privacy
Complaints and Appeals must be treated by all parties as strictly confidential. This means that information about
the Appeal shall only be discussed with, or made available to, a person who:



Is a party to the appeal;
Is or has been legitimately involved in the management of that appeal; or
Has a formal management role in following up the consequences or implications of the appeal.
Witnesses, support persons or any other observers must refrain from discussing the Appeal with each other or
with the person/s involved unless those discussions are in accordance with the management of the Appeal.
A breach of confidentiality may incur disciplinary action (for CSIT staff and contractors).
Timeframe and follow up
All written complaints logged will be responded to within two (2) working weeks of receipt of the complaint.
Each complainant/appellant is given an opportunity to present their case in person to the Executive Director in the
first instance and may also be accompanied by an advocate or support person. If this does not result in a resolution of
the matter, the complainant/appellant:

May formally present his or her case at no cost to them. Should external mediation be required, CSIT will
cover 50% of the cost of mediation or an independent third party to deal with the matter. The remaining
50% of costs are to be borne by the complainant/appellant.
 May be accompanied and assisted by a support person (advocate) at any relevant meetings. Information
regarding advocacy services is made available to students in their Handbook.
All reasonable measures are taken to finalise the process as soon as practicable. A written statement of the
outcome, including details of the reasons for the outcome will be provided once mediation has concluded, within
two (2) working weeks.
Continuous Improvement
The root cause of the complaint or appeal will be included in the continuous improvement cycle of the relevant
standards. Complaints will be monitored to determine any patterns of similarity of cause and processes will be
adjusted accordingly.
Additionally, complainants may be asked to offer feedback regarding their satisfaction with the manner in which
the complaint/appeal was dealt with.
COMPLAINT AND APPEAL PROCEDURES
Definitions
Simple complaint/appeals: Complaints arise when a client is not satisfied with aspects of CSIT services and
requests action to be taken for the resolution of the matter. A Complaint/Appeal is classified as”simple” if it is of
relatively minor concern and easily remedied and does not affect the health, safety and welfare of the
complainant.
It is expected that complaints/appeals of this nature will be responded to immediately or within one working day
following the complaint being made.
Serious or complex complaint/appeals: Complaints of a serious or complex nature refer to actions that could
potentially cause an impact on the health, welfare and safety of students/clients. These include such matters as
claims of staff misconduct, confidentiality breaches, discriminatory behaviour and so on.
A complex Complaint/Appeal is one that cannot be responded to until a formal investigation is undertaken.
In the event of a Complaint/Appeal of a serious or complex nature, the Executive Director is to make every effort
to provide a response as soon as possible or within 10 working days of receiving the Complaint/Appeal.
Appeals arise when there is a difference of opinion regarding assessment judgements. Learners undertaking
accredited training and assessment with CSIT have the right to initiate an appeal of an assessment result within a
period of six weeks of notification of their assessment outcomes.
CSIT is committed to providing a fair and equitable process for dealing with learner appeals. In the event that a
learner is dissatisfied with the result of an appeal, CSIT advise learners of the appropriate authorities whereby
they may seek further assistance.
Complaints
1 The complaint procedure allows for:
1.1 An informal approach to the person with whom the participant has the complaint.
1.2 An opportunity for the person to formally present his or her case.
1.3 The Quality Manager or Executive Director who has not been involved to review the complaint.
1.4 An independent review by an external mediator, or ASQA (in the instance of complaints against RTO
services or breaches of ASQA guidelines for RTOs).
1.5 All complaints are recorded in writing and reviewed at Management Meetings. All substantiated
complaints will be acted upon through Management Meetings.
1.6 Results of all complaints are communicated in writing to the participant, stating the reasons for the
decision.
1.7 A copy of this communication is kept on file, both on the Complaints Register and in the participant’s
individual file.
Process for complaints and appeals unrelated to assessment
1 Talk directly to the person involved
1.1 In the first instance, the student/client should talk directly to the person causing concern.
1.2 If the issue regards an appeal with assessment, the student must bring it up with the assessor / trainer
who marked the work.
1.3 The student brings the complaint or appeal to the attention of the trainer within seven (7) days of the
issue taking place.
2 Talk with support from an advocate
2.1 If the student/client is not satisfied with the outcome, or they don't want to discuss the matter with the
person, they may ask an advocate to be present to negotiate on their behalf.
2.2 If the issue remains unsatisfactory, the matter should be taken up with CSIT management unless the issue
lies with CSIT management (see below – conduct of the RTO becomes an ASQA issue)
3 The student requests information regarding the complaint/appeal process from the trainer and must be
directed to their IN02 Student Handbook, or to the information available online at www.csitaustralia.com
4 The student should put the following information relating to the complaint or appeal in writing using FO14
Complaints and Appeals:
4.1 Description of the complaint or appeal
4.2 State whether they wish to formally present their case
4.3 Steps they have taken to deal with the complaint/appeal
4.4 What they would like to happen to fix the problem and prevent it from happening again.
5 Should the issue still not be resolved to the student’s satisfaction, CSIT will make arrangements for an
independent mediator from the from the Department of Justice Disputes and Resolution complaints
committee to be engaged.
5.1 Any fees or charges that may be incurred via external resolution mediator will be subject to 50% payment
by the RTO and 50% payment by the student.
5.2 The student will be given the opportunity to formally present his or her case.
5.3 The time frame for this process may vary but should take no longer than two working weeks.
5.4 The student/client is encouraged to have the support of an advocate if they wish.
6 The Executive Director ensures that the policy of complaint and appeal is followed and a written outcome is
supplied to the person who makes the complaint/appeal. All parties involved will receive a written statement
of the outcomes, including reasons for the decision within two working weeks of the meeting with the
mediator.
Complaints against CSIT as an RTO
1 If a student is concerned about the RTO as a training provider then they may approach the regulatory body. This
authority has the power to suspend or cancel the RTO’s institutional registration or any course registration if
a breach of the requirements of registration provision is proved.
2 Concerns about the conduct of the RTO should be addressed to the Australian Skills Quality Authority. Refer to
their website at http://www.asqa.gov.au/complaints/making-a-complaint.html for further information.
Academic Appeals
1 If students wish to appeal their assessment result, they must first discuss the issue with their Trainer.
2 If they are still not happy, they can then appeal in writing within seven (7) days of the initial discussion.
2.1 Note: The appeal should be put in writing within three (3) months of receipt of results and given to the
trainer/assessor and/or the Executive Director of CSIT.
2.2 The Executive Director will ensure that students are contacted personally and acknowledged in writing
within five (5) days of receipt of the complaint.
2.3 Once they lodge a formal appeal a third party will be appointed in an attempt to resolve the issue. Any
decision recommended by this adjudicator is not binding to either party in the dispute.
3 The RTO will investigate students appeal. Acknowledgement in writing is provided within two (2) working days
and a decision within 20 working days. However, depending on the complexity of the case and the
information provided, this timeframe may vary. The appeals process will allow for students to formally
present their case, and will also allow for their appeal to be heard by an independent person or panel if
requested.
4 If no satisfactory solution is reached students can appeal to the regulatory body.
5 A written statement of the outcome of all academic appeals will be given to students and will be kept on
student’s personal file.
5.1 All academic appeals will be recorded in a data base for future reference and used for continuous
improvement purposes.
6 Students have the right to a support person to be involved at all times during the appeal process.
7 The results of the appeal process will be communicated to students in writing including reasons for the decision
made.
8 A copy of this communication will also be kept on file, both on the complaints register and student file.
9 Students application for appeal will be considered if they are disadvantaged because:
9.1 The Trainer did not provide a subject outline,
9.2 The Trainer varied without consultation or in an unreasonable way the assessment requirements as
specified in the subject outline,
9.3 Assessment requirements specified by the Trainer were unreasonably or prejudicially applied to the
student
9.4 It is believed that a clerical error had occurred in the documenting of the assessment outcome,
9.5 There appeared to be a discrepancy between the practical observation and the formal assessment
10 If the appeal for re-assessment is upheld CSIT will make all necessary arrangements to conduct the reassessment at a time that is mutually convenient for all parties concerned and if required the appeal will be
heard by an independent person or panel.
11 All appeals are recorded and reviewed at Management Review Meetings.
Record keeping
1 All documentation relating to complaints or appeals should be archived for audit purposes.
2 Complete records are kept of all stages of the handling of the Complaint/Appeal and details should be recorded
as they occur.
3 Records shall be accessible to all parties concerned. The records kept shall include:
3.1 Complainant’s contact details
3.2 Details of Complaint/Appeal
3.3 Outcomes of Complaint/Appeal
3.4 Continuous improvement proposals to be implemented (if applicable)
4 Both the person making the Complaint/Appeal and the Executive Director must sign off on the FO14 Complaints
and Appeals documentation.
Continuous Improvement
1 All records are secured and a six-monthly audit undertaken to identify any trends for changes required to the
operation of the service.
2 These audits will ensure compliance with CSITs policy and procedure and that all relevant follow-up has been
instigated.
Continuous Improvement Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To ensure CSIT continually reviews and improves its policies, procedures, training products and training services
to meet compliance with the NVR, by collecting feedback from clients, stakeholders and staff and subsequently
analysing the data and acting on opportunities for improvement or enhancement.
LEGISLATIVE CONTEXT


Data Provision Requirements 2012 (subsection 187 [1] of NVETR Act 2012)
VET Quality Framework
POLICY STATEMENT
This policy details the continuous improvement cycle adhered to by all CSIT staff.
CSIT applies a systematic, continuous improvement approach involving staff, clients (students and Industry) and
other stakeholders, using qualitative and/or quantitative data tools to determine the need for improvement to
training and assessment protocols and resources.
Continuous improvement Process
 Review - a review of required changes is conducted monthly through Staff meetings. Reviewing in a



systematic way assists in maintaining alignment with compliance requirements.
Reveal – meetings will identify areas of potential (or actual) non-compliance. This ensures that CSIT
maintains currency of all its training protocols and programmes.
Repair – where a continuous improvement opportunity is identified through review, actions can be
determined to repair the areas of non-compliance. Due process can then be followed (e.g. determination
of which staff should be responsible for addressing the changes, implementing modifications etc.)
Record – following final determination regarding the action determined by the Executive Director, the
decision is recorded as an action taken in management minutes. Any document determined as requiring
change or amendment should also be featured in the RTO’s version control record
Responsibilities
The Executive Director is responsible for ensuring all staff is apprised of their responsibilities regarding continuous
quality improvement.
Information for staff is found in the CSIT Staff Manual and in the procedural notes at the end of this Policy
Manual. All staff has a responsibility to ensure they meet the requirements of their position and maintain the
correct records. Teachers should be familiar with the relevant documentation and the associated responsibilities
and procedures for timely submission of this material.
Data collection (REVEAL)
Data is to be collected throughout the duration of client engagement with the RTO. This includes:






Contact with Industry
Contact with training partners/Agencies
Development of training and assessment materials
Student inquiries and enrolment
Student assessment
Verbal (informal) and written (formal) feedback from stakeholders and staff
Data analysis (REVIEW)
Feedback and data gathered is discussed in regular Staff Meetings as a standing agenda item. Items requiring
action are identified and relevant staff is required to address the proposals submitted. Actioned items are
checked for progress and noted in subsequent meetings.
Annual internal audit processes (IAP) are conducted to ensure consistency and compliance with ASQA Standards.
In addition, annual reviews of each qualification utilising an Internal Review Process (IRP) are undertaken. Staff
and assessors of each qualification review training approaches, evaluation methods and resources to ensure
currency and relevance of the information being distributed.
New or revised training packages are implemented within 12 months following approval. The IRP may provide
additional feedback to the IAP.
The spokesperson of the IRP committee will provide a written report to the CSIT Executive Management Team at
its meeting immediately following the IRP. Any recommendations should include a timeline for their
implementation.
Data action (REPAIR, RECORD)
Recommendations regarding improvements to CSIT policy, procedure, training materials and processes arising
from audits and staff meetings will be will be addressed within four to twelve weeks of the recommendation.
CONTINUOUS IMPROVEMENT PROCEDURES
Training and Delivery
1 CSIT consults industry through a comprehensive Training Needs Analysis in the preliminary phase of
engagement with an Agency or other stakeholder that has requested training provision. This provides
opportunity for planning and identification of strategic assessment for the sector. Information gathered in
this initial phase informs the Training and Assessment Strategies for the course.
2 All areas of training/assessment require:
2.1 FO02 – Learner Evaluation Form if the delivery activity runs for longer than seven separate occasions with
the same group of students or over six months. The mid-evaluation assists in determining whether the
student’s needs are being met during the delivery mode of the activity.
2.2 FO01 – Employer Evaluation Form to be completed at the end of each qualification activity completed
(includes all modes of delivery). The final evaluation is an overall process and content evaluation of the
delivery of service. This ascertains the suitability, sufficiency and relevance of training and assessment
materials and conduct.
3 Clients are encouraged to provide feedback throughout the duration of the training process. This may be
supplied:
3.1 Informally (via verbal feedback to the trainer/CSIT) or
3.2 Formally (through a written submission to the RTO).
4 The Administration Officer will enter the data into the relevant database application (QA02 Employer/QA03
Student Feedback Analysis Spreadsheet). An analysis of the data will be conducted by the RTO Manager/
quality Manager to review or implement improvement suggestions as required.
5 Should either form contain a complaint, and the client/stakeholder is clearly identified (by name) on the form,
the RTO Manager shall follow the Complaint and Appeal Policy.
Resource development
1 At the conclusion of each training program or independent training module, trainers will evaluate the
effectiveness of resources utilising feedback from students and employers in conjunction with trainer
experience with implementing the resources.
1.1 Where modifications are deemed necessary, information will be fed into Staff meetings for discussion and
the development of proposed improvements to the training resources.
2 Staff will be provided with the relevant documentation at least one (1) week prior.
3 The RTO Manager will review and notify staff involved with conducting that Course/module to adjust the
training and assessment strategies as warranted.
4 In all cases where improvements or enhancements are decided, the information will be circulated to the
appropriate personnel in writing for implementation.
5 The person delegated to implement the change must have the task completed and signed off by the RTO
Manager within the agreed time frame.
Transition from Superseded Training Packages
1 In the event that a Training Package is upgraded CSIT will manage the transition within 12 months utilising the
Continuous Improvement process described in the Continuous Improvement Policy.
2 Once a Training Package has been superseded CSIT will liaise with relevant industry bodies including:
2.1 Australian Skills Quality Authority
2.2 Training.gov.au
2.3 Associated Industries and Skills Councils
3 CSIT will develop products according to the Training Package requirements.
Validation and Moderation activities
4 CSIT will validate its assessment strategies and outcomes by reviewing, comparing and evaluating the
assessment processes, tools and evidence contributing to judgements made by assessors.
4.1 These should compare the outcomes from a range of assessors against the same competency standards,
at least annually.
4.2 Documentation will be made of any action taken to improve the quality and consistency of assessment
4.3 Assessment validation and moderation will be conducted on units of study delivered and assessed in that
year.
5 All qualifications on the RTO scope of registration must undergo assessment validation and moderation at least
once a year. Validation and moderation methods may include:
5.1 As part of staff meeting process
5.2 Feedback from staff conducting training and assessment
5.3 An independent external validator or Industry Consultation Committee
5.4 Review and implementation of standardised assessment tools
6 Assessment tools and outcomes will be benchmarked against evidence guides such as the training package
assessment guidelines and industry or workplace requirements.
7 On an annual basis, CSIT training staff will develop an Assessment Validation and Moderation review plan to
determine the type of validation and moderation methods and frequency of the assessment validation and
moderation meetings.
7.1 Prior to the assessment validation meeting(s), the Executive director will collect examples of assessment
processes used, assessment tools used and evidence gathered to conduct assessment in a study period.
7.2 This should include:
7.2.1 feedback on assessments gained through individual debriefs of assessors and students
7.2.2 suggested changes to assessments materials to meet industry needs (FO86 Industry Valuation)
7.2.3 samples of a range of completed assessments to ensure consistency of judgement
8 Specific items of discussion to validate and moderate the assessment may include:
8.1 Assessment methods and tasks cover all areas of the competency or learning outcomes
8.2 Assessment methods and tasks are consistent and gather sufficient evidence
8.3 Assessment tasks have clear instructions for assessors and students
8.4 Assessment method and tasks meet the requirement of assessment principles
8.5 Marking criteria meets the competency or learning outcome requirement
9 A summary of the assessment validation and moderation actions is to be recorded in the FO37 Assessment
Validation Checklist and FO38 Validation of the Training and Assessment Strategy by CSIT training staff.
10 Agreed improvement activities are to be documented in Part C – Validation Action Plan (in FO37) which assigns
responsibilities to specific people/groups of people and indicates completion dates.
11 Records of assessment validation and moderation activities and improvements must be stored in Dropbox with
the relevant Assessment materials, in each qualification folder.
11.1 Records are to be made available for review by relevant members of industry involved in consultation
with CSIT, as well as to auditors and teaching staff.
11.2 Records of all assessment validation and moderation records and action plans mentioned within this
procedure shall be maintained for a period of at least five years for auditing purposes by the NVR.
Impact on other Policies
1 The Administration Officer will review the Action List from the Minutes of staff meetings on a regular basis to
ensure opportunities for improvement are carried out.
2 Improvements or enhancements that impact upon existing policies or procedures will be published as per this
policy and recorded in the Version Control Register.
Version control
1 The QA01 Version Control Register must be updated following the ratification by the Executive Director of
relevant information documentation.
Audits
1 Internal Audits will be carried out by the Quality Manager or RTO Manager of CSIT or their delegate, twice
annually (in February and November) using the ASQA document VQF Self-Assessment/Internal Audit.
1.1 The outcome of the audit will form part of the Management Review to determine whether various
elements of the operational management system are effective in achieving stated objectives.
1.2 The audit will examine the adherence to the NVR and documented control procedures through examining
records and evidence provided by the system.
1.3 Compliance and non-compliance will be documented.
1.4 If corrective action or investigation is required, recommendations will be made as required.
2 Results of the audit once documented will be forwarded to the RTO Manager of CSIT for information and
evaluation.
3 Non-compliances will be corrected within 4 to 12 weeks of the identification from the date of the audit.
3.1 The Quality Manager is responsible for rectifying identified non-compliance.
4 Documents will be forwarded to the Executive Director for final ratification and amendment of the Version
Control Register.
External Assistance
1 CSIT will maintain contact with an independent consultant to assist in conducting internal self-audits as required
by the NVR.
Equity and Access Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
This Policy covers the areas of discrimination and harassment, language, literacy and numeracy, and reasonable
adjustment. CSIT aims to provide, based upon resources and organisational priorities, appropriate arrangements
for learners with disability. This suite of policies related to education and assessment processes within CSIT is
guided by social justice principles related to access, participation, equity and equality.
LEGISLATIVE CONTEXT
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Standards for NVR Registered Training Organisations
Anti-Discrimination Act Queensland (1991)
Privacy Act 1988
Information Privacy Act Queensland 2009
Human Rights and Equal Opportunity Act 1992 [and Amendments]
Disability Discrimination Act 1992 [and amendments]
POLICY STATEMENT
CSIT’s access and equity guidelines ensure:

Client-focused approach to ensure processes and education products and services meet the specific
needs of our diverse student and employer base
 Provision of opportunities for individuals to participate in quality vocational education and training and
in associated decisions that impact on their learning
 Promotion of processes that ensure the right of equality of opportunity without discrimination
 Fair allocation of resources to ensure access and equity for all individuals.
Students may seek assistance via the enrolment form. Any information gathered on behalf of a student
must be treated as highly confidential, and stored securely and only made available to those personnel on
a ‘need to know’ basis. It must not be disclosed to any other person without the student’s expressed
permission.
Discrimination and harassment
Discrimination is treating an individual with a particular attribute less favourably than an individual without that
attribute or with a different attribute under similar circumstances; also, seeking to impose a condition or
requirement on a person with an attribute who does not or cannot comply, while people without that attribute
do or can comply.
Harassment is uninvited, unwelcome behaviour, which does not have any legitimate workplace function.
Harassment includes any written, physical, or verbal conduct that from the perspective of a reasonable person is
intimidating, offensive or humiliating against another person.
Current legislation states that it is illegal to discriminate, victimise, harass or vilify on the basis of any of the
following situations or circumstances:
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Sex
Sexual harassment
Pregnancy
Potential pregnancy
Marital/domestic status
Disability
Race, colour, national
extraction, social origin,
descent, and ethnic, ethnoreligious or national origin
Age, compulsory retirement
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Family responsibilities, family
status, status as a parent or
carer
Racial vilification
Homosexual vilification
HIV/AIDS vilification
Religious belief or activity
Political belief or activity
Physical features
Industrial activity
Employer association activity

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Trade union activity
Breastfeeding
Sexuality
Transsexuality
Transgender
Profession, trade, occupation
or calling
Medical record and
Criminal record
CSIT recognises it is the right of every student to attend training and to complete their studies without being
subjected to any form of discrimination or harassment. CSIT is fully committed to its obligations to eliminate
discrimination and harassment in the workplace and in client relations.
CSIT will not tolerate any form of discrimination, victimisation or harassment under any circumstances. The
responsibility lies with every member of CSIT staff and contractors, as well as students and employers to ensure
that discrimination or victimisation does not occur.
CSIT considers that legislative obligations under the Anti-Discrimination Act Queensland (1991) establish
minimum standards of behaviour for all people involved in the training process. This applies to any trainingrelated context.
Breach of this Policy
A breach of this policy will result in disciplinary action. Depending upon the severity of the case, consequences
may include apology, counselling, dismissal of the staff person/contractor, expulsion of a student or other forms
of disciplinary action deemed appropriate.
CSIT strongly encourages any person who feels they have been harassed to take action, preferably by making it
clear that such behaviour is unwelcome and offensive; alternatively, or in addition, following the procedures for
making a complaint and reporting the behaviour.
Any reports of harassment are treated seriously and promptly with sensitivity and complete confidentiality.
No person will be treated unfairly as a result of complaining of discrimination or harassment. Disciplinary action
may be taken against anyone who victimises or retaliates against a person who has complained of discrimination
or harassment or against any staff person/contractor, student or employer who has been alleged as a harasser.
All individuals reserve the right to seek the assistance of the relevant tribunal or legislative body to assist them in
the resolution of any concerns.
Criminal conduct
Some forms of severe harassment (e.g. physical attack, obscene phone calls) may constitute criminal conduct.
While CSIT is committed to treat most harassment complaints at a company level as far as possible, this type of
conduct is not suited to internal resolution. Such complaints should be treated by the criminal justice system.
Language, literacy and numeracy (LLN)
Identification of LLN matters is vitally important and CSIT prefers that it occurs as early in the training process as
possible. It permits alternative ways of assisting and offering training guidance to students to ensure they have
the best possible chance of succeeding with their studies. A comprehensive training plan will include options for
mentoring, coaching, direction to external LLN specialists, and additional complementary resources.
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POLICY AND PROCEDURE MANUAL 2013 22
CSIT ensures that all students are supported in their studies to the fullest extent possible, thus any student who is
experiencing any difficulties with their studies (including with time management, setting and achieving goals,
motivation, coping with assessment processes etc.) is invited to discuss the issues with their Trainer, or another
member of CSIT staff.
Support strategies
Where possible issues are identified, these are to be discussed with the learner and allowable adjustments to
either the training or assessment process is negotiated and agreed upon according to the reasonable adjustment
procedure.
Learners who would benefit from a full LLN assessment and on-going support are referred to services (usually
TAFE) which can assist.
Student counselling and support
Trainers will assist students requiring counselling or support where possible, and refer the student to the
appropriate personnel where further assistance is required.
The staff member must ensure that the full resources of CSIT are made available to support the student to
achieve the required level of competency in all accredited courses. .
Reasonable Adjustment
Reasonable Adjustment is the term used to describe actions or changes which may be required to enable trainer
and student participation on the same basis as other staff and students. Lack of provision of reasonable
adjustment might constitute discrimination.
Adjustments might be necessary where the interaction between the learning and working environment and
certain student/trainer personal characteristics or circumstances has a negative impact on trainer/student
participation or achievement. Such characteristics and circumstances include having a disability, carer
responsibilities, cultural or religious obligations, being Indigenous, having English as a second language. There is
no set definition of what is a ‘reasonable’ adjustment. Each situation needs to be considered in its own
circumstances and on its own merits.
An adjustment is a measure or action taken to assist a student who may be disadvantaged through ability or other
characteristic, to participate in education and training on the same basis as other students. An adjustment is
reasonable if it does this while taking into account the student’s learning needs and balancing the interests of all
parties affected, including those of the student who is disadvantaged, the training organisation, staff and other
students.
CSIT has a commitment to offering reasonable adjustment on behalf of students who may be otherwise placed at
disadvantage in their studies. We follow basic principles of inclusion (equal opportunity) to ensure all students are
afforded the same opportunities to acquire sound learning, and achieve their study goals. CSIT maintains the
academic requirements of the course or other requirements or components that are inherent or essential to the
nature of the course whilst practicing reasonable adjustment. We will endeavour to meet the needs of students
through inclusive and flexible teaching practices; however examples of the types of adjustments that may need to
be provided include:
 Providing information in accessible formats
 Reasonable adjustment to course content, course mode of delivery and course assessment procedures
 Modifications to equipment and where deemed necessary, the loan of specialised equipment or
software
 Flexible study arrangements
 Alterations to timetables, premises or study areas or;
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POLICY AND PROCEDURE MANUAL 2013 23
 Substitute assessment activities.
Any adjustments will be provided in a timely and sensitive manner, protecting the privacy and the dignity of the
student at all times.
Adjustments may be permanent or temporary depending on the nature of the student’s situation and her/his
needs. The level and nature of the adjustment may also change over time.
At all times, CSIT Staff and contractors responsible for administering the adjustment will respect the privacy of the
student.
EQUITY AND ACCESS PROCEDURES
Learning assistance
1 Students can request learning assistance and support via the Enrolment Form.
2 Students are required to provide supporting documentation one week after enrolment, from an appropriately
qualified professional. S/He should provide details as follows:
2.1 The nature of the disability or medical condition;
2.2 The impact this will have on the student’s study.
3 A staff member will follow up this request by completing an Equity Implementation Plan.
4 This Plan is to be provided to all Staff assisting the student with their training and study.
5 This information is highly confidential, and the document must be stored according to all secure documentation
(in a locked filing cabinet)
5.1 Information is to only be made available to those personnel who have contact with the student.
5.2 The information will not be disclosed to any other person without the student’s expressed permission.
Discrimination and harassment
1 CSIT will not tolerate any form of discrimination, victimisation or harassment under any circumstances.
2 The responsibility lies with every member of CSIT staff and contractors, as well as students and employers to
ensure that discrimination or victimisation does not occur.
3 A breach of the Access and Equity policy will result in disciplinary action.
3.1 Depending upon the severity of the case, consequences may include apology, counselling, dismissal of the
staff person/contractor, expulsion of a student or other forms of disciplinary action deemed appropriate.
4 Any person who feels they have been harassed is encouraged to take action, preferably by making it clear that
such behaviour is unwelcome and offensive; alternatively, or in addition, following the procedures for making
a complaint and reporting the behaviour.
5 Any reports of harassment are to be treated seriously and promptly with sensitivity and complete
confidentiality.
6 Complainants have the right to determine how to have a complaint treated, have support or representation
throughout the process, and the option to discontinue a complaint at any stage of the process.
7 The alleged harasser is given the right to:
7.1 have a support person of their own during any investigation procedures,
7.2 representation and advice throughout the process and to
7.3 respond fully to any formal allegations made.
8 No presumptions of guilt and no determination will be made until a full investigation has been completed.
9 No person will be treated unfairly as a result of complaining of discrimination or harassment.
10 Disciplinary action may be taken against anyone who victimises or retaliates against a person who has
complained of discrimination or harassment or against any staff person/contractor, student or employer who
has been alleged as a harasser.
11 All individuals reserve the right to seek the assistance of the relevant tribunal or legislative body to assist them
in the resolution of any concerns.
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POLICY AND PROCEDURE MANUAL 2013 24
Criminal conduct
1 Some forms of severe harassment (e.g. physical attack, obscene phone calls) may constitute criminal conduct.
1.1 Such complaints should be treated by the criminal justice system.
1.2 The complainant is required to contact Police on their own behalf should they believe that the matter
requires addressing at this level.
Language, literacy and numeracy (LLN)
1 Collections of information about trainee’s needs are entered onto the enrolment form by the trainee.
2 This information is followed up by Training staff with:
2.1 An Equity Implementation Plan.
2.2 A training plan including options for mentoring, coaching, direction to external LLN specialists, and
additional complementary resources.
3 All plans are to be kept with the Student’s file and revisited periodically (determined by the length of time
involved with CSIT, but at least once, annually or on request of the student)
4 If the trainer/assessor identifies possible issues, these are discussed with the learner and allowable adjustments
to either the training or assessment process is negotiated and agreed upon.
4.1 Learners who would benefit from a full LLN assessment and on-going support are referred to services
(usually TAFE) which can assist.
4.2 The trainer will assist (where possible) students requiring counselling or support.
5 In the event that further action is required, the student should be referred to
5.1 Appropriate personnel
5.2 The support services list in their Student Handbook.
Reasonable adjustment
1 Reasonable Adjustment may be required to enable trainer and student participation on the same basis as other
staff and students. The types of adjustments that may need to be provided include:
1.1 Providing information in accessible formats
1.2 Reasonable adjustment to course content, course mode of delivery and course assessment procedures
1.3 Modifications to equipment and where deemed necessary, the loan of specialised equipment or software
1.4 Flexible study arrangements
1.5 Alterations to timetables, premises or study areas or;
1.6 Substitute assessment activities.
2 Each situation needs to be considered in its own circumstances and on its own merits.
2.1 In assessing the student’s need for reasonable adjustment, the Trainer/Assessor or Executive Director will
consult with the student on the following matters:
2.1.1 The nature, severity and duration of the disability, injury or illness;
2.1.2 The functional limitations placed on the student by the disability or condition;
2.1.3 Whether the disability or condition is likely to change over time and reasonable adjustments may
require review;
2.1.4 What specific adjustments, if any, have been suggested by the student;
2.1.5 Information provided by or on behalf of the student about how the disability affects the student’s
ability to participate; and
2.1.6 Whether further specialist evaluation is required to identify and implement appropriate
adjustments.
2.2 The adjustment will be determined using these factors.
2.3 The level and nature of the adjustment may also change over time.
3 Any adjustments will be provided in a timely and sensitive manner, protecting the privacy and the dignity of the
student at all times.
4 A request for reasonable adjustments may be made by a student by contacting their Trainer/Assessor.
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POLICY AND PROCEDURE MANUAL 2013 25
5 Depending on the disability and the nature of the adjustment requested, the student may also be required to
provide documentary evidence about the disability and the functional limitations it involves.
5.1 This evidence may be obtained from a medical practitioner, psychologist or other relevant professional.
5.2 The suitability and recency of the documentation will be judged by the Executive Director who will assess
whether further documentation is required.
6 At all times, CSIT Staff and contractors responsible for administering the adjustment will respect the privacy of
the student. Information about the student’s disability will only be
6.1 Sought insofar as it relates to the request for adjustment and
6.2 Disclosed to relevant people to enable reasonable adjustments to accommodate a student’s disability.
7 Information will not be supplied to any person or organisation outside of CSIT for any purpose unless authorised
by the student except where CSIT may be legally required to do so.
8 The Student is required to sign a statement that indicates they understand the purpose for which the
information is being collected.
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POLICY AND PROCEDURE MANUAL 2013 26
Human Resources Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To ensure that all staff/contractors of CSIT involved in training, assessment or client services are competent
for the functions they perform and continue to maintain and develop their skills and knowledge.
LEGISLATIVE CONTEXT
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VET Quality Framework
Standards for NVR Registered Training Organisations 2012
POLICY STATEMENT
This policy outlines the processes involved with staff and contractor recruitment, induction, termination of
employment/contract and opportunities for maintaining ongoing professional development whilst engaged in
work with CSIT.
This Policy and related procedures are also available in the QA09 CSIT Policy and Procedure Handbook.
Recruitment
The organisation employs ethical, professional and non-discriminatory recruitment practices at all times and
complies with equal opportunity and anti-discrimination legislation.
Staff are recruited by a variety of means, as it is appropriate for the programs for which they are being recruited
and consistent with any curriculum requirements.
The vacant position may be advertised in the media and/or applicants selected from previous resumes held by the
organisation or from business recommendations.
The Executive Director is the key person to organise and conduct staff recruitment activity in CSIT. Only
Management is authorised to place advertisements.
Qualifications
All applicants are recruited, based on their qualifications, demonstrated ability, experience, and training.
The organisation ensures Trainers recruited for the delivery of training and education and assessments must
possess the appropriate pre-service and/or in-service competencies and knowledge as specified in national
principles and standards, industry standards and program curricula. Staff must:
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Hold the TAE40110 Certificate IV in Training and Assessment (or demonstrate equivalence), OR
Work under the direct supervision of someone who does
The Executive Director will ensure that trainers/assessors have the required competencies or that arrangements
are in place for a person who does not have the trainer competencies to be directly supervised by a person who
does have them.
Staff Profile Template and verified copies of qualifications
To be entitled to work as a trainer in the VET sector a trainer must hold the TAE40110 Certificate IV in Training
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POLICY AND PROCEDURE MANUAL 2013 27
and Assessment from the TAE10 Training and Education Training Package or be able to demonstrate equivalence
of competencies as a minimum; however, trainers are encouraged to obtain further qualifications.
The SNR Standards impose additional requirements for trainers in regard to vocational competency, currency of
industry skills and developing the vocational skills applying to a trainer. Training Packages or Accredited Courses
may include advice specific to the industry related to the vocational competencies of trainers and assessors.
Trainers (and assessors) must have the vocational competencies being delivered and/or assessed. NOTE:
assessors may be working in a team approach to conduct assessment with a person who holds the vocational
competence. In this case the qualified assessor does not have to hold vocational competence.
Selection
Management is responsible for reviewing applicant’s resumes and conducting interviews with selected applicants
who would be suitable for program entry and likely to lead to successful associations with the organisation and its
clients.
All applicants are considered and a short list established from the final selections made. Staff is selected on the
merit of their documented skills and experience.
The selected applicant’s résumé, qualifications and referees are to be validated before the offer of employment
or contract is finalised.
An acceptance letter of employment agreeing to the conditions of the Letter of Offer is also issued to the
applicant together with the Staff Policy and Procedure Handbook.
The letter and forms are to be completed by the applicant and returned to Management prior to commencing
employment.
Induction
CSIT is committed to inducting all new staff and contractors into the Organisation, in order to ensure that they
have a smooth integration into their role and become operationally competent. The Induction also provides the
opportunity to acquaint new staff with CSITs organisational principles, standards, policies and procedures.
New staff refers to both recruits to the company (including contractors, casuals, volunteers and temporary staff),
and staff transfers and promotions.
The Executive Director will conduct the induction to CSIT within the first week of employment to provide support
and information necessary for staff to effectively take up their duties.
The Staff Induction program includes working through the FO18 Staff and Contractor Induction Checklist and the
organisation’s Staff Policy and Procedures Handbook, and having the staff person sign off their acceptance of
CSITs processes of operation. This ensures that staff fully understands their role and responsibilities within the
organisation and its commitment to continuous improvement practices.
It is the responsibility of the Quality Manager to ensure that the induction program and all relevant
documentation is kept up to date with relevant information
Procedure documentation
Management must ensure the following documentation has been issued or received. Forms and relevant copies
of documentation are held in the employee/contractor’s personal file.
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Offer of Employment
Acceptance Letter of Employment
Staff Policy and Procedure Handbook signed declaration
Signed Contract of Employment
FO18 Staff and Contractor Induction Checklist
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POLICY AND PROCEDURE MANUAL 2013 28
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FO10 Performance Review and Development Record
FO31 Direct Supervision Arrangement (for training staff without current TAE40110 or demonstrated
equivalence)
Maintaining Competence
The CSIT Workforce Development Plan outlines strategies for trainers/assessors to gain and maintain their VET
knowledge and skills and their vocational currency. Professional development activities are monitored and
recorded in the relevant staff file and reported in the annual audit.
CSIT acknowledges that professional development is integral to personal job satisfaction, workplace productivity,
reward, and recognition, and is critical to the achievement of the organisation's mission and continuous
improvement in the quality of its programs and services.
As such, CSIT is committed to providing a supportive and rewarding environment for staff and recognises that the
quality, responsiveness, and professionalism of its workforce is linked to the further development of their skills
and competencies.
For staff under direct supervision arrangements, regular meetings between the trainer and supervisor are to be
corded on the FO32 Direct Supervision Meeting Record. All staff under supervision will be required to acquire
their TAE 40110 by July 2015.
The Executive Director is responsible for ensuring that trainers and assessors under their authority gain and
maintain their vocational and trainer/assessor competencies.
Performance Review and Development
Staff is evaluated by Management in the FO10 Performance Review and Development Record Staff on a yearly
basis. Staff appraises the Organisation at the same time. This is in addition to the feedback provided as it arises
throughout training and assessment or other organisational processes.
All staff (fulltime, part time or casual) is required to complete orientation before commencing at work. Staff have
access to Training and Professional Development.
CSIT is, as far as is feasible within its available resources, committed to providing staff with:

The opportunity to plan and develop skills, knowledge and attributes that complement organisational
and work unit goals
 The opportunity to participate in career development activities that extend and enhance their
capabilities and capacity for advancement within the organisation
 Equity of access to professional development opportunities.
Position-specific professional development
Where the Executive Director decides that it is necessary for a staff member to acquire a particular skill or
qualifications, or to learn specific material in order for them to carry out the duties attached to their existing
position, the organisation shall be fully responsible for all costs incurred in acquiring that skill, learning, or
qualification, and the staff member shall, where necessary, be given permission to attend any such course within
working hours.
Non-position-specific professional development
In its performance review procedures, the organisation shall in every case encourage the person concerned to
explore their available professional development options.
Where an employee wishes to pursue further education or training but the Executive Director has not required
that person to acquire a particular skill or qualifications, or to learn specific material in order for them to carry out
the duties attached to their existing position, the organisation shall endeavour to facilitate such education or
training through permitting (at the discretion of the Executive Director, and taking into account the efficiency of
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 29
the workplace) any:
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Rearrangement of working hours that would assist the prospective student
Use by the person of the organisation’s equipment or services that would assist the prospective student
Annual leave or unpaid leave arrangements that would assist the prospective student.
Up to two days study leave as necessary to attend examinations would be granted.
Educational or training requirements involving reimbursement of fees or provision of paid study leave may also be
negotiated as part of the contract of employment between the employee and the organisation.
Employment/Contract Termination
Employment or contract work with CSIT may be terminated for the following reasons:




Failure to attend training punctually
Failure to present relevant material
Failure to present prescribed course curriculum
Breach of any of the conditions outlined in the Policies and Procedures for Trainers and Staff
Termination will be effective from a time determined by the Executive Director of CSIT. Claims of unfair dismissal
will be dealt with according to CSIT’s conflict resolution process; should this prove unsatisfactory for the staff
member, further mediation will occur according to the process outlined by the Fair Work Commission.
HUMAN RESOURCE PROCEDURES
Recruitment
1 All permanent remunerated positions are advertised through relevant networks, websites, through local
employment services, and in at least one local newspaper. All advertisements must be approved by one
Executive Director and, if the cost exceeds the allocated budget, by both Executive Directors.
2 All contact regarding the position is directed through administration, with all applications marked “Confidential”
and posted to the Executive Director. Basic records of the recruitment process are maintained. Records
should include information about position descriptions sent, applications received (including applicants’
addresses and contact numbers), a list of applicants short-listed and interviewed, and a record that applicants
have been notified of outcomes.
3 Letters/emails of acknowledgment are sent to all written applications prior to the short-listing of final suitable
applicants.
4 The short-listing and interview process are conducted by a panel which include the Executive Director. If an
applicant is a family member or friend of staff then the panel are selected accordingly to protect the process
and declaration of interest.
5 The successful candidate is notified by telephone and a starting date agreed.
6 The unsuccessful candidates are notified in writing within five (5) working days of the acceptance of the position
by the successful candidate.
7 At the conclusion of the recruitment process, all applications are filed for five years in the Staff Recruitment File
in the Executive Director’s office.
Induction
1 The Quality Manager ensures the induction program is kept up to date with current workplace and VET specific
information and inserts updates as they are issued by the Executive Director.
2 Induction is scheduled as soon as practicable to confirmation of employment/contractual agreement with CSIT.
3 The person conducting the induction process must work through FO18 Staff and Contractor Induction Checklist
to ensure all elements of the induction is completed. Both the staff/contractor and person conducting the
induction sign off on this form. A copy is placed in the staff member’s file.
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4 New staff members receive a Staff Handbook that includes relevant organisational information including:
4.1 Policies
4.2 Procedures
4.3 Organisational lines of responsibility
4.4 Operations overview
5 Staff are also provided with a copy of the Standards for NVR Registered Training Organisations (2012)
6 The new staff person meets with the Executive Director or Quality Manager to participate in the induction
process.
7 The staff member acknowledges receipt of the Staff Handbook and an understanding of the policies and
procedures by signing an acknowledgement form contained at the rear of the Handbook. The
acknowledgement form is placed on the staff member’s individual file.
8 If necessary, a mentor from CSIT will be assigned to new staff to assist with the first two weeks of employment.
The role of the mentor is to provide support, give advice on matters arising, answer questions informally, give
practical tips, introduce staff, be involved in giving feedback, etc.
Maintaining Competence
Professional Development
1 It is a requirement of all training and assessing staff and contractors to partake in Professional Development.
Professional Development relates to both the area of training/assessment and skills and knowledge in the
training and VET sector.
2 Trainers/assessors are required to document and submit a record of their currency and professional
development activities at least annually. Documented evidence is also required to support participation in
these activities.
3 During the annual appraisal process, opportunity for Professional Development will be identified and
opportunities made known to relevant staff.
4 Staff shall be encouraged as part of the performance review process to take an active role in their own ongoing
professional and career development and to apply their learning to its most effective use.
5 Training staff will record all activities undertaken to ensure currency of their skills and knowledge in the
vocational area of training/assessment.
6 Professional development programs shall be taken to include
6.1 Orientation/induction
6.2 On-the-job training
6.3 Career development and transition programs
6.4 Internal or external courses
6.5 Support for undertaking research or project work
6.6 Support for participation in internal or external governance processes
6.7 Attendance at conferences or seminars
6.8 Networking, coaching and mentoring programs
6.9 E-mail updates from ASQA, VET, VELG, Training Packages @ Work etc.
Performance Monitoring
1 The Executive Director monitors each staff member’s performance in terms of compliance with CSITs Human
Resources Policy.
2 An annual performance review and development record will be given to each staff/contractor.
3 The Executive Director will provide appropriate feedback to the staff member as to his/her performance and
potential areas of upskilling suggested through the performance review.
4 Where appropriate, recommendations for skills/knowledge development may be made and by agreement
additional professional development opportunities identified and actioned.
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5 Where a staff member’s performance is unsatisfactory, the Executive Director is to counsel the individual about
his/her performance. The details of this counselling process are to be confidential and recorded on the
individual’s file.
6 If counselling does not result in satisfactory performance, other disciplinary measures may be taken, including
dismissal.
Employment/Contract Termination
1 Unfair dismissal includes being dismissed on the basis of discriminatory judgements (as per the AntiDiscrimination Act [Qld] 1991). Such claims must be made in writing and forwarded to the Executive Director
of CSIT.
2 An initial meeting between the two parties will be arranged in the first instance.
2.1 Should this prove not to resolve the situation, a hearing will be arranged with the relevant parties with an
independent mediator engaged to facilitate.
2.2 Each person involved in the dispute is permitted to have a support person accompany them into
mediation.
2.2.1 The support person is not to be involved in the active discussion.
3 Should there still be no further resolution, The Fair Work Commission process will be initiated. The key steps in
the unfair dismissal application process are:
3.1 Employee sends an unfair dismissal application to the Commission
3.2 The Commission sends a copy of the application to the employer
3.3 The Commission sends the employee and employer a written notice with the date and time of their
conciliation
3.4 The employer is required to respond to the application and submit any jurisdictional objections, and send
their response and jurisdictional objections to the employee and to the Commission
3.5 Conciliation takes place with a Commission conciliator (usually by telephone) to try to resolve the matter
3.6 If unresolved at conciliation, the application will be determined by a member of the Commission at a
formal conference or hearing.
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POLICY AND PROCEDURE MANUAL 2013 32
Issuance of Qualifications and Statements of Attainment
Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To ensure correct and consistent identification of AQF across the education and training sectors, that graduates
receive the certification documentation to which they are entitled and that industry and graduates are confident
that the qualifications that have been awarded are part of Australia’s national qualifications framework.
LEGISLATIVE CONTEXT



Standards for NVR Registered Training Organisations 2012
AQF: Qualifications Issuance Policy [January] 2013
NSSC Policy: Application of the AQF Qualifications Issuance Policy [March] 2013
POLICY STATEMENT
Issuing Qualifications
All graduates who have completed a program of learning that leads to the award of an AQF qualification are
entitled to receive the following certification documentation on award of the qualification:


A testamur, and
A record of results.
Students who complete part of the requirements of an AQF qualification in which they are enrolled are entitled to
receive a record of results. This information will be accompanied by the FO92 Completion of Study.
Graduates are entitled to retain testamurs and records of results once they have been issued unless the AQF
qualification is revoked under the terms of the issuing organisation’s policy (for example, where student
plagiarism and collusion has been proven. Please refer to the Policy dealing specifically with this condition).
If any part of the qualification has been delivered and/or assessed in a language other than English, a statement
that this has occurred will be included on the testamur or the record of results.
Sufficient information must be provided on a testamur and record of results to ensure that the documentation is
able to be authenticated and to reduce fraudulent use.
CSIT is responsible for:


Authentication and verification of a graduate’s certification documentation
Ensuring that mechanisms are in place to reduce fraudulent reproduction and use of the AQF
qualifications it issues.
In accordance with the AQF Qualifications Register Policy, CSIT maintains a Register of all AQF qualifications that
it:


Is authorised to issue, and
Issued to graduates.
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Issuing Statements of Attainment
The issuance of a statement of attainment recognises that students do not always study an entire AQF
qualification, choosing to complete only a unit or units of competence or study from an accredited
qualification/short course.
A statement of attainment will be issued when an individual has completed:



One or more units from a VET qualification or an accredited short course;
A Training Package identified skill set which meets a licence or regulatory requirement; or
A Training Package identified skill set which meets a defined industry need.
Students who have completed an accredited unit(s) in these circumstances are entitled to receive a statement of
attainment. A record of results may also be issued.
The statement of attainment must correctly identify the person entitled to receive the statement of attainment,
the accredited units by their full title and the date issued.
The statement of attainment must be in a form that ensures it cannot be mistaken for a testamur for a full AQF
qualification. It must include the statement ‘A statement of attainment is issued when an individual has
completed one or more accredited units’.
As with the full qualifications, any of the accredited units delivered and/or assessed in a language other than
English will include a statement to this end, and CSIT is responsible for authentication and verification of this
document.
Reissuing or verifying Qualifications and Statements of Attainment
Replacement of certification documentation or requests of verification from employers or other RTOs must be
placed in writing, stating the reason for the request and clearly identifying the student’s name (by which they
were enrolled), and the information required (e.g. confirmation that the person attained a particular qualification
etc.). Additional information regarding the year of attainment should also be included.
Students seeking a replacement testamur must surrender a damaged testamur or provide evidence by statutory
declaration regarding the loss or destruction of the testamur before another will be issued. If the reissue is
required through no direct fault of CSIT (for example loss due to an incorrect mailing address on the enrolment
form) a replacement fee will be charged.
Proof of identity will be required before a replacement testamur will be provided.
ISSUANCE OF QUALIFICATIONS AND STATEMENTS OF ATTAINMENT PROCEDURE
1 Before any Qualifications or Statements of Attainment can be issued, CSIT requires submission of the following
documentation by the trainer/assessor:
1.1 The completed Course/Units Grading Report
1.2 The completed FO67 Attendance Form/s for the Course/Units taught
1.2.1 At the first training session for a course of study, each student must ensure that their legally
recognised name is correctly entered onto the attendance Form
1.2.2 The spelling of the student’s full name [First name and Surname] must be checked against their
documentary evidence (Driver’s license/Medicare Card) by the trainer.
1.2.3 Subsequently, the trainer will receive the Grading Report from the AVETMISS database that will
display the spelling of the students’ names. The information from AVETMISS is derived from the
Student’s Enrolment Form (FO15).
1.2.3.1 Both names MUST AGREE (i.e. the name on the Attendance Form and the name provided on
the AVETMISS Grading Report) therefore the trainer
2 will verify that each student’s name is recorded correctly on the Attendance form
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POLICY AND PROCEDURE MANUAL 2013 34
3 will inform all students at each training session that the name the have provided is the name that will be on
their final certification
3.1.1.1 The name provided on the Attendance Form is the name that will be placed on the
Qualification/Statement of Attainment.
3.2 The Attendance Form must be signed at each subsequent attendance at a training session for their course
of study.
3.3 Any complaint regarding the spelling of the student’s name on the Qualification/Statement of Attainment
will require verification that the student did not provide incorrect information on the Student Enrolment
Form and/or Attendance form
4 The Administration Officer:
4.1 Enters details of the submitted documentation into the AVETMISS system
4.2 Issues an invoice for the full payment of the Qualification/Units completed within 14 days of receipt of
the documentation
4.2.1 The total payment of the invoice is to be paid in full before any Qualification or Statement of
Attainment is issued.
5 Qualifications and Statements of Attainment will:
5.1 Only be issued once steps 1 to 3 are completed
5.2 Be issued within 21 days after the results are recorded and accepted by the AVETMISS Government
database system (as per the Vocational Education Training and Employment Act 2000).
6 All Qualifications will contain:
6.1 The name and logo of CSIT
6.1.1 The qualification may also include the Nationally Recognised Training Logo
6.2 CSIT’s National Provider Number
6.3 The name of the person receiving the qualification
6.4 Nomenclature as in the Framework, e.g. Certificate I, Diploma
6.4.1 The name of the Qualification must be indicated first followed by the word ‘in’ (for Certificates I-IV)
followed by the title. E.g. Certificate IV in Workplace Assessment and Training
6.5 The date of issue
6.6 The authorised signatory
6.7 An Industry descriptor, e.g. community services
6.8 Occupational or functional stream, in brackets, e.g. (support worker)
6.9 The words ‘The qualification certified herein is recognised within the Australian Qualifications
Framework.’
7 The units of competency successfully completed will be on, or attached to the qualification
8 A Statement of Attainment will be issued for partial completion of a qualification or individual unit(s) of
competency or recognised short course.
9 All Statements of Attainment will include the following:
9.1 The name and logo of the CSIT
9.1.1 The Statement of Attainment may also include the Nationally Recognised Training Logo.
9.2 CSIT’s National Provider Number
9.3 The name of the person who achieved the competencies
9.4 The date of issue
9.5 A list of competencies achieved including the National code for each unit
9.6 The wording on the Statement of Attainment will indicate:
9.7 ‘This is a statement that [student’s name] has been assessed as having fulfilled the following
requirements of [code and title of each Unit] in partial completion of the following qualification [Title of
the qualification to which the Units pertain]’
9.8 The authorised signatory
9.9 The words ‘This Statement of Attainment is recognised within the Australian Qualifications Framework’.
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10 A copy of student results and notation of the qualification issued will be retained in the student file or on the
electronic database, and will be retained by the organisation for 30 years
11 The Director or nominee is responsible for authorising and issuing all F031 Statements of Attainment or F032
Qualification.
12 Qualifications and Statements of Attainment will be:
12.1 Issued to the Agency
12.1.1 For distribution to staff (where participants are all from the one Agency and there is a central
administrative distribution point)
12.1.1.1 Certificates will not be issued to individuals if the Agency is paying the Invoice
12.1.1.2 Individual students will be advised to contact their Agency administration to collect their
certification
12.1.2 Delivered will be by Courier service/Registered Post at the expense of the Agency
12.1.3 The Agency administration will request trainees sign an FO83 Delivery Register to confirm receipt
of their Certification
12.1.3.1 The FO83 Delivery Register is to be returned to CSIT and kept in the Agency’s file for 5 years.
12.2 Issued directly to individuals who have undertaken self-funded training
12.2.1 Delivery will be by Courier service/Registered Post at the expense of the individual
13 A request for the re-issue of a Certificate must be made in writing stating the reason for the replacement.
14 Reprinting of a certificate due to incorrect spelling, incorrect postal address, lost certificate or for any other
reasons that are not due to direct fault of CSIT will incur a replacement fee of $80.
15 The Agency/individual will be invoiced the amount and full payment must be received prior to the
replacement certificate being provided.
16 Proof of student identity will be required before the replacement is provided.
17 A request for the verification of a student’s qualifications from an external RTO or employer must also be
placed in writing with:
18 A clear statement outlining the rationale behind the request and the purpose of accessing the records
19 The student’s full name, qualification/units studied (if known), year of study/completion and other relevant
details necessary for the delivery of the correct record/s.
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POLICY AND PROCEDURE MANUAL 2013 36
Management of Student Records Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
CSIT is committed to ensuring that the information contained in each student’s record is handled securely and
confidentially; that it is processed accurately and with integrity; and maintained for currency.
LEGISLATIVE CONTEXT




Standards for NVR Registered Training Organisations 2012
Privacy Act 1988
Information Privacy Act Queensland 2009
SCOTESE National VET Provider Collection Data Requirements Policy (Data collection – from Jan. 2014;
Data Reporting – From Jan.2015)
DEFINITION
For the purposes of this Policy and related Procedure, records include:





Participant results (includes the units of competence and participant results, whether the participant
withdrew, was assessed as competent or not-yet-competent, was recognised as competent through an
RPL process or was issued credit for current competency held).
Qualifications / Statements of Attainment.
Completed assessment resources (may include templates, questionnaires, checklists, summary sheets,
RPL tools, records of feedback from assessors to participants and all items which substantiate the
assessment decision made by an assessor).
Administrative records (include documents such as enrolment forms, privacy forms, requests for refund,
payment details etc.)
Participant file (this is the location of all hard copies of participant results, completed assessment
resources and administrative records).
POLICY STATEMENT
Privacy, security and confidentiality
CSIT recognises our obligation to securely retain student records from our delivery of training and assessment
services to clients. The maintenance of a structured records retention system supports the continuous
improvement of our operations and provides a basis for compliance with legal and quality assurance
requirements.
CSIT maintains utmost discretion, confidentiality and respect to privacy at all times during the management of
student files.
Hard copies of student files
Files are maintained securely through the use of locked files onsite at the main CSIT facility, or whilst in the hands
of trainers/assessors when the file is being transported to or from any place outside the premises of CSIT, which
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POLICY AND PROCEDURE MANUAL 2013 37
may be required from time to time for the purpose of conducting training and workplace visits. At such times,
trainers/assessors are required to use locked, secure bags or cases.
Throughout any training process, assessment files are returned to the main facility at Gaynor Road, Banyo, Qld at
least once a month on the occasion of Staff meetings for the purpose of compiling student files and conducting
periodic audits of student assessment and files. In the event that a Trainer/Assessor is unable to return the
student files to the central facility via a Staff Meeting, s/he must make arrangements for these materials to be
returned by Courier or Registered Mail within the same time frame.
Completed assessment record forms, student evidence, contact records and evidence register are paired with the
student’s Administration File. This is managed by the Executive Director and Administrative staff and the
trainer/assessor assigned to the course.
Electronic files
An electronic student record will be maintained for the duration of a student’s enrolment. This record will include
information on personal details, enrolment, payments and fees, refunds, course progress as well as records of
communication with the student or about the student.
Only authorised staff members are given access to AVETMISS. All electronic files are password protected.
Accuracy and integrity of information
To ensure the accuracy and integrity of student information, the following mechanisms are in place:






One file is kept for each student comprising an Administration File containing all administrative records
relating to the student (maintained and kept at CSIT administration) and an Assessment File containing
records related to student competency towards assessment and which may include RPL portfolios, hard
copy assessment items completed by the student etc. (maintained by the student’s trainer/assessor until
completion of study, whereupon it is returned to CSIT administration). All legally required documents are
uploaded to the student’s electronic record and stored for the 30 year period.
Only trained administrative officers are authorised to enter information onto the AVETMISS database
and all data is routinely checked for accuracy and integrity.
Information stored on AVETMISS undergoes rigorous checking and error reporting to ensure the
accuracy and integrity of information.
Dual signatures from the trainer/assessor and the student (and the workplace where applicable) are
required on most training and assessment documents to verify the information recorded.
Prior to the completion of a course, the assessor, student and workplace (where applicable) is required
to sign a statement saying they verify the information to be accurate.
Before any qualification or statement of attainment is issued, all information recorded in AVETMISS is
checked and validated against Annexure D: Sample Participant Reporting Outcome for its integrity
against physical records contained in the student file/s.
Student access
Pursuant to the information above, students have the right to access the information CSIT holds about them and
can do so by following the related Management of Student Records Procedure.
Students will be given access to records of results within twenty (20) working days of finalisation of marking and
payment of training invoice (whether through self-funded means or via an Agency that is paying for student
training).
Students may view their records and any other information recorded about them at any time by making a written
request to the Executive Director/s of CSIT. Time frames of a response will depend on the nature of the
information requested, however all requests should be honoured within ten (10) working days.
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POLICY AND PROCEDURE MANUAL 2013 38
No third party access to student records will be allowed without the express written permission of the student.
Retention of records
Participant results, Qualifications and Statements of Attainment are retained for a minimum of thirty (30) years.
Completed assessment resources will be retained for a minimum of two (2) years. Some Queensland State funded
courses require up to 5 years for the whole student file to be retain.
Destruction of Records
CSIT acknowledges that it has a responsibility to retain accurate copies of records to enable these to be
transferred to the registering body should CSIT cease to operate. This complies with NVR Standard 19.1.
This requirement does not include hard copy participant files but relates specifically to records in written, printed
or electronic form that provide evidence of the outcomes of student assessment. This includes records of
qualifications and units of competence which have been issued by CSIT during the entirety of its registration
period.
MANAGEMENT OF STUDENT RECORDS PROCEDURES
Privacy, security and confidentiality
1 All documents relating to a student’s enrolment will be stored in the relevant physical file within CSIT
administration once the information from the record has been processed.
2 Information from student records will be entered into the secure, password protected CSIT student electronic
database and will be backed up daily.
3 Student Assessment Files are to be handled in a secure manner at all times.
3.1 When these files are in the hands of the trainer/assessor, which may be required from time to time for
the purpose of conducting training, they must be secured in a locked, secure bag or case when the file is
being transported to or from any place outside the main storage facility at Gaynor Road, Banyo,
Queensland.
3.2 All student material should be returned to the main facility as soon as practicable.
3.3 Trainers/assessors are required to bring completed student information and files to monthly Staff
Meetings to assist with the filing and audit of these materials.
3.3.1 In the event that a Trainer/Assessor is unable to return the student files to the central facility via a
Staff Meeting, s/he must make arrangements for these materials to be returned by Courier or
Registered Mail within the same time frame.
4 Active Student Administration and Assessment Files are stored in a lockable filing cabinet within the main
storage facility at Gaynor Road, Banyo, Queensland when returned by the trainer/assessor.
5 Electronic files are maintained with a secure password, and data is backed up daily.
6 Throughout any training process, Assessment Files are to be returned to the main facility at Gaynor Road,
Banyo, Qld; and completed assessment record forms, student evidence, contact records and evidence
register are paired with the Student’s Administration File.
6.1 This is managed by the Executive Director, Administrative staff and the trainer/assessor assigned to the
course.
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POLICY AND PROCEDURE MANUAL 2013 39
Student Administration and Assessment File
The Student hardcopy File is made up of Administration section and an Assessment section. The
FO85 Student Checklist Form should be filled out by the Teacher/Assessor before submitting the
student file to CSIT Administration. A student file will be return if a Teacher / Assessor did not
complete the file correctly. Completing the FO85 Student Checklist Form will ensure that the file is
totally completed at the standard required.
Student Administration Section of the File
The Administration section of the File will be kept for each enrolled student for each course they are completing.
Student Administration Section are initially set up by CSIT administration, and subsequently completed by the
Teacher as a student enrols in a course and finish all the requirements before closing the file.
All Student Administration Section are to be returned to CSIT Administration once the assessment process is
finalised and the Assessment section of the file is also finalised.
All Student Administration Section will be:
Labelled clearly with the student’s surname, Student Identification Number, Course Code and Agency Name.
Filed in CSIT cabinets by student number or stored at the Teacher / Assessor home – signed Storage
Agreement Form is completed by CSIT Quality Manager and Staff / Contractor.
Where there are several different courses being conducted within an Agency, each separate Code will be
grouped together with FO84 Group Lodgement Form, and submitted to CSIT Administration for
auditing of files and then filed under the student number. The FO84 Group Lodgement form is filed
in the Agency File.
7 All documents relating to a student’s enrolment will Include the student’s name and identification number
(where recognised as a requirement) clearly indicated on them.
Contain all paper based administrative documents relating to the student including:
FO15 Student Enrolment Form
FO72 Language, Literacy and Numeracy test;
FO07 Equity Implementation Plan
Copies of identification and eligibility (where required);
Details of course pre-requisites (where required);
Certified copies of transcripts for FO65 Credit Transfer;
Correspondence with the workplace or other involved parties;
SRTO Declaration form (Traineeship only)
FO75 Training plans (if applicable);
FO76 Training Record Booklet
FO02 Learner evaluation Forms
Three monthly Review documentation (Traineeship only)
Completed Assessment Materials and /or FO64 RPL kit and portfolio
Copy of Completion Form (Traineeship only)
Copy of Student’s Certificate/Statement of Attainment
FO85 Student File Checklist
Any other communication (for example, FO14 Complaints and Appeals).
The following information will be entered into the electronic student management system AVETMISS for ease of
access and statistical and academic recording and monitoring:
Personal information (supplied through enrolment, LLN analysis etc.)
Specific enrolment information (such as Course of Study, RPL/Credit transfer information etc.)
Attendance record
Assessment outcomes
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Correspondence
Other relevant information specific to that student.
All correspondence between CSIT and the student, or other parties relating to the student (such as
Apprenticeship Centres, or employers) will be recorded in the Student’s hardcopy File.
Student Assessment Section
Student Assessment section are initially set up by CSIT administration and provided to the trainer/assessor upon
course commencement. The Student Assessment Section is part of the Student Administration File.
Student Assessment Section include all necessary student details related to reasonable adjustment needs (for
example, LLN requirements and Equity Implementation Plan).
Student Assessment Section are to contain all original documents relating to training, assessment and course
progression and include copies of forms that are to be completed by the student in the related course
such as:
FO67 Attendance Records
Workplace visit reports
FO70 Assessment cover sheets
Competency Assessment Booklets for each unit of study
Other items of original student evidence (such as worksheets)
FO46 Third party report.
Student Assessment Section are to be maintained by the trainer/assessor responsible for training delivery and
assessment to the student.
Trainers/assessors must ensure that all completed student records are immediately filed in the appropriate
section of the file.
All files will be labelled and filed as per the process for Student Administration Files (as above)
At the end of the assessment requirements or finish date, all original documents will be transferred to CSIT
Administration by the Teacher.
Student Assessment Section are to be checked against the AVETMISS Annexure D: Sample Participant Reporting
Outcome format and matched with physical information contained in the student’s file.
Student Assessment Section will be internally audited by the Executive Director, Quality Manager at the
completion of training.
Student access
1 Students have the right to access the information CSIT holds about them.
2 Students may view their records and any other information recorded about them by making a written request
to the Executive Director/s of CSIT.
2.1 Time frames of a response will depend on the nature of the information requested, however all requests
should be honoured within ten (10) working days.
2.2 Students will be given access to records of results within fifteen (15) working days of finalisation of
marking and payment of training invoice (whether through self-funded means or via an Agency that is
paying for student training).
3 Third party access to student records is not permitted without the express written permission of the student.
Retention of records
1 Participant results, Qualifications and Statements of Attainment are to be retained for a minimum of thirty (30)
years.
2 Master copies of student assessment and training resources for each unit or cluster of units will be retained for
a minimum period of at least two (2) years post completion of the related unit, unless otherwise specified in a
particular funding agreement.
3 Completed assessment resources are to be retained for a minimum of two (2) years.
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4 Student records will be maintained to ensure accessibility to:
4.1 A copy of all assessment tasks, including tests, assignments, and role plays, projects and any other type of
assessment task used to assess any enrolled student.
4.2 A copy of any workplace logs or workbooks used to form the evidence of competency including at least
one sample of a completed log or workbook.
4.3 Samples of student assessments with results which includes an outcome against each discrete assessment
task.
4.4 Overall results by student, for each unit.
Destruction of Records
1 Any records requiring destruction beyond the extent of the time for which they are maintained, will be
destroyed using secure methods such as in-house shredding of paper records, deletion from all drives of the
organisational electronic storage files and the use of recognised, commercial confidential document
destruction service.
2 In the event that CSIT ceases to operate, all documentation is to be transferred to the registering body in the
format specified by that body.
2.1 This relates specifically to records in either written, printed or electronic documents providing evidence
of activities the participant has performed
2.2 For the purposes of this procedure, CSIT interprets ‘Activities’ to mean records providing information on
the outcomes achieved by participants including records of qualifications and units of competence which
have been issued by CSIT during the entirety of its registration period.
2.3 CSIT will retain these records electronically and will provide this information in the form of AVETMISS
reports in consultation with the registering body.
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POLICY AND PROCEDURE MANUAL 2013 42
Marketing and Promotion Material Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To ensure CSIT provides accurate and ethical information in marketing and promotional materials, and that all
marketing materials developed by the RTO are authorised and checked for compliance prior to being
implemented.
LEGISLATIVE CONTEXT


National Vocational Education and Training Regulator (NVR) Act 2012
VET Quality Framework
POLICY STATEMENT
This Policy guides the accuracy and integrity of all marketing and promotional material (print, electronic or
otherwise) generated to represent CSIT and the training industry in general, and applies to all staff (including
Contractors) involved with the promotion of CSIT education, training and assessment products and services.
Promotion of training
Promotion will relate only to those Courses and Units of Competency that are consistent with CSIT’s scope of
registration and scale of operation, and within the capacity of the Institute to meet the required standard
expected of the business and the client.
Ethical marketing
All marketing material must:

Clearly identify CSIT’s name and National Provider Number in written marketing and other material for
students, including electronic form; and
 Not give false or misleading information or advice in relation to:
o Claims of association between providers;
o The employment outcomes associated with a course;
o Costs related to the training;
o Automatic acceptance into another course; or
o Any other claims relating to the registered provider, its course or outcomes associated with the
course.
Written consent must be obtained from any individual or organisation for use in any marketing or advertising
material that refers to that individual or organisation, prior to use. This permission will be granted through the
completion of the FO94 Release Form.
Prior to the commencement of any proposed marketing activities, all marketing and advertising material must be
properly authorised and must comply with all relevant legislation and arranged in accordance with the:



ASQA
Nationally Recognised Training Logo Specifications
Government funding marketing requirements (e.g. stating the name of the Funding department in
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POLICY AND PROCEDURE MANUAL 2013 43
advertising, where stipulated by the agreement).
Terminology related to promotion of Qualifications
To maintain integrity, the titles Certificate I, II, III, IV, and Diploma should only be used for courses that have been
accredited by a state or territory course accrediting body or for qualifications from an endorsed national training
package. Naming of national training packages, qualifications and accredited courses listed in marketing
materials must comply fully with the codes and titles as recorded at www.training.gov.au
Advertisements must distinguish nationally recognised training and assessment products separately from courses
recognised by other bodies (e.g. industry bodies) or courses not accredited by a state/ or territory course
accrediting body.
Logo use
RTOs issuing nationally recognised qualifications and statements of attainment must display the NRT logo on the
document. The NRT logo must be used in accordance with the NRT logo specifications, published at
http://www.asqa.gov.au/verve/_resources/NRT_logo_specifications_NEW.pdf
Other organisations delivering on behalf of CSIT
Where CSIT uses another training organisation to deliver training and assessment services on its behalf, any
marketing conducted by the partner organisation must clearly identify that the student’s enrolment is with CSIT
and that CSIT will issue the qualification/statement of attainment. For more details, please refer to the Issuance
of Qualifications and Statements of Attainment Policy.
Approval of promotional and advertising material
The Executive Directors shall ensure that all marketing information and practices are conducted in a professional
manner and maintains the integrity and reputation of the industry and registered providers. All marketing and
promotional material must be authorised by this position before being published and distributed.
All staff are required to discuss any proposed marketing activities with the Executive Directors prior to any
promotion being commenced.
Where the Executive Director has issued approval for this material, the Version Control Policy and Procedure will
be initiated to ensure all previous versions are replaced and staff and other relevant bodies (e.g. clients) are made
aware of the changes.
Copies of all promotional and advertising material will be maintained in a designated file.
MARKETING AND PROMOTION MATERIAL PROCEDURE
1 All marketing and advertising material must be sanctioned by the Executive Director before development.
2 The Executive Director holds the responsibility for ensuring all new and existing material developed by the RTO
for marketing and advertising purposes receives authorisation prior to release (or re-release in the case of
material that has been previously developed and has since been updated).
3 All promotional material must be entered into the QA11 Marketing and Advertising Register by the person
authorising its release.
4 Any personnel involved with the development (or re-development) of marketing/promotional material must
ensure that it complies with the QA10 Marketing and Promotional Material Checklist.
5 Material in respect to training information must be accurate, within CSIT’s scope and capacity and approved by
the Quality Manager
6 Training products and services that lead to AQF qualifications or statements of attainment must be accurately
represented to prospective clients and advertised outcomes must be consistent with these qualifications
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POLICY AND PROCEDURE MANUAL 2013 44
7 Marketing and advertising material identifying training and assessment services leading to AQF qualifications
and/or statements of attainment are clearly separate from any other training/assessment services provided by
CSIT.
8 Where marketing is undertaken with another organisation, all material must clearly and accurately reflect the
role and registration of each organisation
9 Course titles, codes, and clear statements regarding anticipated outcomes, fees and refunds arrangements are
all in accordance with relevant Policy and directions from ASQA
10 Use of the NRT logo is in accordance with logo specifications including:
11 Only being used in direct relationship with the national units of competency
12 In black and white or the specific green and red, as detailed in the NRT logo usage brochure.
13 Not to be used on business cards, letterhead, invoices, emails or signage
14 All marketing and promotional material must include CSIT’s contact details
15 Written permission via the FO94 Release Form must be sought from any person before using information
about that individual, or a photo of the individual in any marketing materials.
16 The Version Control Procedure must be followed in the development or re-development of any
marketing/promotional material
17 All previous or out-dated versions of the material must be recovered (where practical) and destroyed, and
replaced with the current version
18 These details must be noted on the QA11 Marketing and Advertising Register by the person undertaking the
recovery
19 Staff and other agents related to CSIT operations and associated with the material are made aware of the
changes via the processes outlined in the Version Control Policy
20 Approval of the marketing document will be evidenced by the Executive Director’s signature and date of
approval on this checklist with a copy of approved marketing material attached.
21 Approval is to be noted on the QA11 Marketing and Advertising Register
22 Approval documentation is to be filed in the relevant Marketing file within Administration.
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POLICY AND PROCEDURE MANUAL 2013 45
Partnership Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
CSIT is committed to increasing the capacity of other organisations and individuals in accessing nationally
recognised qualifications through solid and sound partnering practice.
LEGISLATIVE CONTEXT

Standards for NVR Registered Training Organisations 2012
POLICY STATEMENT
Written agreement
Where CSIT and an enterprise, industry organisation or other RTO enters a two-way relationship that delivers
benefit for both of them (for example sharing resources and information, or the conduct of training and/or
certification services), a written agreement will be devised with the other organisation.
This agreement will have clear, agreed goals and a focus on longer-term outcomes.
In the situation where CSIT partners with an enterprise or industry organisation to deliver in-house accredited
training, the partnership will:


Deliver nationally recognised training and qualifications to their employees
Be assured of the integrity and quality of the assessments.
Partnering with other RTOs
Under the VET Quality Framework, CSIT may establish partnerships with other RTOs as well as non-registered
organisations to offer a broad range of training and assessment services. The basis of RTO partnerships aims to:




Increase people’s access to nationally recognised qualifications
Ensure national training and assessment arrangements meet industry requirements
Facilitate the efficient use of training and assessment resources
Promote the exchange of ideas, information and resources between different groups in the national
vocational education and training (VET) system.
Establishing a partnership arrangement provides an opportunity to share skills, effort and resources for mutual
benefit, thus reducing costs by achieving economies of scale.
Partnering with non-registered organisations
Non-registered organisations may enter into an agreement with CSIT to deliver nationally recognised training or
assessment services on behalf of CSIT, which remains responsible for compliance with the Standards for NVR
Registered Training Organisations 2012.
When a non-registered organisation partners with CSIT, the partners have the following responsibilities:


The training candidate needs to be enrolled with CSIT.
Training and assessment records must be kept and transferred to CSIT.
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POLICY AND PROCEDURE MANUAL 2013 46

CSIT will manage the quality assurance of the training and assessment throughout the life of the
agreement.
 CSIT issues the qualification or statement of attainment.
 CSIT can only issue a qualification or statement of attainment for those qualifications that appear on its
scope of registration.
It is CSIT’s responsibility to ensure the partner organisation is aware of the training and assessment records that
must be kept and transferred to CSIT.
Establishing needs
Both CSIT and the partner organisation will establish clarity around the needs of the organisation seeking a
partnership with CSIT, and the level of their commitment, resources and strategic intent prior to entering a
partnership arrangement.
A comprehensive training needs analysis (FO35 Training Needs Assessment) will be conducted to determine:






The main reason for entering into an arrangement
How the arrangement is to benefit each organisation
Whether the current organisational climate is favourable towards establishing such an arrangement
What represents a fair and equitable input of resources (personnel, money, materials, space and
equipment) from each partner
How each partner will negotiate their expectations in terms of time and deliverables
The values, attitudes and culture within each organisation and how this will meld in partnership
Formal agreement
CSIT is required to establish a written agreement with each organisation that provides training and/or assessment
on their behalf. These written agreements can take a number of forms, including:





Memorandum of Understanding
Memorandum of Agreement (FO30 Partnership Agreement)
Traineeship (FO75 Training Plan)
Service Agreement
Letter of Agreement
The formal agreement will clearly establish the basic rules under which the partnership arrangement will operate.
The type of agreement chosen will be influenced by:


The policies and procedures on partnership arrangements set by both potential partners
How much each potential partner is required to put into the partnership in terms of money, time and
effort
 The degree of risk that may be entailed in the partnership.
These details will be outlined in the FO30 Partnership Agreement document and signed and dated by both parties
prior to commencement of the partnership.
Register of partnerships
When CSIT engages or is engaged by another organisation for VET assessment, the Institute will keep a ‘Register
of Partnerships’ of all such agreements. A copy of the agreement will be forwarded to the other organisation
within 14 days from signing.
Quality assurance
Appropriate administrative mechanisms will be established to implement the training, fine tune and monitor the
process. Records of training achievements will be set up and maintained by CSIT administration in consultation
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POLICY AND PROCEDURE MANUAL 2013 47
with the Quality Manager and Executive Director, and regular reports will be made to the partnering organisation
regarding progress.
Progress is monitored by the Quality Manager and Executive Directors to ensure that progress is being made
against the goals in the training agreement. Outcomes will be reviewed and the training model/approach
modified if necessary.
Partners’ roles, expectations and agreements will be continually reviewed and, if required, revised. Any significant
amendments to the original agreement require a revisit to the document and relevant changes made, with cosigning indicating an agreement to these revisions.
Period of the agreement
The agreement will remain current during the period specified in negotiation between the two parties, unless
both agree to its cancellation. A 30 day period must be given to cancel the agreement and notice of cancelling this
agreement must be in writing with Director/s signatures.
Termination of the Agreement
The agency/organisation can terminate their retainer at any time by notifying Community Services Institute of
Training in a written format of the reasons for the termination.
Community Services Institute of Training reserve the right to terminate our retainer if the agency/organisation:




Breaches their agreement with CSIT
Requires Community Services Institute of Training to act unlawfully or unethically
Fails or is unable to give CSIT adequate instructions or
Fail to pay the accounts in accordance with this agreement.
Community Services Institute of Training will provide reasonable notice of 30 days of our intention to terminate.
Community Services Institute of Training will charge for the work done or an expense incurred up to the time the
retainer is terminated. Community Services Institute of Training will also retain files, qualifications or royalty fees
until our fee and expenses are paid or an alternate agreement is reached.
PARTNERSHIP PROCEDURE
Inclusions to the Agreement
1 Before drafting a partnership agreement, CSIT will ensure that all relevant persons within CSIT and the
partnering organisation/agency understand what is involved.
2 The written partnership agreement will include the following:
2.1 The name, address and national provider number of CSIT
2.2 The name and address of the partnering organisation
2.3 The names and signatures of the persons responsible from both organisations (CSIT – Executive Director;
other organisation – CEO)
2.4 Position descriptions for all positions/staff named in the partnership agreement
2.5 Terms of the agreement for the program offered, including:
2.5.1 The relevant Training Package qualification (or accredited course)
2.5.2 The qualification code and title
2.5.3 The relevant units of competency, their codes and titles
2.5.4 An outline regarding expectations under the agreement for:
2.6 What CSIT is responsible for including:
2.6.1 Managing all administration processes from student enrolment to granting of the qualification via
the AVETMISS program, ensuring all relevant government requirements is met.
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POLICY AND PROCEDURE MANUAL 2013 48
2.6.2 Maintaining and regulating training and assessment within the VET Quality Framework
requirements requisite for CSIT Registered Training Organisation (RTO) status.
2.6.3 Ensuring the development of all assessment tools aligns with the correct AQF level and complies
with the VET Quality Framework standards.
2.6.4 Developing, monitoring and reviewing strategies for training and assessment to ensure the quality
of training outcomes
2.6.5 Supplying a report compiled from evaluations conducted at the end of each training schedule.
2.6.6 Supplying textbooks, study guides and unit outlines, all of which remain the sole property of CSIT
2.6.7 Arranging the training schedule.
2.6.8 Responsibility for keeping:
2.6.8.1 All relevant records such as training and assessment strategies, assessment masters and
trainer and assessor information
2.6.8.2 Student records of attainment of units of competency, statements of attainment and
qualifications for 30 years
2.6.9 Is always responsible for certificates and statements of attainment issued in its name
2.7 What the partnering is responsible for including:
2.7.1 Promotion/marketing of training related to their Resource/s
2.7.2 Supply of information regarding:
2.7.2.1 Key contact personnel at each training site
2.7.2.2 Contact details and role
2.7.2.3 Details of suitable training venues and availability
2.7.2.4 Additional feedback received from participants or members of the agency/organisation
regarding training.
2.8 Dates for the period of the agreement
2.9 Terms for terminating the agreement
2.10 Directions for accessing policies and procedures related to the agreement
2.11 Intellectual property rights of all parties to the agreement
2.12 Frequency and Payment of Accounts
Monitoring and management
1 The monitoring procedures outlined in the partnership agreement may include:
1.1 Regular meeting with agendas and minutes
1.2 Regular management data reports, including client feedback
1.3 Site visits to confirm progress of training
1.4 Assessment validation processes
1.5 Moderation of assessment decisions with the coordinating trainer and assessor
2 On direction from CSIT Executive Directors, Administration will:
2.1 Enter the details of the agreement on the FO29 Partnership Agreement Register
2.2 Securely file the signed Partnership Agreement
2.3 Forward a copy to the other organisation within 14 days.
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POLICY AND PROCEDURE MANUAL 2013 49
Recognition of Prior Learning and Current Competence
Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
The recognition of prior learning process (RPL) or recognition of current competence (RCC) process acknowledges
that such skill and knowledge gained through:



formal training conducted by industry or educational agencies in Australia or overseas;
work experience (informal training) and/or
life experience
LEGISLATIVE CONTEXT


VET Quality Framework
Standards for NVR Registered Training Organisations
POLICY STATEMENT
Applicants who consider they already possess the competencies developed through some or all of the modules
shall be granted credit upon substantiation of that claim. Accredited assessors with industry experience will be
available to provide guidance and support to learners seeking RPL/RCC. This is provided to candidates so as to:



Ensure realistic expectations about RPL,
Identify relevant courses and
Provide information about learning outcomes and assessment benchmarks for consideration by
candidates.
This support may be offered via individual interviews or group sessions as appropriate.
Application for RPL
In order to apply for RPL, the candidate must provide current, quality evidence of their competency against the
relevant unit of competency. As with all assessment, the assessor must be confident that the candidate is
currently competent against the endorsed unit(s) of competency.
Application for RPL can be made by:


Submitting a portfolio of evidence
Demonstrating skills in workplace performance
Applicants must document their claim for competency in sufficient detail to enable the assessor to decide on the
degree of RPL/RCC permissible, and additional gap training necessary to fulfil the requirements of the
qualification.
In judging the evidence, the assessor must ensure that the evidence of prior learning is:



Authentic (the candidates own work)
Valid (directly related to the current version of the endorsed unit of competency)
Reliable (shows that the candidate consistently meets the endorsed unit(s) of competency)
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POLICY AND PROCEDURE MANUAL 2013 50

Current (reflects the candidate’s current capacity to perform the aspect of the work covered by the
unit(s) of competency) and
 Sufficient (covers the full range of elements in the relevant unit of competency and addresses the four
dimensions of competency, namely task skills, task management skills, contingency management skills,
and job/role environment skills).
Should the assessor have any reservations regarding the evidence provided, or the candidate’s ability to
adequately demonstrate competence as per the above guidelines, CSIT reserves the right to request the candidate
to undertake a performance test in order that RPL can confidently be granted.
Review of the evidence
The assessor reviews the evidence to determine whether the candidate can demonstrate the claimed
competencies. Assessors are required to:






Be fair and reasonable during assessment
Be familiar with the field, with relevant industry standards and with assessment methods and
procedures appropriate for RPL
Make proper assessment decisions based on explicit evidence of competency as documented above
Expedite assessment and to avoid unnecessary delay
Use cost and time effective methods appropriate to the assessment rigour necessary and level of risk
Systematically review the evidence provided in the application form and through interview, workplace
assessment, and/or performance test.
Post-Assessment Guidance
Post-assessment guidance assists the candidate and the organisation to obtain feedback and evaluation
concerning the RPL process. The assessor must:




Provide clear, prompt, and constructive feedback and reviews the results with candidates
Advise candidates concerning their learning/development plan
Inform unsuccessful candidates about appeals provisions
Obtain feedback from the candidate on the RPL process
Client feedback about the RPL process will be collated to find ways to improve the service.
Certification
If assessment successfully demonstrates competency, the assessor forwards results to the Executive Director of
CSIT and recommends appropriate certification or exemption from the unit. Any certification/exemption issued is
noted on the student’s record.
A full process for the application and submission of RPL/RCC claims is provided in the IN01 Welcome to Study
Booklet provided to students on enrolment.
Appeal
Should the RPL/RCC be denied, the applicant may complete application for appeal within thirty (30) days of
notification using the FO14 Complaints and Appeals Form.
RECOGNITION OF PRIOR LEARNING AND CURRENT COMPETENCE PROCEDURE
Requirements for consideration for RPL/RCC
1 Applicants who consider they already possess the competencies developed through some or all of the modules
shall be granted credit upon substantiation of that claim.
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POLICY AND PROCEDURE MANUAL 2013 51
1.1 Students who have successfully completed a vocational education and training (VET) program either at
TAFE or with another RTO are eligible to apply for Recognition of Prior Learning into a related
qualification in the same field of study.
2 The amount of recognition that can be granted will have been approved by the course accreditation authority at
the time the course was accredited.
2.1 Credit may comprise a mixture of credit for formal study and credit for work experiences, however no
more than 25 per cent credit will be granted for learning from work experience.
2.2 The assessment of the amount of credit to be granted to an applicant shall be determined by the
Executive Directors within the framework of these procedures.
2.3 Credit will be granted for specified, whole subjects in a course of study. Regardless of the credit granted,
the requirements of each course of study must be fulfilled.
2.4 Credit may be requested for formal study completed no more than ten years prior to the application for
credit, and on the condition that there is evidence of continued relevance of the content and/or learning
outcomes of the previous study to the course in which credit is sought.
2.5 Where the relevance of previous study has a limited period of currency, the ten year rule will not apply
and an Executive Director will make a decision whether to grant credit based on the relevance and
currency of the content and/or learning outcomes of the previous study.
3 Significant changes and/or advances affecting relevance and currency may relate to the course’s:
3.1 Core body of knowledge
3.2 Professional outcomes, as evidenced in the course’s graduate attributes
3.3 Use of technology, media or equipment
3.4 Other reasons specified
4 Credit may be granted for the successful completion of:
4.1 Subjects which form part of an accredited course of study provided by a recognised higher education
institution
4.2 Non-award courses of study offered by a recognised higher education institution
4.3 Accredited courses of study provided by a registered training organisation (RTO)
4.4 Courses of study provided by a professional association or other similar body
4.5 Training delivered by employers or other similar training.
5 When assessing credit for formal studies the following will be taken into account:
5.1 The general educational practices and standards of the provider(s) or any accreditation obtained by such
provider that may be relevant to the course of study under consideration
5.2 The objectives of the particular course of study and the methods adopted to achieve those objectives
5.3 Admission requirements to the course of study
5.4 The duration of the course of study, having regard to entry requirements and course objectives
5.5 The breadth, depth and balance in the course material involved and the intellectual effort required
5.6 The methods of assessment
5.7 The relative emphasis on the teaching of skills in relation to the study of the discipline
5.8 Any arrangements for practical training and experience as part of the course of study.
6 Candidates for an award from CSIT are required to complete a minimum amount of the course through CSIT.
Applying for RPL/RCC
1 An applicant may apply for RPL/RCC at the time of application or during admission.
2 The application for RPL/RCC should be made on FO65 Student Credit Transfer and completion of the FO64 RPL
Kit and should be accompanied by sufficient documentary evidence to support the application, such as:
2.1 Originals or certified copies of transcripts or testamurs of educational achievement, or
2.2 A portfolio of evidence to support the application for credit on the basis of work experience which may
include:
2.2.1 Any licences
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POLICY AND PROCEDURE MANUAL 2013 52
2.2.2 Brief CV or work history
2.2.3 Certificates/results of assessment
2.2.4 Job description
2.2.5 Verification relevant of volunteer role/s
2.2.6 Diaries/task sheets/job sheets/log books
2.2.7 Site training records
2.2.8 Site competencies held record
2.2.9 Membership of relevant professional associations
2.2.10 Hobbies/interests/special skills outside work
2.2.11 References/letters from previous employers/supervisors
2.2.12 Industry awards
2.2.13 Any other documentation that may demonstrate industry experience
2.3 Contact details of two (2) work/industry referees.
3 The portfolio of evidence should clearly identify each relevant document and its relationship to the claim for
RPL/RCC.
Assessing the application
1 In judging the evidence, the assessor (an Executive Director) must ensure that the evidence of prior learning is:
1.1 Authentic (the candidates own work)
1.2 Valid (directly related to the current version of the endorsed unit of competency)
1.3 Reliable (shows that the candidate consistently meets the endorsed unit(s) of competency)
1.4 Current (reflects the candidate’s current capacity to perform the aspect of the work covered by the unit(s)
of competency) and
1.5 Sufficient (covers the full range of elements in the relevant unit of competency and addresses the four
dimensions of competency, namely task skills, task management skills, contingency management skills,
and job/role environment skills).
2 Where additional information regarding skills and knowledge is required, a Record of Conversation
(competency conversation) will be undertaken with an assessor.
3 In the case where the assessor has reservations regarding the evidence provided, or the candidate’s ability to
adequately demonstrate competence as per the above guidelines, CSIT reserves the right to request the
candidate to undertake a performance test in order that RPL can confidently be granted.
Post-Assessment Guidance
1 Assessors must:
1.1 Provide clear, prompt, and constructive feedback and reviews the results with candidates
1.2 Advise candidates concerning their learning/development plan
1.3 Inform unsuccessful candidates about appeals provisions
1.4 Obtain feedback from the candidate on the RPL process
1.5 Client feedback about the RPL process will be collated to find ways to improve the service.
2 The Executive Directors will advise the applicant in writing of the result of their application.
3 A record of any credit granted will be co-signed on the FO65 Student Credit Transfer by the Executive Director
and the student and placed on the student’s file.
4 Gap training to complete the remainder of the requirements for the qualification will be provided to the
applicant.
Appeals
1 A student may appeal against a decision on the award of credit. The grounds for appeal are that the decision is
inconsistent with this policy.
2 Appeals must be lodged and addressed as per the Complaints and Appeals Policy and Procedure.
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POLICY AND PROCEDURE MANUAL 2013 53
Refund Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To ensure a refund process that is fair and equitable to all learners.
LEGISLATIVE CONTEXT

Standards for NVR Registered Training Organisations 2012
POLICY STATEMENT
CSIT has a refund process that is fair and equitable to all learners.
All fee-paying learners can be guaranteed that their fees are:


Kept in a separate account
Accessed only when the service is rendered.
All requests for refunds need to be made in writing and be accompanied by supporting documentation (the CSIT
FO23 Refund Form, available from CSIT Administration) where applicable.
Cancellation of Training
CSITs responsibilities
If CSIT has to cancel a training session, learners will be notified.
Students are informed of the cost per Unit of study prior to commencement of training, and are notified that all
funds are to be paid to CSIT following completion of study before a qualification is issued (once the student is
deemed competent and has completed all required assessment tasks and has submitted relevant portfolio
material).
Changes to the original, signed agreement between CSIT and the employer/student can be made providing all
parties are in agreement. A new contract can be redrawn or, if the student wishes to withdraw, a Statement of
attainment for completed Units of study will be issues, and invoiced accordingly.
Student responsibilities
If a student cannot attend training and requires a refund, they must cancel their enrolment/invoice according to
the process below:
Cancellation period
One (1) week prior to scheduled training
commencement
Two (2) days prior to scheduled training
commencement
Less than two(2) days’ notice of cancellation
Refund



Administrative costs of $150 retained from
funding
Administrative costs of $300 retained plus the
cost of printed material
Administrative costs of $350 retained plus the
cost of printed material plus travel costs (if
applicable)
Refunding of monies
As monies are paid following completion, and as per the signed agreement, refunds are unlikely to be needed.
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POLICY AND PROCEDURE MANUAL 2013 54
REFUND PROCEDURE
1 All fees and charges for the delivery of vocational training and assessment services must be approved by the
Executive Director prior to their publication, quotation to clients or tender submission.
2 All participants are to be invoiced and fees paid are to be receipted.
2.1 Any reasons for discounts or exemption from fees are to be noted on the receipt and/or placed on file.
3 Where an employer pays fees on behalf of a participant, the employer is to be invoiced for the appropriate fee,
clearly indicating on the invoice each participant to whom the invoice applies.
4 In the event that fees are paid in advance, refund decisions are to be made and refunds granted by the
Executive Director.
4.1 All fees paid in advance, except for the administration fee are to be refunded to participants in full if
cancellation of enrolment occurs one (1) week or more prior to commencement of studies.
5 All training materials and resources must be returned in their original condition.
5.1 Electronic data provided via USB, CD, DVD or any other electronic format must not have been copied or
stored in any manner or format prior to return of the data.
6 Partial or full refunds are considered under the following circumstances:
6.1 Where enrolment is cancelled two (2) days prior to scheduled training commencement, the
employer/participant will be invoiced for half of the course fee, or if fee is paid, the employer/participant
is entitled to receive one-half of the course cost as refund.
6.2 Where there is less than two (2) days’ notice of cancellation: the employer/participant is invoiced for full
cost of the course fee, or if fee is paid, no refund is provided.
6.2.1 Participants will be offered alternative course dates and training options should they want to defer
training.
7 All requests for refunds must be made in writing and responses made in writing.
7.1 Records must be kept of this communication in the participant’s files.
8 Where a refund has been granted, the amount, date and reason for the refund are to be noted on the
participant’s file, and refund register.
9 Should CSIT cancel the training agreement, a fair and reasonable refund will be granted, for all monies paid in
advance. Charges will be incurred for administration and services provided prior to cancellation.
10 No refund is available to participants who remain enrolled and do not progress.
11 Should a participant decide not to continue with the course the participant needs to notify CSIT of their
intention to withdraw or defer.
12 Enrolments are current for 12 months unless an extension or deferment is applied for. (Please note that any
contract requirements such as traineeships will overrule this).
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POLICY AND PROCEDURE MANUAL 2013 55
Risk Management Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To effectively manage operational, financial and other risk in the context of CSIT’s business strategies and to
ensure compliance with the obligations CSIT has under its Scope of Registration as a Registered Training
Organisation.
LEGISLATIVE CONTEXT
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Commonwealth Corporations Act (2001)
Commonwealth Trade Practices Act (1974)
National Vocational Education and Training Regulator Act (2012)
Queensland Industrial Relations Act (1999)
VET Quality Framework
POLICY STATEMENT
This Policy relates to CSIT staff and agents working for and on behalf of CSIT.
Risk management involves the identification, analysis and evaluation of an RTO’s risk of compliance with the NVR
standards and legislation, and the development of cost effective strategies to treat those risks.
The Executive Directors of CSIT are responsible for assessing and managing risks associated with all aspects of the
Institute’s operations, including that as an RTO.
CSIT’s risk management system focuses on:
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Identifying risk - Identify what, why and how things can arise as the basis for further analysis.
Analysing risk - Determine the existing controls and analyse risks in terms of consequence and likelihood
in the context of those controls. The analysis should consider the range of potential consequences and
how likely those consequences are to occur. Consequence and likelihood may be combined to produce an
estimated level of risk.
Evaluating risk - Compare estimated levels of risk against the pre-established criteria. This enables risks is
ranked so as to identify management priorities. If the levels of risk established are low, then risks may fall
into an acceptable category and treatment may not be required.
Managing risk - Accept and monitor low-priority risks. For other risks, develop and implement a specific
management plan, which includes consideration of specific policies and procedures covering such issues
as avoidance/reduction/transfer of risk, insurance cover, business continuity and disaster recovery
planning.
Risk Types
The varying types of risk requiring identification include:
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Strategic Risk: arises from concentration of resources in or dependence on a narrow range of products,
markets, customers or suppliers.
Operational Risk: associated with losses resulting from inadequate or failed processes, people and
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POLICY AND PROCEDURE MANUAL 2013 56
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systems or from external events.
Market Risk: associated with financial losses arising from CSIT’s activities in its core business areas.
Credit Risk: potential for financial loss where a customer or other party fails to meet their financial
obligations to CSIT.
Insurance Risk: risk that a claim on a policy of insurance is not met by an insurer.
Financial Risk: risk and losses associated with inadequate or inaccurate financial reporting.
Responsibilities in Managing Risk
Each member of CSIT is responsible for recognising and documenting the risks to our business operations and
bringing these to the attention of the Executive Directors through verbal and written reports.
The risk to business, including causes of the risk/s, must be documented via the QA06 Risk Management
Reporting Process and Register and discussed (in the first instance) at the regular meeting of Executive Directors
and the Quality Manager’s meeting.
Each risk is to be analysed in terms of likelihood, consequence and adequacy of existing controls and prioritised
for actioning. The associated mitigating actions will be delegated to key staff for follow through and remediation.
Subsequent matters arising from these meetings should be noted and addressed as an agenda item within the
regular Staff Meetings where the risk directly pertains to the strategic or operational practices of CSIT.
Risks related to the market, credit, insurance and financial operations of CSIT will be addressed directly by the
Executive Directors.
The Executive Directors and the Quality Manager will monitor and review the control measures on a quarterly
basis. Risk identification and management are to be reported in the twice annual VQF Self-Assessment/Internal
Audit Report.
Compliance with NVR Act
Standard
SNR 15
Systems for Quality Training and
Assessment
Areas of risk in complying with this standard
 Not maintaining a set of policies and procedures which ensure
quality in training and assessment
 Not circulating, ensuring understanding and implementing these
policies and procedures
 No appointment of an RTO administration officer to maintain
responsibility for compliance with the standards for registration as
an RTO
 No organisational chart and duty statements for the roles applicable
 Not performing audits and conducting reviews of these audits
 Not managing client/customer complaints
 Not having written agreements with agents who perform work on
behalf of CSIT
 Not having a business plan
 No risk management system
 Not collecting and reviewing client/customer feedback, and
 No continuous improvement system
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POLICY AND PROCEDURE MANUAL 2013 57
Standard
SNR 16
Access and Equity and Client
Service
SNR 17
Effective Administrative and
Records Management Procedures
Competence of RTO Staff
Areas of risk in complying with this standard
 Not maintaining a set of policies and procedures which ensure
access and equity and client service
 Not circulating, ensuring understanding and implementing these
policies and procedures
 Failure to provide to clients/customers clear information about:
 Selection, enrolment, and induction
 Course information including content and vocational outcomes
 Fees, charges and refund policy
 Assistance with language, literacy and numeracy assistance
 Client support services
 Flexible learning and assessment procedures
 Welfare and guidance services
 Appeals and complaints procedures
 Disciplinary procedures
 Staff and agent responsibilities, and
 Recognition of prior learning and credit transfer arrangements
 Not maintaining a set of policies and procedures which ensure
sound administrative and records management
 Not circulating, ensuring understanding and implementing these
policies and procedures
 No appointment of a business administration officer to maintain
responsibility for business management compliance with the
standards for registration as an RTO
 Failure to have secure storage of records including backup of
electronic data
 Failure to comply with external reporting such as the Australian
Vocational Education and Training Management Information
Statistical Standard (AVETMISS)
 Failure to safeguard confidential information
 Not allowing clients/customers to access their own records
 Not maintaining records on the qualifications, training and
assessment competencies of staff and agents
 Not maintaining current records on client/customer training and
assessment
 Not maintaining records on fees and refunds
 Failing to ensure documentation related to training and assessment
has version control.
 Failing to ensure training and assessment documentation is
reviewed and maintained in line with current practice, and
 Not informing staff and agents who perform training and
assessment services are aware of updated materials.
 Failure to adequately recruit staff with suitable qualifications or the
ability to obtain the qualifications
 Failure to correctly induct staff and agents
 Failures to ensure staff and agents have development plans and
these are implemented
 Failure to inform staff and agents of their responsibilities with
respect to RTO compliance, and
 Failure to ensure only qualified persons deliver and assess training
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POLICY AND PROCEDURE MANUAL 2013 58
Standard
RTO Assessments
SNR 18
Governance arrangements
Areas of risk in complying with this standard
 Failure to ensure assessment complies with Training Packages or
accredited courses
 Failure to issue qualifications and/or Statements of Attainment
 Failure to ensure assessment is valid, reliable and fair
 Fail to provide clients/customers with information on the context,
purpose and process of assessment
 Ensuring assessment covers the application of knowledge and skills
applicable in the workplace
 Ensuring assessment includes sufficient evidence to enable sound
judgement on competency
 Fail to provide feedback on assessment
 Ensuring assessment is equitable to all based on individual need
 Failure to conduct reassessment on appeal
 Failure to offer an RPL process
 Failure to ensure the RPL process is time and cost efficient, and
 Not providing sufficient information and support for participants to
engage in the RPL process.
 Fail to comply with VET Quality Framework including:
o Not delegating responsibility for day to day operations to
the CSIT Executive Director/s
o Not conducting regular meetings to keep core staff availed
of information regarding these operations
o Failing to sign documentation
o Failing to report data or complete annual reports as
required
o Neglecting the Institute’s registered training organisation
(RTO) status and failing to liaise with the relevant governing
bodies regarding this
o Ignoring continuous improvement processes and not
engaging with an Internal Audit process.
o Refraining from keeping documentation up to date with
legislation and changes in the sector
 Failing to address any reported risks or engaging in a regular
evaluation of potential risks that could impact the RTO’s functions
and sustainability
 Not satisfying the Financial Viability Risk Assessment Requirements
 Ignoring the experiences of trainers and assessors as contributing
factors in the decision making of senior management
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POLICY AND PROCEDURE MANUAL 2013 59
Standard
SNR 19
Co-operate with the National VET
Regulator
SNR 20 and 21
Compliance with Commonwealth,
State/Territory Legislation and
Regulatory Requirements
SNR 22
Effective Financial Management
Procedures
Areas of risk in complying with this standard
 Failing to engage in the conduct of audits and monitoring of the
RTOs operations
 Providing inaccurate and out of date data in relation to the measure
of the RTOs performance, operations, and significant changes to its
ownership
 Failing to retain, archive, retrieve or transfer records consistent with
the national VET regulator's requirements
 Failing to comply with any conditions imposed on the organisation’s
registration
 Failing to comply with the Standards for NVR Registered Training
Organisations and the Australian Qualifications Framework.
 Failure to comply with the Fit and Proper Person Requirements
2011 (FPPR)
 Failing to notify the National VET Regulator of material changes that
would significantly affect the organisation’s ability to comply with
the VET Quality Framework
 Failing to comply with any general directions given by the National
VET Regulator on the way in which the VET Quality Framework or
other conditions are to be complied with.
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Not identifying and complying with Commonwealth and State/Territory
legislation and regulations
Not having policies and procedures that ensure compliance with
Commonwealth and State/Territory legislation and regulations, and
Not having correct and adequate insurance coverage for the business.
Not maintaining a set of policies and procedures which ensure
sound financial management
Not circulating, ensuring understanding and implementing these
policies and procedures
No appointment of a finance administration officer to maintain
responsibility for financial compliance with the standards for
registration as an RTO
Not providing financial information to Commonwealth registering
body when requested
Not appointing a certified practicing accountant (CPA)
Not ensuring the accounts are audited by the CPA annually
Failing to provide details of financial audits when requested by the
Commonwealth registering body
Not having systems in place to protect fees paid in advance, and
Not having a fair and reasonable refund policy
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POLICY AND PROCEDURE MANUAL 2013 60
Standard
SNR 23
Recognition of Qualifications
Issued by Other RTOs
Issuing Qualifications and
Statements of Attainment
SNR 24
Ethical Marketing and Advertising
Use of National and
State/Territory Logos
Areas of risk in complying with this standard
 Not maintaining a set of policies and procedures which ensure
recognition of qualifications issued by other RTOs, and
 Not circulating, ensuring understanding and implementing these
policies and procedures.
 Ensuring qualifications and Statements of Attainment are only for
the Scope of Registration
 Ensuring qualifications and Statements of Attainment meet the
requirements of Training Packages and accredited courses, and
 Ensure the correct recording of details on qualifications and
Statements of Attainment including:
o AQF National Codes
o Competency units or modules from Training Packages or
accredited courses
o RTO national provider number, and
o Identification number and date for the award.
 Ensuring all marketing material is accurate and approved by the
RTO
 Ensuring any party referred to has provided permission to use their
details as a reference
 Failing to accurately represent products and services
 Ensuring only the products and services under the scope of
registration are advertised, and
 Ensuring any AQF qualifications are advertised separately from nonAQF courses and qualifications.
 Using only the nationally recognised training (NRT) logo for AQF
qualifications and Statements of Attainment
 Using NRT logos only in accordance with the specifications
 Correct use of the NRT logo in advertising and marketing
 Correct use of statements in advertising and marketing in respect of
Nationally Recognised Training and registration, and
 Only using state/territory logos in accordance with the registering
bodies' conditions of use.
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POLICY AND PROCEDURE MANUAL 2013 61
Standard
SNR 25
Learning and Assessment
Strategies
Areas of risk in complying with this standard
 Failure to develop learning and assessment strategies for Training
Packages and accredited courses
 Failure to consult with industry
 Failure to develop learning and assessment pathways for target
groups
 Failure to document strategies for the learning and assessment
 Failure to review assessments conducted by staff against the
standards annually
 Not taking action and/or documenting the action taken to improve
the quality and consistency of assessment
 Failure to document learning needs
 Failure to meet the requirements of Training Packages or accredited
courses
 Not managing the transition to a reviewed Training Package within
12 months of publication
 Failure to identify core and elective units of learning
 Customise and/or contextualise Training Package or accredited
course requirements poorly
 Failure to ensure the language, literacy and numeracy skills are
relevant to the workplace and role
 Failure to ensure training and assessment materials meet the needs
of a diverse range of clients/customers
 Failure to negotiate learning and assessment in the workplace with
employers and learners
 Not developing, documenting and implementing training plans for
apprentices and trainees to meet the off-the-job and workplace
learning in a structured manner
 Ensuring any training and assessment conducted by distance
education or on-line services has effective strategies for support,
monitoring and assessment, and
 Ensuring all staff/agents, facilities, equipment, training and
assessment resources meet the requirements of clients.
RISK MANAGEMENT PROCEDURE
Risk identification and reporting
1
2
Each member of CSIT is responsible for recognising, reporting and documenting the risks to business
operations.
1.1 In the first instance, bring attention to the risk through verbal contact with an Executive Director.
1.2 Subsequently, document each risk and its cause on the QA06 Risk Management Reporting Process and
Register and submit to management
Verbal and written reports are to be discussed at the closest available regular meeting of Executive Directors
and Quality Manager’s meeting.
Analysing and evaluating risks
1
Each risk is to be analysed in terms of
1.1 Likelihood
1.2 Consequence
1.3 Adequacy of existing controls
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POLICY AND PROCEDURE MANUAL 2013 62
2
Risks are:
2.1 Scored on a seven (7) point system: one (1) being the highest risk and seven (7) being a moderate risk.
2.2 Prioritised in consultation between the person advising/reporting the risk and the Executive
Directors/Quality Manager.
2.2.1 A score of 1 to 3 is regarded as a critical risk to the RTO and must be dealt with immediately (within
two days)
2.2.2 A score of 4 to 5 is regarded as a significant risk and must be dealt with as soon as possible (within 7
to 14 days)
2.2.3 A score of 6 to 7 is regarded as a moderate risk and must be dealt with within a reasonable time
frame (within 4 to 6 weeks).
Treating risks
1 Credit, insurance and financial risk situations will be:
1.1 Addressed directly by the Executive Directors.
2 Strategic or operational risks will be:
2.1 Delegated to key staff by management for follow through and remediation.
2.2 Staff responsible for implementing risk management strategies will be advised as soon as possible, in
accordance with the level of risk attached to the situation.
2.3 Noted and addressed as an agenda item within the regular Staff Meetings.
3 The QA06 Risk Management Reporting Process and Register must clearly indicate:
3.1 Stated short/immediate/long-term control measures
3.2 The person/responsible for the implementation of the control measures
3.3 The date the measures are to be stated
3.4 The date the measures are to be completed
3.5 A date for review of the control measures:
3.5.1 Critical risks – within two to four weeks
3.5.2 Significant risks – within 4 weeks to 12 weeks
3.5.3 Moderate risk – within 3 to 6 months
Reviewing and monitoring risks and their management
1 The Executive Directors and the Quality Manager will:
1.1 Monitor and review the control measures (at a minimum) on a quarterly basis or as per the nominated
review date.
1.2 Sign off in the relevant areas of the QA06 Risk Management Reporting form to indicate confirmation of
control review and acceptance of the reviewer’s report.
1.3 Report outcomes in the twice annual VQF Self-Assessment/Internal Audit Report.
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Student Plagiarism, Cheating and Collusion Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To maintain the principle of authenticity in relation to the collection of evidence when assessing a student
towards a qualification.
DEFINITIONS
Cheating – seeking to obtain an unfair advantage in the assessment of any piece of work.
Plagiarism – to take and use the ideas and/or expressions and/or wording of another person or organisation and
passing them off as one’s own by failing to give appropriate acknowledgement. This includes material from any
source such as staff, students, texts, resources and the internet, whether published or unpublished.
Collusion – unauthorised collaboration between students.
LEGISLATIVE CONTEXT
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VET Quality Framework
Standards for NVR Registered Training Organisations 2012
POLICY STATEMENT
CSIT is committed to upholding standards of student integrity and honesty in regards to the assessment of their
work and places value in the declarations of authenticity made by students.
From time to time, there may be incidents of student plagiarism, cheating and collusion which CSIT is required to
act upon in order to uphold the value of assessment outcomes and the reputation of the nationally recognised
training provided. Student plagiarism, cheating and collusion in any form are unacceptable and will be treated
seriously by CSIT.
Student responsibilities
Students are expected to act with integrity at all times and only submit work that is their own, or that has been
appropriately referenced and includes acknowledgements of all texts and resource materials utilised in the
development of the work.
Upon the submission of all assessment tasks, students are required to sign an Assessment Cover Sheet that
includes a declaration of the authenticity of the work.
A student found to have plagiarised, cheated or colluded will be given an opportunity to respond to the
allegations.
Detecting plagiarism and cheating
CSIT will take the necessary steps to detect plagiarism and cheating which may include:


Monitoring students in classroom based assessments
Comparison of student work with electronic reference materials, internet resources and the work of
other students
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Electronic plagiarism detection software
Comparison of work against various academic databases
Other methods deemed appropriate by the trainer/assessor.
Obligations of staff
All training staff has an obligation to identify and investigate any possibility of plagiarism, cheating or collusion
and source evidence (through identification of the source) to support their allegation.
Consequences of plagiarism, cheating and collusion
Plagiarism, cheating and collusion may lead to disciplinary action.
STUDENT PLAGIARISM, CHEATING AND COLLUSION PROCEDURE
Student responsibilities
1 Students must only submit work that
1.1 is their own, or
1.2 has been appropriately referenced and includes acknowledgements of all texts and resource materials
utilised in the development of the work.
2 All assessment tasks must carry a cover sheet which is to be completed and signed by the student before
submission of the assessment.
2.1 This signature indicates a declaration of the authenticity of the work.
Training Staff responsibilities
1 CSIT will take the necessary steps to detect plagiarism and cheating which may include:
1.1 Monitoring students in classroom based assessments
1.2 Comparison of student work with electronic reference materials, internet resources and the work of other
students
1.3 Electronic plagiarism detection software
1.4 Comparison of work against various academic databases
1.5 Other methods deemed appropriate by the trainer/assessor.
2 All training staff has an obligation to identify and investigate any possibility of plagiarism, cheating or collusion.
2.1 In the first instance where plagiarism, cheating or collusion is suspected, evidence should be sourced
(through means identified above) to support the allegation.
Process for following up the allegation
1 The student will be notified verbally that evidence supports the claim of plagiarism, cheating or collusion.
2 The student will be provided with the opportunity, in a meeting with the teacher and a CSIT Executive Director,
to respond to the allegations.
3 The student may elect to have a support person with them (as per the complaints/appeals process).
4 Should the allegation be:
4.1 Proven incorrect, and the student is able to supply evidence to show that the work is their own and
genuinely authentic, no further process will be sought and the student may return to study.
4.2 Partially correct, in that some of the material was indeed copied and incorrectly referenced, the
teacher/assessor responsible for the student’s study will ensure that the student is familiar with the
correct process for referencing material that is directly quoted.
4.3 Proven justified, depending upon the severity of the case, consequences may include:
4.3.1 Reassessment under supervision
4.3.2 Expulsion of a student or
4.3.3 Other forms of disciplinary action deemed appropriate.
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5 A record of the student’s involvement in alleged plagiarism, cheating or collusion will be retained on the
student’s electronic record. Training and assessment staff will have access to this information when
considering any subsequent allegations of misconduct.
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Supervision Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To ensure that all training is conducted according to NVR guidelines and meets industry standards.
Teachers/assessors without the relevant competencies will be supervised by a trainer/assessor who has current
certification.
LEGISLATIVE CONTEXT
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
VET Quality Framework
NSSC Determination for Trainers and Assessors iii Policy
Standards for NVR Registered Training Organisations 2012
POLICY STATEMENT
Supervision is required where vocationally competent and industry current teachers do not have the necessary
training and assessment competencies (i.e. TAE40110 Certificate IV in Training and Assessment). From 1 July
2013, all vocationally competent and current teachers must show equivalence to the TAE10 Enterprise Skill Set
and this must be retained with all other documentation prior to commencing delivery.
CSIT ensures that supervision arrangements involve the vocationally competent teacher receiving regular and
ongoing guidance, direction and leadership from a person designated by CSIT, who has TAE40110 Certificate IV in
Training and Assessment. The supervising trainer monitors and is accountable for all training delivery. It is not
necessary for the supervising person to be present during all training delivery.
CSIT ensures that there is sufficient time in the training timetable for both parties for the supervision of VET
training. CSIT also ensures that there is sufficient time in the training timetable for both parties where this is
required for assessment purposes.
SUPERVISION PROCEDURE
Documentation
1 CSIT will appoint a trainer who holds TAE40110 Certificate IV in Training and Assessment to act as the
“supervising trainer”.
2 The co-assessment arrangement is documented by CSIT through FO31 Direct Supervision Arrangement saved in
the supervising trainer’s staff file.
3 The qualified trainer and assessor will receive information regarding her/his duties, and sufficient timetable
allowances for this.
4 In this situation, the assessor with training and assessment qualifications works together with the vocationally
competent teacher to conduct the assessment.
Supervising Trainer Role and Responsibilities
1 The supervising trainer’s duties will be specified the within her/his duty statement, saved in that person’s staff
file and timetable allowances made for this function. These duties include:
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1.1 Helping the teacher requiring supervision to find appropriate resources, discuss strategies and give input
to training
1.2 Meeting with the teacher requiring supervision at least once per month, or as required by them, to give
guidance, direction and leadership and monitor the training
1.3 Observing training sessions (as required) and giving feedback
1.4 Approving all training materials and the design of all assessment/evidence-gathering tools.
2 The supervising trainer is accountable for the training delivery and the assessment process. S/He will work
together with the vocationally competent teacher to conduct assessment procedures.
Supervised Trainer Role and Responsibilities
1 The supervised teacher must participate in internal training and assessment professional development, as well
as validation and moderation and any relevant continuous improvement processes and provides
documentation to CSIT evidencing this.
2 The vocationally competent and current teacher working under supervision is not able to assess students.
3 If a person holds the relevant vocational competencies but does not have the appropriate assessor
competencies or proven equivalent competencies, they may co-assess with an assessor who has these
competencies.
4 Where practical and feasible, the supervised teacher must seek to become qualified in the TAE TAE40110
Certificate IV in Training and Assessment
VET Coordinator’s Role and Responsibilities
1 The VET Coordinator will meet with both the supervising trainer and the supervised teacher each term to
review progress
2 Approval of all assessment/evidence-gathering tools will be arranged by the person in this role.
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Version Control Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
To ensure that staff are using the correct version of documentation and to assist in the maintenance of effective
continuous improvement processes within CSIT.
LEGISLATIVE CONTEXT

VET Quality Framework
POLICY STATEMENT
This policy describes the management of documents and printed resources generated by CSIT staff using version
control, document naming, and document filing using Cloud (Dropbox) technology.
Rationale
Version Control is used to track the development and revision of documents, recording the process through
subsequent changes via a notation in the footer of the document.
CSIT ensures that the most current form of Training Packages is being used to conduct training and assessment.
Format of Version Control
CSITs version/document control and review processes of learning and assessment materials entails using a page
header that clearly identifies the title, number and version of the document. In addition, a footer on the same
document will include the original date of issue, the current date of issue, the date for review to occur, the
version number, identity and role of person who has authorised the version and the number of pages in the
document.
CSIT staff is to apply version control to all specified documentation and control the release and availability of
documentation that is approved for use. Only the most current form of document must be in operation. Past
versions are to be filed accordingly in the relevant Archive folders available to staff in Dropbox.
Documents included in Version Control
Documents that fall under Version Control are held online using Cloud technology (Dropbox) and are generally
restricted to:

All materials required to comply with ASQA regulations (e.g. unit outlines, Handbooks, policies,
procedures, forms, training packages, training and assessment materials etc.)
 All marketing materials and any information provided to students, clients or industry
 Any other material that the Executive Director deems necessary to control under this policy
Documents not included
All other materials, such as fax forms, memos, minutes etc. are not required to be versioned as they will carry the
date of use/creation.
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Amending documents
Revising and creating documents
Changes, alterations and amendments to documents will be made using master copies of the document,
circulated to relevant staff via email for comment. A final, collated copy of feedback will be distributed for fine
tuning before being edited by the Quality Manager, sent for approval to the Executive Director and uploaded to
the relevant folder in Dropbox.
Authority to amend
The authority to approve amendments and revisions of CSIT documentation rests with the Executive Directors.
Documents will be forwarded to the Executive Director for final ratification and it is the responsibility of the
Executive Directors to update the QA01 Version Control Register.
Improvements or enhancements that impact upon existing policies or procedures will be published as per the
Continuous Improvement policy and recorded in the Version Control Register.
Staff will be apprised of changes via email and at Staff Meetings.
VERSION CONTROL PROCEDURE
Version Control
1 Current versions of version controlled, approved documents are kept electronically and available to staff in the
appropriate folder in Dropbox.
1.1 All superseded documents are held in an Archive folder in that location as well.
2 A Version Control Register is kept and contains information on the individual documents and their modification
history.
3 No material which is numbered/dated outside of one calendar year from last review is to be issued to any
student. For example, material dated August 2013 must not be issued after August 2014.
Document naming protocol
1 In order to have an effective version control system, all documents created within CSIT must be easily
identifiable by name and version number.
2 Electronic copies of documents are stored using the same version naming protocol.
3 The Executive Director retains the right to confirm the title of the document.
4 Version control information is to be prominently displayed in the header and footer of all CSIT documentation.
4.1 Exceptions to this requirement include correspondence, faxes, memos and other operational
documentation where the inclusion of these tables would be considered impractical.
4.2 These documents must however have the appropriate notation in the document footer.
5 The Title and Version Control of the document includes the elements described below.
5.1 Document purpose and title
5.2 Documents are to have the following affixes attached to identify them as:
 Assessment items= AS
 Staff information = ST
 Forms = FO
 Student Information = IN
 Quality Assurance = QA
6 Each document’s title is to also be allocated a two number identifier following the affix, to identify its
position amongst other similar documents. For example, the first form in the resource library would be
FO01.
6.1 The position of the document will be allocated by the Executive Director.
7 All documents must be titled according to their primary intent. For example, the form used to enrol
student would be nominated as “Student Enrolment”
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POLICY AND PROCEDURE MANUAL 2013 70
8 Each document will also include a suffix that stipulates the currency of the document. This will be written
(numerically) in the format of date the document was updated, the month and year in which this
occurred. For example, if the Student Enrolment form was created on the fifth of March, 2013, its
correct title would then read: FO01 Student enrolment 05032013
9 All documents MUST contain their title in this format within the header of the document.
Document version
1 All documents must contain a table in the following format embedded in the footer, preceded by a
statement that says: “Warning – Uncontrolled when printed. The current version of this document is
located [insert hyperlink]”
2 Document version:
Authorised by:
[insert position title,
Original Issue:
##/##/201#
name]
Version Number:
[insert number]
Page X of Y
Current
Version:
##/##/201#
Review Date:
##/##/201#
3 The table must be followed with CSITs National Provider Number – 31839 clearly identified.
4 The date of review will usually be one year from the date of the current version.
5 Authorisation will be provided by an Executive Director.
6 The date of original issue pertains to the first edition of the document in its current form.
Review of Materials
1 Documents are regularly reviewed by relevant staff as part of staff meeting process.
2 The Version Control Register must be updated with new material that is created.
Document location and protection
1 All CSIT documentation is to be controlled in one central file location in Dropbox and is to be managed by
the Quality Manager.
2 This file location should be accessible to all CSIT representatives who are authorised to access and use
these documents.
Document distribution
1 Where documentation must be distributed away from a central location, this is to be conducted
systematically and formally with the recipient required to acknowledge the receipt of a new document
version and that old versions have been discarded.
2 A read reply email is to be sent notifying staff of when version updates occur.
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 71
Workplace Health and Safety Policy
Date of Approval
16/04/2013
Date of Last Review
01/09/2013
Date of Next Review
01/09/2014
PURPOSE
CSIT is committed to achieving and maintaining the highest practicable standards of Workplace Health and
Safety and providing a work and study place that is a safe place for trainers and trainees.
LEGISLATIVE CONTEXT


Standards for NVR Registered Training Organisations 2012
Workplace Health and Safety Act QLD (2011)
POLICY STATEMENT
CSIT is aware of and enforces the provisions of all relevant Acts, Regulations, internal Policy and Procedures
and such local rules and work procedures as may be formulated within their areas of responsibility.
Management encourage the cooperation and involvement of all our staff and contractors in the ongoing
development and implementation of our health and safety program.
The Executive Directors have an obligation under CSIT Policy and the Workplace Health and Safety Act 2011
(Qld) and related Amendments to ensure the health and safety of each employee of CSIT and to ensure that
the health and safety of others is not affected by CSIT’s activities.
CSIT is legally required to ensure that the workplace is safe for all employees and clients, however, all
employees are responsible for the working conditions under their control. They must make every
reasonable effort to ensure that:






accidents are prevented
employees and clients are protected from injury
health is preserved and promoted
hazards are removed or controlled
the training environment is clean and uncluttered at all times
we work as a team to achieve our aim of a safe and healthy workplace
CSIT requires all staff, students, contractors and visitors to act responsibly and to comply with statutory
requirements and all Safety Policies, Standards and Guidelines.
Contract Staff
Workplace Health and Safety Legislation in Queensland requires employers to provide for the health and
safety of their employees. This responsibility is extended not only to CSIT’s staff, but to other persons who
may be required to work on behalf of CSIT as a Contractor or Sub-contractor.
There are many circumstances in which contractors and subcontractors are engaged in CSIT
operations due to the diversity of our activities.
Three basic categories cover most contracting situations at CSIT:

Short term, where a contractor carries out training related to a specific training scheme/funding
arrangement
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 72


Long term, where contractors are engaged on a full time or regular part time basis to carry out
specific training scheme/funding arrangement
Major projects, where tenders are called for contractors to undertake a specific job, e.g. accessing
grant monies for a particular project and conducting the successful grant arrangement through to
completion.
Duty of care
Trainers and assessors have a duty of care to their learners whether they are delivering training in the
training room or in the workplace. All employees of CSIT have been inducted into their role with full
knowledge of the Workplace Health and Safety Act 2011 (Qld) and all relevant legislation. When in the
training room, trainers and assessors are responsible for providing a safe and inclusive learning
environment for all learners.
Emergency Procedures
Trainers (whether CSIT staff or contract Staff) must be apprised of the correct procedures for
evacuation whilst training on behalf of CSIT. It is required that all persons involved with training
be familiar with the particular evacuation and emergency procedures of the site on which they
are training. As this will vary from site to site and between workplaces, it is essential that this
information is ascertained prior to the first training session on that site.
All CSIT staff and contractors are required to abide by the directions of Chief Wardens,
Workplace Health and Safety staff and site protocols and procedures for each individual site on
which they conduct training.
Hazard Reporting
If an individual sees any item of equipment, any procedure or any incident which has caused or has the
potential to cause injury to people or damage to property, and it cannot be immediately rectified, they must
inform relevant personnel as soon as possible.
If the hazard is on site at an external training facility, then procedures and reporting processes related to
that facility must be followed.
‘Near miss’ incidents
A ‘near miss’ is an incident that although it did not result in an injury or disability, it had the potential to do
so. Reporting of minor and ‘near miss’ incidents can lead to prevention of more serious accidents
WORKPLACE HEALTH AND SAFETY PROCEDURES
Role obligations regarding WHS
1 It is the responsibility of the Executive Directors to:
1.1 establish a system for the management of health and safety;
1.2 ensure consultative arrangements are in place so that cooperation and commitment to health and
safety outcomes are achieved; and
1.3 ensure that employees can meet their obligations through provision of sufficient resources and
guidelines.
2 Regardless of the situation, the following procedures must be followed when engaging a contractor or
subcontractor.
2.1 Documented Safety Requirements: The written contract, even if this is only a letter of engagement
to carry out the specific training required or other task must include a reference to CSIT’s
requirements for adherence to specific safety standards.
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POLICY AND PROCEDURE MANUAL 2013 73
2.2 Insurances, Licences, Registrations and Certificates: A CSIT Executive Director must ensure that the
contractor or subcontractor possesses the insurances, licences, registrations and certificates
required by Federal, State or local legislation before working with CSIT.
2.3 Staff/Contractor Induction: Before work is commenced on behalf of CSIT, all persons must complete
and sign off on the FO18 Staff/Contractor Induction Checklist. Workplace Health and Safety
processes, policies and procedures are included in the Induction.
2.4 Supervision: A CSIT Executive Director must arrange for the work of the contractor/subcontractor to
be monitored to ensure their compliance with standard work procedures and CSIT standards of
training and assessment.
2.5 Feedback: If the contractor/subcontractor is not working to expected health and safety standards,
the Executive Director must discuss the deficiencies with the persons concerned and work with the
contractor to resolve the problems.
2.6 Reporting Incidents, Injuries and Property Damage: Contractors and subcontractors must be advised
that all incidents, injuries or damage to property must be reported to the relevant person on the
training site.
2.7 Emergency Procedures: Emergency procedures specific to the training site must be explained and
contractors or subcontractors are required to take part in practice drills should they occur.
3 Students, visitors and others have the following obligations when involved with CSIT:
3.1 To comply with instructions given by CSIT for workplace health and safety at CSIT;
3.2 To use any personal protective equipment provided by CSIT;
3.3 Not to wilfully or recklessly interfere with or misuse any health and safety equipment;
3.4 Not to wilfully place at risk the health and safety of anyone at CSIT; and
3.5 Not to wilfully injure themselves.
4 Trainers (whether CSIT staff or contract Staff) must be apprised of the correct procedures for evacuation
whilst training on behalf of CSIT.
4.1 It is required that all persons involved with training be familiar with the particular evacuation and
emergency procedures of the site on which they are training.
4.2 As this will vary from site to site and between workplaces, it is essential that this information is
ascertained prior to the first training session on that site.
4.3 All CSIT staff and contractors are required to abide by the directions of Chief Wardens, Workplace
Health and Safety staff and site protocols and procedures for each individual site on which they
conduct training.
Hazards and Risks
1 If an individual sees any item of equipment, any procedure or any incident which has caused or has the
potential to cause injury to people or damage to property, and it cannot be immediately rectified, they
must inform relevant personnel as soon as possible.
1.1 If the hazard is on site at an external training facility, then procedures and reporting processes
related to that facility must be followed.
1.2 If it occurs on CSIT property, the Executive Director must be notified as soon as possible.
1.3 A CSIT FO24 Hazard/Incident/Injury Report Form must be completed.
1.4 Where there is imminent danger, the person recognising the danger must follow the protocols of
the facility where training is being conducted.
2 Where there is no immediate understanding of what these processes are, the following actions should be
pursued:
2.1 Take steps to isolate the danger by closing doors, evacuating the area, etc.
2.2 Restrict entry to the area
2.3 Ensure all persons are safely evacuated to an area beyond the boundaries of the immediate danger
(where practicable)
2.4 Contact a staff member; and
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POLICY AND PROCEDURE MANUAL 2013 74
2.5 Advise authorities (in the case of fire, accident, or other emergency) if required.
‘Near miss’ incidents
1 Reporting of minor and ‘near miss’ incidents can lead to prevention of more serious accidents
2 If a person is involved in a ‘near miss’ incident, this should be recorded on the CSIT FO24
Hazard/Incident/Injury Report Form and submitted to the Executive Director.
3 If a student advises a trainer that they are/have been in this situation, provide a copy of FO24 to the
student for completion.
4 Collect the completed form and submit this to the Executive Director.
Incident or injury reporting
1 Any individual who is injured or involved in an incident at CSIT must inform the Executive Director as soon
as possible.
2 All personal incidents or injuries must be recorded on the CSIT FO24 Hazard/Incident/Injury Report Form,
submitted as previously noted.
2.1 This report will be investigated by the Executive Directors.
2.1.1 If the injury comes under the WorkCover definition of a compensable injury, the injured
employee may apply for compensation by completing a WorkCover form.
2.2 If a student advises a trainer that they are/have been in this situation, provide a copy of FO24 to the
student for completion.
2.2.1 Collect the completed form and submit this to the Executive Director.
Working from Home
1 CSIT will ensure that:
1.1 Authorised home workplaces and systems of work are safe, consistent with legislation and covered
by CSIT policies and procedures;
1.2 Employees working from home are provided with information, training and supervision to enable
them to perform their work safely; and
1.3 All incidents are investigated, hazards are reported and practical control measures are implemented
at authorised home workplaces.
Personal electrical equipment
1 The owner of personal electrical equipment (e.g. laptops, projectors etc.) must ensure that it is safe for
use and, if required by regulation, have a valid test tag applied prior to it being used for CSIT business
and training purposes.
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POLICY AND PROCEDURE MANUAL 2013 75
Other related Policy and Procedure
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 76
Adequate training arrangements - Policy
Date of Approval
01/07/2013
Date of Last Review
01/07/2013
Version Number
1
Date of Next Review
30/06/2014
Access information
Accessed online: 31st July 2013 from http://training.qld.gov.au/about/vet-policiesprocedures/apprenticeships-traineeships/procedures/adequate-training-arrangements.html
PURPOSE
This policy outlines the requirements for the provision of adequate training arrangements and supervision
for an apprentice/trainee, including the ratio of qualified persons to each apprentice/trainee.
OPERATIONAL POLICY
The Vocational Education, Training and Employment Act 2000 requires both the employer and the SRTO to
provide the facilities, supervision and training required under the training plan for an apprentice/trainee.
Skills Queensland Guideline 1 stipulates the requirements for registering and regulating training contracts,
the following points form part of the guideline:

the employer must be able to provide supervision, facilities, range of work and training as detailed
in the training plan and in accordance with the departmental registration policies and processes
 the ratio of apprentices and trainees to qualified persons is 1:1 (Skills Queensland may consider
applications to vary this ratio).
For the purposes of this policy the minimum supervision requirements for an apprentice/trainee are
defined as:

A qualified person (see definition) designated to train the apprentice or trainee, who is
permanently engaged at the same workplace as the apprentice or trainee and is predominantly
employed during the same working hours as the apprentice or trainee.
A supervising registered training organisation (SRTO) must complete, or arrange for the completion of, an
Employer Resource Assessment (ERA) to ensure an employer can provide, or arrange to provide, to the
apprentice or trainee the facilities, range of work, supervision and training required under the training plan
for the apprentice or trainee. In cases where the SRTO relies on a third party/contractor to complete the
ERA on behalf of the SRTO it remains the sole responsibility of the SRTO to validate the information
provided to ensure adequate supervision and training arrangements are in place.
When developing an ERA the SRTO may identify that the training can be adequately provided when there is
an excess ratio of apprentices/trainees to qualified persons. In all cases where the SRTO identifies a ratio in
excess of 1:1 and commences or continues to deliver training the SRTO must retain evidence of how a
determination was made which deemed the arrangements to be adequate to allow for the completion of
the training contract. Details relating to the requirements are contained within the Adequate Training
Arrangements procedure.
If the employer is unable to provide the training resources necessary to achieve the outcomes of the
training plan, the SRTO should not commit to the training plan and must advise the employer, Australian
Apprenticeships Centre and Department of Education, Training and Employment (DETE) immediately.
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POLICY AND PROCEDURE MANUAL 2013 77
Definition of a qualified person (including tradesperson)
For the purposes of training arrangements under the Vocational Education, Training and Employment Act
2000, a qualified person is:
A person who has satisfactorily completed an apprenticeship or traineeship in the apprentice's or trainee's
calling, and is the holder of a completion certificate issued under an Act.
A person who holds a certificate of recognition issued under an Act, certifying the person has the necessary
skills and knowledge in the calling.
A tradesperson in the apprentice's or trainee's calling, as defined under a specific industrial instrument.
A person who holds a tradesperson’s certificate or certificate of recognition as a recognised tradesperson
issued under the Tradespersons’ Rights Regulation Act 1946 in the apprenticeship or traineeship calling.
A person who holds a relevant qualification in the apprenticeship or traineeship calling.
A person individually, or persons collectively, who has/have documented competence (achieved through an
RPL or training pathway) in all the competencies the employer is required to provide training for under the
apprentice's training plan.
A person individually, or persons collectively, who has/have documented competence (achieved through an
RPL or training pathway) or demonstrated competence in all the competencies the employer is required to
provide training for under the trainee's training plan.
A person undertaking a traineeship, at a higher level than the trainee's, whose traineeship incorporates
supervisory or coordinating skills and who has documented competence (achieved through an RPL or
training pathway) in at least one of the competencies the employer is required to provide to the trainee
under the training plan and who is supervised by a person who qualifies under (1), and/or (5) and/or (7).
And, where a licence to practice the calling is required, the qualified person holds a current licence.
AUTHORITY
Legislation
 Vocational Education, Training and Employment Act 2000 (the Act)
o
o
o
o
Section 79 - Employer to provide facilities
Section 80 - Employer to comply with training plan
Section 92 - Availability of facilities
Section 93 - Supervising registered training organisation to ensure delivery of training
Guideline and Delegation
 Skills Queensland Guideline 1 - Registering and regulating training contracts
 Skills Queensland Delegation 12 - Ratio of apprentices to tradespersons/trainees to qualified
persons
Decisions
N/A
ASSOCIATED DOCUMENTS
Related procedures
 Adequate training arrangements
 Adequate training arrangements - specified community care qualifications
Related forms
 ATF-013 - Employer Resource Assessment
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 78
Adequate Training Arrangements - Specified Community
Care Qualifications
Date of Approval
01/07/2013
Date of Last Review
01/07/2013
Version Number
None stated
Date of Next Review
30/06/2014
Access information
Accessed online 31st July 2013 from http://training.qld.gov.au/about/vet-policiesprocedures/apprenticeships-traineeships/procedures/adequate-training-arrangements-carequalifications.html
SUPERVISION ARRANGEMENTS FOR TRAINEES IN COMMUNITY CARE SETTINGS
These arrangements need to be read in conjunction with the "Adequate Training Arrangements" policy and
are NOT to be used for school based trainees.
Specific qualifications this document applies to are as follows:




CHC30312 Community Care Worker- Certificate III in Home and Community Care
CHC30112 Community Services Worker - Certificate III in Community Services Work
CHC30408 Disability Support Worker - Certificate III in Disability
CHC40312 Disability Worker- Certificate IV in Disability
These arrangements are not available for any other qualifications; please contact the Queensland
Apprenticeship and Traineeship office if clarification is required.
The obligations relating to a training contract are in addition to, and do not take precedence over, the
employer's legal responsibilities such as workplace health and safety requirements and common law
matters such as duty of care and negligence.
Background
Vocational Education Training and Employment (VETE) Act 2000 and the associated guidelines, policies and
procedures include but are not limited to the following for a traineeship to occur:
A ratio of one 'qualified person' iv to each trainee
The 'qualified person' is permanently engaged at the same workplace and predominantly works
the same hours as the trainee
A Supervising Registered Training Organisation (SRTO) must complete an employer resource assessment
(ERA) prior to committing to a training plan. In some cases an SRTO may determine that the supervision
arrangements are suitable even though they do not conform with the Department of Education, Training
and Employment (DETE) requirements e.g. a small workplace comprising one qualified person as the
supervisor with an experienced trainee nearing completion, and a trainee new to the industry. The SRTO
may deem the training arrangements to be sufficient for the traineeship to be completed even without the
one to one ratio stipulated by DETE. Any variation to the DETE requirements must be supported by the
completion of an ERA containing details of how the SRTO determined the training arrangements were
deemed suitable.


The Health and Community Services Workforce Council has worked with DETE to assist SRTOs with making
determinations about adequate supervision and training arrangements for trainees employed in community
care settings.
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POLICY AND PROCEDURE MANUAL 2013 79
Workers in the Disability, Community Care and related sectors may be required from time to time to
undertake their work in the community, clients' homes and in public places. Under normal working
conditions supervisors may not be regularly available at the location where work is occurring. This is the
nature of work in the industry and, after an appropriate period of induction, trainees may be assessed as
capable to work in this context.
The following requirements are the minimum considered acceptable for a trainee to work in a community
care setting without direct supervision.
Requirements
All trainees who will be employed in an environment without direct supervision from a qualified person
must undertake an initial induction period including training in key competencies and receive direct
supervision of the associated practical on-the-job learning prior to any placement without direct
supervision. The induction from the employer must include information relevant to the employer's
organisational policies and procedures
The key competency areas are:




Workplace health and safety,
Workplace and client communication,
Workplace participation and time management
Working independently in a community services setting,
The Training plan which is developed by the SRTO in conjunction with the employer and trainee must
document the need for direct supervision in the key competencies listed above. Alternatively it is possible
for these competencies to be completed through a Recognition of Prior Learning (RPL) process as
appropriate. There is no set duration for the completion of the key competencies and induction as it will
vary for new entrants with no previous knowledge or experience as compared to existing workers with
previous industry experience who are more likely to complete the units of competency through the RPL
process.
Direct supervision must be provided at all times until the trainee is formally assessed and provided with a
competent result in the key competencies listed above and is deemed to be capable of working under
flexible supervision arrangements.
The following only applies after the trainee has completed the requirements as listed above.
Working without direct supervision
When a determination is made to allow a trainee to work under the flexible supervision arrangements
outlined in this document an agreement form needs to be completed and signed by the SRTO, employer
and trainee. This is in addition to the ERA an SRTO will have completed when the training contract
commenced. The agreement form is located on Apprenticeships Info and is titled 'Community Care
supervision arrangements and agreement'.
In circumstances where a supervisor is not directly engaged at the location where work is planned to occur,
the SRTO, employer and trainee may determine that the trainee can work at this location with flexible
supervision arrangements using the following as the minimum standard required:



Trainees must be familiarised with each new client and location by a supervisor or appropriately
qualified co-worker
A supervisor must be accessible to the trainee in person or by phone for the duration of all shifts
Regular face-to-face supervision meetings must occur at an interval of no less than once per week
to provide adequate support and direction, and to monitor the training plan. The Supervisor must
also obtain regular feedback from the trainee and the clients as part of this process
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 80

The trainee's work tasks need to be clearly defined and directed by the client care plans; these
must be retained by the employer and made available to DETE staff upon request.
The determination that a trainee can work under flexible supervision needs to take the following into
consideration:




The age and life experience of the trainee
Whether the trainee is a new or existing worker
The level of competence and experience of the trainee in a particular task/skill
The risk associated with the work environment, the tasks to be completed by the trainee and the
capacities and characteristics of the clients
 Level of disability, illness and or the circumstances of person being cared for.
The level of supervision should be reviewed and, if necessary, revised at regular intervals of not greater
than 3 months, this is in line with the requirements to review the training record.
Flexible supervision arrangements must be agreed to and supported by the trainee, employer and SRTO.
Flexible supervision does not mean a traineeship can be undertaken where there are no qualified persons
providing supervision of any type to the trainee.
The employer, SRTO and trainee must all agree to the undertakings as listed in this document. DETE regional
officers monitor training arrangements across the state and in cases where it is identified that trainees are
working outside of the agreed arrangements in this document the training contracts may be cancelled, and
the employer may have restrictions placed upon the registration of future training contracts.
The Training Compliance Unit conducts audits on SRTOs who are a Pre-Qualified Supplier (PQS), if a SRTO
has breached their requirements they may be asked to reimburse any claims for payment submitted for
trainees for which the breaches against the PQS Agreement or 2010 - 2015 User Choice policy were
identified.
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POLICY AND PROCEDURE MANUAL 2013 81
Adequate training arrangements – Procedure
Date of Approval
01/07/2013
Date of Last Review
01/07/2013
Version Number
7
Date of Next Review
30/06/2014
Access information
Accessed online: 31st July 2013 from http://training.qld.gov.au/about/vet-policiesprocedures/apprenticeships-traineeships/procedures/adequate-training-arrangements.html
PURPOSE
The following procedure provides departmental staff, stakeholders and clients with a framework for
determining adequate training arrangements for apprentices and trainees.
This procedure covers the responsibilities relating to the provision of adequate training arrangements and
supervision for an apprentice/trainee of:

The Australian Apprenticeships Centre (AAC) at the point of signing the training contract, during
the initial servicing period and for the duration of the training contract
 The parties to the training contract (employer and apprentice/trainee) in regard to supervision and
adequate training arrangements
 The role of the supervising registered training organisation (SRTO) in determining that an employer
has the facilities and the capacity to provide adequate training arrangements and supervision for
the apprentice/trainee
 Regional DETE officers.
Skills Queensland Guideline 1 stipulates the requirements for registering and regulating training contracts,
the following form part of the guideline:

The employer must be able to provide supervision, facilities, range of work and training as detailed
in the training plan and in accordance with the departmental registration policies and processes
 The ratio of apprentices and trainees to qualified persons is 1:1 (Skills Queensland may consider
applications to vary this ratio)
It is considered the SRTO is best placed to assess that adequate training arrangements and supervision are
in place to allow for the completion of the training contract. This procedure has provision for an SRTO to
allow for an excess ratio of qualified person/s to apprentices/trainees. Any type of variation to the ratio
requirements must be agreed to by the SRTO, employer and the apprentice/trainee. The details of the
variation must be recorded by the SRTO in an employer resource assessment and must also be provided to
DETE.
A qualified person is a person or collective of persons who have, or between them have, the skills required
to provide training to the apprentice/trainee. The qualified person/s must be engaged in the same
workplace as the apprentice/trainee and be predominantly employed during the same working hours as the
apprentice/trainee.
The appropriate level of supervision applied to an apprentice/trainee by a qualified person needs to
consider the welfare of the apprentice/trainee in terms of safety and competency development.
Determining the appropriate level of supervision needs to take into account:


The safety of the apprentice/trainee in regard to the work being conducted
The experience of the apprentice/trainee.
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POLICY AND PROCEDURE MANUAL 2013 82
The level and pattern of supervision required is not solely based on the time spent as an apprentice/trainee
and needs to be considerate of a range of factors such as:


Knowledge and skills (on and off-the-job technical training/learning) attained
Previous experience/learning and training/practice and repetition the apprentice/trainee has had
relative to each particular task, skill or work function to be performed.
The level of supervision will normally range between direct, general and broad as per the below guidelines:

Direct - Close monitoring of work ensuring understanding and identifying potential risks and/or
hazards
 General - Occasional monitoring to ensure progress is occurring
 Broad - Quality checking completed tasks.
The supervisor of an apprentice/trainee needs to have the skills and experience to provide the supervision,
training and support required for the apprentice/trainee to complete the training contract and obtain a
qualification.
OPERATIONAL PROCEDURE
Events
The triggers for using this procedure include the following:



At the point of conducting the sign up for a training contract
During an investigation to determine whether to register or refuse to register a training contract
When an RTO accepts the nomination to become an SRTO and is required to develop a training
plan
 If an apprentice or trainee is failing to make reasonable progress
Issues identified by regional staff or other stakeholders relating to the level of supervision and/or facilities
available to an apprentice/trainee.
RESPONSIBILITIES
Role of the Australian Apprenticeships Centre (AAC)
While the AAC is not directly responsible for assessing an employer's capacity to provide adequate training
arrangements and supervision the AAC does have responsibilities related to the arrangements in place for
the training contract. The AAC policies and protocols require an AAC to notify DETE of any breach or
potential breach of the VETE Act 2000 including but not limited to:
 False or misleading statements in the training contract
 Non-provision by the employer of facilities, work, supervision or training
 Non-provision of training as per the training plan
 Prevention of participation in training
 Restriction on training
 Non-provision by the supervising registered training organisation of training facilities
 Non-provision by the supervising registered training organisation or employer of agreed training
 Coercion to change a training plan
 Failure to sign an agreed training plan
 Failure of the supervising registered training organisation to provide a copy of the signed training
plan to each of the parties
 False and misleading information on the training plan.
If the AAC has concerns about the capacity of an employer to provide or arrange to provide adequate
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POLICY AND PROCEDURE MANUAL 2013 83
training and/or employment either prior to the sign-up or at the point of signing the training contract the
AAC must contact DETE immediately. This will assist to reduce the risk of a training contract being registered
which may need to be cancelled due to non-compliance with the adequate training arrangements
requirements.
After the training contract has been registered as part of the initial servicing period of their Australian
Apprenticeships contract, an Australian Apprenticeships Centre is required to contact the
apprentice/trainee and employer to verify that the apprentice/trainee is still employed at the six month
point. The purpose of the contact is to identify and address any problems or issues that may be impacting
on the successful completion of the apprenticeship/traineeship.
The absence of a training plan in place at this point would be an issue that impacts on the potential for
successful completion of an apprenticeship/traineeship, i.e. the training cannot have commenced if the
training plan has not been completed.
In the first instance the AAC is required to contact the SRTO and check on the status of the training plan. If
the response from the SRTO is that the training plan is not forthcoming, the AAC is required to immediately
notify DETE. The lack of a training plan may be an indicator of other issues and if this is the case the issues
need to be identified and resolved as soon as possible.
Role of the employer
The employer signs a training contract with the apprentice/trainee and as such has obligations specific to
the training of the apprentice/trainee. The obligations relating to the training contract are in addition to,
and do not take precedence over, the employer's legal responsibilities such as workplace health and safety
requirements and common law matters such as duty of care and negligence.
It is the responsibility of both the employer and apprentice/trainee to select the training organisation.
The employer must participate, in conjunction with the apprentice/trainee and the SRTO, in the negotiation
of the training plan. Prior to, or as part of, the production of the training plan the SRTO will need to conduct
an employer resource assessment to ensure the employer can provide adequate training arrangements and
supervision for the apprentice/trainee. The employer is required to provide information to the SRTO to
facilitate this process.
The supervision requirements for an apprentice/trainee are specific and require a ratio of one qualified
person/s to each apprentice/trainee and that the qualified person/s is employed in the same workplace and
works predominantly the same hours as the apprentice/trainee. An SRTO may determine, with agreement
from the employer and the apprentice/trainee, that the ratio may be varied. For a variation to be put in
place the SRTO is required to have the support of the employer and the apprentice/trainee. When
agreement has been reached the employer must adhere to the amended ratio requirements and notify the
SRTO of any changes which may impact the level of supervision being provided to the apprentice/trainee.
As part of the training contract the employer is required to:

Provide or arrange to provide the facilities, range of work, supervision and training required under
the training plan for the apprentice/trainee
 Comply with the training plan
 Not prevent participation in the training required under the training plan.
If the circumstances of the employer change and they can no longer provide or arrange to provide the
facilities, range of work, supervision and training required under the training plan for the apprentice/trainee
the employer must notify the SRTO and DETE.
Adequate supervision of apprentices and trainees cannot solely be provided from an offsite location by
electronic means. Electronic means include, but are not limited to, telephones, radios and webcams.
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POLICY AND PROCEDURE MANUAL 2013 84
Role of the apprentice/trainee
The apprentice/trainee signs a training contract with the employer, outlining their obligations in relation to
the training contract.
It is the responsibility of both the apprentice/trainee and the employer to select the training organisation.
As part of the training contract the apprentice/trainee is required to:



participate in the development of the training plan for the apprenticeship/traineeship
work towards achieving the competencies in the training plan
as instructed, undertake and attend any training or assessment related to the training plan.
In cases when the apprentice/trainee has concerns about the level of supervision being provided by the
employer or has concerns about the training being provided by the employer and/or SRTO the
apprentice/trainee should:


speak to the employer and/or SRTO representative about the concerns
if the concerns cannot be resolved the apprentice/trainee should contact DETE via Apprenticeships
Info on 1800 210 210.
Role of the SRTO
A registered training organisation (RTO) may be a supervising registered training organisation (SRTO) for an
apprentice or trainee only if the organisation is able to provide, or arrange to provide, to the apprentice/
trainee the facilities, services, supervision and training required under the training plan for the
apprentice/trainee.
An SRTO for an apprentice/trainee must ensure the training required to be delivered under the
apprentice's/trainee's training plan is delivered to the apprentice/trainee. The training to be delivered
under the training plan cannot be unilaterally decided by the employer or SRTO.It must be negotiated, and
agreed to, by all the parties including the apprentice/trainee.
When an RTO accepts the role of becoming the SRTO for an apprenticeship/traineeship training contract
they must develop a training plan as per DETE requirements. Underpinning the development of the training
plan the SRTO must ensure the employer has the resources available to commit to the training plan, the
SRTO documents this in an employer resource assessment.
While the guideline for the registration of a training contract requires a 1:1 ratio of tradespersons to
apprentices/trainees an SRTO may determine that an increased ratio of apprentices/trainees is practical in
some workplaces. This may be due to a number of factors including but not limited to the following:




The age and life experience of the apprentice/trainee in the workplace
Whether the apprentice/trainee is a new or existing worker
The level of competence and experience of the apprentice/trainee in a particular task/skill
The risk associated with the work environment and the tasks to be completed by the
apprentice/trainee
 The proximity of qualified persons and apprentices/trainees within the workplace.
If an SRTO does consider an excess ratio is suitable and the employer can provide the range of work,
facilities, training and supervision required the SRTO may commit to the training plan. In cases where there
is an excess ratio the SRTO must have evidence of the process undertaken to determine adequate
supervision and training arrangements are in place, this evidence may be requested by DETE regional
officers and/or the DETE Training Compliance Unit.
In cases where DETE regional officers have concerns over the arrangements in place DETE regional officers
will investigate and have the authority to cancel the training contract if deemed necessary and appropriate.
All documentation related to the employer resource assessment (ERA) must be retained by an SRTO as it is
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POLICY AND PROCEDURE MANUAL 2013 85
an integral part of the audit process if required by DETE staff.
SRTOs must continue to monitor that adequate training arrangements are in place and if required contact
DETE regional officers to resolve failure to progress and/or supervision issues.
If an apprentice/trainee is failing to progress this may be an indicator of issues relating to adequate
resources, SRTOs should work with the employer to ensure the workplace training is sufficient for the
apprentice/trainee to progress. If the situation cannot be resolved the employer or the SRTO should contact
DETE via the Apprenticeships Info call centre and request assistance from TQ regional staff.
Provisions for the role of the SRTO when dealing with a Group Training Organisation (GTO)
or Principal Employer Organisations (PEO)
While the SRTO has a responsibility to ensure the employer has adequate resources to employ and train the
apprentice/trainee it is recognised that this is a more complex operation in regard to a GTO or PEO. GTOs
and PEOs operate under national or state standards and as such are required to have a written agreement
with the host employers used by the GTO or PEO.
Standard 1.2 of the national standards for GTOs states:
The GTO shall have effective systems to demonstrate the demand for its group training services, industry
support and responsiveness to industry need, and to:

Manage and track hosting, including demonstrating how the host and the GTO will discharge their
responsibilities for compliance with the Standards and with legislative and regulatory requirements
 Manage recruitment, placement, welfare and career support of apprentices and trainees
 Rotate apprentices and trainees as appropriate; and
 Monitor training.
These requirements are replicated in the Queensland Quality Standards for PEOs.
In the case of a GTO or PEO it is not expected that the SRTO conducts an ERA with each of the GTO/PEO
host employers. Under the national or state standards the GTO or PEO is required to manage and track the
hosting arrangements, with this in mind the SRTO needs to conduct an ERA with the GTO/PEO, this will not
be the standard ERA due to the fact that in most cases the GTO/PEO will not directly employ qualified
persons (as per the definition in the adequate training arrangements policy) neither will they satisfy the
ratio requirements. The GTO/PEO should be able to provide the SRTO with the documentation the GTO/PEO
is required to have in place to comply with the national or state standards. A copy of this documentation
kept by the SRTO is sufficient to satisfy the ERA requirements for the SRTO.
If the GTO/PEO fails to provide the SRTO with the required evidence demonstrating how the host and the
GTO/PEO will discharge their responsibilities for compliance with the Standards and with legislative and
regulatory requirements the SRTO should not commit to the training plan and must advise the employer,
Australian Apprenticeships Centre and Department of Education, Training and Employment (DETE)
immediately.
Role of DETE regional staff
When an SRTO is committing to the development of a training plan with an employer where there is an
excess ratio the SRTO must have evidence to demonstrate how the arrangements were assessed and
deemed adequate.
When visiting workplaces with apprentices/trainees DETE regional officers will ensure all parties understand
the roles and obligations under the training contract. If issues are identified as part of this process or at any
point during the duration of the training contract DETE regional officers may instigate further investigations
regarding the validity of the training contract and take whatever actions are appropriate under the VETE Act
2000. This may include refusal to register the training contract or cancellation of the training contract.
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POLICY AND PROCEDURE MANUAL 2013 86
In cases where an apprentice/trainee is failing to make reasonable progress DETE regional officers may
request a copy of the ERA from the SRTO to assist with the investigation.
When an ERA is reviewed by a DETE regional officer and the training contract has not been registered, the
DETE regional officer may use the ERA as the basis for an investigation about the registration of, or the
refusal to register, the training contract.
AUTHORITY



Legislation
o Vocational Education, Training and Employment (VETE) Act 2000
Guidelines
o Skills Queensland Guideline 1
Delegations
o 2 - Registration of and refusal to register a training contract
o 12 - Ratio of apprentices to tradespersons/trainees to qualified persons
ASSOCIATED DOCUMENTS


Related procedures
o Failure to make reasonable progress
o Adequate training arrangements - specified community care qualifications
Forms
o National Standards for GTOs
o Queensland Quality Standards for PEO
o Employer Resource Assessment
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 87
National VET Provider Collection Data Requirements
Policyv
Date of Approval
June 2013
Date of Last Review
June 2013
Version Number
1
Date of Next Review
Access information
Accessed online: 31st July 2013 from http://training.qld.gov.au/about/vet-policiesprocedures/apprenticeships-traineeships/procedures/adequate-training-arrangements.html
INTRODUCTION
Australian, state and territory governments are pursuing a number of reforms to support better information
about vocational education and training (VET) so employers and individuals can make informed choices
about training options; individuals can get records of the training they undertake into the future regardless
of where it occurred; industry can know the skills being developed in the training sector; and governments
can develop more targeted policies and better direct funding to training priorities. Knowing what training is
occurring across the entire VET sector is key to achieving these aims.
This Policy outlines the requirements on all registered training organisations (RTOs) to report their
nationally recognised training to the National VET Provider Collection managed by the National Centre for
Vocational Education Research.
Comprehensive and timely information about the training being undertaken across all RTOs will:

Be used by VET regulators to inform risk-based regulation of registered training organisations and
establish benchmarks for continuous improvement in the VET sector;
 Enable individuals to access transcripts that show any nationally recognised training undertaken
through links with the Unique Student Identifier
 Provide details about RTOs and courses on the My Skills website to assist students and businesses
to make informed training choices;
 Improve government, industry and business understanding of where and when skills are being
developed to assist workforce planning;
 Provide governments with a better understanding of training efforts across Australia – assisting
with the development of policy and assessing interventions; and
 Enhance understanding of the training market and assist RTOs with planning training delivery.
The information made available for these purposes will not identify individuals, except where an individual
requests a Unique Student Identifier authenticated VET transcript. The information will also be presented in
aggregate form, either by RTO, by training type or by industry sector, except where unit level data is
required by VET regulators to support VET regulation or to populate an Unique Student Identifier
authenticated VET transcript. For further information on how data will be able to be accessed, refer to the
National Centre for Vocational Education Research’s Data Access Protocols, available at www.ncver.edu.au.
This Policy sets out a registered training organisation’s minimum obligations for providing data on all
nationally recognised training activity it undertakes to the National VET Provider Collection. Where a partial
or full exemption or transition arrangement applies to training activity undertaken by a registered training
organisation, the registered training organisation is not restricted from providing full data if it chooses to
and where it does not contravene legislation.
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POLICY AND PROCEDURE MANUAL 2013 88
Registered training organisations will still need to fulfil legislative and contractual reporting obligations
including the student learner and employer satisfaction surveys and reporting obligations required as a
result of receiving government funding. This standard and policy does not alter the rights of VET regulators
to seek information from registered training organisations, outside of the National VET Provider Collection.
Data reported under this Policy must be provided according to the Australian VET Management Information
Statistical Standard (AVETMISS), which details the requirements for providing nationally consistent data on
VET students and courses, apprenticeships and trainees and VET in schools.
1
Reporting AVETMISS compliant data
1.1 From 1 January 2015, each registered training organisation must submit AVETMISS compliant data on
all nationally recognised training where the registered training organisation is responsible for issuing
the statement of attainment or qualification, unless exempt under Section3 – Transition
arrangements or Section 4 – Data reporting exemptions.
Note: Registered training organisations will still need to fulfil legislative and contractual reporting
obligations, including the student learner and employer satisfaction surveys and reporting full AVETMISS
data on all nationally recognised training required as a result of receiving government funding.
2
Collecting AVETMISS data
2.1 From 1 January 2014, each registered training organisation must implement policies and procedures
to collect full AVETMISS data from their clients, unless exempt under Section 3 – Transition
arrangements or Section 4 – Data reporting exemptions.
3
Transition arrangements
3.1 Where a registered training organisation considers that it will be unable to comply with the
mandatory application of paragraph 1.1. and 2.1, it will be required to notify the registered training
organisation’s VET regulator that it will be accessing a twelve month exemption. This exemption will
mean that paragraph 1.1 applies from 1 January 2016 and paragraph 2.1 applies from 1 January
2015.
Note: Registered training organisations will still need to fulfil legislative and contractual reporting
obligations, including the student learner and employer satisfaction surveys and reporting full AVETMISS
data on all nationally recognised training required as a result of receiving government funding.
3.2
Where an exemption under paragraph 3.1 is granted, paragraphs 4.7 and 4.8 apply from 1
January2015.
3.3 Where an exemption is granted under paragraph 3.1, paragraph 5.4 applies from 2016.
Data reporting exemptions
4
National security, border protection and policing issues (not relevant to CSIT)
Provision of emergency, fire, rescue or first-aid services to the Australian community (not relevant to
CSIT)
Enterprise registered training organisations – certain training (not relevant to CSIT)
Short stand-alone units/modules (not relevant to CSIT)
Reporting data where the student is not required to have a unique student identifier
4.1
Upon implementation of the Unique Student Identifier, registered training organisations must report
nationally recognised training activity undertaken by an individual who is not required to have a
Unique Student Identifier in order to be issued with a qualification or statement of attainment
(noting that the Unique Student Identifier will not be available for inclusion in the Client File), unless
a full reporting exemption is provided under paragraphs 3.1, 4.1 or 4.4.
Ensuring clients are aware of the implications of not reporting
4.2
Not relevant to CSIT.
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POLICY AND PROCEDURE MANUAL 2013 89
4.3
Upon implementation of the Unique Student Identifier, each registered training organisation
provided with an exemption from reporting requirements under paragraph 3.1 must inform its
clients prior to enrolment that training undertaken within the exemption period will not be included
in the National VET Provider Collection and will not appear on the authenticated VET transcript
obtainable from the Student Identifiers Agency.
Data recipient and reporting timeframes
5
Data recipient
5.1
Registered training organisations required to submit data under this Policy must submit that data to
either:
5.1.1 the state or territory training authority in their jurisdiction; or
5.1.2 the National Centre for Vocational Education Research; or
5.1.3 for VET in schools training activity, the Board of Studies or its equivalent in the relevant
jurisdiction.
5.2 Each state or territory training authority will determine whether it will accept activity data where
that data is not required under legislative or contractual obligations and inform registered training
organisations in its jurisdiction.
5.3 Where a registered training organisation submits its activity data directly to the state or territory
training authority or the Board of Studies (whether by contractual obligation or voluntarily), the state
or territory training authority or Board of Studies will provide the data to National Centre for
Vocational Education Research for it to form part of the National VET Provider Collection.
Reporting timeframes
5.4
Registered training organisations must submit AVETMISS compliant data by the end of February each
year from 2015 or as directed by the state or territory training authority for all nationally recognised
training activity undertaken in the preceding calendar year, unless a full reporting exemption for that
training is provided under Section 3 – Transition arrangements or Section 4 – Data reporting
exemptions.
Note: Registered training organisations may be required to report more frequently to their state or territory
training authority as a result of other legislative or contractual obligations.
6
Management of this policy and its review
6.1 This Policy may be updated periodically:
6.1.1 The Standing Council for Tertiary Education, Skills and Employment will be responsible for
determining any changes to Section 1 – Reporting AVETMISS compliant data, Section 2 – Collecting
AVETMISS data, Section 3 – Transition arrangements, Section 4 – Data reporting exemptions and
Section 6 – Management of this policy and its review.
6.1.2 The National Senior Officials Committee will be responsible for determining any changes to the
Introduction, Section 5 – Data recipient and reporting timeframes and Section 7 – Glossary and for
determining Appendix 1 – Short units/modules.
6.2 This Policy will be reviewed by 1 January 2017 by the National Senior Officials Committee in
consultation with the National Skills Standards Council, VET regulators, Industry Skills Councils, VET
representative organisations and registered training organisations. This review will consider reporting
timeframes, the exemption settings and the efficacy of the Policy’s administration and
implementation arrangements. The outcomes of this review will be reported to the Standing Council
for Tertiary Education, Skills and Employment.
6.3 VET regulators will be responsible for ensuring registered training organisations collect and report
nationally recognised training activity data in accordance with this Policy.
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POLICY AND PROCEDURE MANUAL 2013 90
Glossary
Authenticated VET
transcript
AVETMISS
Client File
Enterprise registered
training organisation
Full AVETMISS data
National Senior
Officials Committee
National VET Provider
Collection
Nationally agreed
nominal hours
Nationally recognised
training
Registered training
organisation
Has the same meaning as in the Student Identifiers Bill 2013, and if enacted, the resulting Act.
For the purposes of this policy, AVETMISS is only used to refer to the Australian Vocational
Education and Training Management Information Statistical Standard (AVETMISS) for VET providers
which is the data standard for the National VET Provider Collection. This Standard details the
requirements for providing nationally consistent VET data on VET students and courses,
apprenticeships and trainees and VET in schools.
AVETMISS is updated from time to time. Data which complies with the most current version is
required for the purposes of complying with this Policy.
Further information about AVETMISS is available on the National Centre for Vocational Education
Research’s (NCVER) website, www.ncver.edu.au.
AVETMISS requires the submission of a number of different files dealing with different aspects of
the training activity (for example, information about the registered training organisation, its
delivery locations and its clients). One of these files is the Client File. The Client File enables the
submission of a range of non-identifying demographic information about a client. It captures data
in a number of fields (for example age, sex, Indigenous status, prior educational achievement and
so on).
Where a partial Client File can be submitted on a client, registered training organisations should
use the ‘not specified’ value for any data field for which information is not collected from the
client.
Is a registered training organisation that is registered on the national register, Training.gov.au, as
an enterprise registered training organisation and which only delivers nationally recognised training
to the organisation’s own personnel (employees, contractors or volunteers) and is not a registered
training organisation delivering vital community services as defined below.
Full AVETMISS data refers to the information that needs to be collected to provide meaningful
content for all of the data fields in each of the files that make up a full AVETMISS submission. The
expectation is that registered training organisations will seek the full set of AVETMISS data from
their clients, including all the demographic fields of the Client File. The National Centre for
Vocational Education Research provides a series of questions for use during the enrolment process
which will assist with the collection of compliant demographic information, which is available on its
website, www.ncver.edu.au.
Means the administrative arm of the Standing Council on Tertiary Education, Skills and
Employment (SCOTESE) that is responsible for supporting SCOTESE, implementing SCOTESE’s
decisions, driving national collaboration on tertiary education, skills and employment matters and
monitoring the effectiveness of the national tertiary education, skills and employment system or its
successor.
Membership of the National Senior Officials Committee is comprised of Chief Executive Officers of
the Commonwealth, State, Territory and New Zealand Government Departments responsible for
tertiary education, skills and employment.
The National VET Provider Collection is the culmination of the training activity data supplied by
registered training organisations on VET students and courses. The collection is managed by the
National Centre for Vocational Education Research.
Means the median value assigned to the unit of competency of accredited module by state and
territory governments that nominally represents the anticipated hours of supervised learning
and/or training deemed necessary to conduct training/learning and assessment activities
associated with the unit of competency or accredited module.
Nationally recognised training refers to any Australian Qualifications Framework qualifications, skill
sets and units of competency offered by registered training organisations under the auspices of the
national system for developing industry standard training whereby industry-based training
packages are developed by the relevant industry skills council and endorsed by the National Skills
Standards Council.
Nationally recognised training also refers to accredited courses and the modules that make up
courses that have been accredited by ASQA or ASQA’s delegated body in accordance with the
Standards for VET Regulators 2011; or the state or territory course accrediting bodies or their
delegated bodies in accordance with the AQTF Standards for State and Territory Course Accrediting
Bodies.
Organisations registered by one of the VET regulators, the Australian Skills Quality Authority,
Victorian Registration and Qualifications Authority or the Western Australian Training Accreditation
Council, under the relevant legislative framework to provide nationally recognised training and
listed on the national register, Training.gov.au.
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POLICY AND PROCEDURE MANUAL 2013 91
Registered training
organisation delivering
vital community
services
Short unit or module
Stand-alone unit or
module
Standing Council for
Tertiary Education,
Skills and Employment
Training.gov.au
Student Identifiers
Agency
Unique Student
Identifier
Refers to organisations that are registered training organisations for the purpose of delivering
nationally recognised training in order to deliver vital emergency, fire, first-aid, rescue or like
services to the Australian community.
Generally means a unit of competency or accredited module that has an assigned nationally agreed
nominal hours value of eight hours or less in the National VET Provider Collection and is listed in
Appendix 1 – Short units/modules.
Generally means a unit of competency or accredited module that has been undertaken by a client
as a discrete piece of training.
Means the Standing Council for Tertiary Education, Skills and Employment (SCOTESE) is part of the
Council System supporting the Council of Australian Governments (COAG) or its successor. The
purpose of SCOTESE is to ensure that Australia’s current and future workforce needs are met
through increased participation, educational attainment, skills development and skills use to
achieve greater productivity.
The National Register for the VET sector. It holds information about training packages,
qualifications, courses, units of competency as well as details of registered training organisations
and the scope of training they are registered to deliver.
Has the same meaning as in the Student Identifiers Bill 2013, and if enacted, the resulting Act.
Means a ‘student identifier’ as defined in the Student Identifiers Bill 2013, and if enacted, the
resulting Act.
Community Services Institute of Training
POLICY AND PROCEDURE MANUAL 2013 92
Skills Queensland Guideline Number 10 - Requirements
of a training plan for an apprentice or trainee
Date of Approval
Date of Effect: 5 December 2012
Date of Last Review
-
Version Number
-
Date of Next Review
-
Access information
Accessed online: 26th August 2013 from http://www.skills.qld.gov.au/Functions/tradetraining/apprenticeship_and_traineeship_regulation/regulatory_guidelines.aspx
1
AUTHORITY
Section 149(1)(h)(i) and 152(A) of the Vocational Education, Training and Employment Act 2000
2
REGULATION
Vocational Education, Training and Employment Act 2000 – Chapter 1, Part 2, section 13(1) and Chapter 3,
Part 3, Division 2
Vocational Education, Training and Employment Regulation 2000 - Part 3, Division 2, Sections 17-19
3
RESPONSIBILITY
A function of Skills Queensland under sections 149(1)(h)(i) of the Act in the registering and regulating of
training contracts is to advise the Minister on policy, and recommend guidelines, for training requirements
for apprentices and trainees.
4
DELEGATION
Nil
5
DESCRIPTION OF GUIDELINE
The Act requires each employer, apprentice or trainee and the supervising registered training organisation
(SRTO) to develop and sign a training plan through negotiation.
The training plan for an apprentice or trainee must contain the information prescribed in the Act and the
Regulation.
1) The training plan shall identify:
 The purpose of the training plan,
 The circumstances and process for changing the training plan,
 The training plan’s role in the completion process for an apprenticeship or traineeship
 Whether training delivery for individual competencies will be in the form structured training
and/or workplace tasks
 The responsibility of each party for the recording of the training undertaken in the apprentice’s or
trainee’s training record.
2) The training plan will detail:
 The employer’s name (including legal name) and contact details;
 The Apprentice’s/Trainee’s name and date of birth;
 The title of the Apprenticeship/Traineeship,
 The SRTO’s name (including legal name) and contact details;
 The planned Commencement and Completion dates
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POLICY AND PROCEDURE MANUAL 2013 93



6
Training contract type: i.e. Full time, Part time, or School-based
The Qualification/Statement of attainment title, including level and NTIS code,
The name of each competency to be achieved, including its unit code.
3) The training plan will have provision for the parties to indicate which party is responsible for
delivery of structured training and/or workplace tasks for each competency; (e.g. providing space
for a tick and/or the insertion of a date of delivery against each listed competency).
4) The training plan will also provide for each party to acknowledge and undertake their responsibility
for participating in the negotiation, development and signing of the initial plan within the
probationary period and subsequent plans within fourteen days and their obligations in respect of
it; including:
 On the part of the apprentice or trainee – to undertake the training and to complete their training
record;
 On the part of the employer - to provide workplace tasks, and where indicated, the structured
training; as soon as possible, to support structured training by the SRTO, and to complete the
training record;
 On the part of the SRTO - the provision of RPL or recognition of skills for the apprentice/trainee; to
provide the structured training indicated as soon as possible; to give the apprentice/trainee a
training record, and to complete the training record as required under the regulation.
SUPPORTING DOCUMENTS


7
Departmental policies
Information provided on the department’s electronic information systems
SUPERSEDES

Training and Employment Recognition Council Guideline 15 with Date of Effect being 17 December
2008
 Skills Queensland guideline approved by the Hon John-Paul Langbroek, Minister for Education,
Training and Employment on 15 November 2012
Implementation date is the date gazetted of 5 December 2012
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POLICY AND PROCEDURE MANUAL 2013 94
Training plans and training records Policy and
Procedurevi
Version 11 - 11/02/2013 (Uncontrolled document when printed)
Authority
LEGISLATION
Vocational Education, training and Employment Regulation 2000 (PDF, 519KB) available on the Office of the
Parliamentary Counsel website
Section 13 - What is a training plan
Section 70 - Definition of discipline
Section 79- Employer to provide facilities
Section 80 - Employer to comply with training plan
Part 2 - Supervising registered training organisations
Part 3 - Training plans for apprentices or trainees
Section 304 - Existing decisions under former VETE Act
Section 312 - When training plan required
REGULATION
Vocational Education, training and Employment Regulation 2000 (PDF, 519KB) available on the Office of the
Parliamentary Counsel website
Section 17 - Changing training plan for an apprentice or trainee
Section 18 - Signing changed training plan for apprentice or trainee
Section 19 - Copies of signed changed training plan
Section 20 - Keeping training record
Section 21 - Falsifying training record
Associated documents:
Example of training plan
Purpose
To ensure a consistent state wide approach to the development and use of training plans and training
records.
Objectives
The objectives of this policy and procedure document are to:



Support staff in providing advice on the requirements of training plans
Support staff in providing advice on the intent of training records (books) including suggested best
practice
Ensure state wide consistency in these matters.
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POLICY AND PROCEDURE MANUAL 2013 95
Operational procedure
1. Training plans
1.1 Parties and responsibilities
The parties to the training plan (s.97) are:



The employer
The apprentice or trainee
The supervising registered training organisation (SRTO).
The parent or guardian is not a party to the training plan and so will not be required to sign or witness the
training plan or changed training plan.
A SRTO must be a party to the training plan even if does not deliver any training under the plan (s.97).
There must be a training plan for every apprentice and trainee (s.96) and, if the person is under more than
one training contract, there must be a training plan for each apprenticeship and traineeship.
The training plan must be negotiated and agreed by all the parties (s.98).
A person must not coerce or attempt to coerce a person to become a party to, or change, a training plan
(s.99).
A person must not state anything in a training plan that the person knows is false or misleading (s.102).
The SRTO must take all reasonable steps to ensure the training plan is signed by all parties by the end of the
apprentice's or trainee's probationary period (s.100).
The SRTO must ensure a copy of the signed plan is given to the apprentice or trainee and the employer
within 7 days after the parties sign it (s.101).
The parties to the training plan must comply with the training requirements specified in the signed training
plan (s.70; s.80; s.93).
1.2 Content of training plan
The training plan must contain information prescribed in Section 13 of the Act, as well as particulars
approved by Skills Queensland under Guideline 10.
1.2.1 The training plan must contain the following prescribed information:

The training to be delivered by the employer and (where it is agreed that training is to be delivered
by an SRTO) by the SRTO
o Structured/off the job training must be conducted by a trainer who meets the
requirements of the Standards for NVR Registered Training Organisations. In the majority
of cases this would be the SRTO, however in a small number of instances an employer may
be suitably qualified, or the SRTO and employer might conduct the training in partnership.
The column on the training plan example titled 'Responsibility for Structured Training'
would indicate if it is the SRTO, employer, or a partnership arrangement against each unit
of competency.
o On the job training would be conducted by the employer, however in instances where the
employer does not have the necessary range of work or facilities for a particular unit of
competency, either a temporary assignment needs to be arranged to place the apprentice
or trainee with another employer or, provided the training package permits, the unit may
be done in a simulated environment. The column on the training plan example titled
'Responsibility for on the job training / workplace tasks' would indicate if it is the
employer, a simulated environment or a temporary assignment against each unit of
competency.
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POLICY AND PROCEDURE MANUAL 2013 96

Where there is training delivered by an SRTO, the training plan will state the maximum period that
the training will take
o Information provided would include the training contract start date, and the expected
completion date (refer to Part 1.2 of the Training Details section of the training plan
example). Where a qualification has an expected duration, this would be the information
used to calculate the expected completion date. In instances where no expected duration
exists, the nominal term would be used to calculate the expected completion date. Please
note that irrespective of the expected duration or nominal term, competency based
training still applies and apprentices/trainees may complete in a shorter or longer time
frame than originally planned.
 The qualification or statement of attainment to be issued on completion of all the training in the
training plan.
o Note- all apprentices and trainees would be issued a qualification on completion. The
requirement to issue a statement of attainment on completion as per the VETE Act 2000
related to accredited courses which have now been superseded by training packages.
1.2.2 In addition a training plan shall identify:



the purpose of the training plan,
o The purpose of a training plan is to document the negotiations regarding:
 the training to be undertaken (i.e. the units of competency required for the
qualification including the unit code and unit name),
 the sequence the training will follow (taking into account when the on the job
experiences will be occurring in the workplace, as well as pre-requisites and/or corequisites if applicable),
 who provides the training (refer to dot point one above in 1.2.1),
 how training will be delivered (e.g. Delivery Modes as per AVETMISS reporting
requirements),
 when training will be delivered (i.e. a training plan shall list planned start and end
dates against each unit of competency. The start date must represent when
structured training is expected to commence for each unit of competency, and
the end date must represent when the student is expected to be deemed
competent in each unit of competency. These details should be completed for at
least the first 12 months of structured training. At any given time, the Training
Plan should indicate unit start and end dates for structured training for a twelve
month period, and
 where structured training will occur (providing training address details will inform
the parties whether structured training will be occurring at the SRTO's premises,
at the workplace, or at another venue).
the circumstances and process for changing the training plan,
o A training plan can be changed if all the parties to the training plan agree, and the
qualification to be issued to the apprentice or trainee on completing the training under
the changed plan is the same as would have been issued under the original training plan.
o When the parties to a training plan agree to change the training plan they must sign the
changed training plan. The SRTO must take all reasonable steps to ensure that the
changed training plan is signed within 14 days after agreeing to the change.
o The SRTO must ensure that a copy of the signed changed training plan is given to the
apprentice or trainee and the employer within 7 days after the parties sign it.
the training plan's role in the completion process for an apprenticeship or traineeship,
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POLICY AND PROCEDURE MANUAL 2013 97
When the structured training, on-the-job training and formal assessment has been
completed for each of the units listed on the training plan and the apprentice/trainee
deemed competent in each unit, the apprenticeship/traineeship is to be completed
(note- school based apprentices/trainees must also have completed the necessary
requirements as per the school based apprenticeships and traineeships policy).
 whether training delivery for individual competencies will be in the form of structured training
and/or workplace tasks
o Note- all current apprenticeships and traineeships require both structured training and
workplace tasks. In a small number of instances the employer may not be able to provide
the workplace tasks for a specific unit of competency, in which case either a temporary
assignment needs to be arranged to place the apprentice or trainee with another
employer or, provided the training package permits, the unit may be done in a simulated
environment.
 the responsibility of each party for the recording of the training undertaken in the apprentice's or
trainee's training record.
o The employer and/or the SRTO must update the training record with the training that has
been completed, at a minimum, every 3 months.
Will detail:
o

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
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


the employer's name (including legal name) and contact details;
the Apprentice's/Trainee's name and date of birth;
the title of the Apprenticeship/Traineeship;
the SRTO's name (including legal name) and contact details;
the planned Commencement and Completion dates;
training contract type: i.e. Full time, Part time, or School based;
the Qualification/Statement of attainment title, including level and code;
the name of each competency to be achieved, including its unit code.
Will have:

provision for the parties to indicate which party is responsible for delivery of structured training
and/or workplace tasks for each competency.
o Refer to dot point one in 1.2.1 above
Will provide:

for each party to acknowledge and undertake their responsibility for participating in the
negotiation, development and signing of the initial plan within the probationary period and
subsequent plans within fourteen days and their obligations in respect of it; including:
o on the part of the apprentice or trainee - to undertake the training and to complete their
training record;
o on the part of the employer- to provide workplace tasks, and where indicated, the
structured training; as soon as possible, to support structured training by the SRTO, and to
complete the training record;
o on the part of the SRTO- the provision of RPL or recognition of skills for the
apprentice/trainee; to provide the structured training indicated as soon as possible; to
give the apprentice/trainee a training record, and to complete the training record as
required under the Regulation.
1.3 Format for training plans
An SRTO may use any format in a training plan provided the format covers, as a minimum, all the
mandatory information under Section 13 of the Act and Guideline 10 approved by Skills Queensland (see
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POLICY AND PROCEDURE MANUAL 2013 98
sections 1.1 and 1.2 above.)
In addition, a best practice training plan would include:

Assessment Details
o A training plan may list the range of assessment methods that will be used for each unit
of competency. The training plan template example gives a range of assessment
methods; however an SRTO should customise this information to suit its organisational
processes.
2. Changing and preparing a new training plan
2.1 Changed training plan with the same SRTO
The parties to a training plan (original training plan) may change the training plan only if all parties agree
and the qualification to be issued under the changed training plan is the same as would have been delivered
and issued under the original training plan (refer to Section 17 of the regulation.)
The SRTO must take all reasonable steps to have the parties sign the changed training plan within 14 days
after the parties agree to the change.
The SRTO must ensure that a copy of the signed, changed training plan is given to the apprentice or trainee
and the employer within 7 days after the parties sign it.
2.2 New training plan with same SRTO
The parties to a training contract may agree to an amendment to the contract that, upon approval, would
require a new training plan. For example: a change to the qualification.
2.3 New training plan required with a new SRTO
The parties to a training contract (including the guardian) may agree to replace an SRTO with another SRTO,
using the process in Section 94 of the Act.
The training contract does not become void if the SRTO is replaced. The department must be advised in
order to update the DELTA record.
The replaced SRTO must give the apprentice or trainee a statement of attainment stating the training
completed under the training plan up to the "replacement day" (the day stated in the notice when the
replacement becomes effective) (s.95).
When there is a change of SRTO, a new training plan must be drawn up and signed by the parties within 14
days of the effective "replacement day" (s.100).
3. Training record
The SRTO is responsible for providing each apprentice and trainee with an appropriate training record which
must be issued within 14 days of the parties signing the training plan (s.20 of the Regulation).
The training record may be kept in any way the SRTO considers appropriate. For example, the training
record may be a printed booklet or may be provided electronically.
Under an apprenticeship or traineeship the SRTO has an obligation to provide any necessary structured/offthe-job training, and the employer has an obligation to provide the necessary training in the workplace (onthe-job/workplace tasks). The purpose of a training record is to record this training.
Once the apprentice or trainee has undertaken structured/off-the-job training in the underpinning
knowledge and skills relevant to a unit of competency, the SRTO must, at reasonable intervals of not more
than 3 months, update the training record.
Once the employer supports that the apprentice or trainee has consistently demonstrated competent
performance in the workplace tasks relevant to a unit of competency (i.e. the on-the-job training
component), at reasonable intervals of not more than 3 months, the employer must update the training
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POLICY AND PROCEDURE MANUAL 2013 99
record.

The SRTO must provide training to the apprentice or trainee of the underpinning knowledge and
skills to enable the apprentice or trainee to apply that knowledge and skills to the workplace tasks
associated with the unit of competency.
 The employer must ensure that the apprentice or trainee has learnt and practiced the workplace
tasks associated with the unit of competency to industry and company standards.
A best practice training record would not only record the relevant information from the training package for
the qualification such as the units of competency and elements, but also record the required workplace
tasks expected of the apprentice or trainee.
A training record would include signatures and dates for each unit of competency.

Employer's signature- supports that the apprentice or trainee is competent in the workplace for
the unit of competency to industry and company standards. On the occasional instance that a
workplace cannot offer the full range of work required for the qualification it is possible for the
employer and SRTO to agree that a unit of competency can be undertaken either through a
temporary assignment or, provided the training package permits, in a simulated environment that
effectively mirrors the workplace requirements. In instances where the unit is simulated, the SRTO
would sign the training record.
 Apprentice's or Trainee's signature- supports that he/she agrees he/she has the ability to
competently perform the workplace tasks for the unit of competency.
 SRTO's signature- supports that structured/off the job training in the underpinning knowledge and
skills has been completed.
The apprentice or trainee must keep the training record in their possession except when it is required for
inspection or updating.
The SRTO and employer must give reasonable notice to the apprentice or trainee of the requirement to
produce the training record.
The apprentice or trainee must produce the training record when required.
Once the apprentice or trainee has acquired the underpinning knowledge and skills (i.e. completed the
structured/off-the-job component), and the employer is satisfied of the apprentice's or trainee's
competence to industry and company standards (i.e. completed the on the job component/workplace
tasks), the SRTO is responsible for making a judgement on whether competency has been achieved by
undertaking an assessment process.
An SRTO must not award competence or, for those under a pre-qualified supplier agreement, report a 20 or
30 AVETMISS Outcome Identifier Code, until the structured/off the job training has been delivered, the on
the job component has been achieved, and assessment has occurred.
Authorisation
The information in this document accurately reflects the policy and procedures that apply to the obligations
of the parties to the training plan and training records.
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POLICY AND PROCEDURE MANUAL 2013 100
References
i
The AASW Social Work Education and Accreditation Standards (2010) sets out the principles, standards and graduate attributes for social
work education in Australia. These can be found online at: www.aasw.asn.au/document/item/3136
ii
Adapted from the AASW Code of Ethics, 2010: Preamble
iii
Accessed online from: www.nssc.natese.gov.au/policies/determination_for_trainer_and_assessor_competencies 18.7.2013
iv
Direct supervision with a qualified person is defined as the following: A qualified person designated to train the trainee is required to be
permanently engaged at the same workplace as the trainee and be predominantly employed during the same working hours as the trainee.
The definition of a qualified person is available in the "adequate training arrangements" policy.
v
Elements of this Policy unrelated to CSIT operations have been removed. Refer to the web address for the complete document.
vi
Accessed online from http://training.qld.gov.au/about/vet-policies-procedures/apprenticeships-traineeships/procedures/training-plansrecords.html 1.9.2013