The RTO Compliance Manager is responsible for the contents of this document
Thank you for choosing Aviation Safety Institute Pty Ltd, we look forward to working with you to achieve your training and career goals.
Aviation Safety Institute Pty Ltd is committed to providing high quality standards of vocational education and training, we aim to provide a happy, friendly atmosphere in which to learn.
Aviation Safety Institute Pty Ltd will ensure that you will receive the opportunity to fulfil your personal potential during your training and every endeavour will be made by staff to accommodate the training to meet your individual needs.
It is important to keep this handbook on hand during your training, as it will provide additional guidance as you progress throughout your training. In this handbook, you will find information about Aviation Safety Institute Pty Ltd’s policies and procedures, together with forms and documents that you may need to refer to and/or complete.
If you have any suggestions on how we can improve our Policies and Procedures, please complete an “Opportunity For Improvement” form and submit to the RTO Manager.
We sincerely hope your time at Aviation Safety Institute Pty Ltd is a memorable and productive learning experience.
If you require any assistance with understanding these Policies and Procedures, please do not hesitate to ask your trainer for assistance, who can explain the process further.
Chief Executive Officer
4.Code of Practice (TS).
Aviation Safety Institute Pty Ltd is responsible for compliance of training and/or assessment, the Chief Executive Officer and Senior Management will ensure that the operations, staff and students of the RTO complies with the requirements of the Standards for Registered Training Organisations and the VET Quality Framework, which includes the following:
- the Standards for Registered Training Organisations 2015
- the Australian Qualifications Framework
- the Fit and Proper Person Requirements
- the Financial Viability Risk Assessment Requirements
- the Data Provision Requirements.
Aviation Safety Institute Pty Ltd will ensure that compliance applies across all of its operations within the registered training organisation’s scope of registration, as listed on the National Register (http://www.training.gov.au). (5.2)
Aviation Safety Institute Pty Ltd has policies and procedures in place for ensuring compliance with the VET Quality Framework, which are distributed to Staff and Students as part of their induction process, these policies and procedures include how the RTO will comply with the following:
Standards for Registered Training Organisations 2015
- Standard 1 – Training and Assessment
- Learners benefit from high-quality training that equips them for employment and/or further study in their chosen field.
- Learners are confident they hold the skills and knowledge their certification describes and are well-equipped to undertake relevant tasks safely and productively.
- Graduates have enhanced employment prospects because employers are confident in their abilities.
- Standard 2 – Quality Assurance Strategies
- Learners are confident that the quality of training is monitored to ensure it meets their needs and the needs of employers.
- Standard 3 – Certification
- Learners receive certification that clearly documents their skills and knowledge in a timely manner.
- Standard 4 – Marketing
- Learners can make informed choices that the RTO has training that meets their needs with clear and accurate information including information about the performance of the RTO
- Standard 5 – Students rights and obligations
- Learners can make informed choices about the RTO and the training program that best suits their needs
- Learners know who is delivering their training and who is issuing any qualification or statement of attainment
- Learners are aware of their rights and responsibilities
- Standard 6 – Complaints and appeals
- Learners have any concerns about their training or assessment addressed promptly and equitably
- Standard 7 – Governance
- Learners know their provider is stable and well-governed, so are confident it will continue to operate and be properly resourced to deliver training
- Learners know that their exposure to financial loss is limited in the case of a provider closing or not being able to provide the training
- Standard 8 – Compliance with legislation
- Learners are assured that our RTO is monitored by a regulator that has accurate, up-to-date information about the provider
- Learners are confident our RTO complies with relevant legislation and regulatory requirements
- Learners are aware of requirements that relate to their training
- Learners can make informed choices about the RTO using accurate and up-to-date information
Australian Qualifications Framework:
- Adhere to the requirements of the AQF Qualifications Issuance Policy
- Adhere to the requirements of the AQF Qualifications Pathways Policy
Fit and Proper Person Requirements
- All senior management, or persons who would have a significant impact on the RTO, are required to complete and submit a Fit and Proper Person form to the National VET Regulator
Data Provision Requirements
- Collect and store student and training records within an AVETMISS compliant Student management System (DPR 4)
- Collect data on behalf of the National VET Regulator against the AVETMISS requirements (DPR 4.1)
- Collect data on behalf of the National VET Regulator against the Quality Indicators (DPR 6)
- Submit annual reports to the National VET Regulator on data collected (DPR 7)
Working with Children Check
- All Trainers and Assessors are required to undertake a Working with Children Check prior to commencing training and assessment if they will be delivering training and assessment to students under the age of 18 years.
5.Continuous Improvement Strategy (S).
To ensure that we are systematically monitoring our systems, we have implemented a continuous improvement strategy, this strategy includes:
- Types of stakeholders
- Types of data collected
- Mechanisms for collecting data
- The timing of the data collection
- How data will be analysed
- Who is responsible
- How the data will be acted upon
- Implementation of improvements
- Monitoring of data
The strategy includes a list of stakeholders from which we will collect data, this is also mapped against each form within the RTO to identify who the key stakeholders are.
6.Your Responsibilities as a Student
All students are provided with information about the course structure, the training and assessment strategies and the assessment tasks or evidence required demonstrating to demonstrate that the student is competent.
Competency assessment processes
There are three types of assessments that occur at different stages for each unit.
- Initial assessments to identify what competencies you already have. (Overall self assessment.) This occurs during induction/orientation.
- Progressive assessment during training to provide feedback about your progress and to identify any outstanding unit and/or element you need to focus upon.
- Final assessments, which are delivered when the trainer decides the student is ready.
How are competencies assessed?
Assessment may attract both direct (show and tell) and indirect (show, tell and apply) assessment methods. This means that you will be required to produce evidence and/or demonstrate your skills and apply related knowledge associated with that unit of competency.
While demonstration of skills can be seen, underpinning skills such as problem solving, working in teams and understanding etc. can only be assessed through indirect and supplementary assessment. This is often undertaken through projects, case studies, third party reports, written and oral questions.
The level of your performance is assessed against national standards. This means that the evidence you provide and the competencies you demonstrate must meet the standard of performance already set.
During assessment your assessor reviews your evidence and observes the demonstration of your competencies. The Assessor records your evidence and/or demonstrations as “C” – Competent or “NYC” – Not Yet Competent”. Competencies are not ‘scaled’ or ‘marked’.
Broadly it’s simply a matter of whether you are competent (‘C’) or not yet competent (‘NYC’) to demonstrate your skills and provide supporting evidence to the performance standard unless you have been issued with an Recognition of Current Competencies or Recognition of Prior Learning.
If your evidence fails to demonstrate the level of competency for any unit or Performance criteria appropriate to the qualification the assessor can design a flexible training plan /pathway.
What if you successfully demonstrate competencies in some areas and not in others?
If you are enrolled in a qualification and can only demonstrate competencies in some and not all Units of Competency (UOC) a certificate for the qualification cannot be issued, you will however receive a Transcript for all completed units.
This recognition is a Statement of Attainment and Transcript will identify the qualification name, units of competency and national identification number.
If you elect to continue and complete the full qualification or any outstanding units your assessor will work with you on a training pathway and develop a plan for completing your course of study.
7.Your Trainers Responsibilities (S)
- Your Trainer will provide clear instructions about what is expected from you during your training and will explain the assessment process in further detail.
- Training may consist of group/action learning activities and projects, self-paced learning, assignments, case studies, presentations, discussions, workbook activities, research and reports etc. Each unit of competency is clearly outlined and indicates what is expected of you during the learning phase.
- To ensure a safe learning environment.
- To ensure they are kept up-to-date with current industry requirements, according to their industry being taught and the training industry.
8.Strategies to Engage Employers (S).
Strategies to engage employers and other parties, such as third party supervisors, are outlined below:
- During the Development of Training and Assessment Strategies, through interviews and requesting that they review our Training and Assessment Strategies
- When utilising employers and supervisors during traineeship visits or Work Placement to identify whether our training is meeting their needs
- Meeting with employers and supervisors to identify if training outcomes are meeting industry needs
- Conducting QI Employer Surveys and Training Evaluations to identify that skills and experience of our trainers and assessors meet industry needs.
Following is an outline of how the RTO ensures that the contribution by employers and other parties are incorporated into training and assessment:
Prior to placing a qualification onto the RTO’s Scope of Registration or prior to implementing new assessment tools, changes to existing training products; the RTO engages employers and other parties in the development of the Training and Assessment Strategies by undertaking industry consultation and industry surveys to identify employer/industry needs.
- Delivery and Monitoring
Employers and other parties may be required to contribute to the delivery and assessment of training, this could include providing:
- Third Party Reports: whereby a supervisor may be required to provide feedback on the students’ progress in the workplace.
- Traineeships: whereby an employee of the company, where the student is undertaking a Traineeship, is required to supervise a student in the workplace.
- Work Placement: whereby the student undertakes work placement with an organisation as part of their qualification completion requirements.
In order to undertake assessments the Assessor must hold the relevant Vocational and Training qualifications, as per the requirements set out in Clause 1.13, this includes employees/contractors of the RTO and employees/contractors of any other organisation.
All assessments, including Third Party Reports, Work Placement and Traineeships, are to be finalised and signed off by a qualified Assessor of the RTO.
The RTO maintains evidence that we have consulted with industry stakeholders through the following methods:
- The RTO has in place an Industry Consultation Folder, which includes evidence of consultation including copies of Industry Surveys
- Once a month we hold Quality and Compliance Meetings, at this meeting one of the agenda items is Industry Consultation, a record of meetings with industry is minuted at this meeting
9.Training Evaluation Form - Student (TS).
The purpose of the Training Evaluation Form is to collect feedback from students on the delivery of training and assessment, including training facilities, the trainers’ skills and knowledge, as well as feedback on the resources utilised for delivery of training, and overall satisfaction ranking with the course.
At the mid-way point and completion of each training program a Training Evaluation Form is to be handed out to the participants for completion. The Training Evaluation Forms are to be collected and the relevant trainer will prepare a summary of the evaluations to be given to the RTO Manager for reviewing at the monthly Quality and Compliance Meetings.
In addition to training evaluation, the RTO will conduct random surveys and interviews with industry leaders, clients, students and other community bodies to identify future needs in training.
The RTO Manager will report both positive and negative feedback to the relevant people for discussion. Feedback regarding delivered programs is to be discussed with the trainer that delivered the training with positive feedback being acknowledged. These discussions are to assist in the revision and adjustment of training material and delivery methods and enable to trainers professional development.
Any complaints or issues that are identified from feedback are to be recorded in an Opportunity for Improvement Form for action. Once action has been taken the Opportunity for Improvement Form is to be filed into the Opportunity for Improvement Register. Forms filed into the folder are reviewed at the monthly Quality and Compliance Meetings.
Trainers are to provide feedback on training through the Trainers Report.
10.Language, Literacy, Numeracy (LLN) (TS).
LLN support is available to provide students with advice and support services in the provision of language, literacy and numeracy assessment services. Student’s needing assistance with their learning should be identified upon enrolment. Trainers and staff within the RTO can provide students with support to assist the student throughout the learning process.
Language, Literacy and Numeracy skills are generally included and identified in Training Products and accredited course programs. In identifying language, literacy and numeracy requirements, students’ are required to have basic skills in:
- Count, check and record accurately
- Read and interpret
- Estimate, calculate and measure
All students undertaking training are required to undertake an LLN Assessment, unless the student currently holds a Certificate III qualification or above, or can demonstrate equivalent industry experience.
Process for LLN Assessment:
- RTO to distribute LLN Assessment prior to course commencement, this may be at an information session for full qualification training, or before the session has started for short courses (single units and/or skill set).
- Student to complete the LLN Assessment
- An Assessor who holds the TAELLN411 – Address adult language, literacy and numeracy skills unit from the Certificate IV in Training and Assessment qualification, will review the LLN Assessment using the LLN Assessment Tool – Assessors Guide to identify any difficulties the student may have experienced in completing the tool
- Determine from the LLN Assessment tool, using the “How to determine the support required for the learner” section at the back of the LLN Assessment Tool – Assessors Guide to determine the level of support the student may require to complete the training and assessments.
- If the student has demonstrated that they have the skills to commence training, determine whether any adjustments should be made to the training to meet the needs of the student (i.e. assistance with writing etc.). If adjustment to training is required complete a Training Adjustment Plan as per the policy and procedure set out on page 52
- If the student does not have the skills required to complete training and assessment, determine whether the student needs to be redirected to Language, Literacy and Numeracy Training. (i.e. The Reading Writing Hotline http://www.literacyline.edu.au/)
- Trainers are required to monitor student progress to identify needs on an ongoing basis, through assessment tools and course participation, to determine whether further assessment or assistance is required
- If a Trainer identifies any LLN barriers they are required to notify the RTO Manager as soon as possible so that further assistance can be provided
- If required the student may be referred to a third party if the RTO is unable to assist with any barriers to learning. Please refer to the Support Services policy and procedure on page 50 for the process on how to refer a student to support services.
The LLN Assessment Tool may be replaced by an industry specific tool, i.e. it may be replaced by the Community Services and Health Industry Skills Council Practice Activity Quiz, if required.
10.1.LLN Assessment Process (TS).
11.Support Services (TS).
The RTO caters to diverse client learning needs and aims to identify and respond to the learning needs of all students. All students are encouraged to express their views about their learning needs at all stages of their learning experience from the initial enrolment and induction stage.
The RTO is committed to providing students requiring additional support, advice or assistance while training. To achieve this and to ensure the quality delivery of training and assessment, the RTO provides support services to improve and extend training outcomes. Students are advised to make an appointment with their trainer in the first instance, if required the student can then schedule an appointment with the RTO manager to discuss support services.
Additional support services include:
- Learning Support
- Assistance when applying for RPL or credit transfer
- Whether or not specialist support equipment or personnel is required
- Whether or not any reasonable adjustments need to be applied to suit the candidate context
- Briefings on the assessment process, may be written or verbal. If verbal, must be looked up in writing
- Provision or access to assistive technology
- Additional tutorials to assist with learning
- Assistance in using technology
- Adjustment to equipment (i.e. change of study to support a student with a bad back)
- Referral to LLN assistance
- Referral to counselling services
- Grievance /conflict resolution
- Stress management
- Access and equity issues
- Client welfare and support
Genuine difficulties for a learner to complete a program in the allotted timeframe are to be brought to the attention of the RTO manager at the first available opportunity.
Services are monitored and improved through Opportunity for Improvement and the Quality and Compliance Meetings.
Refer to page 44 for the policy on how the RTO identifies client needs, and delivers services to meet those needs.
11.1.Support Services List (S).
The Support Services List provides a list of support services available to students through referral, please refer to the list to identify the most appropriate service for the students. This list is provided on the back of the Student Handbook and includes website addresses and phone numbers to access these services.
If a student is unsure of the service that they require, they should contact their trainer or the RTO Manager to discuss further.
12.Assessment Cover Sheet (S).
The Assessment Cover Sheet is to be provided to the student to complete and attach to their completed Assessment Tasks prior to submission to their Assessor. The cover sheet provides a mechanism for the student to sign a declaration that the work submitted is “all their own work” and that they have kept a copy of their assessment task for their reference. The cover sheet also provides a mechanism for the assessor to provide feedback to the student as well as their result for work completed. A copy of the Assessment Cover Sheet is provided on the back of the Student Handbook.
13.Training Product Requirements (TS).
Assessment tools are developed or purchased for each course that maximises assessment opportunities and meets the specific needs of the industry. All assessors will be provided access to the relevant Training Product.
At present, all Training Products have been or will be going through a review, due to this transition there are two formats for Training Packages, this includes “Old Training Package Format” and the “New Training Package Format”.
Assessments are to be based on the requirements set out in the Training Product as follows:
|Old Training Package Format||New Training Package Format|
§ Evidence guide
§ Assessment guidelines
§ Units of Competency
§ Critical Aspects
§ Performance criteria
§ Range Statement
§ Assessment Requirements
§ Assessment Requirements
§ Companion Guide provided by the ISC
§ Foundation Skills
Assessments are to be developed in consultation with industry to ensure that it meets the requirements of the workplace.
Purchased assessment tools should be contextualised to suit particular methods, learner profiles, enterprise equipment requirements to meet the needs of the RTO’s Target Audience.
Sub-contractors may, on occasion, be contracted to develop assessment tools, which are to be validated by a minimum of two assessors.
14.Recognition of Prior Learning (TS).
All students are eligible to apply for Recognition of Prior Learning and are advised of this on the back of the Enrolment Form and on the course flyer.
Recognition of Prior Learning is granted as a result of identifying and assessing previous and current informal education and training, work experience and/or life experience and knowledge. Previous learning and the evidence supplied is measured against pre-determined performance standards contained within the Units of Competency.
To prepare for recognition of prior learning the student should indicate their decision to apply for recognition as soon as possible after the induction and orientation program. Following is the process for preparing for recognition of prior learning:
In consultation with the trainer/assessor the student should:
- Decide which units are to be recognised
- Provide an Evidence Portfolio in line with agreed evidence plan
- Undertake peer assessment or third party evidence
- Be prepared to ‘show, tell and apply’ skills and knowledge
Evidence for recognition of prior learning may include any of the following:
- Performance, demonstration, or skills test/assessment
- Workplace or other pertinent observation
- Oral presentation
- Portfolio, logbook, task book, projects or assignments
- Written presentation
- Interview and questions
- Video, photographic (endorsed) evidence
- Competency conversations (focusing on key points to look for in responses)
Students will initially be assessed against the performance criteria and critical aspects of evidence for each unit of competency within the Training Product.
RPL applicants must demonstrate their claim for competency in sufficient detail to enable the assessor to make clear judgements.
Students are required to sign an RPL Assessment Kit, which outlines the requirements of the evidence required for proof of competency. Assessors will develop an Assessment Plan to enable a portfolio to be developed.
14.1.RPL Kit (S).
The RPL Kit is to be completed by students who wish to be given recognition for skills and knowledge that they may currently hold within a field or industry. The application process requires the student to provide evidence of, or demonstrate, their current ability to perform the requirements of each of the performance criteria within the unit of competency of a qualification.
Following is the process for applying for RPL using the RPL Kit:
- Student to contact the RTO and advise that they wish to apply for RPL using the RPL Kit
- RTO to supply the RPL Kit and explain the process for RPL
- RTO to allocate an Assessor to contact the student to ensure that they understand the requirements of the evidence to be supplied
- Student to submit to the Assessor all the required evidence and the completed RPL Kit
- Assessor to review the RPL Kit and determine whether the student has the required skills and knowledge against each Unit of Competency
Once the eligibility of the student has been determined by the Assessor, the kit is to be forwarded to the RTO for Certificate issue.
15.Work Placement (S).
There are two main types of Work Placement requirements, firstly there is the Compulsory Work Placement requirement and secondly it may be a requirement by the RTO that the student undertakes work placement as a key component of their training to assist them to gain employment upon completion or to provide a simulated workplace environment. For Compulsory Work Placements, students may be required to complete a set number of hours in order to meet the minimum requirements of a qualification according to the Training Product requirements.
16.Student Responsibilities (S).
The RTO has a responsibility to protect members of the public (and the students themselves) from being harmed by students taking part in workplace or simulated workplace learning. If there is evidence that your skills or behaviour could present a risk to yourself or other people in the workplace, you may not be allowed to participate in a work placement, at least for a period of time.
To help you understand your responsibilities in the workplace, you will be given a code of practice, which indicates expected standards of behaviour. Your trainer will explain to you and your workplace supervisor the range of duties for which you have the skills and knowledge. You must not carry out duties other than those indicated by your trainer.
You need to take particular care if workplace clients are people who may be in vulnerable circumstances – for example, people who are frail, children, young people, and people with a disability or people who are receiving a type of service which may put them in vulnerable circumstances (e.g. massage therapy or nursing care).
A Working with Children Check must be signed by a student in courses where contact will be made with children and young people. Your trainer will give you more information about this, if required.
Students who have committed a breach of discipline or who are assessed as presenting a significant risk to themselves or others during work placement may be prevented from undertaking or continuing further work placement. This may mean they will not complete the course. Your trainer can provide you with more information about this policy. If you are unsure about whether it may prevent you from completing a course you should discuss the matter with your trainer. In some circumstances students may be required to undertake a Police Records Check prior to undertaking work placement, this will be identified on the course flyer if it is a requirement.
All students should refer to their trainer if they have any questions or require any assistance with regards to their work placement.
17.Supervisors Responsibilities (S).
If an employer agrees to take on a student for work placement, the employer is responsible for providing the appropriate facilities and a qualified person to support the training and supervision of the student in the workplace. Where applicable the supervisor should hold a current qualification for their role and/or skills and knowledge as deemed appropriate for their industry.
The level of supervision provided should be aimed at facilitating the successful achievement of the relevant competencies for each student. This level of supervision should be reassessed on a regular basis, by taking into account the stage of the student and the knowledge, previous experience and training the student has received in a particular area.
The Workplace Supervisor is required to provide opportunities for the student to develop their skills and knowledge and may be involved in coaching or mentoring of the student but does NOT assess the student.
The Supervisor will be required to complete a “Work Placement Supervisor’s Third Party Report” in consultation with the Assessor. The Third Party Report provides information on what the student is required to demonstrate on the job, including the required skills and knowledge for the qualification that the student is undertaking, as well as following or providing feedback on relevant policies and procedures of the workplace.
Depending on the qualification being undertaken policies and procedures may include:
- WHS Policies and Procedures
- Operation of relevant equipment used in the workplace
- Participating in workplace meetings
- Grievance procedure
- Confidentiality and Privacy
- Respecting others
- Property and resources
- Reporting procedures
The Supervisor is provided with an outline of their responsibilities within the Third Party Report, as well as the Assessor and Students responsibilities. Each “Work Placement Supervisor’s Third Party Report”, will include the relevant units that will be required to be completed in the workplace, including the responsibility of the Supervisor for monitoring the students competency against these units. This will be completed under the supervision of the Assessor from the RTO.
The Student is responsible for following the instructions of the supervisor, as well as demonstrate to their supervisor that they are competent in each of the tasks they are required to complete as part of their Work Placement requirements.
If a Supervisor requires assistance with their role as a Supervisor, they should contact the RTO Manager or Assessor, who can provide you with further assistance.
17.1.Monitoring Traineeship Supervision (S).
The State Training Services ‘guide ‘supervising your apprentice or trainee’ is provided at induction for trainee; this guide is used to explain to supervisors their role as a workplace supervisor and tips on coaching
Supervision Arrangements for Traineeships
An employer must provide the appropriate facilities and a qualified person/s to support the training and supervision of trainees in the workplace. Where applicable the supervisor should hold a current occupational licence and /or skills and knowledge as deemed appropriate for their industry.
The level of supervision provided should be aimed at facilitating the successful achievement of the relevant competencies for each individual. It should be reassessed on a regular basis by taking into account the stage of the trainee and the knowledge and previous experience and training the trainee has received in a particular task.
The Workplace Supervisor will provide opportunities for the trainee to develop skills and knowledge and may be involved in coaching or mentoring of the trainee but does NOT assess the trainee.
The Supervisor will be required to complete a third party report in consultation with the Assessor. The third party report provides information on what the trainee does on the job to demonstrate the required skills and knowledge for the qualification that the trainee is undertaking as well as following / providing feedback on relevant policies and procedures of the workplace.
Depending on the qualification being undertaken policies and procedures include:
- WHS policies and procedures
- Operation of relevant equipment used in the workplace
- Participating in workplace meetings
- Grievance procedure
- Confidentiality and Privacy
- Respecting others
- Property and resources
- Reporting procedures
17.2.Supervision Arrangements for Traineeships or Work Placement (S).
- An employer must provide the appropriate facilities and qualified person/s to support the training and supervision of trainees in the workplace. Where applicable the supervisor should hold a current occupational licence and /or skills and knowledge as deemed appropriate for their industry.
- The level of supervision provided should be aimed at facilitating the successful achievement of the relevant competencies for each individual. It should be reassessed on a regular basis by taking into account the stage of the trainee and the knowledge and previous experience and training the trainee has received in a particular task.
- The Workplace Supervisor will provide opportunities for the trainee to develop skills and knowledge and may be involved in coaching or mentoring of the trainee but does NOT assess the trainee.
- The Supervisor will be required to complete a third party report in consultation with the Assessor. The third party report provides information on what the trainee does on the job to demonstrate the required skills and knowledge for the qualification that the trainee is undertaking as well as following / providing feedback on relevant policies and procedures of the workplace.
- Depending on the qualification being undertaken policies and procedures include:
- WHS policies and procedures
- Operation of relevant equipment used in the workplace
- Participating in workplace meetings
- Grievance procedure
- Confidentiality and Privacy
- Respecting others
- Property and resources
- Reporting procedures
18.Opportunity for Improvement (TS).
A key process for managing continuous improvement throughout the RTO is through identifying “Opportunities for Improvement”, these can be improvements to Training and Assessment, Client Services or Management Systems. Examples of when Opportunities for Improvement may be identified include:
- Training and Assessment:
- Reviewing a Training and Assessment Strategy
- Feedback on Training and Assessment
- Industry Consultation
- Assessment Validation
- Internal Audits
- Client Services:
- Opportunities for Improvement
- Training Evaluation Form
- Enrolment Agreement Forms
- Internal Audit Reports
- Complaints and Appeals Forms
- Management Systems:
- Quality and Compliance Meeting minutes
- Review of Continuous Improvement Cycle
- Conducting Annual Internal Audits
All staff and students are encouraged to complete an Opportunity for Improvement Form if they identify a system, process or procedure requiring implementation or improvement.
The implementation of the actions identified in the Opportunity for Improvement Form will be reviewed and discussed at the Monthly Quality and Compliance Meetings. Following is the process for opportunities for improvement:
- An opportunity for improvement is identified
- An Opportunity for Improvement Form is completed, by outlining the details of the current weakness in the system, process, procedure or practice.
- In order to focus on the solution and not the weakness, the person who has identified the improvement is given the opportunity to also identity the “Action required for Improvement”. If they are not able to identify a solution, this will be given to the RTO Manager to resolve.
- Submit the Opportunity for Improvement Form to the RTO Manager.
- RTO Manager reviews the Opportunity for Improvement Form, and either reviews the suggested “Action required for Improvement” identified by the person who completed the form, or identifies what they believe the “Action required for Improvement”.
- The RTO Manager enters the Opportunity for Improvement into the Opportunity for Improvement Register.
- RTO Manager either then delegates the Opportunity for Improvement to be actioned by another staff member, or undertakes the Action to be completed.
- Once Actioned and finalised, the Opportunity for Improvement Form is to be filed into the Opportunities for Improvement Register.
- The Opportunity for Improvement is reviewed at the monthly Quality and Compliance Meeting. Minutes from the Quality and Compliance Meeting are distributed to all Training and Administration staff so that they can review the Opportunities identified.
In determining whether a student is competent/or not yet competent, the student is assessed against the requirements of the qualification, including the units of competencies and the performance criteria and assessment requirements within the units of competency.
Students are issued with a VET Statement of Attainment or VET Qualification once competency has been achieved, as outlined within the Training Product. The testamur for all AQF qualifications issued will identify the qualification as an AQF qualification with the words “The qualification is recognised within the Australian Qualifications Framework”.
20.Access to Records (S).
All student records, such as personal details and records of participation and progress (this includes data collected on the Enrolment Form and assessment results that are collected), are kept within a secure area (both electronic and hard files). An electronic record of each Student’s enrolment and participation is kept on the Student Management System for a period of 30 years, this record is password protected and is only accessible by employees of the RTO.
All students have the right to access their record of participation and progress within a timely manner, in order for a student to access their records they are required to forward a request in writing to the RTO. If the student wishes to provide a third party with access to their records, they should state this in their formal request in writing.
The RTO will provide, within 48 hours of receiving the written request, a transcript of the student’s participation and progress.
21.Credit Transfer (S).
AQF Certifications issued by other Registered Training Organisations (RTO) are recognised by this RTO, this enables individuals to receive national recognition of their achievements.
In order to apply for a credit transfer the student should complete the following steps:
- Complete the “Credit Transfer Form”
- Attach a certified copy of the authenticated VET transcript from the other RTO and highlight the units you wish to have applied to your current enrolment
- Submit completed “Credit Transfer Form” and VET transcript to the RTO
- The RTO in consultation with relevant trainer will review and confirm whether student is eligible for Credit Transfer (CT)
- If the student is eligible, the result of CT should be applied to the unit within the Student Database
- The RTO to advise the student in writing of the outcome of the credit transfer application:
- Student is eligible for CT and the result has been entered into the Database
- Student is not eligible for CT and the reason why
Authenticated copies are to be certified by a Justice of the peace or someone within the RTO can sight the originals and authenticate a copy.
22.Unique Student Identifier (S).
The Unique Student Identifier (USI) scheme, enabled by the Student Identifiers Act 2014, allows learners to access a single online record of their VET achievements. The scheme also allows for reliable confirmation of these achievements by employers and other RTOs.
Unless exempt, the RTO must only issue a qualification or statement of attainment to a learner after:
- The learner has provided the RTO with a verified USI, or
- The RTO has applied for a USI on the students’ behalf.
A USI gives you access to your online USI account, which is made up of ten numbers and letters. It will look something like this: 3AW88YH9U5.
A USI account will contain all your nationally recognised training records and results from 1 January 2015 onwards. Your results from 2015 will be available in your USI account in 2016. When applying for a job or enrolling in further study, you will often need to provide your training records and results. One of the main benefits of the USI is that you will have easy access to your training records and results throughout your life. You can access your USI account online from a computer, tablet or smart phone anywhere and anytime.
Do you need a USI?
You will need a USI when you enrol or re-enrol in training from 1 January 2015 if you are a:
- student enrolling in nationally recognised training for the first time, for example if you are studying at TAFE or with a private training organisation, completing an apprenticeship or skill set, certificate or diploma course; or
- school student completing nationally recognised training; or
- student continuing with nationally recognised training.
You are a continuing student if you are a student who has already started your course in a previous year (and not yet completed it) and will continue studying after 1 January 2015.
Once you create your USI you will need to give your USI to each training organisation you study with so your training outcomes can be linked and you will be able to:
- view and update your details in your USI account;
- give your training organisation permission to view and/or update your USI account;
- give your training organisation “view access” to your transcript;
- control access to your transcript; and
- view online and download your training records and results in the form of a transcript which will help you with job applications and enrolment in further training.
If you are an international, overseas or an offshore student please visit usi.gov.au for more information.
While students may create their own USI, our RTO is also able to create USIs for our students. As a part of the enrolment process we have included on the Enrolment Agreement Form a section for the student to provide their USI, if you do not have a USI in place, we can provide you with a USI Privacy Notice so that we can apply for a USI on the students’ behalf.
For more information, please refer to the following http://usi.gov.au/Training-Organisations/Documents/FactSheet-RTO-Student-Information-for-the-USI.pdf, a copy of the USI Fact Sheet is also accessible from the RTO head office.
22.1.Enrolment Procedure for USI (S).
- All clients are to complete an Enrolment Agreement Form, which includes a section for the student to provide their USI.
- RTO to verify the USI supplied by the student before visiting
- If the student does not currently have a USI, the RTO can apply for a USI on their behalf, by providing the following forms of ID to the RTO:
- Driver’s Licence
- Medicare Card
- Australian Passport
- Visa (with Non-Australian Passport) for international students
- Birth Certificate (Australian)
- Certificate of Registration by Descent
- Citizenship Certificate
- Immi Card (international students)
- Completed enrolment forms are entered into the Student Management Database creating a client record within the database
- The client record will be retained within the Student Management System with all records of attainments in an accessible format for a period of thirty (30) years.\
- Where a qualification or statement of attainment is recorded in the USI scheme, no additional records are required to be kept, as the records required will exist within the USI scheme.
23.Student Induction (TS).
The RTO has an electronic presentation in place to ensure consistency at Induction, this presentation includes relevant information on the policies and procedures of the RTO, including the students’ rights and responsibilities.
The Student Induction is to be conducted prior to course commencement, this presentation includes the following information:
- Training and Assessment arrangements; including RPL
- Selection and enrolment of learners
- Client support services
- Legislative and occupational licensing requirements
- Complaints and appeals procedures
- Course Outline, including attendance requirements
24.Enrolment Agreement Form (TS).
All students are required to complete an enrolment form prior to course commencement to ascertain contact details, Unique Student Identifier, course of interest, emergency contact details, whether there is any recognition of prior learning and to collect the relevant statistical information required for AVETMISS reporting.
The back of the enrolment form outlines the Terms and Conditions of enrolment, including student’s rights and responsibilities. Students are required to sign the back of the form to acknowledge their agreement with the RTO’s terms and conditions.
A copy of the Enrolment Agreement Form will be supplied to the learner, in line with the Australian Consumer Law requirements, prior to course commencement.
The RTO Manager is responsible for ensuring each student has completed an enrolment form prior to course commencement.
Following is a list of “Terms & Conditions of Enrolment” listed on the Enrolment Agreement Form:
- Enrolment and Selection (Clause 5.3)
- Training Guarantee (Clause 5.3)
- Consumer Guarantee (Clause 5.3)
- Course Fees, Payments and Refunds (Clause 5.3)
- Fee Protection (Clause 7.3)
- Cooling Off Period (Clause 5.3)
- Complaints and Appeals (Clause 6.1)
- Credit Transfer (Clause 3.5)
- Language, Literacy and Numeracy (Clause 1.7)
- Support Services (Clause 1.7)
- Legislative and Regulatory Requirements (Clause 8.5)
- Workplace Health and Safety (Clause 8.5)
The Enrolment Agreement Form will also include
- Confirmation that the RTO is responsible for compliance of training and/or assessment
- Confirmation that the RTO is responsible for issuance of AQF certification documentation
- Details of the RTO complaints and appeals processes (also refer Clauses 6.1 – 6.4)
- The leaner’s rights if the RTO or third party closes or ceases to deliver the agreed training and/or assessment
Each student is required to complete an enrolment form prior to course commencement. The form is to be signed by the student stating that they agree with the RTO’s policies and procedures, as outlined on the back of the enrolment form.
24.1.Enrolment and Selection (S).
- Courses are open to all adults 18 years and over, subject to individual course and licensing requirements, or upon parental/guardian permission for students under 16 years of age
- The student is responsible for notifying the RTO if they have a medical condition or disability or require assistance in their training.
- A deposit must accompany enrolment to secure a placement within a course; this fee is also the Administration Fee.
- It is the student’s responsibility to note the date, time and location of the course as advertised.
- Courses with low enrolments may be cancelled, every effort will be made to contact students, please ensure your contact details are correct.
- Requests from the student to transfer or credit their course placement due to changed personal circumstances will be considered and every effort will be made to ensure placement into an alternative course.
- If you are unable to complete your course, due to changed personal circumstances, the RTO will make every effort to ensure you are placed into an alternative pre-scheduled course.
- Students can only join after course commencement date if they meet all prerequisites. Full course fees are still payable for late enrolments.
- The RTO reserves the right to decline admission to a course, terminate a student’s enrolment in a class or change a course or tutor at any time without notice.
- Students participate in courses involving physical activity; field trips, practical demonstrations etc. and do so at their own risk. Students are covered by public liability insurance whilst working within the RTO’s premises.
25.Course Fees, Payments and Refunds (S).
- Please refer to the course flyer for information on course fees, including any required deposit; administration fees; materials fees and any other charges (if applicable).
- In line with the RTO’s Fee Protection Policy (refer to page 140) the RTO will not collect more than $1,500 prior to course commencement.
- Certificates and Statements of Attainment are issued to students who are assessed as competent in the units completed. The cost of the certificates is included in the course fees.
- Refunds may be made in the following circumstances:
- Participants have overpaid the administration charge
- Participants enrolled in training that has been terminated by the RTO
- Participant advises the RTO prior to course commencement that they are withdrawing from the course
- If the participant withdraws from a course or program due to illness or extreme hardship as determined by the RTO
- In the event that the RTO fails to provide the agreed services
- A deposit of no more than $1,500 is required prior to course commencement; this deposit is to confirm a place in the course. Please refer to the Course Flyer for the deposit amount required.
- An administration fee of $150 is required to be paid prior to course commencement which is included within the deposit fee, but may be entitled to a refund of the remaining deposit. If the student withdraws from the course at any time, they will forfeit this administration fee. If the total course fee is less than $150, then the total of the course is to be paid prior to course commencement to secure a place within the course.
- No refunds will be issued once the course has commenced
- Students are responsible for the safe storage of their Certificates and Statements of Attainment. If a student requires a reissue of their Certificate or Statement of Attainment, a certificate re-issue fee of $80 will be charged.
- If a student is deemed not yet competent on completion of training, they will be offered an opportunity to be reassessed. If a student is deemed not yet competent a second time, they will be given another opportunity for reassessment.
- If a student is required to be reassessed, they will be provided with further guidance from their trainer prior to reassessment.
- In most cases there will be no reassessment fee. If a reassessment fee is applicable, this fee will be included on the course flyer.
- If a student is deemed competent in some but not all the units of competencies required, a Statement of Attainment will be issued and the student will be given a six month period to undertake reassessment if required.
26.Cooling Off Period (S).
Students are eligible to cancel their enrolment by placing a formal notice of cancellation in writing to the RTO Manager (a letter or email is acceptable) within 10 business days of enrolment, without attracting a cancellation fee, unless the student has already commenced the training.
27.Payment Plan (S).
For fees that are more than $1,500, a payment plan will be offered on the course flyer.
A deposit to be paid prior to course commencement of up to $1,500, this includes a non-refundable administration fee of $150.
Progress Payment, to be paid following commencement, will be 50% of the remaining fees
Midway Payment, to be paid at the halfway point of the course, will be 25% of the remaining fees
Final Payment, to be paid prior to course completion, will be 25% of the remaining fees
28.Consumer Guarantee (S).
The RTO guarantees that the services provided by the RTO will be:
- provided with due care and skill
- fit for any specified purpose (express or implied)
- provided within a reasonable time (when no timeframe is set for the training).
On the Enrolment Agreement Form the supply of services states when the services will be provided and the date they will be completed. If the Enrolment Agreement Form does not include the dates, i.e. for RPL or on the job training, the RTO guarantees to supply the service within a reasonable timeframe. What is ‘reasonable’ will depend on the nature of the training and other relevant factors such as the students’ ability to complete the training and assessment.
28.1.What Happens if the Guarantee is Not Met ? (S).
In the first instance, the student should submit a complaint to the RTO identifying where the RTO has not met its requirements against the Consumer Guarantee, please refer to the Complaints and Appeals policy on page 129 for how to submit a complaint.
If a student believes that the RTO has failed to meet one or more of the consumer guarantees, he/she is entitled to a remedy – for example, a refund, a further service to rectify the problem and in some circumstances compensation for consequential loss. In line with the Complaints and Appeals process, the RTO will provide the appropriate remedy.
If the problem is minor and can be fixed, the RTO will choose how to fix the problem.
The consumer cannot cancel and demand a refund immediately, the RTO must have an opportunity to fix the problem. If the complaints process takes too long, the consumer is eligible to cancel the service and request a refund.
In the event of a major problem, and the RTO is unable to fix the training service, the consumer can choose to:
- terminate the contract for services and obtain a full refund, or
- seek compensation for the difference between the value of the services provided compared to the price paid.
A purchased service has a major problem when it:
- has a problem that would have stopped someone from purchasing the service if they had known about it
- is substantially unfit for its common purpose, and can’t easily be fixed within a reasonable timeframe
- does not meet the specific purpose the consumer asked for and can’t easily be fixed within a reasonable timeframe
- creates an unsafe situation.
The RTO is not required to provide a remedy or refund if a consumer:
- simply changes their mind, decides they do not wish to go ahead with the training
- discovers they can buy the training more cheaply elsewhere
29.Complaints Policy (TS).
Staff and students have the right to submit a complaint if they wish to express discontent against another person or a complaint against the RTOs process or system. In order to ensure that complaints are dealt with in a timely manner, we have implemented a complaints process.
This policy and procedure is relevant to all grievances arising in the following areas:
- Student wishes to raise a complaint against another student
- Student wishes to raise a complaint against the RTO
- Student wishes to raise a complaint about a Third Party
- RTO staff wishes to raise complaint about a Third Party
- Staff wishes to raise a complaint about another staff member or a student
29.1.Complaints Process (TS).
If a student, trainer or staff member is experiencing any difficulties, they are encouraged to discuss their concerns with Senior Management. RTO administrative staff will make themselves available at a mutually convenient time if a student wishes to seek assistance.
If a Student or Staff member wishes to make a formal complaint they are required to complete a Complaints and Appeals Form, which is included in the Student and Trainers Handbook. Once the form has been completed, the form should be submitted to the RTO manager for actioning.
If required, the student has the right to have a third party assist them through the Complaints Process, this may be due to language barriers or simply at the students request.
Following is the process for managing complaints:
- Formal complaint is received by the complainant to the RTO
- If not already submitted with the complaint, a Complaints and Appeals Form is competed and submitted to the RTO Manager
- A written acknowledgement of receipt of the Complaints and Appeals Form will be forwarded to the complainant following receipt by the RTO Manager
- The Complaint is discussed with all parties involved in the grievance, in order to find a solution agreeable to all parties
- Grievances should be kept confidential, in order to protect the complainants
- All Complaints and Appeals Form are to be reviewed at the monthly Quality and Compliance Meetings.
- The RTO Manager is to follow the process on the Complaints and Appeals Form for the process under “Recommended Action Required for Improvement”.
- An initial meeting should be held within 7 days
- If further investigation is required, this should be completed within 60 calendar days
- Each appellant:
- Has an opportunity to formally present his or her case
- Is given a written statement of the complaint outcomes, including reasons for the decision
- If a solution cannot be found the matter is brought before senior management for resolution, agreeable to all parties.
- If Senior Management is party to the grievance, they will not take part in any discussions or decisions made and the matter will be referred to the CEO.
- If a solution has not been reached to the benefit of all parties the complainant has the right to request a review by an independent party, who is not part of the RTO
- The RTO is responsible for acting upon the subject of any complaint found to be substantiated.
- Complaints and Appeals Forms received are to be entered onto the Complaints and Appeals Register
- If the RTO determines that the complaint process cannot be finalised within 60 calendar days the RTO Manager will:
- Confirm this in writing to the complainant, including reasons why more than 60 calendar days is required
- Will regularly update the complainant or appellant on the progress of the matter
Complaints and Appeals Forms are to be actioned by the appropriate staff member and filed into the Complaints and Appeals Register.
All Complaints and Appeals Forms are to be reviewed during the monthly Quality and Compliance Meetings and improvements are to be identified and implemented according to the Policies and Procedures of the RTO.
Should the internal process be unsatisfactory, you can lodge a complaint to the:
- National Training Complaints Hotline (http://www.industry.gov.au/skills/nationaltrainingcomplaintshotline/Pages/default.aspx) Phone: 13 38 73, Monday–Friday, 8am to 6pm nationally. Email: firstname.lastname@example.org
- Office of Fair Trading (http://www.fairtrading.nsw.gov.au).
- Australian Skills Quality Authority (http://www.asqa.gov.au/complaints/making-a-complaint.html)
29.2.Complaints Flowchart (TS).
29.3.Complaints and Appeals Form (TS).
The Complaints and Appeals Form is accessible from the Student and Trainers Handbook or a complainant can also contact the RTO to obtain a copy of the form.
29.4.Complaints Report Form (TS).
The Complaints Report Form is to be used if there is not enough room on the Complaint and Appeals Form to describe the complaint. This form is to be attached and submitted with the Complaints and Appeals Form.
29.5.Complaints and Appeals Register (TS).
The RTO has in place a register for filing completed Complaints and Appeals forms. When a complaint or appeal is received, the form collected is to be entered into the Complaints and Appeals Register and given a register number.
Complaints and Appeals that are placed into the register are reviewed and monitored each month at the monthly Quality & Compliance Meeting.
30.Assessment Appeals Policy (TS).
The student has the right to appeal on an assessment result if they believe that the result given was unfair or unjustified.
This includes Appeals arising in the following areas:
- Student disagrees with the result given by their Assessor (including Third Party)
- Student wishes to have their result reviewed by another Assessor
- Student wishes to be re-assessed for the same unit
- Student wishes to change the unit
- Student believes that they were discriminated against by the Assessor
30.1.Assessment Appeals Procedure (TS).
All students have the right to appeal any assessment decision made by the RTO if they:
- Believe that the assessment is invalid and/or
- Feel that the process was invalid, inappropriate or unfair
Before making an appeal, we ask that you discuss the matter with your Trainer/Assessor in an attempt to reach a decision.
If you are still not happy, you are then entitled to lodge a formal Appeal by completing an “Complaints and Appeals Form” within 7 days of the initial discussion. Once a formal appeal is lodged a new Assessor will be appointed in an attempt to resolve the appeal Any decision recommended by this party is not binding to either party in the dispute.
If you are still not satisfied another registered training provider in the same curriculum area will be appointed to arbitrate and reassess participants if necessary.
You have the right to a support person to be involved at all times during the appeal process.
Following is the process submitting an Appeal:
- Student receives a result for an assessment task of which they do not agree with the result
- Student completed an Complaints and Appeals Form
- The Complaints and Appeals Form is submitted to the RTO Manager
- A written acknowledgement of receipt will be forwarded to the Student confirming receipt of the Complaints and Appeals Form
- The RTO Manager will consult with the trainer/assessor and student individually
- The RTO Manager is to follow the process on the Complaints and Appeals Form for the process under “Recommend Action Required for Improvement”
- An initial meeting should be help within 10 business days
- The student will be advised of the outcome of this consultation process within 15 business days of the dispute being lodged
- If it is decided that there is a case for review, a suitably qualified, independent assessor will be employed to conduct another assessment. An assessment date will be negotiated with the student. Following the assessment, the student will be advised of the result within 10 business days
- If the student is not satisfied with any decisions made in this review process, a Review Board (which may include representatives from another RTO) will be convened to review the case again. An opportunity for Improvement Form may need to be completed in order to identify any improvements on the process that may need to be made
- All Complaints and Appeals Forms received are to be entered onto the Complaints and Appeals Register
All Complaints and Appeals Forms are to be reviewed during the monthly Quality and Compliance Meetings. If the RTO determines that the appeals process will take more than 60 calendar days, the RTO manager will notify the student in writing including reasons why more than 60 days is required. The RTO manager will regularly update the student with the process.
31.Fee Protection Policy (S).
Prepaid fees include all fees paid in advance from individual leaners and prospective students. These requirements do not apply to employers engaging the RTO to provide training/assessment to its staff.
Fees include all fees that the student is required to pay to complete the course, this includes:
- Enrolment/Administration Fees
- Tuition Fees
- Fees for materials, including text books
- Any other fee component that is a mandatory fee to complete the course
The RTO will ensure that all fees are clear and transparent on the course flyer.
All student fees will be protected by one or more of the following measures:
- Threshold Prepaid Fees
- Unconditional Financial Guarantee
- Tuition Assurance Scheme
32.Threshold Prepaid Fee (S).
The RTO requires a minimum deposit, which will not exceed $1,500 per individual student, prior to course commencement. If the full course fees are below $1,500, the full fees may be required prior to course commencement. Please refer to the course flyers for an outline of all course fees.
Following course commencement, full fees will be required to be paid by either a payment plan (if remaining fees are over $1500), or in full (if the remaining fees are below $1500) for tuition and other services yet to be delivered.
In order to protect students who prepay course fees in excess of $1500, the RTO has in place the following policies:
- If the RTO is unable to provide services for prepaid services, the RTO will place the student into an equivalent course such that:
- The new location is suitable to the student
- The student receives the full services for which they have prepaid at no additional cost to the student; or
- Students will be paid a refund of any prepaid fees for services yet to be delivered above the threshold prepaid fee amount.
33.Unconditional Financial Guarantee (S).
If applicable, the RTO may hold an unconditional financial guarantee from a bank operating in Australia where:
- The guarantee is for an amount no less than the total amount of prepaid fees held by the RTO in excess of the threshold prepaid fee amount ($1500) for each student for services to be provided by the RTO to those students; and
- All establishment and ongoing maintenance costs for the bank guarantee are met by the RTO.
34.Tuition Assurance Scheme (S).
If applicable, the RTO may have in place current membership with a Tuition Assurance Scheme approved by ASQA.
The RTO maintains public liability Insurance throughout its registration with adequate cover suitable for the RTO’s size and scope of registration, which is generally set as $10,000,000.
The CEO is responsible for ensuring that sufficient cover is in place to cover the usual risks associated with the operations of an RTO including coverage for training and assessment activities. Other insurances relevant to the RTO’s operations may include:
- Professional indemnity,
- Workers compensation (as required)
- Building and contents (where appropriate)
36.8.5 Comply with All Relevant Legal Requirements (TS).
8.5 The RTO complies with Commonwealth, State and Territory legislation and regulatory requirements relevant to its operations.
The RTO will comply with this standard by ensuring that staff and students are advised of their rights and responsibilities against the relevant Commonwealth, State or Territory legislation and regulatory requirements through the following Policies and Procedures documents:
- Student Handbook (All students and staff are required to be given access to this manual)
- Trainers Handbook (All staff, including training and administration staff, are required to be given access to this manual)
- Quality and Compliance Manual (All Administrative and Management staff are required to be given access to this manual)
Students will also be notified of all other Commonwealth, State or Territory legislation and regulatory requirements that is relevant to their specific type of training or course area, through their training/assessment materials and/or their allocated trainer.
- Student Handbook
- Trainers Handbook
- Quality and Compliance Manual
- Enrolment Form
- Position Descriptions
- WHS Incident report
This standard is reviewed, according to the Continuous Improvement Cycle, during the month of May on an annual basis.
- Chief Executive Officer
- Senior Management
36.1.Legislative and Regulatory Requirements (S).
When undertaking work experience, the student acknowledges that they must observe the employers Workplace Health and Safety (WHS) Policies and all workplace practices, as instructed by the employer, including Equal Rights, Equal Opportunity and the Anti-Discrimination Acts. In consideration of all the RTO clients and students it is important that adherence to all legislative acts and regulations are observed while undertaking training.
The student acknowledges that they must observe the RTO’s policies and procedures, according to State and Federal Government legislative and regulatory requirements, as set out in the Student Handbook.
36.2.Privacy and Personal Information Protection Act 1998 No 133 (TS).
The RTO collects and stores clients’ personal details for training purposes only. This information is utilised to record progress.
Where State or Commonwealth funding supports training we are obliged to submit personal and progress details for research, statistical analysis, program evaluation, post completion survey and internal management purposes.
We DO NOT share, rent, or sell personal information provided to the RTO. The confidentiality of the information we collect is protected under the Privacy and Personal Information Protection Act 1998 No 133. If we are required to disclose information about any of our clients to a third party we will acquire written consent from the client first (ie editorial; photos for advertising purposes, etc)
Requirements when collecting personal information
The RTO will take such steps as are reasonable in the circumstances to ensure that, before any information is collected or as soon as practicable after collection, the individual to whom the information relates is made aware of the following:
(a) the fact that the information is being collected,
(b) the purposes for which the information is being collected,
(c) the intended recipients of the information,
(d) whether the supply of the information by the individual is required by law or is voluntary, and any consequences for the individual if the information (or any part of it) is not provided,
(e) the existence of any right of access to, and correction of, the information,
(f) the name and address of the agency that is collecting the information and the agency that is to hold the information.
36.3.Workplace Health and Safety Act 2011 (TS).
The RTO is committed to providing and maintaining a safe and healthy environment for the benefit of all clients, visitors and employees.
The RTO monitors and maintains the appropriate Workplace Health and Safety levels and obligations under the Federal and State rules and regulations of the NSW Work Health and Safety Act 2011.
If students have any concerns or notice a condition or practice that seems unsafe, it is important that it is brought to the attention of the RTO management this generally occurs through the Trainer / Assessor.
According to Division 2, Section 19 – Primary duty of care:
a) A person conducting a business or undertaking must ensure, so far as is reasonably practicable, the health and safety of:
· workers engaged, or caused to be engaged by the person, and
· workers whose activities in carrying out work are influenced or directed by the person, while the workers are at work in the business or undertaking.
b) A person conducting a business or undertaking must ensure, so far as is reasonably practicable, that the health and safety of other persons is not put at risk from work carried out as part of the conduct of the business or undertaking.
c) Without limiting subsections (1) and (2), a person conducting a business or undertaking must ensure, so far as is reasonably practicable:
· the provision and maintenance of a work environment without risks to health and safety, and
· the provision and maintenance of safe plant and structures, and
· the provision and maintenance of safe systems of work, and
· the safe use, handling, and storage of plant, structures and substances, and
· the provision of adequate facilities for the welfare at work of workers in carrying out work for the business or undertaking, including ensuring access to those facilities, and
· the provision of any information, training, instruction or supervision that is necessary to protect all persons from risks to their health and safety arising from work carried out as part of the conduct of the business or undertaking, and
· that the health of workers and the conditions at the workplace are monitored for the purpose of preventing illness or injury of workers arising from the conduct of the business or undertaking.
According to Division 4 of the Act:
28 Duties of workers
While at work, a worker must:
a) take reasonable care for his or her own health and safety, and
b) take reasonable care that his or her acts or omissions do not adversely affect the health and safety of other persons, and
c) comply, so far as the worker is reasonably able, with any reasonable instruction that is given by the person conducting the business or undertaking to allow the person to comply with this Act, and
d) co-operate with any reasonable policy or procedure of the person conducting the business or undertaking relating to health or safety at the workplace that has been notified to workers.
29 Duties of other persons at the workplace
A person at a workplace (whether or not the person has another duty under this Part) must:
a) take reasonable care for his or her own health and safety, and
b) take reasonable care that his or her acts or omissions do not adversely affect the health and safety of other persons, and
c) comply, so far as the person is reasonably able, with any reasonable instruction that is given by the person conducting the business or undertaking to allow the person conducting the business or undertaking to comply with this Act.
36.4.WHS Incident Report (TS).
The WHS Incident Report is utilised to record injuries and incidences that occur within the RTO/workplace and must be completed whenever an injury or incident is identified. The form collects data on the incident, personal details of the person who was injured and further action to be undertaken.
In the incident of a student injury, it is the responsibility of the Trainer/Assessor to complete the form with all the relevant details. In the incident of a staff member being injured, it is the responsibility of Administration Staff to complete the form with all the relevant details.
All staff and students are required to be safety aware and report all incidents, including an identified hazard or an injury that has occurred on the RTO premises or whilst on work placement. These should be either reported to your trainer or to the administration office at the RTO.
The following procedure should be followed when reporting an incident after the event and when the area/person has been declared safe:
- Obtain a copy of the “WHS Incident Report” form from either a trainer or the administration office at the RTO.
- Complete the form to the best of your abilities, by ensuring all fields are completed on pages 1, and 2, as indicated.
- Submit completed copy to reception at the RTO office.
- Reception are required to forward the form to the WHS Officer
- Your supervisor will identify and implement any controls and forward to the WHS Coordinator.
- WHS Coordinator to complete pages 3 and 4 of the report “Action Required/Taken”, including:
- How the risk was managed
- Whether WorkCover and/or the insurance company was contacted
- WHS Coordinator to identify whether a required WHS Risk Assessment is required.
- WHS Officer to log the “WHS Incident Report” into the “WHS Register” and file.
- All incidences to be discussed at the next Quality and Compliance Meeting.
- In the case of minor incidences an “Opportunity For Improvement” form should be completed.
36.5.Hazard Identification (TS).
Everyone is responsible for identifying and reporting hazards, which includes students, sub-contractors and employees of the RTO. If you identify a hazard please report it to either your RTO Manager or the administration office. You will be required to complete either an WHS Injury Report Form or an Hazard Identification Report Form.
It is important all staff report any injury immediately, by completing a WHS Injury Report Form, which located in the Trainers Folder or in the Administration Office. If any staff have any concerns or notice a condition or practice that seems unsafe, it is important it is brought to the attention of RTO Manager or an Administration staff member of the RTO.
36.6.Emergency Procedures (TS).
An emergency situation may be described as an incident that has the potential to cause loss of life or serious injury to personnel, or major damage to equipment or property. An emergency situation develops suddenly and unexpectedly and requires immediate action to bring under control.
In the event of an emergency, if practical, save human life or prevent the emergency from escalating eg. remove people from the area, fight the fire with appropriate firefighting equipment or turn off services.
If the emergency situation involves a fire the following points should be remembered if attempting to fight the fire:
- When using a fire extinguisher do not aim the nozzle at the centre of the fire. Work from near edge and with a sweeping motion drive the fire to the far edge.
- Do not stand down wind or downhill of a fire.
- If there is any chance of chemicals or explosives in the fire, evacuate the area.
- If there is any doubt about it being an electrical fire, treat it as an electrical fire.
- If unable to immediately control the situation it must be reported by available means such as, telephone, etc.
- You must notify your name, type of emergency, location of the emergency and assistance required.
- Never take any unnecessary risks in attempting to control the situation. Evacuate first.
You need to make yourself aware of Emergency Procedures, the location of fire extinguishers or hose reels and the location of the Evacuation Meeting Point.
36.7.Evacuation Procedures (TS).
In the event of an emergency situation eg: a fire, bomb threat, gas leak etc… each employee/contractor is required to follow the Evacuation Procedures below.
- Upon notification to evacuate, eg alarm or a warning from the Fire Warden, each employee/contractor is to await further instructions from the Fire Warden.
- Once the Fire Warden has given instructions to evacuate each staff member should:
- follow the Fire Warden to the Evacuation Meeting Point
- leave the building in an orderly manner, and
- meet at the Evacuation Meeting Point indicated on the signs located around the building.
- Upon arriving at the Evacuation Meeting Point please await further instructions from the Fire Warden or the Emergency Services.
- Please do not leave the Evacuation Meeting Point until you are instructed to do so, as a roll call will be initiated to ensure that there are no employees/contractors or students left behind in the building.
36.8.Anti Discrimination Act 1977 (TS).
The Anti-Discrimination Act 1977 aims to promote equality of opportunity for everyone by protecting them from unfair discrimination in certain areas of activity, including education and training. The services developed and offered by MIT, including their administrative practices and assessment processes, take into account the principles established by this legislation. For more information go to:
The RTO is committed to ensuring that all of its representatives, clients and participants are treated fairly and equally in their employment and training.
- All opportunities are determined on the basis of merit without regard to nationally, race, religion, sex, sexuality, marital status, pregnancy, politics or impairment.
- Trainer/Assessors are accountable for the implementation of this policy.
- The RTO and its representatives have a responsibility to provide an environment, which is free from any form of discrimination, harassment, insult, ridicule, and victimisation or bullying either directly or indirectly.
36.9.Sexual Harassment Act 1984 (TS).
All representatives of the RTO are required to note and agree to comply fully with the regulations and legislation preventing Sexual Harassment and ensure that all training participants are made aware of and comply with such regulations and legislation requirements.
Sexual Harassment includes but is not limited to:
- Making unsolicited and unwelcome written, verbal, physical or visual contact with sexual over tones (for example: jokes, slurs, assault, touch or posters)
- Continuing to express sexual interest after being informed that the interest is unwelcome
- Masking reprisals, threats of reprisal or implied threats of reprisals following a negative response. (for example, suggesting a poor performance report will be given)
- Engaging in implicit or explicit coercive sexual behaviour which is used to control, influence or affect the career, salary or environment of another
- Offering favours or benefits such as promotions, favourable reviews, favourable assigned tasks, etc in return for sexual favours
The RTO strives for an environment free of sexual harassment. These policies against harassment apply to both the training and work environments for participants, clients, staff and contractors.
Anyone found to be in violation of this policy will be subject to appropriate disciplinary action, which includes warnings, reprimand, suspension, dismissal or cancellation of contract.
36.10.Harassment Act 1997 (TS).
Harassment, victimisation, bullying or any such conduct that has the purpose or effect of interfering with an individual’s work performance or creating an intimidating, hostile, or an offensive learning environment, will not be tolerated. This includes harassment, victimisation, bullying because of sex, race, national origin, religion, disability, sexual preference or age.
Harassment is unlawful under Commonwealth and State legislation and all harassment, bullying and victimisation are contrary to the duty of care to provide a safe environment for work and learning.
Harassment, victimisation and bullying can take many forms. It can be overt or subtle, direct or indirect.
Examples of Harassment may include:
- Unwelcome physical contact
- Repeated unwelcome invitations
- Insulting or threatening language or gestures
- Continual unjustified comments about a client’s work or work capacity
- Jokes and comments about someone’s ethnicity, colour, race
- Pictures, posters, graffiti, electronic images, which are offensive, obscene or objectionable.
Examples of victimisation may include:
- Unfavourable treatment like aggression
- Refusing to provide information to someone
- Ignoring a person
- Mocking customs or cultures
- Lower assessment of client work
Examples of bullying may include:
- A person who uses strength or power to coerce others by fear
- Behaviour that intimidates, degrades or humiliates a person
- Aggression, verbal abuse and behaviour which is intended to punish
- Personality clashes and constant ‘put-downs’
- Persistent, unreasonable criticism of client work performance
- Client violence both physical and threatened against teachers
Staff and students should be aware that differing social and cultural standards may mean behaviour that is acceptable to some may be perceived as offensive by others. Such conduct, when experienced or observed, should be reported to your trainer or the Chief Executive Officer. All complaints will be promptly investigated.
36.11.Anti Bullying (TS).
Violence, harassment and bullying are human rights issues that profoundly affect the lives of many people in Australia.
We all have a right to feel safe and respected. We all have a right to live our lives free from violence. Violence, harassment and bullying can violate these rights. They can also impact on other rights, such as the right to education and the right to health. Violence, harassment and bullying affect wellbeing and quality of life.
Victims can experience significant social isolation and feel unsafe. Bullying can lead to emotional and physical harm, loss of self-esteem, feelings of shame and anxiety, and concentration and learning difficulties. Tragically, violence, harassment and bullying can lead to suicide in extreme cases.
These are not issues that concern only children and young people. Violence, harassment and bullying can occur in a number of different environments, including in workplaces, care facilities and in the community, and can affect people of all ages and backgrounds.
Bullying can also take place in cyberspace: over the internet and on mobile phones. New technologies enable the spread of information, ideas and images to large numbers of people very quickly. There are many challenges in protecting people from violence, harassment and bullying in cyberspace.
We all have a responsibility to create a safe environment by standing up against violence, harassment and bullying. If bystanders take safe and appropriate action to stop bullying, we can all be a part of the solution. In the event of a situation that is considered by clients to be in violation of the RTO harassment, victimisation and bullying policy, report the situation to management.
36.12.AFP National Police Check (TS).
A number of industries require students and staff to complete a National Police Check before the students can commence Work Placement, these include Aged Care and Children’s Services industries. In order to meet the requirements of these industries, the RTO may be required to undertake Police Record Checks of staff and students. Please refer to the following website for details: http://www.afp.gov.au/what-we-do/police-checks/national-police-checks.aspx
The following requirements must be met when submitting an AFP National Police Check (NPC) application. Failure to meet the required standards will result in the application not being processed.
- All other names by which you are known or have previously been known (such as your maiden name), must be provided in full, including given names. Check that your date of birth is correctly entered.
- Full payment must accompany the application. You can pay using either Visa, Mastercard or American Express. Alternatively, for a manually completed application you may pay by bank cheque, which must be in Australian dollars, or money order obtainable from Australia Post. Personal and Company Cheques will not be accepted. Please do NOT send cash. Applications with incorrect amounts will not be processed.
- Copies of identification documents totalling 100 points must be provided. Details of the points attributed to identification documents are provided as part of the application process. DO NOT SEND ORIGINAL IDENTIFICATION DOCUMENTS WITH YOUR APPLICATION.
- Ensure all the necessary details are submitted, including signed consent and copies of identification documents. Please note parental consent will be required if the applicant is under 18 years of age.
- For manually completed applications:
- You must submit the form no more than three months after signing it.
- Mark the appropriate check boxes with a cross (X).
- Ensure you secure all paperwork, forms, payment, and identification to your application.
- Ensure all the necessary details have been completed and the form is signed and dated.
- The application form must be completed using block letters(ie capital/uppercase)
- Bank cheques and money orders are to be in Australian dollars ($AUD) and are to be made payable to the Australian Federal Police.
- If paying by bank cheque it must be from an Australian bank or financial institution affiliated with an Australian bank. Personal and Company cheques will not be accepted.
- The correct payment must be included with all
- Do not include self-addressed/stamped envelopes for return of certificates. These will not be used or returned.
Applications can be completed online through the following portal:
36.13.Copyright Act 1968 (TS).
The copyright Act 1968 is an Act relating to copyright and the protection of certain performances, and for other purposes. For more information regarding the Copyright Act 1968 visit:
Students and staff need to be aware that photocopying of text books and assessment tools may be in breach of the Copyright Act, please adhere to the copyright requirements listed within the relevant documents you wish to copy.