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RTO Compliance

Changes to Register An RTO in 2018 – Part 5

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Become an RTO – Changes to register an RTO in 2018 – Part 5 of 6 (This is the 5th phase in the student’s journey).

RTO Audits - RTO consultants are fully qualified auditorsBecome an RTO – If you are considering applying to become an RTO there are a whole host of things you need to understand before you can make an informed decision about moving forward with your idea. IMPACT Workforce Training Group like to ur on the side of caution, particularly now The Regulator has made significant changes to the application process, (1st May 2018), which in our opinion, are game changes. The impact this will have on those wishing to become an RTO maybe far more thought provoking than you had originally considered. So, we have provided you with a glimpse of what you could expect in the form of a series of blogs that will take you through the phases.

This will be a road map, it will allow you to understand how robust the process to become an RTO is, and what you really need to have in place to ensure you will be approved at audit. This is part 5 of a 6 part update.

Last week we looked at Training and Assessment  – The 4th phase in the students journey.

This week we will look at Conclusion – The 5th phase in the student journey

CONCLUSION

This area focuses on ensuring certification is only issued to students who have completed all assessment requirements. Certification documentation must be issued in a timely manner and must be in a format prescribed by the standards.

In this phase we ask you to review your statement of attainment templates, as well as your proceses for issuing secure certification and a method to ensure defraud. System is in place.

Please consider and ask yourself these questions:

 

Yes No N/A
1.     Does your certification documentation include the name of the organisation, space for the RTO code and the NRT logo    
2.     Does your certification documentation use the NRT logo only in accordance with Schedule 4 of these standards    
3.     Do your Qualification testamurs include the code and title of any qualification      
4.     Your Qualification testamurs include (where applicable):

·            if required by a state/territory training authority, the relevant state/territory training authority logo the industry descriptor

·            the occupational or functional stream (in brackets)

·            if delivered through an apprenticeship program, the words ‘achieved through Australian Apprenticeship arrangements’

·            if training and assessment has been delivered in a language other than English, the words, ‘these units / modules have been delivered and assessed in [language]’

followed by a list of the relevant units/modules.

     
5.     Do your Statements of attainment include the code and title of all units/modules that have been completed      
6.     Do your Statements of attainment include a space for the authorised signatory      
7.     Do your Statements of attainment include the organisation’s seal, watermark or corporate identifier      
8.     Do your Statements of attainment include, where applicable:

·            if required by a state/territory training authority, the relevant state/territory training authority logo if the statement of attainment relates to part of an incomplete

qualification, rather than a standalone unit, the words ‘these competencies form part of [code and title of qualification(s)/course(s)]’

·            the words, ‘these competencies were attained in completion of [code] course in [full title]’

·            if training and assessment has been delivered in a language other than English, the words, ‘these units / modules have been delivered and assessed in [language]’ followed by a list of the relevant units/modules.

     
9.     Do your certification templates only refer to the unique student identifier (USI) in accordance with the Student Identifiers Act 2014.      
10.  Does your organisation has a system place to ensure all AQF Certification records will be registered and maintained for 30 years.      
11.  How long will the student have to wait before they receive their qualification or statement of attainment?      
12.  What is your systematic process from successful completion by a learner to their receipt of the certificate. Eg who is initially informed of successful completion, who will register the successful completion, who will print the certificate,  to the final sign off. (Axcerlerate)      
13.  Please read and understand the Student Identifiers Act 2014      
14.  Please read and understand the requirements for all certificate templates here: https://www.asqa.gov.au/news-publications/publications/fact-sheets/sample-aqf-documentation

 

     

We are more than happy to assist you!

www.impacworkforce.com.au

1330 933 037

Changes to Register An RTO in 2018 – Part 2

By | Become an RTO, changes to RTOs 2018, Changes to setup an RTO, How to become an RTO, How to start an RTO, Register an RTO, register an rto in 2018, RTO Business Planning, RTO changes 2018, RTO Compliance, RTO Consulting, RTO Info, RTO set up | No Comments
RTO Enrolment

RTO Enrolment

 

Become an RTO – Changes to register an RTO in 2018 – Part 2 of 6 (This is the 2nd phase in the student’s journey).

Become an RTO – If you are considering applying to become an RTO there are a whole host of things you need to understand before you can make an informed decision about moving forward with your idea. IMPACT Workforce Training Group like to ur on the side of caution, particularly now The Regulator has made significant changes to the application process, (1st May 2018), which in our opinion, are game changes. The impact this will have on those wishing to become an RTO maybe far more thought provoking than you had originally considered. So, we have provided you with a glimpse of what you could expect in the form of a series of blogs that will take you through the phases.

This will be a road map, it will allow you to understand how robust the process to become an RTO is, and what you really need to have in place to ensure you will be approved at audit. This is part 2 of a 6 part update.

Last week we looked at Marketing and Recruitment – The first phase in the students journey.

This week we will look at Enrolment – The second phase in the student journey

ENROLMENT

As part of the enrolment process RTOs are responsible for informing and protecting students, protecting pre-paid fees by students, and providing credit for prior studies. It ensures  accurate advice is provided about a course to ensure it meets the needs before enrolment; that the student can understand all details associated with the course, their rights and obligations to make a more informed decision prior to enrolment.

We ask you to consider and ask yourself the following questions:

  1. Does your pre-enrolment information or enrolment agreement include the code, title and currency of the training product the student is or may be enrolled in as set out on training.gov.au?
  2. Does your pre-enrolment information include the expected duration time? (in all modes of delivery)
  3. Does your pre-enrolment information state all training and assessment locations? (all venues and delivery sites)
  4. Does your pre-enrolment information state all the delivery modes (a mix of delivery modes is required to accommodate for differing learner cohorts and experience levels)
  5. Does your pre-enrolment information state all work placement arrangements?
  6. Does your pre-enrolment information include information about any third-party arrangements for the delivery of the training and assessment and the contact details for the third parties. (only required if a 3rd party is utilized – Should you use a 3rd party to deliver your services, a robust 3rd party agreement should be developed and included on all enrolment information).
  7. Does your pre-enrolment information include information about educational and support services available to students: Considerations should include, developing an LLN Checklist/Test, Student Handbook, Support Services Policy, Code of Practice?
  8. Does your pre-enrolment information include information on potential implications for students accessing training subsidies or entitlement programs?
  9. Does your pre-enrolment information clearly state the organisation’s responsibilities to the students, including that the training organisation must; provide quality training and assessment, comply with the Standards for RTOs 2015, issue AQF certification?
  10. Does your pre-enrolment information include information on the rights of students, including; a complaints and appeals process, requiring a Complaints and Appeals Policy, Complaints and Appeals Register, Complaints and Appeals Form, a Complaints & Appeals Flowchart may be developed as an easy overview to educate your proposed staff on the process. Your Code of Practice should include this information, your Complaints & Appeals Policy should be placed on your website.
  11. Inability to deliver services – What happens if your organisation or a third party is unable to deliver the training and assessment? (What is your mechanism to safeguard this option?, what is your proposed RTO policy on your training and service guarantee, should a 3rd party not fulfill the service, the RTO closes or the RTO ownership changes hands?). Develop a Training Guarantee Policy, which should also be addressed, in part, in your Code of Practice
  12. Resources and Work placements – The pre-enrolment information or enrolment agreement includes information on resources and work placements including; anything a student needs to enrol in and complete the training and assessment (such as resources they will need to supply eg PPE, notepads, pens), whether students are required to source their own work placements (make it clear if work placements are required and who is responsible for sourcing, a comprehensive 3rd party/workplace supervisor agreement should be developed if this option is required).
  13. Does your organisation have a process for assessing whether each training product is appropriate for potential students. This includes if the mode of delivery is suitable for the students needs, if the level of the training product is appropriate for the students existing skills and abilities (Basic, intermediate or advanced skill level should be considered).
  14. Fees and refunds should address – all relevant fees a student will need to pay over the term of their enrolment, payment plan options, payment terms and conditions, including deposits and timeframes for payment (an RTO upfront learner fee threshold is $1,500, total fees can be taken but measures need to be in place for protection of fees. Payment plans may be considered as another option in this area).
  15. Refund terms and conditions, including if the student initiates the termination of enrolment, or the RTO is unable to provide the agreed services (Development of a refund policy including under what circumstances substantiate a refund and how administratively this will be affected).
  16. Learners’ rights as consumers including cooling-off periods. (A cooling off clause should be evident in your Learner Rights Policy).
  17. Fee and refund information considerations – What will your refund policy look like, what fees will be paid upfront, what happens on a cancellation of a course, what is the mechanism should a student be unable to complete a course due date, what circumstances will you consider a refund will be granted?
  18. Credit Transfer – who will authenticate AQF certification documentation from another RTO? What information will be presented to learners on this subject and what documents will it be included in? – eg Code of Practice, Enrolment Agreement)

Part 2 complete.

More next week.

Call us now to assist you to Become an RTO on 1300 933 037

We would love to help! www.impactworkforce.com.au

 

Changes To Register an RTO in 2018 – Part 1

By | Become an RTO, How to become an RTO, How to start an RTO, Register an RTO, RTO Business Planning, RTO Compliance, RTO Consulting, RTO set up | No Comments

Changes to register an RTO in 2018- Part 1  If you are considering applying to become an RTO there are a whole host of things you need to understand before you can make an informed decision about moving forward with your idea. IMPACT Workforce Training Group like to ur on the side of caution, particularly now The Regulator has made significant changes to the application process, (1st May 2018), which in our opinion, are game changes. The impact this will have on those wishing to become an RTO maybe far more thought provoking than you had originally considered. So, we have provided you with a glimpse of what you could expect in the form of a series of blogs that will take you through the phases.

This will be a road map, it will allow you to understand how robust the process to become an RTO is, and what you really need to have in place to ensure you will be approved at audit.

It will allow you to:

  1. review  your organisation’s systems and processes against key requirements of the Standards for Registered Training Organisations (RTOs) 2015 (the Standards) relating to, each of the five phases of the student journey (marketing and recruitment; enrolment; support and progression; training and assessment; and completion), regulatory compliance and governance
  2. ensure you are prepared to deliver quality training and assessment
  3. provide evidence and information that ASQA will use to assess your

Phase 1 – Why Do You Want To Become An RTO? 

  1. Why did you decide to apply for RTO registration?
  2. How will you determine the type of clients to be targeted (e.g. existing workers, general public) and the delivery mode (e.g. face to face, online)?
  3. What relevant vocational education and/or industry experience do the managerial staff and executive officers of the organisation hold?

Phase 2 – Marketing & Recruitment (This is known as the 1st phase of the students journey)

We will now start to look at the 1st phase of the student journey

Marketing and Recruitment is known as the 1st phase of the student journey. This area focuses on a student’s experience of marketing and recruitment into the courses and programs you will offer. RTOs are responsible for providing accurate and accessible information to prospective and current students about RTO services and performance. This includes when these are published or distributed by third parties, such as educational agents or trainers and assessors who work on your organisation’s behalf.

 In this part you should review your proposed organisation’s marketing and advertising materials, and the processes that you have in place to ensure your marketing and advertising materials are appropriate and the student has been informed via clear, accurate and readily accessible information to allow them to make informed choices about the training that may best suit their needs.

Here are some considerations and questions to ask yourself on the 1st phase of the student journey (Marketing & Recruitment)

  1. Does your marketing material accurately represent the organisation and the services provided to all students? (eg Website, Social Media, Your Student Information & Enrolment Form, Flyers, Brochures).
  2. Does your marketing material identify a space where the RTO code will be inserted if registration is granted? (eg already developed student information and enrolment forms, brochures, flyers, website).
  3. All marketing material only includes testimonials, photos and references to other organisations or people if their consent has been recorded. (eg consent forms from people whose image you may use in the brochures, social media and flyers you have developed) (Do you have a consent form???)
  4. Does all your marketing material only use the Nationally Recognised Training (NRT) logo in accordance with Schedule 4 of the Standards for RTOs 2015. (eg this logo is restricted in its usage therefore this must be demonstrated that it will be used correctly, where, how and when, possibly in a sample marketing plan and a specific policy for NRT usage). You will also be required to read schedule 4 to become familiar with the requirements.
  5. Does all your marketing material clearly identify all third parties used by the organisation and their role (i.e. if the third party is used for recruitment, training and assessment, and so on – If you plan to use a 3rd party you must show evidence that you have developed a comprehensive 3rd party agreement.
  6. Does all your marketing material make it clear where training and assessment is being delivered on your behalf (eg should you be using a 3rd party to deliver your services this is noted in your marketing material ie flyers, website, student information brochures).
  7. Does all your marketing material only advertise current training products with the correct title and code as published on training.gov.au? (points to note: who will be responsible for checking and reviewing the currency of the units of competence?, what is the process method should changes in the training package occur?, Who will be informed and how? )
  8. Your marketing material should not guarantee:· a licensing outcome, unless this outcome has been confirmed as appropriate by relevant industry regulators in the jurisdiction, an employment outcome, successful completion of the training product. A ‘Guarantee Policy’  should be developed to accommodate for this area, A Policy and Procedures Manual, Code of Conduct and Training & Assessment Strategy and possible Student Handbook, Information Brochure should be developed and highlighted in these pieces of documentation.
  9. All your marketing material includes details of any government or financial support arrangements the student will be required to access during enrolment. (eg flyers and brochures, student information brochures should be developed to incorporate this information to ensure that the student has all the appropriate information prior to the course).
  10. Describe the review process you will have in place to ensure that any marketing, promotional or advertising material that your organisation will publish or distribute is current, factual and appropriate for your intended clients and how it will be managed? A Marketing Review Policy may need to be developed in your Policy and Procedure Manual. This should include the process used to monitor material published and distributed on your behalf by other organisations. Consider who will review, who will approve the material and how you will disseminate this information to your team. Consider when changes are made to your Training and Assessment Strategy how does that feed back into the marketing materials and vice versa?
  11. What staff member will be responsible for checking the accuracy and currency of information before it is published?
  12. Who will be responsible for approving all new materials and promotional materials?
  13. Have you considered a marketing materials register, that will show all approvals and changes made?
  14. What form of method do you use to collect data, information and feedback from clients/students to say they have/will receive the services you will / have provided?
  15. Develop and review a course evaluation form/Stakeholder evaluation form
  16. Permission slips/consent forms may need to be developed to show evidence should you use a name, company or person on your website or flyer. (Testimonials must show evidence of permission)

That completes Part 1

More next week

 

RTO Compliance Risks

By | Assessment validation, RTO assessments, RTO Compliance | No Comments

RTO Audits - RTO consultants are fully qualified auditorsRTO Compliance Risks

Based on ASQA figures, the majority of non-compliance issues are related to the practice of assessment and assessment instruments/tools. After undergoing many audits for RTOs nationally  we have also found the same trend. This is a shocking representation of our industry, especially as this is part of an RTO’s core product.

We have worked with hundreds of RTOs and I believe that when it comes to problems with assessment tools, the key issues generally relate to these areas.

  1. Purchase off the shelf resources 

When RTOs purchase assessment tools, they do so believing the assessment tools are audit ready. Unfortunately, this is most often not the case. We find serious compliance issues with the majority of tools that are on the market today, most are deficient and require serious modifications and amendments, as well contextualisation to meet the RTOs learner cohort, in order to pass audit.

Purchasing assessment tools off the shelf is a risky business unless the RTO uses due diligence, with a process in place to review, amend and validate the instrument.

  1. Poor understanding by Assessors

Most people would consider, those trainers and assessors who hold a current Certificate IV in Training and Assessment, know all there is to know about assessment, unfortunately this is not the case.

Working with or writing assessment tools is not an easy process. It’s a skill that requires in depth knowledge of industry, rules of evidence, principles of assessment, the context and application of assessment, the specific training package, resource development processes, the learner cohort, target market etc etc. So throwing an assessor into the assessment process without thorough screening, involvement in the assessment tool and review of its content is not conducive to effective due diligence by an RTO.

  1. Lack of Moderation

During the assessment process it is crucial to conduct moderation. Feedback, from students, trainers and assessors on their thoughts on the tool should be considered on a constant basis.  This will allow for modification and amendment during the process.

  1. Lack of Validation

Whilst most RTOs, by now, have met their 50%  and over, validation quota. We are still finding that the validation of assessment instruments has not been actioned and evidenced sufficiently by RTOs. We are all extremely time poor and the requirement to validate assessment instruments is a very lengthy process, but: maintaining a comprehensive validation process (both internal and external) will diminish risk, improve outcomes, assist with continuous improvement and maintain quality assurance.

Happy assessing!