Jun 08

Changes to Register An RTO in 2018 – Part 5

By impact | Become an RTO, changes to RTOs 2018, Changes to setup an RTO, Fees to start an RTO, How to become an RTO, How to register an RTO, How to setup an RTO, How to start an RTO, Register an RTO, register an rto in 2018, RTO changes 2018, RTO Compliance, RTO Consulting, RTO Info, RTO Registration made easy, RTO set up, RTO setup experts, Setup an RTO | No Comments

Become an RTO – Changes to register an RTO in 2018 – Part 5 of 6 (This is the 5th 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, (1^st 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 processes 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

Dec 19

0

Rules of Evidence

By impact | RTO Info | No Comments

Rules of Evidence

So what are the rules of evidence anyway!

It’s really not good enough to just collect any old evidence. Just as the way we collect evidence is guided by the principles of assessment, the way we collect evidence is guided by the rules of evidence.

Rule	Evidence must…
Valid	– Address the elements and performance criteria – Reflect the skills, knowledge and context described in the competency standard – Demonstrate the skills and knowledge are applied in real or simulated workplace situations
Current	– Demonstrate the candidate’s current skills and knowledge – Comply with current standards
Sufficient	– Demonstrate competence over a period of time – Demonstrate competence that is able to be repeated – Comply with language, literacy and numeracy levels which match – those required by the work task (not beyond)
Authentic	– Be the work of the candidate – Be able to be verified as genuine

To better understand how these rules affect the way that we assess, let’s have a look at each one in more detail.

Validity

The assessor is assured that the learner has the skills, knowledge and attributes as described in the module or unit of competency and associated assessment requirements. Validity is assured when the performance required matches the performance described in a competency standard.

Currency

The assessor is assured that the assessment evidence demonstrates current competency. This requires the assessment evidence to be from the present or the very recent past. Currency means evidence needs to be checked to ensure it shows recent performance.

Sufficiency

The assessor is assured that the quality, quantity and relevance of the assessment evidence enables a judgement to be made of a learner’s competency.

A judgement has to be made concerning how much evidence to call for. How much is required for the assessor to accept the performance as competent? Too little evidence risks the assessment not being reliable; too much leads to waste of time and effort.

Authenticity

The assessor is assured that the evidence presented for assessment is the learner’s own work.

Authenticity means evidence needs to be checked to ensure it actually relates to the performance of the person being assessed, and not that of another person. Checking for authenticity is important when some supplementary sources of evidence are used in assessment.

Supplying the Evidence

It is very easy to get too much evidence. It is also very easy to get too much evidence that doesn’t really help us to make good decisions. Because of this, it is in everyone’s interests to guide our learners through the selection, organisation and submission of evidence.

The first thing we need to do, however, is work out what makes quality evidence. The answer to this is quite simple. It is evidence that lets us make decisions about whether someone can do what it is that they are meant to be able to do, ie, it will help us to recognise competency.

Specifically, quality evidence addresses the rules of evidence as described above and:

reflects the skills, knowledge and attributes defined in the relevant unit of competency
shows application of the skills in the context described in the range statement in the unit of competency
demonstrates competence over a period of time
demonstrates repeatable competence
is the work of the candidate
can be verified
demonstrates the candidate’s current skills and knowledge
does not require language, literacy and numeracy levels beyond those needed for the performance of the competency.

The Portfolio Approach

Just as one size does not fit all with learning styles, neither will a single assessment method always provide the evidence that we need to make a decision about performance across all elements within a competency standard, or across several units of competency.

For this reason, it is common to prepare a range of types of evidence. This is called a portfolio. While we will need to target the contents of each portfolio to the specific context and purpose of the assessment, each will usually include the following:

contact details
a declaration that the evidence is the candidate’s own work
experience gained (work-based experiences)
units claimed
unit applications (including self-assessment form, cover page for evidence, assessor report form).

The Co-Assessing Approach

We are often better off to involve other people in the assessment event. These might be people who have a better understanding of the work-based knowledge and skills that we are seeking to recognise in our assessment. People who work closer to the “coal-face” are often able to help us see opportunities to assess several competencies in an integrated way.

Commonly, the people who will know the job the best are:

the learner themselves
supervisors and managers
technical and industry specialists
other assessors with experience in the area

From our conversations with these people, we might identify opportunities to better integrate the assessment activities. Doing this is a good idea, and for a number of reasons:

it gets rid of repetition across assessment activities
it tailors assessment so that it is more like what really happens at work
it saves everyone’s time

Dec 06

0

What Happens Following An RTO Audit?

By impact | RTO Audits, RTO Info | No Comments

Help with rectification of a formal audit

What happens following an RTO audit?

What will happen following an RTO audit?

On completion of any RTO audit, your auditor will provide you with an exit interview. This will determine the level of non-compliance identified within the RTO. The auditor will then prepare a formal audit report based on the findings of the site audit, this report will then be submitted to the governing body.

You will receive the formal audit report NLT 10 working days after the site audit. But, don’t wait for the formal audit report to arrive! If there were non-compliance issues identified it is best to fix the issues immediately. Whilst you are not legally allowed to record the site audits, it is a good practice to have someone scribe during the process to get down all the relevant issues that require attention.

You will be provided with 20 working days to demonstrate how you have rectified the non-compliance found on the day of audit. There is no set way to administer this process but there is an easy way to do it. Its a matter of following the formal audit report and referencing the non-compliance areas from the report, and how you rectified the issue. This must be backed up with the relevant document, policy or resources.

Dec 06

0

Preparing For An RTO Audit

By impact | RTO Audits | No Comments

Preparing for an RTO audit can often feel quite overwhelming. If it’s your first time, you may not know where to start so here’s some information for you to consider:

RTO audits – Lets get it right the first time

An integral part of the process of becoming an RTO and maintaining registration is participation in audits. The following information has been compiled to assist you and your organisation to prepare for an audit against the Standards for RTOs 2015.

Who will conduct the audit?

On the day of the site visit you may have an audit team that consists of a single lead Auditor, one or more Auditors and/or a Technical Advisor. Observers may also attend audits to ensure that correct audit processes are being followed. If an observer is required to attend your audit, you will receive a request seeking your consent from the Regulation Officer.

What will be the focus of the audit?

The focus of an audit is on the outcomes achieved by the RTO. Auditors will evaluate what the RTO has achieved against the Standards for RTOs and quality indicators based on evidence provided by the RTO. Evidence takes many forms and auditors will consider a range of evidence to determine if an RTO has met its required outcomes.

There is no one template or a “must do” checklist for RTOs to follow. RTOs are responsible for providing evidence and for the form that the evidence takes. Evidence will vary depending on the size and scope of operations and the context in which the RTO operates.

Where possible other audits may be integrated to minimise disruption to your organisation. An example is where an RTO has a monitoring audit scheduled and is also applying to amend its scope of registration. If it is determined that an audit is required for the amendment application, it may be possible to conduct the two audits concurrently.

What will happen during a site audit?

The audit will commence with an opening meeting that the auditor will conduct with senior staff of the organisation to outline the process.

During the audit, the auditor will talk with relevant staff, learners and end user clients such as employers, and review evidence to determine the extent to which the organisation is achieving quality training and assessment outcomes in line with the Standards for RTOs and the operating context of the RTO. The audit may also identify opportunities to improve on these outcomes.

For an initial registration, the auditor will only look for evidence that required systems are in place the íntent and preparedness’of your RTO.

The auditor will report the audit findings and will take notes in some form during the audit to assist them with providing you with an accurate audit report.

The audit will conclude with a closing meeting which provides the auditor with an opportunity to provide a preliminary overview of their findings and the RTO with an opportunity to make any comment on the audit.

Why is your organisation being audited?

Audits are conducted when training organisations first apply for registration, within the first 24 months of registration for new RTOs and subsequently on an assessment basis during the registration period.

The extent to which each RTO is monitored and audited by the registering body throughout its registration period is based on an assessment of risk to the quality of training and assessment outcomes and the national VET system. ‘

RTO: I have just received notice of my audit date. What are the first steps I should take to begin preparing for the audit?

Ideally, you should have been preparing for your audit for some time. Generally, a good place to start is to conduct an internal audit against the standards you are being audited on (if you haven’t already done so) to make sure that you have the evidence required, available for the audit.

The scope of the audit (the standards on which you will be audited) depends on the type of audit you are having.

If it is an initial registration audit (to become an RTO) then you should expect to be audited on all the standards and to have to demonstrate your ability to comply with the VET Quality Framework or the Australian Quality Training Framework (whichever is applicable). In Victoria and if you are registering with the VRQA, then you will also need to demonstrate compliance with the VRQA Guidelines for VET Providers.

If you are having a re-registration audit, usually you will be audited on most standards but it depends on the level of risk assigned to your RTO by the registering body. Some of the standards may not be audited in a re-registration audit, but prepare as if you were being audited on everything.

If you are having an audit for extension to scope, the audit scope will usually be much smaller. An extension to scope audit usually focuses on the details surrounding the course you are wishing to add to scope. That means that you should have everything ready particular to the course you are adding such as the training and assessment strategies and materials, staff, pre-enrolment information, and industry consultation records. Sometimes you may also be audited against some areas of operation that are not purely about course delivery such as continuous improvement, national recognition, marketing, client services or transition of training packages and accredited courses.

RTO: What should I check for when I do an internal audit?

The purpose of this process is to help you think about how you comply with each standard (or guideline) and to gather the evidence that you have to demonstrate compliance. This means you should go through each of the standards and/or guidelines and make a list of the evidence that shows how you meet the standard. You may also like to write down a summary of how you comply so you have it ready for the auditor. Sometimes, it can be useful to print folders for each standard so that it is easily accessible during the audit. Remember when you go through this process to take a critical eye. Read each standard again, make sure you understand what it is requiring and consider the evidence you have. Does the evidence you have clearly demonstrate compliance with the standard?

RTO: What sort of documents should I have available?

You need to have all the documents and records available at audit that demonstrate how your organisation complies with the standards. For initial or re-registration audits, a sampling approach is usually taken to the qualifications, course and units of competency you have on scope. However, usually you do not know prior to the audit day, which qualifications or courses will be focused on so you need to make sure you have everything ready for all your programs.

For each program you should have:

A Training and Assessment Strategy
Industry Consultation records
Trainer/Assessor files with signed resumes, certified qualifications and skills matrices. Your skills matrices should demonstrate vocational competency against each unit, going to at least element level.
Pre-enrolment information which may include a student brochures or handbook plus detailed information about the course to allow a person to make an informed decision about enrolment into the program
A validation and moderation schedule that clearly shows when each unit will be moderated and validated and by whom
Training and assessment materials including relevant delivery plans, learner guides, assessment tasks, recording tools, benchmarking guides and mapping.
An approach to identifying and supporting language, literacy and numeracy requirements of students.

You should also have:

Detailed RTO Policies and procedures that comply with the standards along with relevant forms and systems in place. If you are an existing RTO, the auditor will want to see that your records demonstrate that you operate in accordance with your own policies and procedures.
An AVETMISS-compliant student management system. If you are an existing RTO, you will need to demonstrate that students are entered correctly onto the database.
Compliant qualifications, statements of attainment and records of results.
Record management systems which may include clear guidelines that are followed on maintaining physical student and staff files, an approach to electronic file and record management that is followed, version control etc.
An approach to identifying the needs of your learners.
Evidence of collecting and reporting quality indicator data.

Remember the above list is not exhaustive and you should go back to the standards to check that you have everything to demonstrate compliance.

RTO audits Archives - Impact Workforce Training Group