RTO Standards 2015 Checklist

School RTO quality checklist School RTO management framework

1. Standards for RTOs 2015

August 2015

School RTO checklist and quality assurance

School RTO name QCAA number Calendar year National provider number RTO manager Chief executive (principal)

a.About the School RTO quality checklist This checklist is provided by the Queensland Curriculum and Assessment Authority (QCAA) for the use of Queensland schools that are RTOs. Other people or organisations who want to use QCAA materials must obtain permission as stated in the copyright notice available from: www.qcaa.qld.edu.au/copyright.html. The checklist has been created for school RTOs to assist with their quality assurance and systematic management of their RTO operations within the new regulatory Standards for Registered Training Organisations (RTOs) 2015. These Standards form part of the VET Quality Framework and come into effect for existing RTOs on 1 April 2015. RTOs are required to comply with these Standards and with the: National Vocational Education and Training Regulator Act 2011 or equivalent legislation covering VET regulation in a non-referring state as the case requires VET Quality Framework.

b.Background The Standards and Clauses: The regulatory Standards for Registered Training Organisations (RTOs) 2015 consist of eight Standards. Under each Standard is a set of ‘Clauses of the Standard’. The Standards and Clauses are collectively referred to as ‘the Standards’. The Standards are available from www.comlaw.gov.au/Details/F2014L01377.

c.How to use this checklist This checklist should be used in conjunction with the new regulatory Standards for Registered Training Organisations (RTOs) 2015. Each RTO management topic includes: 2. RTO quality checklist 3. Explanatory notes.

School RTO quality checklist This section outlines the requirements of the Standards for each management topic and provides a description of the evidence required by the school RTO for the RTO manager to use as a checklist for systematic monitoring and quality assurance processes.

The requirement of the Standard Description of evidence Sufficient Standards It evidence reference e m

4. This column describes the This column outlines the ☐ Yes This column requirement of the Standard in evidence required to meet the states the ☐ school appropriate language. This Standard. No related must not be changed. The school RTO may have clause/s. slightly different evidence or use a different descriptor. If this is the case, the school should adjust this column to accurately describe the (sufficient) evidence used.

The school RTO must be compliant at all times and be able to provide sufficient evidence of this.

Explanatory notes This section provides some additional information as well as references to the Standards and Schedules.

5. Compliance assistance

The QCAA VET team has developed a number of resources that may be used to assist in school RTO operations. A variety of factsheets, guidelines, templates and samples are available on the QCAA website: www.qcaa.qld.edu.au/576.html.

a.More information If you would like more information or have a question, please visit the VET section of the QCAA website: www.qcaa.qld.edu.au/576.html.

RTO Standards 2015 Checklist

Queensland Curriculum & Assessment Authority [Publish Date] Page 2 of 32 Contents 6. Assessme nt validation

7. Key related Standard Standard 1 The RTO’s training and assessment strategies and practices are responsive to industry and learner needs and meet the requirements of training packages and VET accredited courses.

a. School RTO quality checklist

1. A plan for ongoing systematic validation Documented assessment ☐ Yes 1.9 of assessment practices and judgments validation plan as well ☐ that includes for each qualification and as policy and No accredited course on scope: procedures b. when validation will occur (over a 5-year period) c. which training products (i.e. qualifications) will be the focus d. who will lead and participate in validation e. how the outcomes will be documented and acted upon. 8. Each qualification and accredited course Documented assessment ☐ Yes 1.10 on scope is validated at least once every validation policy and ☐ five years with at least 50% within the procedures No first three years, taking relative risks into Validation plan account. RTO calendar 9. Validation is undertaken by one or more Documented assessment ☐ Yes 1.11 persons not directly involved in the validation policy and ☐ delivery of the qualification or accredited procedures No course and who collectively meet the Staff profiles requirements of a trainer/assessor for the Copies of qualifications qualification (may include industry Other verifiable experts). documentation

RTO evidence confirmation checklist Name of person completing this Date Where the assessment validation evidence checklist when can be accessed comple ted Name Date Location

Description of evidence is given for each requirement ☐ Yes ☐ No

Queensland Curriculum & Assessment Authority [Publish Date] Page 4 of 32 Recommendations for improvement If no, describe action to be taken to meet compliance. Name of person responsible and date when action completed

RTO manager signature Name Signature Date

a.Explanatory notes  Training Product has been defined as ‘a qualification or accredited course for school RTOs’ — as school RTOs cannot register to deliver isolated skill sets or units of competency.  Validation is the quality review of the assessment process. It involves: checking that the assessment tool/s produce/s valid, reliable, sufficient, current and authentic evidence to enable reasonable judgments to be made about whether the requirements of the training package or VET accredited courses are met. reviewing a statistically valid sample of the assessments and making recommendations for future improvements to the assessment tool, process and/or outcomes and acting upon such recommendations (Standards Glossary).  Statistically valid means for the purposes of these Standards, a random sample of appropriate size is selected to enable confidence that the result is sufficiently accurate to be accepted as representative of the total population of assessments being validated (Standards Glossary). 10. Certification and the USI

11. Key related Standard Standard 3 The RTO issues, maintains and accepts AQF certification documentation in accordance with these Standards and provides access to learner records.

a. RTO quality checklist

1. Provision of credit to students for units Documented certification ☐ Yes 3.5, 7.5, 8.1 of competency when the student and USI policy and ☐ provides evidence of AQF certification procedures No issued by any other RTO for those Documented data units of competency. management procedures Records of credit transfer evidence and provision 1 Certificates and Statements of Documented certification ☐ Yes 3.1 2. attainment are only issued to students and USI policy and ☐ 3.6 b) who have: procedures No a. met all course requirements Documented USI b. a verified USI. procedures Register of qualifications issued and register of statements of attainment issued with verified USI recorded 1 All VET certification issued meets the Sample Qualification ☐ Yes 3.2 3. requirements of Schedules 4 & 5. Certificate with a record of ☐ results (templates as well No as for a student with a verified USI) Sample Statement of Attainment (templates as well as for a student with a verified USI) 1 All VET certification is issued within Documented certification ☐ Yes 3.3 4. 30 calendar days of the student being and USI policy and ☐ assessed as meeting the requirements procedures No of the program. Register of qualifications issued and register of statements of attainment issued, which includes date awarded as well as date issued

Queensland Curriculum & Assessment Authority [Publish Date] Page 6 of 32 1 A register of qualifications issued and Documented certification ☐ Yes 3.4 5. register of statements of attainment and USI policies and ☐ issued are kept and have sufficient procedures No detail to produce a replacement Register of qualifications certification for a period up to 30 issued and register of years. statements of attainment issued 1 A policy for the replacement of Documented certification ☐ Yes 3.2 6. certification documentation, including: and USI policies and ☐ No a. authentication and verification procedures of any replacement documentation b. reference to any associated fees. 1 Processes that meet the requirements Documented USI ☐ Yes 3.6 a), b), 7. of the Student Identifier scheme procedures and d) ☐ No including: Documented certification a. verifying with the USI Registry and USI policies and System a USI provided before procedures using it Secure location where USIs b. ensuring no certification is and all related issued without a verified USI documentation are kept is c. ensuring the security of USIs noted on page xx and all related documentation. 1 Provision of the USI when reporting Documented USI ☐ Yes 7.5 8. final VET data procedures ☐ No Documented data management procedures

RTO evidence confirmation checklist Name of person completing this Date Where the certification and USI evidence can checklist when be accessed comple ted Name Date Location

Description of evidence is given for each requirement ☐ Yes ☐ No Recommendations for improvement If no, describe action to be taken to meet compliance. Name of person responsible and date when action completed

a.Explanatory notes AQF certification documentation is the set of official documents that confirms that an AQF qualification or statement of attainment has been issued to an individual (Standards Glossary). AQF qualification means an AQF qualification type endorsed in a training package or accredited in a VET accredited course (Standards Glossary). Student Identifier has the meaning given in the Student Identifiers Act 2014 (Standards Glossary). It is commonly known as the USI (Unique Student Identifier). Data Provision Requirements are the requirements for data provision as agreed by the Industry and Skills Council and implemented by the VET Regulator (QCAA as delegate for ASQA) as required by its governing legislation (Standards Glossary). A student cannot be provided with a Certificate or Statement of Attainment if they have not provided a USI to the RTO. Reference to 3.6 (c) is not included as it is not relevant to Queensland school RTOs. Schedules 4 and 5 are detailed at the end of the Standards. Student Data Capture System (SDCS) does not have a provision to record the USI. The Senior Learning Information Management System (SLIMS) does have a provision to record the USI for individual students. Details on how to extract and input USI data can be accessed at: www.qcaa.qld.edu.au/downloads/senior/rabs_guide_usi.pdf Two types of evidence are acceptable for providing credit: an AQF certification document a VET transcript issued through the USI Registry System. Under the Student Identifiers Regulation 2014 a school is authorised to do any of the following for the purpose of delivering and reporting on a VET course that is being, or was, undertaken by a student as part of the student’s education at or through the school: b. collect the individual’s student identifier from, or disclose the individual’s student identifier to, any of the following: b.i. a registered training organisation; b.ii. another school; b.iii.a VET related body, other than a VET Regulator (i.e. QCAA, DET, NCVER); c. use the individual’s student identifier.

Queensland Curriculum & Assessment Authority [Publish Date] Page 8 of 32 19. Complaints and appeals

20. Key related Standard Standard 6 Complaints and appeals are recorded, acknowledged and dealt with fairly, efficiently and effectively.

1. Complaints policy that manages and Documented complaints ☐ Yes 6.1 responds to allegations involving the policy ☐ conduct of: No b. the school RTO, its trainers, assessors or other school RTO staff c. students d. third parties providing services on behalf of the school RTO (if relevant). 2 Appeals policy that manages requests for Documented appeals ☐ Yes 6.2 1. a review of decisions, including policy ☐ assessment decisions made by the No school RTO or a third party providing services on the school RTO’s behalf. 2 Complaints and appeals policy that Documented complaints ☐ Yes 6.3 a) 2. references the principles of natural and appeals policy with ☐ justice and procedural fairness. appropriate reference on No page xx

2 Complaints and appeals policy that is Policy on school website ☐ Yes 6.3 b) 3. publically available on school website or Policy available to all ☐ No publically available by other means. current and prospective students and staff 2 Policy that includes the following: Documented complaints ☐ Yes 6.3 c), d) 4. and appeals procedures a. procedure for making a ☐ No complaint b. procedure for requesting an appeal. 2 Procedures that include a requirement Statement included in ☐ Yes 6.3 d) 5. that complaints or appeals are policy on page xx ☐ acknowledged in writing. No 2 Procedures that include a requirement Statement included in ☐ Yes 6.3 d) 6. that complaint and appeal requests are policy on page xx ☐ No finalised as soon as possible. Complaint date recorded in register 2 Procedures that include a requirement Statement included in ☐ Yes 6.4 7. that if more than 60 days are required to policy on page xx ☐ No finalise the complaint or appeal that: Complaint date recorded in a. the complainant/appellant is register notified in writing including reasons why more than 60 calendar days are required b. the complainant/appellant is regularly updated in writing on progress. 2 Procedures if processes fail to resolve Statement included in ☐ Yes 6.3 e) 8. the complaint/appeal — request for policy on page xx and in ☐ review by party independent of RTO. procedures No

2 If complaints and/or appeals have been Statement included in ☐ Yes 6.5 a) 9. received: policy on page xx ☐ No a. there is evidence that the policy Register of all complaints is and procedures have been maintained followed Secure location where b. there is a secure record of all complaints records are complaints and appeals kept is noted on page xx received and their outcomes. 3 Procedures that: Statement included in ☐ Yes 6.5 b) 0. policy on page xx a. identify potential causes of ☐ No complaints and appeals Evidence recorded in b. take appropriate corrective register action to eliminate or mitigate the likelihood of reoccurrence.

RTO evidence confirmation checklist Name of person completing this Date when Where the complaints and appeals evidence checklist completed can be accessed Name Date Location

Queensland Curriculum & Assessment Authority [Publish Date] Page 10 of 32 c.Explanatory notes  Reference to 6.6 is not included as it is not relevant to Queensland school RTOs.  ‘Publically available to all current and prospective students and staff’ may mean the complaints and appeals policy is included on the school website, or available in common areas of staff and students. 31. Governance, data and administration

32. Key related Standards Standard 7 The RTO has effective governance and administration arrangements in place. Standard 8 The RTO cooperates with the VET regulator and is legally compliant at all times.

1. The RTO manager as an RTO high Statement included in RTO ☐ Yes 7.1 a) managerial agent has been given governance, data and ☐ sufficient authority by the Principal to administration policy and No ensure that the RTO complies with the procedures on page xx Standards at all times. Documented authority from the Principal to the RTO manager and/or documented role description signed off by the Principal 3 The Principal and the RTO meet the Fit Governance, data and ☐ Yes 7.1 b) 3. and Proper Person Requirements administration policy ☐ No (FPPR) as outlined in Schedule 3. Fit and Proper Person Declarations and Chief Executive Statutory Declaration attached to applications as required 3 If students are required to prepay fees Documented policy regarding ☐ Yes 7.3 4. in excess of $1500 there is a policy student fee protection (if ☐ addressing student fee protection required) No arrangements that meet the ☐ N/A requirements of Schedule 6 if the school RTO is unable to provide the services that have been prepaid. 3 Public liability insurance that covers the Copy of insurance policy ☐ Yes 7.4 5. scope of its training and assessment Documented confirmation ☐ No activities throughout the registration that the policy covers all period RTO activities

Queensland Curriculum & Assessment Authority [Publish Date] Page 12 of 32 3 Cooperate with the QCAA and provide Governance, data and ☐ Yes 8.1 6. accurate and current information as administration policy and ☐ required, i.e.: procedures No a. thorough audits and QCAA Acknowledgment of emails monitoring processes related to lodgement of a. information about substantial forms and other requested changes to its operations or information any event that would significantly affect the RTO’s ability to comply with these standards within 90 calendar days b. information about significant changes to ownership within 90 calendar days c. arrangements for the retention, archiving, retrieval and transfer or records d. anything else on request. 3 Provide the QCAA accurate and current Documented data ☐ Yes 7.5, 8.1 7. data as required, i.e.: procedures ☐ No a. SDCS enrolments and SDCS enrolments and completions (as per Senior completions Education Profile calendar) SLIMS/RABS enrolments b. enrolments and completions and completions through SLIMS/RABS (if Quality indicator reports required) Acknowledgment of emails a. quality indicator reports. related to quality indicator reports 3 Provide the QCAA with an annual Governance, data and ☐ Yes 8.4 8. declaration on compliance with the administration policy and ☐ Standards within communicated procedures No timelines. Copy of completed declaration/s on compliance and acknowledgment emails 3 Staff and clients are informed of any Governance, data and ☐ Yes 8.6 9. changes to legislative and regulatory administration policy and ☐ requirements that affect services. procedures No Copy of communications (if ☐ N/A relevant) 4 Compliance with Commonwealth and Copy of relevant ☐ Yes 8.5 0. State regulatory relevant to operations documentation and ☐ (if required). communications (if No required) ☐ N/A

RTO evidence confirmation checklist Name of person completing this Date Where the governance, data and checklist when administration evidence can be accessed comple ted Name Date Location

Description of evidence is given for each requirement ☐ Yes ☐ No Recommendations for improvement If no, describe action to be taken to meet compliance. Name of person responsible and date when action completed RTO manager signature Name Signature Date

a.Explanatory notes The Principal, as CEO is ultimately responsible for the compliance of the school RTO. High managerial agent means an employee of the organisation with duties of such responsibility that his or her conduct may fairly be assumed to represent the school in relation to the RTO operations. For a school RTO this is the RTO manager. Schedule 3 and Schedule 6 are detailed at the end of the Standards. Reference to 7.2 is not included as it is not relevant to Queensland school RTOs due to already meeting this as part of other government requirements. Governance and administration of third parties is contained in the third party arrangements section.

Queensland Curriculum & Assessment Authority [Publish Date] Page 14 of 32 41. Industry engagement

1. Training and assessment practices are Documented industry ☐ Yes 1.5 relevant to the needs of industry and engagement policy and ☐ informed by industry engagement. procedure No Records of industry engagement including full contact details and relevant comments (i.e. in TAS documentation/ industry engagement registers) 4 Implementation of a range of strategies for Documented industry ☐ Yes 1.6 3. industry engagement and systematically engagement policy and ☐ using the outcome to ensure the industry procedure which No relevance of: includes a range of c. training and assessment engagement strategies strategies, practices and Records of industry resources engagement including d. the current industry skills of its full contact details and relevant comments as trainers and assessors. well as action taken (i.e. in TAS documentation/industry engagement registers; PD plans; new resources)

RTO evidence confirmation checklist Name of person completing this Date Where the industry engagement evidence can checklist when be accessed comple ted Name Date Location

Description of evidence is given for each requirement ☐ Yes ☐ No Recommendations for improvement If no, describe action to be taken to meet compliance. Name of person responsible and date when action completed RTO manager signature Name Signature Date

a.Explanatory notes  Industry means the bodies that have a stake in the services provided by RTOs. Even if you are not training the students for a specific employer, industry does have a stake in the services you provide as an RTO. Industry examples are available in the Standards Glossary.  Industry and Skills Council means the Commonwealth, State and Territory ministerial council established by the Council of Australian Governments (COAG), or its successor (Standards Glossary).  Industry engagement strategy examples are available in the Standards Glossary.  Industry regulator means a body or organisation responsible for the regulation and/or licensing arrangements within a specific industry or occupation (Standards Glossary).

Queensland Curriculum & Assessment Authority [Publish Date] Page 16 of 32 44. Marketing

45. Key related Standard Standard 4 Accurate and accessible information about an RTO, its services and performance is available to inform prospective and current learners and clients.

1. All marketing clearly separates VET Marketing policy and ☐ Yes 4.1 g) training and assessment from other procedure ☐ No teaching and assessment, i.e. non-VET Marketing documentation, subjects. i.e. student handbooks, website, social media, other marketing material

4 All marketing of VET qualifications is Marketing policy and ☐ Yes 4.1 a), i) 6. consistent with: procedure ☐ No a. the RTO scope of registration Marketing documentation, e. transition timelines. i.e. student handbooks, website, social media, other marketing material 4 All marketing of VET qualifications Marketing policy and ☐ Yes 4.1 b) 7. includes the RTO code. procedure ☐ No Marketing documentation, i.e. student handbooks, website, social media, other marketing material 4 When marketing VET qualifications for Marketing policy and ☐ Yes 4.1 c) 8. other RTOs, there is evidence of procedure ☐ No consent from the other RTO. Email or letter of consent from other RTO ☐ N/A 4 All marketing includes the correct code Marketing policy and ☐ Yes 4.1 h) 9. and title of each qualification as well as procedure ☐ No units of competency. Marketing documentation, i.e. student handbooks, website, social media, other marketing material 5 If relevant, marketing distinguishes: Marketing policy and ☐ Yes 4.1 f) 0. procedure a. where the school RTO is delivering ☐ No training and assessment on behalf Marketing documentation, ☐ of another RTO i.e. student handbooks, N/A b. where training and assessment is website, social media, being delivered on its behalf by a other marketing material third party. 5 Where marketing uses the NRT logo, it Marketing policy and ☐ Yes 4.1 d) 1. is used in accordance with Schedule 4. procedure ☐ No Marketing documentation, i.e. student handbooks, website, social media, other marketing material

5 Marketing does not guarantee: Marketing policy and ☐ Yes 4.1 l) 2. procedure a. successful completion ☐ No b. completion in a manner that does Marketing documentation, not meet Clauses 1.1 and 1.2 i.e. student handbooks, c. an employment outcome. website, social media, other marketing material 5 If relevant, makes clear where a third Marketing policy and ☐ Yes 4.1 e) 3. party is recruiting prospective students procedure ☐ No for the RTO on its behalf. Marketing documentation, i.e. student handbooks, ☐ N/A website, social media, other marketing material

RTO evidence confirmation checklist Name of person completing this Date Where the industry engagement evidence can checklist when be accessed comple ted Name Date Location

Queensland Curriculum & Assessment Authority [Publish Date] Page 18 of 32 a.Explanatory notes  Use of the NRT logo is not compulsory for advertising but must be depicted on all AQF certifications documents issued by the RTO. If used for advertising, Schedule 4 (which is detailed at the back of the Standards) outlines the conditions of use.  Typically, school RTOs market through subject selection documentation which also tends to include additional student information. Marketing (Standard 4), therefore, closely links with student information (Standard 5).  References to 4.1 j) and k) are not included as they are not relevant to school RTOs registered under the QCAA delegation from ASQA. However, school RTOs that deliver the white card unit will have to address this and schools that are working with outside RTOs may also need to consider this information. 54. Student information

55. Key related Standard Standard 5 Each learner is properly informed and protected.

1. Students are provided with advice Student information policy ☐ Yes 5.1 about the appropriateness of and procedure ☐ No qualifications and accredited courses, Subject selection taking into consideration the individual documentation student’s skills and competencies prior SET plan to the finalisation of subject selection. School calendar 5 Students are provided (prior to SDCS Student information policy ☐ Yes 5.2 a) 6. enrolment — date as per the Senior and procedure ☐ No Education Profile calendar) either in Marketing documentation, print or via an electronic copy current i.e. student handbooks, and accurate information that includes website, social media, the following information: other marketing material as b. code, title and currency of well as other student qualification/accredited course (as handbooks per training.gov.au) c. code and title of the units of competency to be delivered (as per training.gov.au). 5 Students are provided (prior to SDCS Student information policy ☐ Yes 5.2 b), c), 7. enrolment — date as per the Senior and procedure d), e), 1.7 ☐ No Education Profile calendar) either in Marketing documentation, print or via an electronic copy current i.e. student handbooks, and accurate information about the website, social media, training and assessment, i.e.: other marketing material as a. estimated duration well as other student d. training/assessment locations handbooks e. mode/s of delivery Documented complaints and f. related support services appeals policy and g. work placement arrangements (if procedures required) h. obligations to the students, i.e. being responsible for the quality of the training/assessment, the issuance of certification i. entry requirements or pre- requisites (if applicable) j. student obligations related to any materials or equipment they must provide RTO Standards 2015 Checklist

Queensland Curriculum & Assessment Authority [Publish Date] Page 20 of 32 k. requirements the student must meet to successfully complete, e.g. apply for a USI, service periods, travel requirements, events or out of school hours functions l. the student’s rights if the RTO (or a third party) closes or ceases to deliver any part of the training course the student is enrolled in m.details of the RTO’s complaints and appeals process n. third party information (if relevant), i.e. name and contact details of the third party providing the training and/or assessment, and related educational and support services. 5 If fees are collected (either directly or Student information policy ☐ Yes 5.3 8. through a third party), prior to SDCS and procedure ☐ No enrolment — date as per the Senior Marketing documentation, Education Profile calendar, the RTO i.e. student handbooks, provides or directs the student to website, social media, information specifying: other marketing material as a. fee information (amount, well as other student terms/conditions, deposits, handbooks refunds) Documented policy regarding o. student rights as a consumer, student fee protection (if including cooling-off period (if prepaid fees over $1500) applicable) p. student right to obtain a refund if the enrolment is terminated early or services not provided. 5 Policy that students are advised as Student information policy ☐ Yes 5.4 9. soon as possible if there are any and procedure (there must ☐ changes to agreed services, i.e.: be a documented policy No a. any new third party about this) arrangements a. changes to existing third party arrangements b. change in ownership. 6 Recognition of prior learning is offered Student information policy ☐ Yes 1.12 0. to students. and procedure ☐ No Student handbook and/or assessment documentation 6 Students are advised that the school Student information policy ☐ Yes 3.5 1. RTO will provide credit for units of and procedure ☐ No competency evidence of AQF Student handbook certification issued by any other RTO is Website provided. 6 Policy for reissuing of certification. Student information policy ☐ Yes 3.4 2. and procedure ☐ No Student handbook Website RTO evidence confirmation checklist Name of person completing this Date when Where the student information evidence can checklist completed be accessed Name Date Location

a.Explanatory notes Typically, school RTOs provide some of the required information as part of their marketing in subject selection documentation. Student information (Standard 5), therefore, closely links with marketing and marketing (Standard 4). Reference to 5.2 f) is not included as it is not relevant to school RTOs registered under the QCAA delegation from ASQA. However, schools that are working with outside RTOs may need to consider this information.

Queensland Curriculum & Assessment Authority [Publish Date] Page 22 of 32 63. Systematic monitoring and evaluation

64. Key related Standard Standard 2 The operations of the RTO are quality assured.

1. Compliance with Standards at all times, Self-assessment and/or ☐ Yes 2.1 including where services are provided by monitoring and ☐ a third party. evaluation No documentation

6 Systematic monitoring and evaluation of Documented systematic ☐ Yes 2.2 5. training and assessment strategies and monitoring and ☐ practices including: evaluation procedures No b. quality indicator data Self-assessment and/or c. performance data monitoring and d. validation outcomes evaluation e. industry engagement outcomes documentation f. client feedback g. trainer and assessor feedback h. complaints and appeals (if relevant).

RTO evidence confirmation checklist Name of person completing this Date Where the systematic monitoring and checklist when evaluation evidence can be accessed comple ted Name Date Location

RTO manager signature Name Signature Date a.Explanatory notes Quality assurance of third parties is contained in the third party arrangements section.

Queensland Curriculum & Assessment Authority [Publish Date] Page 24 of 32 66. Third party arrangements (if required)

67. Key related Standards Standard 2 The operations of the RTO are quality assured. Standard 8 The RTO cooperates with the VET Regulator at all times and is legally compliant at all times.

1. The QCAA has been notified of any third Acknowledgment from ☐ Yes 8.3 party arrangements (including changes to QCAA of lodgement of ☐ arrangements and the cessation of form No arrangements) within 30 calendar days. ☐ N/A

6 Provision of services by a third party is Written and signed ☐ Yes 2.3 8. outlined in a written agreement that agreement with third ☐ clearly outlines the obligations of each party No party. ☐ N/A

6 Third party written agreements include Written and signed ☐ Yes 8.2 9. the requirement of the third party to agreement with third ☐ cooperate with the QCAA (or ASQA): party No i. by providing information to ☐ N/A QCAA (or ASQA) as relevant to the delivery of services j. in the conduct of audits and the monitoring of its operations. 7 Strategies and resources to Written and signed ☐ Yes 0. systematically monitor the services agreement with third ☐ 2.4 delivered by a third party. party No Documented records of ☐ N/A monitoring activities and evidence of action from review of third party agreements 7 Ensures that all services delivered by a Written and signed ☐ Yes 2.1 1. third party are compliant with the agreement with third ☐ Standards. (This also relates to all party No Standards that refer to third parties and Written reports from ☐ N/A written agreements.) monitoring and evaluation activities RTO evidence confirmation checklist Name of person completing this Date when Where the third party arrangements evidence checklist completed can be accessed Name Date Location

a.Explanatory notes Third party means any party that provides services on behalf of the RTO but does not include a contract of employment between an RTO and its employee (Standards Glossary). Most school RTOs do not engage a third party for services. However, some school RTOs have been engaged as a third party by outside RTOs and should be aware of the obligations that are part of the Standards and should be contained in the written agreement.

Queensland Curriculum & Assessment Authority [Publish Date] Page 26 of 32 72. Trainers and assessors

1. Sufficient trainers and assessors to Documented trainer and ☐ Yes 1.3 a) deliver the training and assessment on assessor policy and ☐ the scope of registration. procedures No Staff profiles, copies of qualifications, other verifiable documentation 7 Training and assessment is delivered only Documented trainer and ☐ Yes 1.13, 4. by persons who have: assessor policy and ☐ No 1.14, k. vocational competencies, i.e. procedures 1.15 hold the qualification or a clear Staff profiles, copies of and verified analysis against the qualifications, other units of competencies verifiable documentation l. directly relevant current industry skills m. current knowledge and skills in vocational training and learning n. the training and assessment requirements prior to 1 January 2016 or from 1 January 2016 (as per Schedule 1). 7 Industry engagement has ensured the Documented trainer and ☐ Yes 1.6 5. industry relevance of the current industry assessor policy and ☐ skills of the trainers and assessors. procedures No Staff profiles Records of industry engagement including full contact details and relevant comments (i.e. in TAS documentation/ industry engagement registers/PD plans) 7 All trainers and assessors undertake Documented trainer and ☐ Yes 1.16 6. professional development in the fields of assessor policy and ☐ the knowledge and practice of vocational procedures No training, learning and assessment PD logs including competency based training and Staff profiles assessment. 7 If someone is working under the Documented supervision ☐ Yes 1.17, 7. supervision arrangements, the supervised arrangement procedures ☐ No 1.18 person: Documented supervision a. has vocational competencies, i.e. and assessment ☐ N/A hold the qualification or a clear arrangements specific to and verified analysis against the relevant individuals that units of competencies identify their qualified supervisor/s and b. has directly relevant current assessor/s industry skills Trainer/assessor c. holds evidence of equivalence to qualification records for the skill set before 1 January the identified training 2016 and holds the skill set after supervisor and assessor 1 January 2016 (as per Schedule Staff profiles, copies of 1) qualifications, other d. is supervised by a qualified verifiable documentation trainer (i.e. vocationally competent with current industry skills and the appropriate trainer and assessor qualification) e. does not determine assessment outcomes (can only be done by someone meeting the assessor requirements of Schedule 1). 7 If someone is working under the Documented supervision ☐ Yes 1.18, 8. supervision arrangements, there are arrangement procedures ☐ No 1.19, determinations regarding: Documented supervision 1.20 a. the level of supervision required arrangements specific to ☐ N/A o. any requirements, conditions or relevant individuals restrictions considered Monitoring meeting records necessary on the persons involvement in the provision of training and assistance in the collection of assessment evidence p. the monitoring arrangements for the supervising trainer/assessor q. the accountability of the trainers/assessors providing supervision.

Queensland Curriculum & Assessment Authority [Publish Date] Page 28 of 32 RTO evidence confirmation checklist Name of person completing this Date when Where the trainers and assessors evidence checklist completed can be accessed Name Date Location

a.Explanatory notes Current industry skills are the knowledge, skills and experience required by VET trainers and assessors and those who provide training and assessment under supervision to ensure that their training and assessment is based on current industry practices and meets the needs of industry. Further information is provided in the Standards Glossary. Professional development means activities that develop and/or maintain an individual’s skills, knowledge, expertise and other characteristics as a trainer or assessor. Further information and examples of professional development activities are provided in the Standards Glossary. Schedule 1 is detailed at the back of the Standards. References to 1.21–1.25 are not included as they are not relevant to school RTOs registered under the QCAA delegation from ASQA. 79. Training and assessment

1. Training and assessment strategies and Training and assessment ☐ Yes 1.1 practices are consistent with the policy ☐ No requirements of training packages and Current cohort and VET accredited courses and enable each individual student (as student to meet the requirements. relevant) TAS documents for each qualification on scope of registration 8 The amount of training provided to each Cohort and individual ☐ Yes 1.1, 1.2 1. student considers: student TAS documents ☐ No a. the existing skills, knowledge and the experience of the student/s a. the mode of delivery b. the number of units being delivered if only part of a qualification is delivered. 8 Meet all requirements specified in the Cohort and individual ☐ Yes 1.4, and 1.3 2. relevant training package or accredited student TAS documents b), c), d) ☐ No course including sufficient: Resource and facility a. educational and support lists/photos services a. accessible learning resources that enable students to meet unit requirements b. facilities and equipment to accommodate and support the number of students while meeting training package requirements. 8 Determine support needs of individual SET planning ☐ Yes 1.7 3. students and provide access to services documentation ☐ No as necessary for the students to meet the Individual student TAS requirements of the course. documents ☐ N/A

Queensland Curriculum & Assessment Authority [Publish Date] Page 30 of 32 8 Individual students are offered RPL. Student information and ☐ Yes 1.12 4. marketing policy and ☐ procedure No SET planning documentation Individual student TAS documents Assessment documentation RPL documentation 8 Assessment system that ensures that Documented assessment ☐ Yes 1.8 5. assessment (including RPL): policy and procedure ☐ No a) complies with the assessment Quality assured and requirement of the training compliant assessment package or accredited course items b) is conducted in accordance RPL assessment decision with the Principles of documentation Assessment (Table 1.8–1) and Rules of Evidence (Table 1.8–2). 8 Transitioning of training products within Transitioning policy and ☐ Yes 1.26, 1.27 6. one year from the date the replacement procedures ☐ No product was released on training.gov.au Cohort and individual TAS in accordance with 1.26 and 1.27. documents Register of qualifications issues and register of statements of attainment issued Marketing and subject selection documentation

RTO evidence confirmation checklist Name of person completing this Date when Where the training and assessment evidence checklist completed can be accessed Name Date Location

a.Explanatory notes Assessment means the process of collecting evidence and making judgments on whether competency has been achieved, to confirm that an individual can perform to the standard required in the workplace, as specified in a training package or VET accredited course (Standards Glossary). Assessment system is a coordinated set of documented policies and procedures (including assessment materials and tools) that ensure assessments are consistent and are based on the Principles of Assessment (Standards Glossary). Assessment materials and tools practically integrate knowledge and skills and may include: 1. projects and/or task documents with clear instructions to students that address the requirements of the qualification and show in detail what type of vocational learning activities the students are undertaking to gain the skills and knowledge required by the units of competency 2. evidence-gathering tools that align to those outlined in the TAS (e.g. observation checklists) used by the assessor to gather evidence of students’ progress towards competency 3. clear assessor guidelines covering the decision-making and judgments when using the evidence-gathering tools 4. where evidence gathering is spread over a number of tools, a mapping document showing how sufficient valid evidence is gathered should be provided 5. student profiles or records. Competency means the consistent application of knowledge and skill to the standard of performance required in the workplace. It embodies the ability to transfer and apply skills and knowledge to new situations and environments (Standards Glossary). Recognition of Prior Learning (RPL) means an assessment process that assesses the competency/s of an individual that may have been acquired through formal, non-formal and informal learning to determine the extent to which that individual meets the requirements specified in the training package or VET accredited courses. More information about this is available in the Standards Glossary. Training is the process used to facilitate learning and the acquisition of competencies in relation to the training product on the RTO’s scope of registration (Standards Glossary). Superseded qualifications and accredited courses no longer have teach-out time. If a superseded qualification or accredited course has an equivalent replacement, it will automatically be added to the scope of the RTO as per ASQA and QCAA processes. If the new qualification or accredited course is not deemed as equivalent, the school RTO will have to apply for the new qualification or accredited course.

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