Policy and Procedure Manual

Transcription

1 Policy and Procedure Manual 2015

2 Table of Contents Acronyms and abbreviations used in this Manual Code of Practice CSIT Specific Policies and Procedures Complaints and Appeals Policy Continuous Improvement Policy Grievances, Equity and Access Policy Human Resources Policy Issuance of Qualifications and Statements of Attainment Policy Management of Student Records Policy Marketing and Promotion Material Policy Partnership Policy Recognition of Prior Learning and Current Competence Policy Refund Policy Risk Management Policy Student Plagiarism, Cheating and Collusion Policy Supervision Policy Version Control Policy Workplace Health and Safety Policy VET FEE- HELP Information Policy Other related Policy and Procedure Adequate training arrangements - Policy Adequate Training Arrangements - Specified Community Care Qualifications Adequate training arrangements Procedure National VET Provider Collection Data Requirements Policy Skills Queensland Guideline Number 10 - Requirements of a training plan for an apprentice or trainee Training plans and training records Policy and Procedure References Warning Uncontrolled when printed. The current version of this document is located in Dropbox Quality Assurance Authorised by: Executive Director Darryl Scott Original Issue: 16/04/2013 Version Number: 1.00 Current Version: 01/07/2015

3 Location Dropbox, Quality Assurance QA12 Review Date: 01/07/2016 National Provider Number Acronyms and abbreviations used in this Manual AAC AASW AIWCW AQF ASQA AVETMISS CSHIC CSIT DETE GTO IAP ICT IRP LLN NCCOS NCVER NRT NVR PEO RCC RPL RTO SNR SRTO USI Unit VELG VET VQF Australian Apprenticeships Centre Australian Association of Social Workers Australian Institute of Welfare and Community Workers Australian Qualifications Framework Australian Skills Quality Authority Australian Vocational Education and Training Management Information Statistical Standard Community Services and Health Industry Council Community Services institute of Training Department of Education, Training and Employment Group Training Organisation Internal Audit Process Information Communication Technology related to the USI Internal Review Process Language, literacy and numeracy National Competency Completion Online System National Centre for Vocational Education Research Nationally Recognised Training National VET Regulator Principal Employer Organisations Recognition of Current Competency Recognition of Prior Learning Registered training organisation Standards for Continuing Registration Supervising Registered Training Organisation National Unique Student Identifier Unit of Competency VELG Training offers professional development in the VET sector Vocational Education and Training VET Quality Framework

4 Code of Practice COMMITMENT Community Services Institute of Training Pty Ltd (CSIT) is an organisation dedicated to furthering the skills of people involved in the welfare and community sector. Our staff are people who, through personal work experience, professional training and field education, have the requisite values, attitudes, knowledge and skills to assist students and employers in their quest to enhance the sector. Through team teaching or individual attention, we aim to facilitate social welfare agencies and programs to promote, relieve or restore the social functioning of individuals, families, social groups or larger communities. As current or former welfare and community workers, we are concerned with the promotion of the worth and well- being of all individuals regardless of racial origin, sexuality, gender, age, ability or social status. Our teaching reflects this approach and is focussed on maximising the human potential and worth of all persons. COMPLIANCE CSIT is bound by, and complies with the conditions described within the National Vocational Education and Training Regulator (NVR) Act 2012, the VET Quality Framework and those imposed by ASQA on the registration of a particular RTO. The Institute also abides by relevant State and Commonwealth legislation. Access and Equity policies are incorporated into operational procedures. CSIT (Inc.) prohibits discrimination towards any group or individuals in any form. In addition, CSIT abides by the Australian Association of Social Workers (2010) Social Work Education and Accreditation Standards i principles, standards and graduate attributes for social work education in Australia. CULTURAL CONSIDERATIONS Accordingly, we acknowledge the Aboriginal and Torres Strait Islander peoples, the First Australians, whose lands, winds and waters we all now share, and pay respect to their unique values, and their continuing and enduring cultures which deepen and enrich the life of our nation and communities. CSIT commits to acknowledge and understand the historical and contemporary disadvantage experienced by Aboriginal and Torres Strait Islander peoples and the implication of this for social work practice. As such, we are responsible for ensuring that our practice is culturally competent, safe and sensitive ii.

5 CSIT Policies and Procedures This Staff Operational Manual is aligned to VET Quality Framework requirements. It is part of the three Manual develop by CSIT. Part A Standards of Operation Manual, Part B CSIT Operational Manual and Part C Staff Operational Manual. The Standards of Operations Manual is aligned to Standards for Registered Training Organisations (RTOs) 2015 requirements and also the CSIT Policy and Procedure Manual The Standards for Registered Training Organisations (RTOs) 2015 have Seven Standards and Seven Schedules outlines to be met by CSIT, they include: Standard 1 Standard 2 Standard 3 Standard 4 CSIT 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. The operations of CSIT are quality assured CSIT issues, maintains and accepts AQF certification documentation in accordance with these Standards and providers access to learner records Accurate and accessible information about an RTO, its services and performance is available to inform prospective and current learners and clients Standard 5 Standard 6 Standard 7 Schedule 1 Schedule 2 Schedule 3 Schedule 4 Schedule 5 Schedule 6 Each learner is properly informed and protected Complaints and appeals are recorded, acknowledged and dealt with fairly, efficiently and effectively. The RTO has effective governance and administration arrangements in place. CSIT Training Qualification Requirements Independent Validation requirements Fit and Proper Person Requirements Condition of Use of NRT Logo AQF Insurance Policy Requirements Protecting Fees Requirements

6 Responsibilities as a VET trainer/assessor at CSIT Responsibilities as a VET trainer/assessor at CSIT Timeline Task Procedures, Forms and Resources Before you conduct training or assessment Complete Staff Profile FO21 Trainer and Assessor Profile Complete VET Induction FO18 Staff and Contractor Induction Checklist; Induction procedure (in Human Resource Procedures) Practice version control on all documents you create or review Access 1 the Training and Assessment Strategy for all courses/units you are responsible for delivering or create a new strategy where required 1.1 A meeting between Industry and the CSIT Operational Manager to discuss the outline of the draft TAS, sample of assessment and basic qualification/unit information; 1.2 The Operational Manager will discuss the session plans, staff matrix and unit requirements with the teacher/s involved. The teacher will forward any information request for the completion of the TAS to M Manager; 1.3 Once all parties agree with the TAS, all parties will sign and date the TAS; 1.4 The new TAS must be validated by the Quality Manager before any new TAS is implemented; 1.5 The validated TAS is sent to the teacher as the final copy to instruct the course outline. 1.6 To supply the Industry for the staff to complete to ensure the agency of what funding is available for the staff completing the course - FO CSIT Start Up Registration Form External Check before Final TAS The industry to evaluated the information QA01 Version Control Register; Version control procedure FO77 Training and Assessment Strategy Template (if new material is to be created) or check the relevant Course and Units of Competency folders in Dropbox FO CSIT Start Up Registration Form FO40 Record of INDUSTRY TAS and Assessment Consultation 1 All relevant training and assessment materials, including forms and templates, can be accessed online through the CSIT folder at

7 Timeline Task Procedures, Forms and Resources supplied (assessments) by the CSIT Operational Manager and the draft TAS report Internal Check before Final TAS The CSIT Quality Manager has access to the Validation documentation for the units to be assessed and check that all mandatory requirements of the units are being met before the course starts Access the Course training and assessment materials Access information regarding the Units of Competency to clarify if further information is required Access OR Request Teacher to prepare session plans and upload them into the unit folder in Dropbox and forward them onto Operational Manager to include them into the TAS report. Quality manager / Independent Auditor to check the training package against the session plans, assessments, etc The Quality manager will draft a report on student eligibility of accessing different funding options or to understand the level of contribution will be required before completing the enrolment form to start to study Collect information from CSIT Administration 1.7 LLN Forms 1.8 FO CSIT Enrolment & USI Form 1.9 Training Plan attached to FO15 Enrolment form 1.10 Training Records (only User Choice) 1.11 Equity implementation plan Where insufficient training material is available, print sufficient copies and submit reimbursement Obtain a list of students enrolled in the units from administration Prepare the Attendance Log FO38 CSIT Internal Validation of TAS Check the relevant Course and Units of Competency folders in Dropbox Available online at training.gov.au FO39 Session Plan Template (if new material is to be created) or check the relevant Course and Units of Competency folders in Dropbox for Session Plans FO37 Assessment Validation Checklist FO CSIT Start Up Registration Form FO07 Equity Implementation Plan FO22 Expenditure Form (for reimbursement of printing costs) FO72 CSIT LLN Checklist FO75 Training Plan FO76 Training Record Plan FO67 Attendance Form

8 Timeline Task Procedures, Forms and Resources First Session of Training Complete: 1.12 Acknowledgement of receipt 1.13 Attendance form (this is mandatory and MUST be completed for every training session, at the beginning of the session) 1.14 LLN Form 1.15 Equity implementation plan Ensure that the students correct, legal names are properly noted in the attendance list using Driver s License/Medicare Cards to confirm Acquire copies of student identification details (Driver s License and Medicare) Collect: 1.16 Enrolment forms (for those students who have not correctly enrolled) 1.17 Workplace Portfolio of Evidence (if students are involved in the RPL/RCC Process or evidence from Existing Workers for Gap Training) 1.18 LLN forms 1.19 Equity implementation plans Provide all students with: 1.20 A copy of the Course/Unit information 1.21 Assessment Outline Discuss requirements Provide assessment outline Provide Apprentices/Trainees with the relevant documentation where required Complete documentation with Students and supervisors Advise students that they must bring the copy of their record plan to each training session Outline Student roles and responsibilities Describe support that is available to students Distribute, conduct and collect Language, Literacy and Numeracy Assessment FO07 Equity Implementation Plan FO15 Enrolment Form FO67 Attendance Form FO72 CSIT LLN Checklist FO86 Acknowledgement of receipt FO46 Workplace Portfolio of Evidence FO64 RPL Kit Course/Unit outlines available in relevant folders in Dropbox FO75 Training Plan FO76 Training Record Plan IN01 Welcome to Study FO13 Fact Sheet for Steps for Dealing with Complaints or Appeals Complaints and Appeals Policy FO72 CSIT LLN Access and Equity Policy

9 Timeline Task Procedures, Forms and Resources After First session of Training During Training and Assessment sessions Review LLN and Equity implementation plans to determine student needs and learning assistance Prior to the next training session, prepare/collate learning materials to assist these students Send completed documentation (enrolment forms, LLN Checklists, Workplace Portfolio of Evidence where they have been completed; copies of Medicare Card details and Driver s License) to CSIT admin via Registered Mail. Ensure that Apprentices/Trainees receive a completed copy of their Training Plan and Training Record Plan within 14 days after a training plan is signed by the parties to the training plan FO22 Expenditure Form (for reimbursement of mailing cost) Complete Attendance Form for EVERY session FO67 Attendance Form Follow Training and Assessment Strategy For Courses conducted more than 6 months, complete a Mid- Evaluation Form at the half way point Assess students against competencies and record results. Submit monthly Grading Report Submit a Course Progress Report if a student s course progress has been considered unsatisfactory, and they are required to show cause. Ensure that the Training Record plan of trainees/apprentices is signed off by the student, supervisor and teacher as each cluster is completed Ensure all assessment items are completed, correctly labelled with the student s details, and filed in accordance with Policy For Traineeships exceeding three months: a review is required once every three months. The trainer must organise a time with the student and their supervisor to conduct the review. Students are required to submit all assessments and workplace paperwork to administration/staff by the due date. Moderate a sample of assessment instruments each teaching period with other Trainers as part of a Staff Meeting Complete a final evaluation of the course with students FO02 Learner Questionnaire Grading Report (distributed through Administration) FO59 Course Progress Report Quality Assurance of User Choice Policy and Procedure Management of Student Records Policy and Procedure Traineeship Survey FO45 Internal Judgements on Student Work FO02 Learner Questionnaire

10 Timeline Task Procedures, Forms and Resources Following Completion of Training and Assessment Complete a final evaluation of the course with employers Complete a Group File Lodgement Form for each separate group of students and return this to CSIT Administration Return completed Attendance list and Assessment items (including student assessment cover sheets) to Administration Ensure that the Student File Checklist is completed and attached to these documents Review training and assessment practice and resources, and record any significant improvements using the Quality Unit Enhancement Form Ensure improvements are registered for Continuous Improvement purposes and any amendments to versions of documents are recorded in the Version Control Register FO01 Employer Questionnaire FO84 Group File Lodgement Form FO85 Student File Checklist FO37 Quality Unit Enhancement Form QA01 Version Control Register; Version control procedure Participate in professional development Staff Development Policy Other Check CSIT team calendar and plan for important dates DEFINITATION: INSTRUCTION MAP - IS TO ENSURE THROUGH AUDIT THAT ALL STEPS STATE ABOVE ARE CORRECTLY PREFORMED AND TO ASSIST WITH CONTINUES IMPROVEMENT Each member of CSIT has access to the Instruction Map for each training program with specialised funding requirements. Each Instruction Map is located with the agency information, which is place on dropbox for staff to access and is kept on file. The instruction map key purpose is to guide a staff member through the correct pathway to ensure the industry and the client has all the required information about the study and their rights and responsibilities. It also inline with the VET training package standards and with the Standards for Registered Training Organisations (RTOs) 2015 have seven standards and seven schedules. It is to assists with quality improvement as all forms and actions are recorded and check. Each staff involved must place their names and date the action completed to ensure each step is being complete correctly by the staff. The Quality manager is the key personal member to complete the last audit on all the documents. Example of Instruction Map INSTRUCTION MAP AUDIT CHECKLIST For User Choice Operational Manager Duties Quality Manager Duties Teacher Duties

11 Instruction The first column describe the action or timeframe, e.g. First Class The second is the list of Forms required to use, e.g. Last Class = 1 st Form - Totally Completed the ATF- 011 Completion agreement 1 All four forms must be done to complete Last Class Activity with forms in USER CHOICE 2nd Form- FO76 MAIN COPY Training Record 3 rd Form - FO02 Learner questionnaire 4 th Form the Completion Form (BAW and CSIT) The third is, once this is completed the teacher will need to DATE and WRITE NAME (their name) into the third column The fourth column is for Quality Manager NOTE: Main different between all three funding from QLD DETE is the Enrolment Form (FO15). It must be customised with the qualification outline ( and TAS training plan. The training plan is at the back of the enrolment form and it must have the qualification information displayed the plan must be detailed to the training schedule. The User Choice forms to the other two funding programs (DETE) the difference are the Training Record Plan, Training Plan (separate to enrolment) and Completion Form are only USE CHOICE and not to do the evaluation form call FO102 DETE Training and Assessment Survey. Action Form Number Responsibility Date of Completion and Person name Quality Manager upload complete Agency Forms in Audit Folder Standard First Meeting Forms to be completed WITH Agency for User Choice FO CSIT Start Up Registration Form FO35 INDUSTRY Training and Assessment Needs Analysis ATF- 013 Employer Operational Manager

12 Or Single student resource assessment 2 3 If single student: - FO103 SINGLE STUDENT AVETMISS Required Data Report (reflect on a TAS report for single student) Administration Office to vary eligibility of students in AISS Preparation of Training and Assessment Standard Second Meeting Forms to be completed WITH Agency for User Choice. Draft TAS and NEW Assessments Forward for Internal Validation Final TAS to be completed WITH Agency for User Choice Complete the FO CSIT Start Up Registration Form FO05 Mapping for CH15 Training Package FO39 Session Plan Template (forward to Operational Manager to add in to TAS Template) Draft of FO77 TAS Template FO64 RPL Kit or / and FO70 Student Assessment Coversheet with assessments and reading (collected back at next meeting) FO40 Record of INDUSTRY TAS and Assessment Consultation (collected back at next meeting) FO38 CSIT Internal Validation of TAS FO37 Assessment Validation Checklist (Internally or Independent Validator) FO91 Letter of offer FO77 TAS (Final Copy) send to all parties agency, Quality Manager and Teacher Administration Office or Quality Manager Teacher / Operational Manager Operational Manager Quality Manager Operational Manager

13 First Class Standard Forms to be completed WITH Student for User Choice. First Class to begin Assessment First Class - Validation of Student attendance to create Avetmiss Second Class - FO85 Student File Checklist - FO67 Attendance Form - FO72 CSIT LLN Checklist - IN04 Complaints and Appeals Process - IN03 Acknowledgement of receipt - FO15d 2015 CSIT Enrolment Form User Choice Funding - FO75 Training Plan Completed - FO76 MAIN COPY Training Record - FO67 Attendance Form - FO07 Equity Implementation Plan (any student who has special needs) - FO65 Student Credit Transfer - FO46 Workplace Portfolio of Evidence (hand back in second class completed or before three core units are completed CHCWHS312A, CHCCS411C and CHCHC311C) - FO78 Observation Record for Student Assessment - Teacher to forward completed Enrolment Forms - Final Copy of TAS - STRO from BAW - Attendance List - Grading report created (21 st every month) ATF- 013 Employer resource assessment resources/forms.html#e Teacher Quality Manager Teacher

14 before training starts and the last page, Community Care supervision arrangements and agreement to be completed. FO46 Workplace Portfolio of Evidence Three Months Period - FO02A User Choice Three Month Review - FO59 Course Progress Report (student falling behind in study) 5 Teacher Class Four or Five - F004 Student Teacher Feedback Marketing - FO90 Request for Training Request Completion Forms from Quality manager (one week notice) - Completion Forms Teacher Last Class - Totally Completed - FO76 MAIN COPY Training Record - FO02 Learner questionnaire - ATF- 011 Completion agreement ( psinfo.qld.gov.au/res ources/pdf/forms/co mpletion.pdf) 6 And Completion Forms Teacher To be complete up to 15 days after final grade Completion of the Training and Assessment FO85 Student File Checklist FO84 Group File Lodgement Form FO01 Employer Questionnaire Teacher Operational Manager Student Files - FO92 Congratulations on completion of study Letter with Quality Manager

15 Student Data (30 days after final assessment date) - - certificate FO45 Internal Judgements on Student Work FO82 Delivery Register Qualifications Quality Manager CSIT Specific Policies and Procedures

16 Grievances, Complaints and Appeals Policy Date of Approval 01/07/2013 Date of Last Review 01/07/2015 Website Access information ASQA Standards for RTO guide- to- the- standards- for- registered- training- organisations- 2015/users- guide- to- the- standards- for- registered- training- organisations html CSIT - Date of Next Review 01/07/2016 Related Policy, Documents or Standards Standards for RTOs 2015 QA13 Contractor- Staff Operational Manual QA09 Standards of Operations Manual_2015 PURPOSE The right to register and have a complaint or appeal addressed efficiently and effectively is a fundamental right of all consumers accessing CSIT services. LEGISLATIVE CONTEXT VET Quality Framework Standards for Registered Training Organisations 2015 Ensure complaints, grievances and appeals are managed consistent with the requirements of the Department of Education, VET Guidelines 2013 and the Higher Education Support Act 2003 DEFINITIONS For the purposes of this document the following applies: The Act refers to the Higher Education Support Act 2003 Student/s refers to all persons enrolled or seeking to enrol in a unit of study that meets the course requirements under subclause 45(1) of Schedule 1A of the Act who are, or would be, entitled to VET FEE- HELP assistance under clause 43 of Schedule 1A of the Act. Complainant refers to Students (as defined above) who have lodged an academic or non- academic complaint with Great Southern Institute of Technology. VET FEE- HELP refers to an income continent loan scheme for the Vocational Education and Training (VET) sector that is part of the Higher Education Loan Program (HELP); to assist eligible students undertaking a VET Course of Study

17 Grievance - a serious problem or concern of an academic or non- academic nature raised by an enrolled student or prospective student, which is believed by that student, to disadvantage them in the course of their study at CSIT. Complaint - an expression of dissatisfaction regarding an established procedure, which affects the quality of services offered by the organisation. Complaints are managed through the organisation s Student Support section. POLICY STATEMENT Access to the Policy All persons who use or intend to use the services of CSIT have a right to complain or raise issues of concern about any aspect of that service. All students and staff are made aware of the FO13 Complaint/Appeal Fact Sheet in their respective Handbooks, and students also have access to the information via the website, Enrolment Agreement Form and Course Description which are made available prior to any contractual arrangements are finalised. Information regarding the fact sheet can be found online at: Complaint and appeal process Regarding CSIT personnel An appeals and reassessment process is an integral part of all training and assessment pathways leading to a nationally recognised qualification or Statement of Attainment under the Australian Qualification Framework and in accordance with the Australian Quality Training Framework and/or VET FREE- HELP. A fair and impartial appeals process is available to students of CSIT. CSIT aims to provide a fair, safe and productive study environment, however, from time to time complaints or grievances may arise. Complaints may be offered informally (in general conversation to a trainer, for example) or formally (via written feedback in an evaluation form, or on the relevant complaints/appeals paperwork). When a complaint or grievance is registered against teaching staff, students are encouraged (in the first instance) to follow the complaint process to attempt to resolve the complaint directly with the individual. If this is not possible and the situation cannot be resolved informally through discussion with the individual involved, a written record of the complaint needs to be lodged using F014 Complaints or Appeals Record Form. The form can be found on the CSIT website at Regarding training related matters If students have complaints related to training content, assessment processes and the like, they are encouraged to record their comments on the training evaluation forms provided at the mid- point (of training sessions conducted over periods in excess of seven weeks) and at the conclusion of the training. All complaints recorded in this manner will be addressed in a way that is fair, consistent, prompt and with sensitivity to all parties, and in accordance with the principles of natural justice. Additionally, should the matter arise outside of these evaluation points, students may complete the Complaints or Appeals Record Form and due process will be followed. Regarding assessment outcomes Students have the right to appeal the outcome of an assessment if they feel that their work has not been assessed fairly or they have other concerns with the process leading to their result. They are encouraged to complete the Complaints or Appeals Record Form, submit it to the Executive Director of CSIT and due process will be followed.

18 Regarding CSIT operations If students or other clients are unhappy with the service provided by CSIT, and feel that the RTO is in breach of ASQA guidelines, they may take the issue up directly with ASQA. Information is available on the ASQA website at a- complaint.html Confidentiality and Privacy Complaints and Appeals must be treated by all parties as strictly confidential. This means that information about the Appeal shall only be discussed with, or made available to, a person who: Is a party to the appeal; Is or has been legitimately involved in the management of that appeal; or Has a formal management role in following up the consequences or implications of the appeal. Witnesses, support persons or any other observers must refrain from discussing the Appeal with each other or with the person/s involved unless those discussions are in accordance with the management of the Appeal. A breach of confidentiality may incur disciplinary action (for CSIT staff and contractors). Timeframe and follow up All written complaints logged will be responded to within two (2) working weeks of receipt of the complaint. Each complainant/appellant is given an opportunity to present their case in person to the Executive Director in the first instance and may also be accompanied by an advocate or support person. If this does not result in a resolution of the matter, the complainant/appellant: May formally present his or her case at no cost to them. Should external mediation be required, CSIT will cover 50% of the cost of mediation or an independent third party to deal with the matter. The remaining 50% of costs are to be borne by the complainant/appellant. May be accompanied and assisted by a support person (advocate) at any relevant meetings. Information regarding advocacy services is made available to students in their Handbook. All reasonable measures are taken to finalise the process as soon as practicable. A written statement of the outcome, including details of the reasons for the outcome will be provided once mediation has concluded, within two (2) working weeks. Continuous Improvement The root cause of the complaint or appeal will be included in the continuous improvement cycle of the relevant standards. Complaints will be monitored to determine any patterns of similarity of cause and processes will be adjusted accordingly. Additionally, complainants may be asked to offer feedback regarding their satisfaction with the manner in which the complaint/appeal was dealt with. COMPLAINT AND APPEAL PROCEDURES Definitions Simple complaint/appeals: Complaints arise when a client is not satisfied with aspects of CSIT services and requests action to be taken for the resolution of the matter. A Complaint/Appeal is classified as simple if it is of relatively minor concern and easily remedied and does not affect the health, safety and welfare of the complainant. It is expected that complaints/appeals of this nature will be responded to immediately or within one working day following the complaint being made. Serious or complex complaint/appeals: Complaints of a serious or complex nature refer to actions that could

19 potentially cause an impact on the health, welfare and safety of students/clients. These include such matters as claims of staff misconduct, confidentiality breaches, discriminatory behaviour and so on. A complex Complaint/Appeal is one that cannot be responded to until a formal investigation is undertaken. In the event of a Complaint/Appeal of a serious or complex nature, the Executive Director is to make every effort to provide a response as soon as possible or within 10 working days of receiving the Complaint/Appeal. Appeals arise when there is a difference of opinion regarding assessment judgements. Learners undertaking accredited training and assessment with CSIT have the right to initiate an appeal of an assessment result within a period of six weeks of notification of their assessment outcomes. CSIT is committed to providing a fair and equitable process for dealing with learner appeals. In the event that a learner is dissatisfied with the result of an appeal, CSIT advise learners of the appropriate authorities whereby they may seek further assistance. Complaints 1 The complaint procedure allows for: 1.1 An informal approach to the person with whom the participant has the complaint. 1.2 An opportunity for the person to formally present his or her case. 1.3 The Quality Manager or Executive Director who has not been involved to review the complaint. 1.4 An independent review by an external mediator, or ASQA (in the instance of complaints against RTO services or breaches of ASQA guidelines for RTOs). 1.5 All complaints are recorded in writing and reviewed at Management Meetings. All substantiated complaints will be acted upon through Management Meetings. 1.6 Results of all complaints are communicated in writing to the participant, stating the reasons for the decision. 1.7 A copy of this communication is kept on file, both on the Complaints Register and in the participant s individual file. Process for complaints and appeals unrelated to assessment 1 Talk directly to the person involved 1.1 In the first instance, the student/client should talk directly to the person causing concern. 1.2 If the issue regards an appeal with assessment, the student must bring it up with the assessor / trainer who marked the work. 1.3 The student brings the complaint or appeal to the attention of the trainer within seven (7) days of the issue taking place. 2 Talk with support from an advocate 2.1 If the student/client is not satisfied with the outcome, or they don't want to discuss the matter with the person, they may ask an advocate to be present to negotiate on their behalf. 2.2 If the issue remains unsatisfactory, the matter should be taken up with CSIT management unless the issue lies with CSIT management (see below conduct of the RTO becomes an ASQA issue) 3 The student requests information regarding the complaint/appeal process from the trainer and must be directed to their IN02 Student Handbook, or to the information available online at 4 The student should put the following information relating to the complaint or appeal in writing using FO14 Complaints and Appeals: 4.1 Description of the complaint or appeal 4.2 State whether they wish to formally present their case 4.3 Steps they have taken to deal with the complaint/appeal 4.4 What they would like to happen to fix the problem and prevent it from happening again. 5 Should the issue still not be resolved to the student s satisfaction, CSIT will make arrangements for an independent mediator from the from the Department of Justice Disputes and Resolution complaints committee to be engaged.

20 5.1 Any fees or charges that may be incurred via external resolution mediator will be subject to 50% payment by the RTO and 50% payment by the student. 5.2 The student will be given the opportunity to formally present his or her case. 5.3 The time frame for this process may vary but should take no longer than two working weeks. 5.4 The student/client is encouraged to have the support of an advocate if they wish. 6 The Executive Director ensures that the policy of complaint and appeal is followed and a written outcome is supplied to the person who makes the complaint/appeal. All parties involved will receive a written statement of the outcomes, including reasons for the decision within two working weeks of the meeting with the mediator. Complaints against CSIT as an RTO 1 If a student is concerned about the RTO as a training provider then they may approach the regulatory body. This authority has the power to suspend or cancel the RTO s institutional registration or any course registration if a breach of the requirements of registration provision is proved. 2 Concerns about the conduct of the RTO should be addressed to the Australian Skills Quality Authority. Refer to their website at a- complaint.html for further information. Academic Appeals 1 If students wish to appeal their assessment result, they must first discuss the issue with their Trainer. 2 If they are still not happy, they can then appeal in writing within seven (7) days of the initial discussion. 2.1 Note: The appeal should be put in writing within three (3) months of receipt of results and given to the trainer/assessor and/or the Executive Director of CSIT. 2.2 The Executive Director will ensure that students are contacted personally and acknowledged in writing within five (5) days of receipt of the complaint. 2.3 Once they lodge a formal appeal a third party will be appointed in an attempt to resolve the issue. Any decision recommended by this adjudicator is not binding to either party in the dispute. 3 The RTO will investigate students appeal. Acknowledgement in writing is provided within two (2) working days and a decision within 20 working days. However, depending on the complexity of the case and the information provided, this timeframe may vary. The appeals process will allow for students to formally present their case, and will also allow for their appeal to be heard by an independent person or panel if requested. 4 If no satisfactory solution is reached students can appeal to the regulatory body. 5 A written statement of the outcome of all academic appeals will be given to students and will be kept on student s personal file. 5.1 All academic appeals will be recorded in a data base for future reference and used for continuous improvement purposes. 6 Students have the right to a support person to be involved at all times during the appeal process. 7 The results of the appeal process will be communicated to students in writing including reasons for the decision made. 8 A copy of this communication will also be kept on file, both on the complaints register and student file. 9 Students application for appeal will be considered if they are disadvantaged because: 9.1 The Trainer did not provide a subject outline, 9.2 The Trainer varied without consultation or in an unreasonable way the assessment requirements as specified in the subject outline, 9.3 Assessment requirements specified by the Trainer were unreasonably or prejudicially applied to the student 9.4 It is believed that a clerical error had occurred in the documenting of the assessment outcome, 9.5 There appeared to be a discrepancy between the practical observation and the formal assessment

21 10 If the appeal for re- assessment is upheld CSIT will make all necessary arrangements to conduct the re- assessment at a time that is mutually convenient for all parties concerned and if required the appeal will be heard by an independent person or panel. 11 All appeals are recorded and reviewed at Management Review Meetings. Record keeping 1 All documentation relating to complaints or appeals should be archived for audit purposes. 2 Complete records are kept of all stages of the handling of the Complaint/Appeal and details should be recorded as they occur. 3 Records shall be accessible to all parties concerned. The records kept shall include: 3.1 Complainant s contact details 3.2 Details of Complaint/Appeal 3.3 Outcomes of Complaint/Appeal 3.4 Continuous improvement proposals to be implemented (if applicable) 4 Both the person making the Complaint/Appeal and the Executive Director must sign off on the FO14 Complaints and Appeals documentation. Continuous Improvement 1 All records are secured and a six- monthly audit undertaken to identify any trends for changes required to the operation of the service. 2 These audits will ensure compliance with CSITs policy and procedure and that all relevant follow- up has been instigated.

22 Privacy Policy Date of Approval 01/07/2013 Date of Last Review 01/07/2015 Website Access information Date of Next Review 01/07/2016 Related Policy, Documents or Standards Privacy Act 1988 Privacy Amendment (Private Sector) Act 2000 QA13 Contractor- Staff Operational Manual QA09 Standards of Operations Manual_2015 PURPOSE Federal Privacy Laws became effective from 21 December The legislation regulates the way RTOs can collect, use, keep secure and disclose personal information. RTOs are required to handle personal information in accordance with the National Privacy Principles as outlined in the legislation. CSIT is bound by the National Privacy Principles. An individual's right to keep their personal information private is highly important. We are committed to protecting and maintaining the privacy, accuracy and security of your personal information. LEGISLATIVE CONTEXT Privacy Laws 1988 Privacy Amendment (Private Sector) Act 2000 Guidelines to the National Privacy Principles VET Quality Framework POLICY STATEMENT 1. New Federal Privacy Laws became effective from 21 December What kind of information does the RTO collect? The RTO can collect information about: 2.1 Candidates before, during and after the course of a Candidate's enrolment at the RTO; 2.2 Job applicants, staff members, volunteers and contractors; and 2.3 Other people who come into contact with the RTO. 3.0 Personal information you provide The RTO will generally collect personal information held about an individual by ways of forms filled out, face- to-

23 face meetings and interviews and telephone calls and other communications. On occasions parties may provide personal information. 4.0 Personal information provided by other people In some circumstances the RTO may be provided with personal information about an individual from a third party, e.g. a report provided by a medical professional or a reference from another organisation. If you provide information to us about other people, we encourage you to inform them that you have provided us with information. 5.0 How will the RTO use the personal information you provide? The RTO's primary purpose is for education and the duty of care of its Candidates. The RTO will use personal information from an individual for the RTO's primary purpose and for such other secondary purposes that are related to the primary purpose. 5.1 To keep Candidates informed about matters related to their training, through correspondence, newsletters, magazines and reports; 5.2 Day- to- day administration; 5.3 Looking after Candidates' educational and medical well- being; 5.4 To satisfy the RTO's legal obligations and allow the RTO to discharge its duty of care. 6.0 Consequences of not supplying information If we do not obtain the information referred to above we may not be able to enrol you or continue your enrolment. If you do not agree to this, please advise the RTO in writing to the CSIT Quality Manager. 7.0 Job Applicants, Staff members and contractors In relation to personal information of job applicants, staff members and contractors, the RTO's primary purpose of collection is to assess and (if successful) to engage the applicant, staff member or contractor. The purposes for which the RTO uses this information include: 7.1 In administering the individual's employment or contract; 7.2 For insurance purposes; 7.3 Seeking funds and marketing for the RTO; 7.4 To satisfy the RTO's legal obligations, for example, in relation to child protection legislation

24 8.0 Who might the RTO disclose personal information to? The RTO may disclose personal information, including sensitive information, held about an individual to: 8.1 Another RTO, as required; 8.2 Government departments; 8.3 Medical practitioners; 8.4 People providing services to the RTO, including guest lecturers and trainer/assessors; 8.5 Recipients of RTO publications, like newsletters and magazines; 8.6 Anyone you authorise the RTO to disclose information to. 9.0 How will the RTO treat sensitive information? Sensitive information means: Information relating to a person's racial or ethnic origin, political opinions, religion, trade union or other professional or trade association membership, sexual preferences or a criminal record and health information. Unless you agree otherwise, or is allowed by law, sensitive information will be used and disclosed only for the purpose for which it was provided or a directly related secondary purpose Management and security of personal information The RTO has in place steps to protect the personal information the RTO holds from misuse, loss, unauthorized access, modification or disclosure by use of various methods including locked storage of paper records and pass- worded access rights to computerised records Updating personal information The RTO endeavours to ensure that the personal information it holds is accurate, complete and up- to- date. A person may seek to update their personal information held by the RTO by contacting the receptionist of the RTO at any time You have the right to check what personal information the RTO holds about you Under the Commonwealth Privacy Act, an individual has the right to obtain access to any personal information, which the RTO holds about them and to advise the RTO of any perceived inaccuracy. To make a request to access any information the RTO holds about you, to obtain an FO104 Access to Confidential Records Form go to the CSIT website Further information may be obtained by contacting the office of the Federal Privacy Commissioner

25 Continuous Improvement Policy Date of Approval 01/07/2013 Date of Last Review 01/07/2015 Website Access information ASQA Standards for RTO guide- to- the- standards- for- registered- training- organisations- 2015/users- guide- to- the- standards- for- registered- training- organisations html CSIT - Date of Next Review 01/07/2016 Related Policy, Documents or Standards Standards for RTOs 2015 QA13 Contractor- Staff Operational Manual QA09 Standards of Operations Manual_2015 PURPOSE To ensure CSIT continually reviews and improves its policies, procedures, training products and training services to meet compliance with the NVR, by collecting feedback from clients, stakeholders and staff and subsequently analysing the data and acting on opportunities for improvement or enhancement. LEGISLATIVE CONTEXT Data Provision Requirements 2012 (subsection 187 [1] of NVETR Act 2012) VET Quality Framework Standards for RTOs 2015 POLICY STATEMENT This policy details the continuous improvement cycle adhered to by all CSIT staff. CSIT applies a systematic, continuous improvement approach involving staff, clients (students and Industry) and other stakeholders, using qualitative and/or quantitative data tools to determine the need for improvement to training and assessment protocols and resources. Continuous improvement Process Review - a review of required changes is conducted monthly through Staff meetings. Reviewing in a systematic way assists in maintaining alignment with compliance requirements. Reveal meetings will identify areas of potential (or actual) non- compliance. This ensures that CSIT maintains currency of all its training protocols and programmes. Repair where a continuous improvement opportunity is identified through review, actions can be determined to repair the areas of non- compliance. Due process can then be followed (e.g. determination of which staff should be responsible for addressing the changes, implementing modifications etc.) Record following final determination regarding the action determined by the Executive Director, the decision is recorded as an action taken in management minutes. Any document determined as requiring change or amendment should also be featured in the RTO s version control record

26 Responsibilities The Executive Director is responsible for ensuring all staff is apprised of their responsibilities regarding continuous quality improvement. Information for staff is found in the CSIT Staff Manual and in the procedural notes at the end of this Policy Manual. All staff has a responsibility to ensure they meet the requirements of their position and maintain the correct records. Teachers should be familiar with the relevant documentation and the associated responsibilities and procedures for timely submission of this material.

27 Data collection (REVEAL) Data is to be collected throughout the duration of client engagement with the RTO. This includes: Contact with Industry Contact with training partners/agencies Development of training and assessment materials Student inquiries and enrolment Student assessment Verbal (informal) and written (formal) feedback from stakeholders and staff Data analysis (REVIEW) Feedback and data gathered is discussed in regular Staff Meetings as a standing agenda item. Items requiring action are identified and relevant staff is required to address the proposals submitted. Actioned items are checked for progress and noted in subsequent meetings. Annual internal audit processes (IAP) are conducted to ensure consistency and compliance with ASQA Standards. In addition, annual reviews of each qualification utilising an Internal Review Process (IRP) are undertaken. Staff and assessors of each qualification review training approaches, evaluation methods and resources to ensure currency and relevance of the information being distributed. New or revised training packages are implemented within 12 months following approval. The IRP may provide additional feedback to the IAP. The spokesperson of the IRP committee will provide a written report to the CSIT Executive Management Team at its meeting immediately following the IRP. Any recommendations should include a timeline for their implementation. Data action (REPAIR, RECORD) Recommendations regarding improvements to CSIT policy, procedure, training materials and processes arising from audits and staff meetings will be will be addressed within four to twelve weeks of the recommendation. CONTINUOUS IMPROVEMENT PROCEDURES Training and Delivery 1 CSIT consults industry through a comprehensive Training Needs Analysis in the preliminary phase of engagement with an Agency or other stakeholder that has requested training provision. This provides opportunity for planning and identification of strategic assessment for the sector. Information gathered in this initial phase informs the Training and Assessment Strategies for the course. 2 All areas of training/assessment require: 2.1 FO02 Learner Evaluation Form if the delivery activity runs for longer than seven separate occasions with the same group of students or over six months. The mid- evaluation assists in determining whether the student s needs are being met during the delivery mode of the activity. 2.2 FO01 Employer Evaluation Form to be completed at the end of each qualification activity completed (includes all modes of delivery). The final evaluation is an overall process and content evaluation of the delivery of service. This ascertains the suitability, sufficiency and relevance of training and assessment materials and conduct. 3 Clients are encouraged to provide feedback throughout the duration of the training process. This may be supplied: 3.1 Informally (via verbal feedback to the trainer/csit) or