The Queensland Studies Authority is a delegate of the Training and Employment Recognition Council
School RTOs may use this tool when preparing for an audit, to guide and record the outcome of self-assessment against the AQTF Essential Conditions and Standards for Continuing
Registration.
The aim of this tool is to provide school RTOs with a systematic framework to guide them through a self-assessment, and a thorough and concise record of the outcomes of that assessment.
The tool does not mandate the type of evidence that must be provided in order to demonstrate compliance. Listed on the form are some of the ways a school RTO could provide evidence, including:
 suggestions in the AQTF Users
’ Guide to the Essential Conditions and Standards for
Continuing Registration
 specific requirements of the Queensland Studies Authority
 the Department of Education and Training’s policies for registered training organisations
 evidence usually provided at audit by school RTOs.
Also refer to the u sers’ guide (available at www.training.com.au
) for assistance in interpreting the conditions and standards and understanding how they apply to your school RTO’s operations.
The scale of this self-assessment activity and the type of evidence required to demonstrate compliance will vary depending on the school RTO’s size and scope of operations.
The chief executive officer of the school RTO (usually the Principal) should review the findings of the self-assessment and formally note the outcome by signing in the section provided. A comments section is also provided.
AQTF Audit Self-Assessment Report
School name
Date of assessment
Chief Executive
QSA number
NTIS number
People involved in the selfassessment
Findings noted by Chief Executive as the person responsible for the RTO’s compliance
Comments
Signature Date
Privacy disclaimer: The information that you provide on this form is collected so that the legislative functions of the QSA concerning vocational education described in the Vocational Education, Training and Employment Act 2000 can be carried out.
Personal information will be handled in accordance with the Information Privacy Act 2009 , and will be accessed by authorised
QSA staff.

Condition 1 — Governance
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The RTO’s chief executive ensures compliance with all the AQTF Essential Conditions and
Standards for Continuing Registration and any national guidelines approved by the National
Quality Council across all its operations.

Decision making of senior management is consistently informed by trainers’ and assessors’ experiences.

All senior officers and directors, substantial shareholders or other associates who are in a position to influence the management of the organisation satisfy the “fit and proper person” requirements ( This is covered by the requirements of the College of Teachers,
Education Queensland and the Non-State
Schools Accreditation Board).
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
position description/role statement of CEO
position description/role statements of trainers/assessors (including decision-making role)
organisational chart
minutes of meetings where chief executive takes a leadership role in monitoring and reviewing AQTF compliance
communication from chief executive to staff
decision-making guidelines/flowcharts/ procedures
statement in regard to compliance with “fit and proper person” covered by the requirements of the College of Teachers, Education
Queensland or the Non-State Schools
Accreditation Board
other evidence (please specify):
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
2 | AQTF self-assessment tool — Continuing registration

Condition 2 — Interactions with the registering body
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

T he organisation’s chief executive has cooperated with its registering body:

in the conduct of audits and in the monitoring of its operations

by providing accurate and timely data relevant to measures of its performance

by providing information about significant changes to its operations (must include the strategy in place to communicate these changes to the registering body)

in the retention, archiving, retrieval and transfer of records consistent with its registering body’s requirements

by providing a statement of its financial viability, an annual report, and/or a business plan on the request of the registering body.
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
procedures or guidelines on how the school cooperates with the QSA as its registering body
position descriptions/role statements include responsibilities for communicating with the registering body
collection and reporting of data to the QSA including SDCS, RABS
collection and reporting of data to DET if registered for higher qualifications
sending AQTF Quality Indicator Reports (CCOS
Reports and SMART Report) to QSA by due date
The Department of Education and Training’s policy Retention of Student Results and
Assessment Records incorporated into policies and procedures
business plan
NTIS details correct
QSA VET Action Form completed at the beginning of each year
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 3

Condition 3 — Compliance with legislation
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The organisation complies with relevant
Commonwealth, state or territory legislation and regulatory requirements that are relevant to its operations as an RTO and scope of registration.

The organisation ensures that its staff and clients are fully informed of these requirements that affect their duties or participation in vocational education and training.
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
staff induction and professional development programs
student induction programs
information provided to staff
information provided to students
internal audits reports
workplace safety reports
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
4 | AQTF self-assessment tool — Continuing registration

Condition 4 — Insurance
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The organisation holds public liability insurance
( This is covered by the requirements of Education
Queensland and the Non-State Schools
Accreditation Board).
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
statement in regard to insurance covered by the requirements of Education Queensland or the
Non-State Schools Accreditation Board
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 5

Condition 5 — Financial management
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The organisation demonstrates that it is financially viable at all times during the period of its registration. ( This is covered by the requirements of Education Queensland and the
Non-State Schools Accreditation Board.)

The following fee information is provided to each client:

the total amount of all fees including course fees, administration fees, materials fees and any other charges

payment terms, including the timing and amount of fees to be paid and any nonrefundable deposit/administration fee

the nature of the guarantee the organisation will give to complete the training and/or assessment once the student has commenced study in their chosen qualification or course

the fees and charges for additional services, including such items as issuance of a replacement qualification or statement of attainment and the options available to students who are deemed not yet competent upon completion of training and assessment
 the organisation’s refund policy.

In regards to collecting fees in advance from students:

Where the organisation collects fees in advance, the organisation complies with
Option 1 — the RTO is administered by a state, territory or Commonwealth government agency. ( This is covered by the requirements of Education Queensland and the Non-State
Schools Accreditation Board.
) or

The organisation does not collect fees in advance from students.

Financial accounts are certified by a qualified accountant at least annually (This is covered by the requirements of Education Queensland and the Non-State Schools Accreditation Board).
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
fees, charges and refunds policy
pre-enrolment information to students about fees, charges and refunds is clear and accessible
statement in regard to financial management covered by the requirements of Education
Queensland or the Non-State Schools
Accreditation Board
other evidence (please specify)
System improvements identified:
6 | AQTF self-assessment tool — Continuing registration

Condition 6 — Certification and issuing of qualifications and statements of attainment
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The organisation has issued to persons it has assessed as competent a qualification or statement of attainment (as appropriate) that:

meets the Australian Qualifications Framework
(AQF) requirements

identifies the RTO by its national provider number from the National Training Information
Service

includes the “Nationally Recognised Training” logo in accordance with its conditions of use.

The organisation has a system in place to retain client records of attainment of units of competency and qualifications in an accessible format for a period of 30 years.

The organisation has a student records management system in place that has the capacity to provide the registering body with
AVETMISS compliant data.

The organisation provides returns of its client records of attainment of units of competence and qualifications to its registering body on a regular basis (as determined by the registering body).

The organisation meets the requirements for implementation of a national unique student identifier. ( Note: not required until a National system is in place.
)
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
certification and issuing of qualifications and statement of attainment procedures
records management procedure including requirement to review ongoing accessibility of records
if applicable, agreement to use QSA’s printing service for qualifications and statements of attainment ( meets requirement )
if applicable, copies of qualifications and statements of attainment issued if producing own qualifications and statements of attainment
delivering VET to students from the school — records management system with a capacity to provide AVETMISS compliant data (using
SDCS covers this requirement)
if applicable, delivering VET to students from other schools — records management system with a capacity to provide AVETMISS compliant data (using SLIMS covers this requirement)
if applicable, delivering qualifications registered through DET to students from the school or other schools — records management system with a capacity to provide AVETMISS compliant data to DET
enrolment and achievement of units of competency and qualifications up to date —
SDCS, SLIMS (if applicable), information to
DET (if applicable)
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 7

Condition 7 — Recognition of qualifications issued by other RTOs
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The organisation recognises AQF qualifications and statements of attainment issued by any other
RTO.
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
policy and procedure for recognising qualifications and statements of attainment issued by other RTOs
information about recognising qualifications and statements of attainment issued by other RTOs in pre-enrolment materials
information to staff
examples of recognition of qualifications/units of competency
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
8 | AQTF self-assessment tool — Continuing registration

Condition 8 — Accuracy and integrity of marketing
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

T he organisation’s marketing and advertising of
AQF qualifications to prospective students is ethical, accurate and consistent with its scope of registration.

The “Nationally Recognised Training” logo, if used, is used in marketing material in accordance with its conditions of use.
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
marketing procedure
marketing materials
induction program for staff, including information about how to ensure that marketing is accurate and is not misleading
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 9

Condition 9 — Transition to training packages/expiry of accredited courses
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The organisation manages the transition from superseded training packages within 12 months of their publication on the National Training
Information Service and transition from superseded accredited courses so that it delivers only currently endorsed training packages or accredited courses.
Description of possible evidence (not a list of mandatory evidence):
The Department of Education and Training ’s policy Transition Requirements for Superseded
Qualifications and Expired Accredited Courses incorporated into policies and procedures
current marketing materials
current training and assessment strategies
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
compliant
compliant
not compliant
not compliant
System improvements identified:
10 | AQTF self-assessment tool — Continuing registration

Element 1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment.
Intent: The RTO improves training and assessment arrangements in accordance with data collected.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The organisation ’s continuous improvement approach to training and assessment is systematic.

Data on the quality of training and assessment is collected and analysed.

Data is relevant and sufficient to make judgments about the quality of training and assessment across the RTO’s scope of registration.

Improvements to training and assessment are demonstrated.
compliant not compliant
Description of possible evidence (not a list of mandatory evidence):
process/procedure for data collection and continuous improvement
analysis of the quality indicator data i.e.
Competency Completion Online System
(CCOS) and Survey Management, Analysis and
Reporting Tool (SMART) Learner Questionnaire
collection and analysis of feedback from stakeholders
assessment validation and/or moderation
changes to training and assessment strategies, assessment instruments, etc from feedback
internal reviews
internal audits
continuous improvement process/log
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 11

Element 1.2
Strategies for training and assessment meet the requirements of the relevant training package or accredited course and are developed in consultation with industry.
Intent: All training and assessment strategies meet the requirements of the training package or accredited course. All training and assessment strategies are clearly informed by industry consultation and are systematically reviewed.
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

Each training and assessment strategy:

is clearly articulated and informed by information collected on industry requirements and learners ’ needs through effective consultation with industry

specifies the resources, both human and physical, that will be used to meet the requirements of the training package qualification (or unit of competency) or accredited course (or unit/module)

is monitored and reviewed through effective consultation.
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
training and assessment strategy for each qualification
evidence of industry consultation in the development of the training and assessment strategy for each qualification
records of meetings
revisions to strategies in response to industry feedback
internal reviews
internal audits
validation processes
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
12 | AQTF self-assessment tool — Continuing registration

Element 1.3 Staff, facilities, equipment and training and assessment materials used by the
RTO are consistent with the requirements of the training package or accredited course and the RTO’s own training and assessment strategies.
Intent: The resources used by the RTO across all of its operations are consistent with current industry standards and training package requirements.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence: compliant
Evidence is required to demonstrate compliance with the following:

The resources specified in each training and assessment strategy are used across all of the
RTO’s operations by staff and learners.

The currency, sufficiency and effectiveness of the facilities, equipment and training materials are systematically reviewed and improvements are demonstrated.
not compliant
Description of possible evidence (not a list of mandatory evidence):
physical resources available at the school
agreements for the use of resources outside of the school
simulated environment that meets the requirements of the qualification or accredited course
resources meet the requirement of the training package or accredited course
review of resources as part of the continuous improvement processes
industry review of resources
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 13

Element 1.4 Training and assessment is delivered by trainers and assessors who:
 have the necessary training and assessment competencies as determined by the National Quality
Council or its successors, and
 have the relevant vocational competencies at least to the level being delivered or assessed, and
 can demonstrate current industry skills directly relevant to the training/assessment being undertaken, and
 continue to develop their vocational education and training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence.
Intent: All trainers and assessors of nationally recognised training meet nationally agreed competency requirements and continue to develop their competence (refer to Appendixes 2 and 3 from the AQTF Users ’
Guide to the Essential Conditions and Standards for Initial Registration regarding training and assessment competencies for trainers and assessors).
At time of initial self-assessment:
Following analysis of additional evidence:
compliant
compliant
not compliant
not compliant
Evidence is required to demonstrate compliance with the following:

T rainers’ and assessors’ competence, including vocational currency, is established, verified and monitored.

If applicable, assessors who have the vocational competencies, but not the assessment competencies required, work together to conduct assessment with a person who has the required assessment competencies.

If applicable, direct supervision arrangements for trainers are implemented and managed as required.

T rainers’ and assessors’ competencies are continuously developed.
Description of possible evidence (not a list of mandatory evidence):
staff induction materials
policies and procedures or other guidance regarding selection of trainers and assessors
staff review and professional development plan
procedure in regard to trainers/assessors who do not have training and assessment competencies
trainers/assessors are identified on the training and assessment strategies
staff profiles, copies of qualifications, mapping of work history to the units of competency, professional development activities etc. show that the trainers/assessors have:
training and assessment competencies
relevant vocational competencies
current industry skills in the units of competency being delivered
continually developed industry currency and trainer/assessor competence
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
14 | AQTF self-assessment tool — Continuing registration

Element 1.5 Assessment, including recognition of prior learning (RPL):
 meets the requirements of the relevant training package or accredited course
 is conducted in accordance with the principles of assessment and the rules of evidence
 meets workplace and, where relevant, regulatory requirements
 is systematically validated.
Intent: Assessment ensures that only learners who hold the requisite skills and knowledge are certified as competent.
At time of initial self-assessment:
Following analysis of additional evidence:
compliant
compliant
not compliant
not compliant
Evidence is required to demonstrate compliance with the following:

Assessment (which includes RPL):
 meets the requirements of the training package or accredited course
 is consistent with the training and assessment strategy
 is valid, reliable, flexible and fair
 focuses on the application of knowledge and skill to the standard of performance required in the workplace
 involves the collection of sufficient, valid, authentic and current evidence to enable a judgment to be made about whether competency has been attained
 confirms that workplace and regulatory requirements are met (if applicable)
 is validated and/or moderated.
Description of possible evidence (not a list of mandatory evidence):
RPL processes, procedures and application form and copies of completed process (if applicable)
validation of assessment and moderation of assessment
master copies of assessment tools and intended responses/actions for units of competency for each qualification/accredited course that:
are consistent with the training and assessment strategy
cover the required knowledge
cover the required skills
meet the critical aspects
are valid, reliable, flexible and fair
(it is recommended that two units of competency from each qualification/accredited course be reviewed)
student assessment work which is:
sufficient, valid, authentic and current
(it is recommended that the assessment for two students from each qualification or accredited course be reviewed)
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 15

Element 2.1 The RTO establishes the needs of clients and delivers services to meet these needs.
Intent: Clien t services meet clients’ needs.
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

The needs of clients are established.

Client services are put in place or accessed to address the identified needs.

The provision of services is monitored to ensure that they continue to address the identified need.
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
SET plans
guidance services
services available for students with special needs
subject selection processes
monitoring/reviewing of the SET plans
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
16 | AQTF self-assessment tool — Continuing registration

Element 2.2 The RTO continuously improves client services by collecting, analysing and acting upon relevant data
Intent: Client services are continuously improved in accordance with data collected about their effectiveness. Continuous improvement processes refer to the continual enhancement o f an RTO’s performance so that the changing needs of clients and industry continue to be met. Continuous improvement does not relate to actions to achieve compliance as such actions are considered rectifications.
At time of initial self-assessment:
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:
 The RTO’s continuous improvement approach is systematic.

Data on the effectiveness of services provided to clients is collected and analysed systematically.

Data that is collected and analysed is relevant and sufficient to allow judgments to be made about the quality of client services across the
RTO’s scope of registration and operations.

Improvements to client services are demonstrated.
compliant
compliant
not compliant
not compliant
Description of possible evidence (not a list of mandatory evidence):
continuous improvement process/log
induction materials for staff about their role in continuous improvement
induction materials for learners that describe their input to continuous improvement of client services
analysis of the quality indicator data i.e. Survey
Management, Analysis and Reporting Tool
(SMART) Learner Questionnaire
collection and analysis of feedback from stakeholders
internal reviews
internal audits
revised policies, processes and procedures
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 17

Element 2.3 Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations.
Intent: Clients are provided with accurate and sufficient information to make an informed choice about their enrolment and/or agreement.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

Information provided to clients is clear, accurate and sufficient to assist them to make an informed choice.

The agreement between the RTO and the client is clearly defined and accurate.

Improvements to client information services are demonstrated.
compliant not compliant
Description of possible evidence (not a list of mandatory evidence):
pre-enrolment information provided to students which covers:
fee information
qualification/accredited course details
training and assessment arrangements including RPL
selection and enrolment of learners
client support services
complaints and appeals procedure
written agreements between the RTO and the learners
policy/procedure/enrolment flowchart and/or information for relevant staff to ensure that clients receive the information before they enrol or sign an agreement
changes to pre-enrolment information
internal reviews
internal audits
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
18 | AQTF self-assessment tool — Continuing registration

Element 2.4 Employers and other parties who contribute to each learner’s training and assessment are engaged in the development, delivery and monitoring of training and assessment.
Intent: Learners, including apprentices and trainees, receive support from all parties engaged in their training and assessment.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:
This element only applies for schools when supplementary evidence is gathered from a student’s workplace which contributes to a competency judgment.

Workplace personnel are consulted in the development of the workplace training and assessment processes.

Workplace personnel are informed of their training and assessment roles and responsibilities, where relevant to the training and assessment program.

The RTO monitors the contribution of workplace personnel in supporting each learner’s training and assessment.

The RTO monitors each learner’s progress.

Information from workplace personnel is used to continuously improve training and assessment.
compliant not compliant
Description of possible evidence (not a list of mandatory evidence):
documentation to support adherence to the
Education (Work Experience) Act 1996 (Qld)
workplace induction processes
student or training logs
roster of visits to workplaces
third-party reports
interviews with supervisors
interviews with learners
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 19

Element 2.5 Learners receive training, assessment and support services that meet their individual needs.
Intent: Learners have every reasonable opportunity to complete their training program.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

L earners’ training and learning support needs are systematically assessed.

Learners have access to relevant learning support services, including assistance with language, literacy and numeracy.

Training, assessment and learning support services provided to each client are consistent with the training and assessment strategies.

Learning, assessment and learning support services are monitored and improved.
compliant not compliant
Description of possible evidence (not a list of mandatory evidence):
procedures for determining support needs
personnel and resources to support learners
information for learners about support services available and how to access them
RPL applications
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
20 | AQTF self-assessment tool — Continuing registration

Element 2.6 Learners have timely access to current and accurate records of their participation and progress.
Intent: Learners have access to their records.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence: compliant not compliant
Evidence is required to demonstrate compliance with the following:

Learners are informed about how to gain access their records.

Records of learners ’ participation and progress through their training programs are systematically collected, recorded and stored.

Records management practices are monitored and improvements are demonstrated.
Description of possible evidence (not a list of mandatory evidence):
pre enrolment materials
induction materials — staff
induction materials — learners
website information learners’ records
enrolment
attendance
learner support
outcomes — qualification/unit of competency
qualifications and statements of attainment
records management policies and procedures
internal reviews
internal audits
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 21

Element 2.7 The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed effectively and efficiently.
Intent: Complaints and appeals are managed fairly, efficiently and effectively. The RTO creates an environment where clients’ views are valued.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

Effective management of complaints and appeals and their resolution is demonstrated.

Complaints and appeals are monitored and reviewed to prevent their recurrence and to improve the RTO’s operations or services.
compliant not compliant
Description of possible evidence (not a list of mandatory evidence):
complaints and appeals policy and procedure
complaints and appeals form
information to students about how to access complaints and appeals processes
information to staff
complaints and appeals dealt with as per policy and procedure
complaints and appeals register
continuous improvement process/log
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
22 | AQTF self-assessment tool — Continuing registration

Element 3.1 The RTO’s management of its operations ensures clients receive the services detailed in their agreement with the RTO.
Intent: Clients’ rights as consumers are protected.
At time of initial self-assessment:
Following analysis of additional evidence:
compliant
compliant
not compliant
not compliant
Evidence is required to demonstrate compliance with the following:

Agreements are in place with each client

The RTO ensures that c lients’ rights as consumers are protected.
 The RTO’s systems are sufficient to support the provision of quality training, assessment and client services.

The RTO monitors and reviews the provision of services to clients and demonstrates improvements.
Description of possible evidence (not a list of mandatory evidence):
policies and procedures
copies of written agreements e.g. pre-enrolment forms, SET Plans, subject selection forms, subject change forms
surveys for monitoring client satisfaction with the services provided
moderation activities checking students are receiving the services outlined in the agreements
internal reviews
internal audits
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 23

Element 3.2 The RTO uses a systematic and continuous improvement approach to the management of operations.
Intent: The management system ensures that the RTO meets:

AQTF Essential Conditions and Standards for Continuing Registration
 legislation and regulations under which it is registered.
Conti nuous improvement processes refer to the continual enhancement of an RTO’s performance so that the changing needs of clients and industry continue to be met. Continuous improvement does not relate to actions to achieve compliance as such actions are considered rectifications.
At time of initial self-assessment: compliant not compliant

Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:
Management systems are:

appropriate for the size and scope of the
RTO’s operations

focused on providing quality training, assessment and support services

consistently implemented across all of the
RTO’s operations

systematically monitored and improved.
compliant not compliant
Description of possible evidence (not a list of mandatory evidence):
policies and procedures e.g. quality manual
register of documents
continuous improvement plan
VET schedule or calendar
internal reviews/monitoring activities
internal audits
communication throughout the RTO e.g. emails, memos
VET meetings
staff induction
position description/role statements
organisational chart
analysis of data from stakeholders
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
24 | AQTF self-assessment tool — Continuing registration

Element 3.3 The RTO monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards
for Continuing Registration.
Intent: Services delivered under partnering arrangements will comply with the AQTF Essential Conditions and Standards for Continuing Registration.
At time of initial self-assessment: compliant not compliant
Following analysis of additional evidence:
Evidence is required to demonstrate compliance with the following:

Documented agreements are in place with each organisation that provides training and/or assessment on its behalf. The agreements describe the responsibilities of each party and the management strategies to be implemented, including monitoring arrangements.

The implementation of the agreement is monitored to ensure that it is being adhered to and improvements are made where required.

Improvements to arrangements for the establishment, monitoring and implementation of agreements are demonstrated.
compliant not compliant
Description of possible evidence (not a list of mandatory evidence):
N/A (no other schools will be delivering qualifications using the app licant’s registration as an RTO)
If another school will be delivering qualifications using the applicant’s registration as an RTO, then the applicant could have:
agreements
policies and procedures for monitoring the agreements
agreement checklist
position description of staff who monitor the agreement
monitoring and moderation activities
agendas and minutes of meetings
continuous improvement process/log
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
Queensland Studies Authority Version: November 2010 | 25

Element 3.4 The RTO manages records to ensure their accuracy and integrity.
Intent: Records maintained by the RTO support the continuous improvement of its operations and provide evidence of compliance with the AQTF Essential Conditions and Standards for Continuing Registration.
At time of initial self-assessment:
Following analysis of additional evidence:
compliant
compliant
not compliant
not compliant
Evidence is required to demonstrate compliance with the following:

Records are systematically managed.

Records for demonstrating compliance with the
AQTF Essential Conditions and Standards for
Continuing Registration are maintained.

Staff meet their responsibilities for records management.

The effectiveness of records management is monitored and reviewed.

The continuous improvement of record management is monitored and reviewed.

Compliance with the Department of Education and Training’s Retention of Student Results and
Assessment Records Policy for RTOs is demonstrated .
Description of possible evidence (not a list of mandatory evidence):
records management policies and procedures
electronic records
paper-based records
backed up and archived records
AQF qualifications register
staff induction materials
processes used to check the accuracy of records
regularly updated VET records on SDCS to meet QSA requirements
position description of staff who have responsibility for record keeping
continuous improvement process/log
other evidence (please specify)
Summary of non-compliances identified at initial assessment:
Rectification required to demonstrate compliance:
System improvements identified:
26 | AQTF self-assessment tool — Continuing registration