MAINTAINING 2011-2012 APL CONTRACT COMPLIANCE WORKSHOP
ACTIVITY 2 - Case Study: Reporting Training Activity Data
You are the new compliance manager for Compliant? Training Pty Ltd, a NSW-based RTO contracted
under the 2011-2012 Approved Providers List (APL) Contract under the Apprenticeship and Traineeship
Training Program (ATTP). The organisation is approved to deliver the traineeship in BSB30110
Certificate III in Business to new entrant trainees, which has a 12 month nominal term.
One of your job roles is reviewing trainee files, updating your student management system, and
preparing and lodging activity data. You notice a file on your desk for a trainee enrolled 11 months ago
with a ‘To do’ label applied to the front cover.
The file shows:
• the Enrolment Form is completed. Attached to it is Photo ID of the student (appropriately
sighted), and record of payment for the Enrolment Fee.
• the Training Plan Proposal and Training Plan are fully completed and signed by all parties. It
indicates that the traineeship commenced on 1 February 2011 and expected to complete on
31 January 2012.
• the Training Plan identifies delivery of the program as primarily classroom based with
assessment integrated with workplace based activities.
• a printout is on file showing an approved Course Site ID for the student, and the National
Training Contract ID.
• the location on your intranet of the delivery and assessment plans developed for the
qualification showing specific detail on the training and assessment to be conducted (session
and assessment plans) during each session, and the resources that trainees and trainers /
assessors will receive to support each session.
• The Training Plan shows 12 units that comprise the qualification were delivered over the
following timeframe:
o February, March, April, May
 BSBOHS301B Apply knowledge of OHS legislation in the workplace
 BSBWOR301B Organise personal work priorities and development
 BSBINM301A Organise workplace information
 BSBINM302A Utilise a knowledge management system
o June, July
 BSBFLM306C Provide workplace information and resourcing plans
 BSBITU301A Create and use databases
o August, September
 BSBITU302B Create electronic presentations
 BSBITU303A Design and produce text documents
o October, November, December, January
 BSBITU304A Produce spreadsheets
 BSBITU305A Conduct online transactions
 BSBITU306A Design and produce business documents
 BSBITU309A Produce desktop published documents
NSW Department of Education and Communities – State Training Services
21 October 2013
Page 1
Evidence of Training and Assessment: BSB30110 Certificate III in Business
•
The Training Plan has been signed by the employer as each unit was completed.
•
There is a contact log signed by the trainer and student showing that the student attended a training
session 2 weeks after enrolment where they participated in BSBOHS301B Apply knowledge of OHS
legislation in the workplace. A learning activity completed by the student for that unit has been stapled
to the contact log.
•
You see that the participant’s name appears on each page of the task, and they have signed the task.
•
Completed and marked assessments are on file for each unit of competency. Also you note what a good
job the assessor did recording the result of the task, providing feedback to the trainee, signing the task
and collecting and retaining all of the evidence that informed their decision about the student’s
competence.
•
The Summary Record of Assessment Progress and Outcomes in the file shows:
Unit of Competency
BSBOHS301B Apply knowledge of
OHS legislation in the workplace
BSBWOR301B Organise personal work
priorities and development
BSBINM301A Organise workplace
information
Start
Date
End
Date
15/2/11
14/3/11
1/3/11
31/3/11
1/4/11
30/4/11
15/2/11
15/2/11
1/6/11
30/6/11
1/7/11
31/7/11
BSBITU302B Create electronic
presentations
1/8/11
31/8/11
BSBITU303A Design and produce text
documents
1/9/11
30/9/11
1/10/11
31/10/11
BSBITU305A Conduct online
transactions
1/11/11
30/11/11
BSBITU306A Design and produce
business documents
1/12/11
31/12/11
BSBITU309A Produce desktop
published documents
1/1/12
23/1/2012
BSBINM302A Utilise a knowledge
management system
BSBFLM306C Provide workplace
information and resourcing plans
BSBITU301A Create and use databases
BSBITU304A Produce spreadsheets
Assessment
Evidence
Date
Written
Q&A 1
Observation
Project
Short answer
written quiz
MCQ 2
20/2/11
Observation
31/3/11
Project
Observation
MCQ
Transcript
25/4/11
25/4/11
30/4/11
15/2/11
Project
Observation
MCQ
Project
Observation
MCQ
Project
Observation
MCQ
Project
Observation
MCQ
Project
Observation
MCQ
Project
Observation
MCQ
Project
Observation
MCQ
Project,
Observation
MCQ
26/6/11
27/6/11
30/6/11
29/7/11
29/7/11
31/7/11
20/8/11
27/8/11
31/8/11
22/9/11
30/9/11
30/9/11
20/10/11
30/10/11
31/10/11
24/11/11
30/11/11
30/11/11
22/12/11
31/12/11
31/12/11
18/1/12
23/1/12
23/1/12
20/2/11
28/2/11
14/3/11
26/3/11
Outco
me
Assessor
signature
C
T.Best
RPL
T.Best
RPL
T.Best
CT
T.Best
C
T.Best
C
T.Best
C
T.Best
C
T.Best
C
T.Best
C
T.Best
C
T.Best
C
T.Best
1
Question & Answer
Multiple Choice Questions
NSW Department of Education and Communities – State Training Services
2
21 October 2013
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Training Activity Data
After reviewing the student file you decide to check your Student Management System and notice that no data
had been entered for this student. You decide to update the system with the data, and enter the appropriate
outcome for each unit, together with the start and end dates for each unit.
You then email Training Market Customer Support (trainingmarket@det.nsw.edu.au) to enquire whether you can
still lodge the activity data and receive payments. You advise that it seems your RTO just forgot to lodge the
data. The department states that you are not eligible to receive payment, but that you are still required to lodge
the activity data.
Having had this experience you decide to conduct a post mortem and identify when the data should have been
lodged, and the evidence required to support each lodgement.
Case Study Questions
In doing so you will need to answer the following questions:
1.
What would the reporting milestones have been? How many lodgements did the department expect to
receive?
2.
What evidence was required to lodge data at each milestone? Initial? Midpoint? Completion?
3.
What outcome codes would you have reported for each unit at completion?
4.
What dates would you have reported for each unit at completion? Training contract start and end
dates? Training plan start and end dates? Actual start and end dates?
5.
What is the difference between the Withdrawn and Competency not achieved/fail outcomes? When
would you use each?
For answers, please refer to slides 29-33 of the Maintaining 2011-2012 APL Contract Compliance PowerPoint:
www.training.nsw.gov.au/forms_documents/industry_programs/business_services/pd_powerpoint.pdf
NSW Department of Education and Communities – State Training Services
21 October 2013
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