1. Policy

This policy is designed to ensure that Inspiritive Pty Ltd is able to effectively manage administrative, record management and reporting requirements in accordance with the requirements of the Standards for Registered Training Organisations 2015.

This policy and procedure applies to administration, records management, and record retention of all records and details collected and maintained for training and assessment services delivered by Inspiritive Pty Ltd .

The policy and procedure also provides processes to ensure Inspiritive Pty Ltd can maintain compliance with all external reporting responsibilities (i.e. – AVETMISS, Quality Indicators).

2. Procedure

, , , ,  , , , , , ,  Responsibility for Records Management

• The CEO has the responsibility to ensure that all business related and financial records are maintained appropriately. This includes but is not limited to:
• Financial and annual reports
• Business plans
• Minutes of meetings relating to business operations and governance arrangements
• The CEO has responsibility for ensuring that all records relating to the delivery of training and assessment services are maintained appropriately. This includes but is not limited to:
• All records of delivery and assessment arrangements
• Staff records
• All required records to ensure compliance against the Standards for Registered Training Organisations 2015
• Student Administration has the responsibility for the storage, maintenance and archiving of all training and assessment records. This includes but is not limited to:
• Student records database
• Records and evidence of training and assessment services
• All related administration paperwork and records relating to student enrolment, progress, and completion of any training and assessment services provided

The RTO is required to maintain a Student Record Management System that is able to collect AVETMISS data.

Retention of Student Training Resources and Assessment Instruments

The RTO is required to maintain master copies of all training resources and assessment instruments for all staff to access as required. These training resources and assessment instruments are also required to be maintained for a period of one (1) year from the date the materials cease to be used within the RTO.

The CEO is to archive these documents/ recourses either in hard or soft copy to ensure access for at least one year.

Retention of Student Records and Assessments

The RTO is required to ensure that all records of training and assessment are securely maintained for the duration of the student's enrolment and a further 6 months after completion or cancellation of the student's enrolment.

To ensure these records are maintained Student Administration to ensure that appropriate records are retained as indicated in the schedule below:

Hard Copy Student Files:

• Currently Enrolled Students
• The RTO will maintain all student records (in hard copy) while a student is enrolled with the RTO. This will include but is not limited to:
  • Enrolment Form
  • The assessment schedule for each unit included in the enrolment (Training Plan)
  • Pre- Training Review (including LLN testing, and any CT / RPL applications)

• Completed / Cancelled Students
• Hard Copy student files will be retained in full for a period of 6 months after the completion of training and assessment. These files will be archived as per the archiving processes in place.

• Each individual student file must include the following:
  • Enrolment Form
  • The assessment schedule for each unit included in the enrolment (Training Plan)
  • Pre- Training Review (including LLN testing, and any CT / RPL applications)
  • A copy of all assessment tasks, including tests, assignment, role plays, projects etc. for all Units undertaken in the course (all assessment tasks must be marked)
  • A copy of the Assessment Outcome Record Sheet for each unit
  • Copy of the Statement of Attainment or Qualification issued

Electronic records:

Full electronic student records (records indicating enrolment details, units of competency started and completed and the Qualification/ Statement of Attainment issued) for all students will be retained for a period of thirty (30) years. This will be maintained in a format that is able to be transferred to the ASQA as required.

Enrolments and participation

• All details of enrolment and ongoing participation in training and assessment are entered on the AVETMISS compliant Student Records Management System
• This database shall also contain records of student progress that shall be maintained by Student Administration.
• Student data shall be entered in a timely manner that reflects the student's current status. This includes identifying the training and assessment that has been undertaken as it occurs and maintaining an ability to provide up to date student records at any time.

Provision of student records to regulator

Transfer of records will be consistent with contractual and legal requirements and the requirements of the National VET Regulator (Australian Skills Quality Authority- ASQA). This may include regular reporting of various data (i.e. Quality Indicators) relating to the training and assessment services provided by the RTO.

Document retention and disposal

Student Records:

• All student records are stored securely at the RTO premises in line with the timeframes above.
• The manner of disposal after the retention period will be the responsibility of Student Administration. To ensure confidentiality, documents containing personal details or other sensitive information will be destroyed before disposal.

All other documentation:

• The document retention period of all other documents relating to the RTO operations, if not contractually or legally required, shall be seven (7) years.
• The manner of disposal after the retention period will be the responsibility of the CEO. To ensure confidentiality, documents containing personal details or other sensitive information will be destroyed before disposal.

Secure storage of electronic records

• Student records and results are stored on the RTO's Student Record Management System
• All electronic records, are kept on a secure server that is backed up daily. Copies of the daily back up are kept in 3 different places (including two offsite locations).

Privacy and Student Access

Please refer to Privacy Policy for detailed information.

• Except as required under the Standards for Registered Training Organisations 2015, Government Contracts or by law, information about a student will not disclosed to a third party without the written consent of the student.
• Access by students to their personal records is available upon request to the Student Administration Department. Students may contact Student Administration to discuss a suitable time to view their file and, access will only be granted once a student can confirm their identification.
• Student Access to the file will be granted only once written notification is received and Student Administration has validated the student's identification.
• Access shall be provided within 2 days of confirming the student's identification.
• Information that may be accessed includes progress, personal details, and any relevant details of the student's enrolment that the RTO has collected.

Monitoring and review of records

• On an annual basis, Inspiritive Pty Ltd will conduct an internal audit against the Standards for Registered Training Organisations 2015 and this will include reviewing all RTO records to ensure compliance is being maintained. This process is supported within the Quarterly Review Schedule and the Quality Management Policy and Procedure.
• Student files will also undertake regular reviews to ensure information is included as required. This includes use of the ‘Student File Checklist'.