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Elements and Performance Criteria

  1. Gather and analyse information for policy and procedure development
  2. Develop the policies and procedures
  3. Identify implementation requirements
  4. Monitor and review policies and procedures

Evidence Required

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria required skills and knowledge range statement and the Assessment Guidelines for the Training Package

Overview of Assessment

To demonstrate competency against this unit candidates must be able to provide evidence that they have the acquired knowledge of the organisational standards and scope of operations in order to develop new and modify existing policies and procedures that support and guide training and assessment services

Performance must address research organisational consultation and communication skills which maximise input ownership and acceptance of policies and procedures Evidence of draft and final policies and procedures is essential

Evidence Requirements

Required knowledge includes

organisational evaluation strategies

organisational policies and procedures

continuous improvement processes

relevant authority compliance requirements and standards for registration of the training andor assessment organisation if applicable

quality management compliance requirements

where to access relevant organisational documentation

all authoritative responsibilities and parameters within the training andor assessment organisation

sound knowledge of consultation and communication processes to support and encourage the organisational input into polices and procedures development processes

implementation processes and their impact on an organisation

relevant policy legislation codes of practice and national standards including Commonwealth and stateterritory legislation for example

licensing requirements

security of information

industryworkplace requirements

vocational education and training requirements

duty of care under common law

antidiscrimination including equal opportunity racial vilification and disability discrimination

industrial awardsenterprise agreements

OHS relating to the development of organisational policies and procedures including

sources of information on OHS as it applies to the training andor assessment organisation

risks that should be addressed by a training andor assessment organisation

legislative requirements for OHS record keeping and reporting requirements

OHS obligations of the training andor assessment organisation the trainerfacilitator assessor learner and candidate

requirements for consultation under OHS legislation

Required skills and attributes include

literacy skills to

interpret legal requirements

develop organisational policies and procedures

analyse compliance information

analyse information for policy development

interpret information from a range of documents and make judgements about the relevance and applicability of information

language skills to

communicate ideas and policies and procedures of an organisation

encourage participation across all levels of personnel and clients

seek opinions and elicit feedback from a range of stakeholders

research skills to

obtain relevant and uptodate information in order to develop policies and procedures

collect and provide accurate and uptodate information on RTO registration and compliance if applicable

skills in evaluating operational effectiveness

interpersonal skills including

maintaining appropriate relationships with colleagues and stakeholders

establishing trust

valuing and being open to the opinions of others

working as part of a team

active listening

negotiation skills

capacity to encourage and accept feedback

Products that could be used as evidence include

developed and finalised policies and procedures

developed implementation plan

developed and implemented consultation and communication processes used to support and encourage personnel input

records of consultation and communication activities

records of review processes

Processes that could be used as evidence include

how and what information was researched and analysed for inclusion in policies and procedures

how and when discussions were held with personnel and clients in relation to obtaining feedback on new modified policies and procedures

how existing policies and procedures were analysed to identify any gaps if relevant

how review processes were developed and managed to enable regular monitoring of policies and procedures

Resource implications for assessment include

access to organisational and legal documentation

time

access to human and physical resources

The collection of quality evidence requires that

assessment must address the scope of this unit and reflect all components of the unit ie the Elements Performance Criteria Range Statement Evidence Guide Employability Skills

a range of appropriate assessment methodsevidence gathering techniques is used to determine competency

evidence must be gathered in the workplace wherever possible Where no workplace is available a simulated workplace must be provided

the evidence collected must relate to a number of performances assessed at different points in time and in a learning and assessment pathway these must be separated by further learning and practice

assessment meets the rules of evidence

a judgement of competency should only be made when the assessor is confident that the required outcomes of the unit have been achieved and that consistent performance has been demonstrated

Specific evidence requirements must include

the developmentmodification of a minimum of two different policies and procedures and must include

research to underpin content

internal consultation and communication processes used to encourage input and obtain timely feedback

an implementation plan

procedures developed to regularly review and improve quality of policiesprocedures

Integrated assessment means that

this unit can be assessed alone or as part of an integrated assessment activity involving relevant units in the TAA Training and Assessment Training Package Suggested units include but are not limited to

this unit can be assessed alone or as part of an integrated assessment activity involving relevant units in the TAA04 Training and Assessment Training Package. Suggested units include but are not limited to:

TAADELB Lead and coordinate training services

TAADEL504B Lead and coordinate training services

TAACMQB Lead and conduct training andor assessment evaluations

TAACMQ503B Lead and conduct training and/or assessment evaluations

TAACMQB Coordinate training andor assessment arrangements for apprenticeships traineeships

TAACMQ502B Coordinate training and/or assessment arrangements for apprenticeships/ traineeships

TAAASSB Lead and coordinate assessment systems and services

TAAASS501B Lead and coordinate assessment systems and services.

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Training and/or assessment organisation refers to:

a Registered Training Organisation (RTO), i.e. an organisation registered to provide recognised training and assessment services; includes TAFE institutes, private commercial colleges/ companies, enterprises, community organisations, group training companies and schools

an organisation working in a partnership arrangement with an RTO to provide recognised training and assessment services

an organisation that provides non-recognised training and assessment services

Relevant personnelrefers to:

the person/s responsible for determining which policies and procedures are to be developed

Purpose of policies and proceduresmay include:

a framework under which the provision of training and/or assessment services is conducted

a mechanism to facilitate continuous improvement within the training and/or assessment organisation

transparency of the training and/or assessment organisation's approach to training and/or assessment services

the identification of roles and responsibilities of key personnel in an organisation

a framework for consultation processes with industry for development of training and/or assessment services

consistency in training and/or assessment services provided

Organisational/legal requirementsmay include:

customer complaints, grievances and appeals

risk identification and management, including occupational health and safety (OHS)

quality and continuous improvement processes and standards, including validation systems

financial management, including refund policies and systems to protect fees paid in advance (if appropriate)

mutual recognition of qualifications and Statements of Attainment issued by other training and/or assessment organisations

access and equity

client selection, enrolment and induction/orientation

staff recruitment, induction and ongoing development and monitoring

availability of policies and procedures to all personnel and learners/clients/candidates

collaborative/partnership arrangements

confidentiality and privacy requirements

ethical standards

administrative and records management system, for example:

reporting/recording requirements and arrangements

maintenance, retention, archiving, retrieval, storage and security of assessment information

document version control

Organisational and external expertisemay include:

auditors

staff of regulatory authorities

training consultants

quality consultants

OHS consultants

managers/supervisors

training coordinators

trainers/facilitators, assessors, lead assessors

information technology personnel

human resources and other advisors on policy and procedural requirements

organisational OHS representatives

Consultation and communication processesmay include:

structured interviews

team meetings

focus groups

questionnaires

informal interactions

liaison with stakeholders

inclusion of every level of the organisation

Reports and other documentationmay include:

reports of training and/or assessment evaluations

external auditors reports

relevant organisational/industry national standards

business and annual reports

Organisational and industry standardsmay include:

industry standards/benchmarks

training and/or assessment organisation standards

Australian Quality Training Framework (AQTF) Standards for Registered Training Organisations (RTOs)

OHS requirements

An implementation planmay include:

mechanisms for the introduction and promotion of new/modified policies and procedures within the organisation, for example:

emails

bulletins

hard copy manuals

briefing and training

OHS committee meetings

staff meetings

mechanisms for the introduction of new/modified policies and procedures to clients/stakeholders

mechanism for involving personnel in the decision making and implementation

mechanisms to facilitate continuous improvement processes

personnel responsible for the implementation process

timelines for and allocation of responsibilities for the introduction of new/modified policies and procedures into the organisation

promotional materials

action plan, timelines and responsibilities for implementation stages

revised policy timelines and further feedback

induction processes that include the discussion of policies and procedures and their use, and orientation kits for personnel involved in training, assessment or client service

Physical resources and equipment requirementsmay include:

business technology, for example:

computers

hardware

software

other office equipment

Organisational change processesmay include:

paper-based or electronic information, for example, Intranet

coaching and mentoring arrangements

identification of 'organisational experts' to assist employees with implementation issues