Understanding ASQA Non-Compliance and How RTOs Can Address Course Progress Issues Leave a comment

Non-compliance findings from ASQA (Australian Skills Quality Authority) audits are a serious matter for Registered Training Organisations (RTOs). A common issue is failure to monitor and manage course progress effectively, which can jeopardise student outcomes and an RTO’s registration. This blog explores typical non-compliance areas related to course progress, practical solutions, and the importance of implementing policies such as a Reinstatement Plan to rectify non-compliance.

Key Areas of Non-Compliance: Course Progress

ASQA audits often highlight deficiencies in how RTOs manage course progress. Below are common findings:

1. Lack of Defined Policies and Processes

Policies fail to clearly define when a student is deemed at risk of unsatisfactory progress or how they can return to satisfactory progress.

2. Insufficient Intervention Strategies

Intervention strategies to assist students at risk are often inadequate, untimely, or not documented.

3. Failure to Report Students

RTOs fail to report students not meeting satisfactory course progress through PRISMS (Provider Registration and International Student Management System) as required under the ESOS Act.

4. Incomplete Records

Academic progress records are not updated, resulting in gaps that make it difficult to track and address issues.

5. Non-Adherence to Study Period Definitions

Study periods are not clearly defined or aligned with the Training and Assessment Strategy (TAS) for each course, creating inconsistencies.

How to Fix Non-Compliance Issues 

1. Develop Clear Policies

• Define satisfactory course progress (e.g., achieving competency in at least 50% of units attempted in each study period).
• Include a step-by-step process for identifying at-risk students and implementing intervention strategies.
• Clearly articulate the point at which students are reported via PRISMS for unsatisfactory progress.

2. Implement Timely Intervention Strategies

• Activate an Intervention Strategy within four weeks of identifying at-risk students.
• Offer tailored support, such as:
  • Additional tutorials.
  • Academic counselling.
  • One-on-one mentoring.

3. Introduce a Reinstatement Plan

• Develop a Reinstatement Plan to help students regain satisfactory course progress. This plan should include:
  • Goals (e.g., achieving competency in at least 70% of units in the next study period).
  • Action steps, deadlines, and monitoring checkpoints.
  • Terms and conditions agreed upon by the student and RTO.

4. Align Study Period Definitions with the TAS

• Define study periods according to the course’s TAS. Ensure this information is consistent across all policies, the website, and enrolment documents.

5. Maintain Comprehensive Records

• Use systems like Wisenet or similar to record and monitor student progress.
• Ensure all intervention activities, progress reviews, and communications with students are well-documented.

6. Train Staff and Communicate Expectations

• Ensure all trainers, support staff, and coordinators understand the updated policies and their roles in maintaining compliance.
• Conduct regular training sessions to keep staff informed.

FAQs on Course Progress Compliance

1. What is unsatisfactory course progress?
   Unsatisfactory course progress occurs when a student is assessed as Not Yet Competent (NYC) in less than 50% of the units attempted over two consecutive study periods.
2. What is the role of PRISMS in managing course progress?
   PRISMS is used to report international students who fail to meet satisfactory course progress after all intervention and appeal processes have been exhausted. This ensures compliance with visa conditions.
3. How does a Reinstatement Plan help students?
   A Reinstatement Plan provides a structured roadmap for students to regain satisfactory course progress. It includes action steps, deadlines, and regular monitoring to ensure improvement.
4. When should intervention strategies be activated?
   Intervention strategies should be activated within the first four weeks of the following study period after a student is identified as at risk of not meeting course progress requirements.
5. What happens if a student fails to meet progress requirements for two consecutive study periods?
   The student will receive a Breach Notice Letter and may be reported to the Secretary via PRISMS after their appeal rights have been exhausted.

Example: Reinstatement Plan

Student Details:

• Name: John Doe
• Course: Certificate IV in Business
• Study Periods at Risk: Study Period 1 and Study Period 2

Goals:

• Achieve competency in at least 70% of the units attempted in the next study period.

Action Steps:

Action	Responsibility	Deadline	Notes
Complete outstanding tasks for Unit A	Student	[Insert Date]	Attend additional tutorials weekly.
Reattempt practical assessment in Unit B	Student/Trainer	[Insert Date]	Trainer to schedule re-assessment.

Monitoring:

Regular meetings with the RTO Coordinator to review progress.

Conclusion

Non-compliance with course progress requirements can have severe implications for RTOs, but proactive measures like clear policies, timely interventions, and structured plans can address and prevent these issues. By fostering a student-focused approach, RTOs can not only achieve compliance but also enhance student success.