Organisation: Victorian Sate Government Department of Education and Training
Job Title: Compliance Officer, Quality Assurance VET
Location: Melbourne CBD
Criterion 1 : ‘CORE Values’ as detailed in Organisational Values section – Responsiveness, Integrity, Impartiality, Accountability, Respect, Leadership, Human rights
As a professional with 15 years of experience in adult education, I have an excellent record in all areas as outlined in the Organisational Values section of the position description. The following examples are demonstrative of my qualities in these areas:
- In a recent role as a Compliance Manager, I was approached by a student who had a complaint about her trainer. After a lengthy engagement with the student I was able to determine that she felt harassed and perhaps even slightly bullied by the manner the trainer used when dealing with her in the classroom. Although there were no previous complaints against this individual, who had been with the organisation for some time, I took the student’s concerns seriously. Subsequently, I met with the trainer to discuss the complaint in a respectful, impartial and constructive manner. The trainer was surprised to discover there was an issue, but was receptive to advice and mentoring on how best to adjust his communication style and attitude toward this student. A follow-up meeting was conducted with myself, the trainer and the student to ensure that resolution had been achieved. This resulted in the student completing her training, achieving the desired certification and being very happy with the treatment she received. It is also my belief that this incident resulted in a learning experience for the trainer, serving to improve his ability to modify communication methods when dealing with varying individuls with different learning styles.
- Again while working as a Compliance Manager, an internal audit revealed that a course coordinator of an accredited qualification was non-compliant with Australian Skills Quality Authority (ASQA) regulations in the delivery of her course. Specifically, she was not contextualising assessment resources and the result was an inconsistency in the validity of assessment judgements. This negatively impacted the quality of learning outcomes for the students and urgently needed to be addressed. When meeting with the Coordinator concerned, she initially found it difficult to accept that there was a problem. However, through respectful, constructive discourse and ongoing coaching and mentoring we were able to resolve the problem and significantly improve the students’ results, validation of assessments and also become compliant with regulatory requirements.
Having worked as a Compliance or RTO Manager since 2007 for privately owned Registered Training Organisations (RTOs) I have often been faced with the situation of having to maintain my integrity and accountability when I have found non-compliant processes or training methods being employed. This has not always been easy in the face of conflicting interests, however, I have always ensured that the best interests of the students and compliance with legal requirements has remained paramount in every role I have undertaken and it is my belief that this also results in the best outcome for the business.
Criterion 2 : ‘Planning and Organising’ as detailed in the Required Capabilities section
Functioning in management positions since 2001 has given me excellent planning and organisational skills. The following examples are illustrative of these skills:
- On commencement in a Compliance role that also required me to manage the administrative staff, I discovered there was no centralised system in place for monitoring student activity and progress. This business had approximately six regular trainers, six administrative staff and a fortnightly turnover in the region of 120 students. The result was administrative staff relying on trainers to report back at infrequent intervals on student activity and retention. This meant a delay in submission of paperwork to regulatory authorities and a subsequent delay in funding. To address this significant issue, I developed a flow chart, a new process and a reporting template for trainers, which they were required to submit on a minimum of a monthly basis per student and per qualifciation. Additonally, I instituted a process and empowered the administrative staff to follow up on outstanding reports. The result was a significantly improved submission of paperwork, improved cashflow but also an improvement in the overall success of the trainers and students due to improved internal communication and monitoring of results.
- In another position, I conducted a comprehensive review of the enrolment processes within the organisation. It became apparent that the process was seriously flawed and non-compliant. Administrative staff were relying on the answers provided by the prospective students on the enrolment form and not sighting evidence to establish eligibility. This resulted in frequent cases of non-funding. Additionally, no suitability assessment was being undertaken which meant students were taking courses for which they were not suited and would not succeed in completing. I developed a pre-training interview form to address the issue of suitability and instituted new processes to ensure appropriate evidence was always sighted and documented. Planning and organisation was required to achieve this as I needed to include the administrative and educational staff in the development of the new forms and processes and then appropriate training needed to be provided. This new process resulted in a greater success rate for students, compliant processes and fewer cases of funding being refused for courses already taken.
As a Compliance Manager, I have always been required to have a high degree of planning and organisational skills and the ability to prioritise a demanding workload. However, I also believe it is vitally important to ensure that barriers to effective organisation be identified and addressed and one of the best ways to do this is to involve the relevant stakeholders in the decision-making and development processes.
Criterion 3 : ‘Stakeholder Management’ as detailed in the Required Capabilities section
Managing stakeholder issues is essential to the success of any position, but especially one involving compliance issues. The ability to manage and monitor the expectations and satisfaction of all stakeholders is vital. Examples of my proven ability in this area can be seen below:
- In a position that reported directly to the board of directors, I was required to conduct six- monthly financial, occupational health and safety and quality audits. During this process, I identified problems and established recommendations for improvement. After reporting on these audit results and recommendations I then assisted the board and the Chief Executive Officer (CEO) in planning activities, developing business strategies and mapping compliance and risk management for the following six months. This was a challenging role that involved managing stakeholders at all levels both internally and externally to ensure expectations were met wherever possible and communication channels remained open.
- As VET Manager in my current position, part of my role is to advise students regarding their relevant course structure. I achieve this by conducting regular discussions with students, to ensure they are aware of their course progression and in order to monitor student satisfaction. During these sessions we discuss their concerns in regard to both curricular and extra-curricular activities, complaints, if they have any, and anything else they wish to discuss. I have found this to be a very productive and effective approach to maintaining student support and satisfaction. The result of this program has been an increase in student retention.
- When working as a Compliance Manager, I have often been called upon to deal with student complaints. This requires managing the student and the staff member concerned in a sensitive and constructive manner, linking them with others when appropriate to assist in mentoring and coaching. Once, I was approached by a student who had a complaint about a trainer of long-standing tenure. The student felt that the manner of communication in the classroom by the trainer was inappropriate. Although there were no previous complaints against this individual, I took the student’s concerns seriously. After meeting with the trainer to discuss the complaint in a constructive manner, I was able to offer some advice on how best to modify his communication style when working with the student in the classroom. A follow-up meeting was conducted with myself, the trainer and the student to ensure all stakeholders were satisfied with the outcome. The result was that the student completed her training course, achieving the certification and was very happy with the treatment she received. The trainer also received valuable feedback which he was able to use to improve his teaching skills.
From the supervision of staff, to the mentoring of educators, reporting to directors and dealing with external stakeholders and regulatory authorities, I have a wealth of experience in successfully managing stakeholders at all levels. Throughout my career, I have always maintained an open door policy and ensured I was available for impromptu consultations with students, trainers and other staff as needed.
Criterion 4 : ‘Interpersonal Skills’ and ‘Initiative and Accountability’ as detailed in the Required Capabilities section
Especially in compliance roles is it necessary to have excellent interpersonal skills in order to navigate difficult discussions arising out of audit results and complaints. Additionally, I have always made it a practice to show initiative and hold myself accountable for my own performance. This proven capacity can be illustrated by:
- When joining a new organisation I have always made it a practice to read and review the existing policies and procedures and validate and analyse if they are still relevant and effective. In one company, most of the existing staff had been with the organisation for ten or more years. They had become used to the existing systems, which in many cases, were no longer relevant or effective. It was necessary to amend many of these policies and procedures to ensure they were aligned with current regulatory requirements and to keep up-to-date with best practice in the industry. Introducing a set of new policies and procedures was always going to be challenging, especially where the senior staff were concerned. To address this issue, I involved the senior staff in the process of reviewing the policies and procedures, so they could feel a sense of ownership and fully engage with the project. This involved many meetings and workshops where ideas were brainstormed and scrutinised. This exercise made the staff feel both valued and that their ideas were appreciated. Many of their ideas were used in the new policies and procedures. This resulted in a much smoother transition than would otherwise have been possible during the implementation of major changes within the organisation.
- At one organisation, it became apparent that the business was undergoing a reversal during a difficult economic period with student numbers declining. Although it was not specifically my role to do so, I took the initiative to look at projects that might result in increased student numbers. In one case, I successfully liaised with a local community group who subsequently chose to send their students to our organisation for training, increasing student intake by 15-20 students.
- In many of my roles I have had the unofficial responsibility of supervising adminstrative staff. In one such position, I noticed that the work performance of the Registrar, who had always been an excellent and valued employee, was declining. I took the initiative to organise a one-on-one meeting to see if I could establish the root cause of the problem. During this discussion the employee revealed that she felt her workload had become too much and she was suffering stress as a result. It became apparent through discussion that the cause of the problem was two-fold, management trusted her and therefore tended to give her more responsibility, but also that she was not delegating work others could do if given the opportunity. With some mentoring and coaching, together we reviewed her workload and prioritised and delegated where appropriate. Additionally, as a management team we made the decision to give her a day off, with pay, to assist her to recover and refresh. These strategies worked and we were able to retain a valued employee, who also regained her enthusiasm for her work.
My interpersonal skills and ability to show initiative and be accountable can also be seen from my resume and the types of roles I have had in the past. Specifically I have over 15 years of experience within a compliance and audit setting.
Criterion 5 : ‘Conceptual and Analytical Ability’ as detailed in the Required Capabilities section
My conceptual and analytical skills are well-developed and I enjoy finding innovative and creative solutions to problems within the workplace. My demonstrated conceptual and analytical ability can be seen by the following:
- In my Compliance Manager roles, I have conducted regular internal audits and compliance checks against both the Australian Skills Quality Authority (ASQA) and the Victorian Registration and Qualifications Authority (VRQA) standards, dependant on the specific position. During one of these audits, I decided to carry out a full check on all student files. This led to the discovery that many documents were missing, some documents had remained unsigned, others had been misfiled under the wrong student and there were yet other compliance issues. Clearly, the reasons for this needed further investigation so we could not only correct the existing files but also prevent reoccurrence. I proceeded to examine and analyse the enrolment process and map it as a flowchart. Additionally, I interviewed staff to determine workplace practices, knowledge and training in procedures and any challenges that were being faced with, which were not adequately addressed by the existing processes. Upon analysis of all information gathered, I was then able to identify the areas that needed improvement and come up with clear strategies for resolving them. Among the issues identified, I found there were gaps in the existing procedures, individuals were unclear on their roles, there was a lack of understanding and knowledge of the procedures and inadequate ongoing monitoring. I prepared and compiled my findings into a comprehensive report, including a thorough outline of my recommendations for creating positive change. The result of this process and of implementing the needed changes in a collaborative way with the team, was an improved attitude amongst staff toward accuracy and efficiency. At the next audit, there were no non-compliant student files found.
- When commencing another role, I realised that the business had no procedures for dealing with accounts receivable and in fact, had no way at all of tracking the accounts receivable ledger. As a result, the organisation had significant outstanding balances from students that were never collected. Obviously, this had a serious negative impact on the financial viability of the organisation. Taking the initiative, I developed an accounts receivable data system from scratch. The new system was able to generate reports to monitor outstanding accounts. Due to the implementation of the new data system and new processes around reporting and following up of unpaid debts, over 70% of the unpaid accounts that were on the books when I commenced, had been collected by the end of that first year with the company.
In every role I have undertaken, I have always made it my goal to analyse and investigate any areas that may need improvement and then come up with creative and workable soltuions to these workplace issues. I am comfortable with complex concepts, analytical thinking and have always demonstrated self-motivation.
Criterion 6 : ‘Integrity’ as detailed in the Required Capabilities section
Integrity is an essential part of the role of any Compliance professional within the educational sector. I pride myself on maintaining a high level of integrity at all times, even when competing business interests might have made it tempting or easier not to have done so. I believe the following situations demonstrate this:
- At one organisation, the company had suffered a decline in student numbers and was attempting to rebuild and get the business back on its feet. In this climate, I was approached by an Education Agent who wanted to offer us approximately 14 students to undertake Aged Care training. These students were from a community group that could also have provided ongoing student intake for the Registered Training Organisation (RTO). However, during the intake interview process it became apparent that the students did not have a sufficient command of the English language to either qualify to take the course or to be successful in completing it. Despite the loss of income and the pressure brought to bear by the Education Agent, I refused to enrol these students in the Aged Care course and tried, albeit unsuccessfully, to encourage them to complete an English course first.
- In another position, I conducted a comprehensive review of the enrolment processes within the organisation. It became apparent that the process was seriously flawed and non-compliant. The result was students commencing courses they were fundamentally unsuited for or ill-equiped to succeed in. Although funding was still available for these students in most cases, I felt strongly that it was not in the best interests of the students, nor was it compliant or best practice for anyone wanting to operate within a quality educational framework. To address the issue, I developed a pre-training interview form which included suitability assessments and protocols for ensuring learners had sufficient information to make informed choices before commencing courses. This new process resulted in greater compliance with regulatory guidelines for the company and just as importantly, a significantly improved success rate for students.
The goal of all educators should be to see a successful learning outcome for students. This can only be achieved if the interests of the students are first and foremost at all times. There is no greater satisfaction than seeing the majority of students in any educational setting complete a course or accreditation with the necessary skills to pursue their chosen career or educational goals.
