Audit report VET Quality Framework Standards for Registered Training Organisations (RTOs) 2015

Transcription

1 Audit reprt VET Quality Framewrk Standards fr Registered Training Organisatins (RTOs) 2015 ORGANISATION DETAILS Organisatin s legal name RED MAKO LEARNING PTY LTD Trading name/s n/a RTO number CRICOS number n/a AUDIT TEAM Lead auditr Auditr/s Technical adviser/s Ms Snja Anders n/a n/a AUDIT DETAILS Applicatin number/s n/a Audit number/s Audit reasn 1 Audit reasn 2 Audit reasn 3 Activity type Pst initial n/a n/a Site visit Address f site/s visited 12-13/23 Breene Place, Mrningside Qld 4170 Date/s f audit 11 th February 2015 Organisatin s cntact fr audit Reuben Brennan CEO reuben.brennan@glrius.net.a u phne Clauses audited Clauses , 1.26, 1.27, 2, 3, 4, 5, 6, 7.3, 7.4, 8.2, 8.6. BACKGROUND Mr Reuben Brennan, CEO f Red Mak Learning Pty Ltd perates seven cffee shps arund Brisbane. The reasning behind becming a registered training rganisatin was t train and develp his 150 staff. Training is being cnducted in apprximately 200 hspitality businesses ranging frm small independent cafes thrugh t large franchise based chains (e.g. Glria Jean's Cffees, Cffee Club, Zarraffa's, Dnut King etc). New franchises include Shingle Inn and varius Mexican restaurants. The CEO is passinate abut hspitality and als perates a business sales divisin assisting with selling and financing businesses and equipment within the hspitality industry There are n partnerships. The rganisatin cnsists f a CEO, Cmpliance Administratr, Head Trainer, Trainers and Page 1 f 38

2 Assessrs, Administratin Staff and Sales/Marketing persnnel. The main delivery site is at the head ffice lcatin lcated at Unit 12-13/23 Breene Place, Mrningside but practical assessments are undertaken in varius wrkplaces with agreements in place. Mde f delivery is either face t face, distance r thrugh recgnitin f prir learning. Fr the rganisatin intends t make arrangements with a third party registered training rganisatin fr the delivery f training and assessment fr cre unit f cmpetency HLTAID004. These arrangements had nt been put int place at the time f audit. As the rganisatin has added qualificatins nt their scpe f registratin since the initial audit nly tw student files were able t be viewed as a sampling at time f audit as there has been few cmpletins. The rganisatin remved tw qualificatins (SIR20212 Certificate II in Retail Services and SIR30212 Certificate III in Retail Operatins) frm scpe f registratin prir t the audit cmmencing. Ttal number f current enrlments in RTO as at audit date: 500 AUDIT SAMPLE Cde Training prduct Mde/s f delivery/assessment* BSB40812 Certificate IV in Frntline Management Face t face; RPL; Distance SIT30713 Certificate III in Hspitality Face t face; RPL; Distance SIT30813 Certificate III in Cmmercial Ckery Face t face; RPL; Distance *Apprenticeship, Traineeship, Face t face, Distance, Online, Wrkplace, Mixed, Other (specify) Current enrlments (If nt yet n scpe, recrd N/A) INTERVIEWEES Name Psitin Training prduct Mr Reuben Brennan CEO n/a Mr Andy Brennan Head Trainer SIT30713 Certificate III Hspitality Mr Jseph Teufel Cmpliance Administratr n/a ORIGINAL AUDIT FINDING AT TIME OF AUDIT Audit finding as at 11/02/2014: Critical nn-cmpliance The level f nn-cmpliance cnsiders the ptential fr an adverse impact n the quality f training and assessment utcmes fr students. If nn-cmpliance has been identified, this audit reprt describes evidence f the nn-cmpliance. Refer t ntificatin f nn-cmpliance fr infrmatin n prviding further evidence f cmpliance. AUDIT FINDING FOLLOWING ANALYSIS OF RECTIFICATION EVIDENCE Audit finding fllwing analysis f additinal evidence prvided n 29/03/2015: Cmpliant Page 2 f 38

3 AUDIT FINDING BY STANDARD Standard Original finding Finding fllwing rectificatin Standard 1 Nt cmpliant Cmpliant Standard 2 Nt cmpliant Cmpliant Standard 3 Cmpliant n/a Standard 4 Nt cmpliant Cmpliant Standard 5 Nt cmpliant Cmpliant Standard 6 Cmpliant n/a Standard 7 Cmpliant n/a Standard 8 Cmpliant n/a ABOUT THIS REPORT This reprt details findings against the Standards fr Registered Training Organisatins (RTOs) The evidence guidance included against each clause is designed t guide the auditr and RTO n the requirements f the clause. The evidence guidance is nt designed t limit the audit findings and there may be ther factrs an auditr takes int cnsideratin when determining whether cmpliance has been demnstrated. Where evidence f nn-cmpliance is identified, the Reasns fr finding f nn-cmpliance sectin f the reprt will dcument the issues that were cnsidered in the frmulatin f a finding f nn-cmpliance. Page 3 f 38

4 Standard 1 The RTO s training and assessment strategies and practices are respnsive t industry and learner needs and meet the requirements f training packages and VET accredited curses. T be cmpliant with Standard 1 the RTO must meet the fllwing: 1.1 The RTO s training and assessment strategies and practices, including the amunt f training they prvide, are cnsistent with the requirements f training packages and VET accredited curses and enable each learner t meet the requirements fr each unit f cmpetency r mdule in which they are enrlled. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant N/A A training and assessment strategy (r strategies) was prvided fr each training prduct sampled Each strategy is cnsistent with the requirements f the training prduct Each strategy prvides a framewrk t guide the learning requirements and the training and assessment arrangements f each training prduct the macr level requirements f the learning and assessment prcess Each strategy identifies an amunt f training t be prvided t learners that is cnsistent with the requirements f the training prduct Each strategy has been cnsistently implemented NOTE transitin arrangements may apply t this clause fr audits cnducted prir t 30 June 2015 Reasns fr finding f nn-cmpliance: (Cre unit) In the training and assessment strategy it utlines that this unit f cmpetency will be delivered by a third party RTO which will be surced as required. At audit cnflicting infrmatin abut the delivery f the abve qualificatin was prvided t the auditr. The rganisatins stated that it is nw intending t cntract a Trainer and Assessr t deliver the cre unit HLTAID003 Prvide first aid and nt have a Third Party rganisatin deliver and assess this unit n its behalf. Hwever, n frmal arrangements either way were prvided t demnstrate that this is being undertaken. Cnsequently, the evidence prvided did nt demnstrate the training and assessment strategy fr the abve qualificatin: Is cnsistent with the requirements f the training prduct; Prvides a framewrk t guide the learning requirements and the training and assessment arrangements f each training prduct the macr level requirements f the learning and assessment prcess; r that Has been cnsistently implemented. In rder t becme cmpliant, the rganisatin is required t: Prvide an updated training and assessment strategy that clearly identifies wh will be delivering this unit f cmpetency and which: Is cnsistent with the requirements f the training prduct; Prvides a framewrk t guide the learning requirements and the training and assessment arrangements f each training prduct the macr level requirements f the learning and assessment prcess; and Has been cnsistently implemented. Develp and submit a plan r similar fr implementatin f the revised strategies that means the prvider will be cmpliance with all aspects f the clause and the AQF by n later than 1 July Page 4 f 38

5 Analysis f rectificatin evidence: An updated training and assessment strategy fr the abve qualificatin was prvided that clearly identifies wh will be delivering this unit f cmpetency and: Is Cnsistent with the requirements f the training prduct; Prvides a framewrk t guide the learning requirements and the training and assessment arrangements f each training prduct the macr level requirements f the learning and assessment prcess; and Has been cnsistently implemented. This demnstrates that the rganisatin s training and assessment strategies and practices, including the amunt f training they prvide, are cnsistent with the requirements f training packages and enables each learner t meet the requirements fr each unit f cmpetency r mdule in which they are enrlled. The evidence prvided supprts cmpliance with the requirements f Clause Fr the purpses f Clause 1.1, the RTO determines the amunt f training they prvide t each learner with regard t: a) the existing skills, knwledge and the experience f the learner; b) the mde f delivery; and c) where a full qualificatin is nt being delivered, the number f units and/r mdules being delivered as a prprtin f the full qualificatin. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant Fr each training prduct sampled, the amunt f training t be prvided identified in each strategy is cnsistent with: the existing skills, knwledge and experience f learners the mde/s f delivery the number f units and/r mdules being delivered Each strategy is cnsistent with the AQF vlume f learning benchmarks, taking int accunt the abve items Reference: AQF, AQF vlume f learning NOTE transitin arrangements may apply t this clause fr audits cnducted prir t 30 June 2015 Reasns fr finding f nn-cmpliance: At audit cnflicting infrmatin abut the delivery f the abve qualificatin was prvided t the auditr. The rganisatins stated that it is nw intending t cntract a Trainer and Assessr t deliver the cre unit and nt have a Third Party rganisatin deliver and assess this unit n its behalf. Hwever, n frmal arrangements either way were prvided t demnstrate that this is being undertaken. Cnsequently, the evidence prvided did nt demnstrate the amunt f training t be prvided identified in the strategy fr the abve qualificatin is cnsistent with: The existing skills, knwledge and experience f learners The mde/s f delivery The number f units and/r mdules being delivered. The strategy was nt cnsistent with the AQF vlume f learning benchmarks, taking int accunts the abve items. Page 5 f 38

6 In rder t becme cmpliant, the rganisatin is required t: Prvide evidence that demnstrates the delivery f the abve qualificatin the amunt f training t be prvided identified in the strategy fr the abve qualificatin is cnsistent with: The existing skills, knwledge and experience f learners The mde/s f delivery The number f units and/r mdules being delivered. Prvide evidence that demnstrates the strategy is cnsistent with the AQF vlume f learning benchmarks, taking int accunts the abve items. Develp and submit a plan r similar fr implementatin f the revised strategies that means the prvider will be cmpliant with all aspects f the clause and the AQF by n later than 1 July Analysis f rectificatin evidence: The rganisatin prvided an updated training and assessment strategy that demnstrates the delivery f the abve qualificatin the amunt f training t be prvided fr the abve qualificatin which is cnsistent with: The existing skills, knwledge and experience f learners The mde/s f delivery The number f units and/r mdules being delivered. The training and assessment strategy als demnstrates that it is cnsistent with the AQF vlume f learning benchmarks, taking int accunts the abve items and has been implemented. The evidence prvided supprts cmpliance with the requirements f Clause The RTO has, fr all f its scpe f registratin, and cnsistent with its training and assessment strategies, sufficient: a) trainers and assessrs t deliver the training and assessment; b) educatinal and supprt services t meet the needs f the learner chrt/s undertaking the training and assessment; c) learning resurces t enable learners t meet the requirements fr each unit f cmpetency, and which are accessible t the learner regardless f lcatin r mde f delivery; and d) facilities, whether physical r virtual, and equipment t accmmdate and supprt the number f learners undertaking the training and assessment. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant Fr all training prducts sampled, there are sufficient: trainers and assessrs educatinal and supprt services t meet the needs f learners learning resurces that address the requirements f all cmpnents f the relevant training prduct and are accessible t all learners facilities and equipment t accmmdate the number f learners Cnsistency is evident between each strategy and the abve resurces Reasns fr finding f nn-cmpliance: In the training and assessment strategy it utlines that this unit f cmpetency will be delivered by a third party RTO which will be surced as required. It was identified at audit that this mde f delivery had nt taken place. Page 6 f 38

7 The nminated trainers and assessrs t deliver this qualificatin d nt hld this unit f cmpetency. N facilities, learning resurces r equipment were presented at time f audit t deliver this unit f cmpetency. In rder t becme cmpliant, the rganisatin is required t: Prvide an updated training and assessment strategy that utlines the mde f delivery. Prvide evidence that the nminated trainers and assessrs t deliver this qualificatin d hld this unit f cmpetency. Prvide evidence that the rganisatin has full resurces t deliver this unit f cmpetency, including facilities, learning resurces and equipment. Analysis f rectificatin evidence: The rganisatin prvided: An updated training and assessment strategy that utlines the mde f delivery. Evidence that the nminated trainers and assessrs d hld this unit f cmpetency r equivalence t deliver this unit f cmpetency. Evidence that the rganisatin has full resurces t deliver this unit f cmpetency, including facilities, learning resurces and equipment. The evidence prvided supprts cmpliance with the requirements f Clause The RTO meets all requirements specified in the relevant training package r VET accredited curse. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant N/A Training and assessment strategies and resurces are cnsistent with the requirements f each training prduct sampled Training and assessment practices are cnsistent with the requirements f each training prduct sampled Reasns fr finding f nn-cmpliance: In the training and assessment strategy it utlines that this unit f cmpetency will be delivered by a third party RTO which will be surced as required. The nminated trainers and assessrs t deliver this qualificatin d nt hld this unit f cmpetency therefre the training and assessment practices are nt cnsistent with the requirements f the training prduct sampled. In rder t becme cmpliant, the rganisatin is required t: Prvide evidence in the frm f an updated training and assessment strategy which utlines hw this unit f cmpetency will be delivered. Prvide evidence that the nminated trainers and assessrs t deliver this qualificatin d hld this unit f cmpetency in line with the training and assessment practices and are cnsistent with the requirements f the training prduct sampled. Page 7 f 38

8 Analysis f rectificatin evidence: The rganisatin prvided evidence: In the frm f an updated training and assessment strategy which utlines hw this unit f cmpetency will be delivered. The nminated trainers and assessrs wh will deliver this qualificatin and wh d hld this unit f cmpetency r equivalence in line with the training and assessment practices and are cnsistent with the requirements f the training prduct sampled. The evidence prvided supprts cmpliance with the requirements f Clause The RTO s training and assessment practices are relevant t the needs f industry and infrmed by industry engagement. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant Training and assessment practices are infrmed by and cnsistent with the utcmes frm industry engagement strategies NOTE transitin arrangements may apply t this clause fr audits cnducted prir t 30 June 2015 Reasns fr finding f nn-cmpliance: There was n evidence prvided that clearly identifies that the training and assessment practices undertaken t deliver this unit f cmpetency was infrmed by and is cnsistent with the utcmes frm the industry engagement strategies. In rder t becme cmpliant, the rganisatin is required t: Prvide evidence that clearly identifies that the training and assessment practices undertaken t deliver this unit f cmpetency was a result frm the utcmes f the industry engagement strategies. Analysis f rectificatin evidence: The rganisatin prvided evidence that clearly identifies that the training and assessment practices undertaken t deliver this unit f cmpetency was a result frm the utcmes f the industry engagement strategies. The evidence prvided supprts cmpliance with the requirements f Clause The RTO implements a range f strategies fr industry engagement and systematically uses the utcme f that industry engagement t ensure the industry relevance f: a) its training and assessment strategies, practices and resurces; and b) the current industry skills f its trainers and assessrs. Page 8 f 38

9 Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant N/A A range f industry engagement strategies have been develped Industry engagement strategies have been implemented Outcmes frm industry engagement strategies have been systematically used t infrm: training and assessment strategies training and assessment practices resurces, including facilities and equipment current industry skills required t be held by trainers and assessrs NOTE transitin arrangements may apply t this clause fr audits cnducted prir t 30 June 2015 Reasns fr finding f nn-cmpliance: In the training and assessment strategy it utlines that this unit f cmpetency will be delivered by a third party RTO which will be surced as required. It was identified at audit that this mde f delivery had nt taken place. The nminated trainers and assessrs t deliver this qualificatin d nt hld this unit f cmpetency and there was n evidence prvided that they had the current industry skills required. N facilities, learning resurces r equipment were presented at time f audit t deliver this unit f cmpetency. In rder t becme cmpliant, the rganisatin is required t: Prvide an updated training and assessment strategy that utlines the mde f delivery. Prvide evidence that the nminated trainers and assessrs t deliver this qualificatin d hld this unit f cmpetency. Prvide evidence that the rganisatin has full resurces t deliver this unit f cmpetency, including facilities, learning resurces and equipment. Analysis f rectificatin evidence: The rganisatin prvided updated: Training and assessment strategy that utlines the mde f delivery. Evidence that the nminated trainers and assessrs t deliver this qualificatin d hld this unit f cmpetency r equivalence. Evidence that the rganisatin has full resurces t deliver this unit f cmpetency, including facilities, learning resurces and equipment. The evidence prvided supprts cmpliance with the requirements f Clause The RTO determines the supprt needs f individual learners and prvides access t the educatinal and supprt services necessary fr the individual learner t meet the requirements f the training prduct as specified in training packages r VET accredited curses. Page 9 f 38

10 Supprt needs f learners have been identified Learners have access t educatinal and supprt services necessary fr them t meet the requirements f the relevant training prduct 1.8 The RTO implements an assessment system that ensures that assessment (including recgnitin f prir learning): a) cmplies with the assessment requirements f the relevant training package r VET accredited curse; and b) is cnducted in accrdance with the Principles f Assessment cntained in Table and the Rules f Evidence cntained in Table Original finding: Nt cmpliant N/A BSB40812 Certificate IV in Frntline Management Assessment meets the assessment requirements f the training package r curse. Assessment apprpriately simulates wrkplace cnditins (refer assessment cnditins/assessment guidelines) BSBMGT401A Shw leadership in the wrkplace Assessment tls cnsist f: Purchased Aspire learning resurces which references superceded legislatin Redmak learning guides Mapping Trainers and Assessrs guide Assessment tasks x 3 Case Study RPL Questins Prtfli Wrkplace assessment BSBWOR404B Develp wrk pririties Assessment tls cnsist f: Purchased Aspire learning resurces which references superceded legislatin Redmak learning guides Mapping Trainers and Assessrs guide Assessment tasks x 3 Case Study RPL Questins Prtfli Wrkplace assessment NO STUDENT FILES TO VIEW Page 10 f 38

11 Principles f Assessment fairness, flexibility, validity, reliability: BSBMGT401 A BSBWOR40 4B Y N Y N Evidence guidance: Elements addressed (t levels as defined in perfrmance criteria) Knwledge evidence/required knwledge addressed Perfrmance evidence/required skills addressed Assessment cnditins/critical aspects f evidence addressed Cntext and cnsistency f assessment addressed t apprpriate AQF level Assessment f knwledge and skills is integrated with their practical applicatin Assessment uses a range f assessment methds Criteria defining acceptable perfrmance are utlined fr all instruments Clear infrmatin abut assessment requirements is prvided (fr assessrs and students) Allws fr reasnable adjustment and prvides fr bjective feedback Cnsiders dimensins f cmpetency and transferability Rules f Evidence validity, sufficiency, authenticity, currency: BSBMGT401 A BSBWOR40 4B Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence cnsidered has direct relevance t the unit r mdule s specificatins Sufficient assessment evidence is cnsidered t substantiate a cmpetency judgement Assessment evidence gathered is the learner s wn wrk Currency: Cmpetency judgements include cnsideratin f evidence frm the present r the very recent past N/A Assessment meets the assessment requirements f the training package r curse. Assessment apprpriately simulates wrkplace cnditins (refer assessment cnditins/assessment guidelines) Assessment tls cnsist f: Nne prvided Page 11 f 38

12 SITXFSA201 Participate in safe fd handling practices Assessment tls cnsist f: Futura learning resurce Mapping Fur practical assessment tasks Third party/supervisr reprt Marking guides (includes legislatin fr Qld nly) Multiple questins x 26 Practical bservatin Validatin tl Learner guide Observatin checklists Practical assessment and marking guide. STUDENT FILES VIEWED: Thalia Ogstn 30/09/14; Isabella Pugh 05/09/14; Angielyn Celestin 24/04/14. Principles f Assessment fairness, flexibility, validity, reliability: HLTAID003 SITXFSA201 Y N Y N Evidence guidance: Elements addressed (t levels as defined in perfrmance criteria) Knwledge evidence/required knwledge addressed Perfrmance evidence/required skills addressed Assessment cnditins/critical aspects f evidence addressed Cntext and cnsistency f assessment addressed t apprpriate AQF level Assessment f knwledge and skills is integrated with their practical applicatin Assessment uses a range f assessment methds Criteria defining acceptable perfrmance are utlined fr all instruments Clear infrmatin abut assessment requirements is prvided (fr assessrs and students) Allws fr reasnable adjustment and prvides fr bjective feedback Cnsiders dimensins f cmpetency and transferability Rules f Evidence validity, sufficiency, authenticity, currency: HLTAID003 SITXFSA201 Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence cnsidered has direct relevance t the unit r mdule s specificatins Sufficient assessment evidence is cnsidered t substantiate a cmpetency judgement Assessment evidence gathered is the learner s wn wrk Currency: Cmpetency judgements include cnsideratin f Page 12 f 38

13 evidence frm the present r the very recent past N/A SIT30713 Certificate III in Hspitality Assessment meets the assessment requirements f the training package r curse. Assessment apprpriately simulates wrkplace cnditins (refer assessment cnditins/assessment guidelines) SITXHRM301 Cach thers in jb skills Assessment tls cnsist f: Futura learning resurce Mapping Assessment tasks Third party/supervisr reprt Marking guides Multiple questins Practical bservatin Validatin tl Learner guide Observatin checklists Practical assessment and marking guide SITXFSA201 Participate in safe fd handling practices Assessment tls cnsist f: Same as Principles f Assessment fairness, flexibility, validity, reliability: SITXHRM30 1 SITXFSA201 Y N Y N Evidence guidance: Elements addressed (t levels as defined in perfrmance criteria) Knwledge evidence/required knwledge addressed Perfrmance evidence/required skills addressed Assessment cnditins/critical aspects f evidence addressed Cntext and cnsistency f assessment addressed t apprpriate AQF level Assessment f knwledge and skills is integrated with their practical applicatin Assessment uses a range f assessment methds Criteria defining acceptable perfrmance are utlined fr all instruments Clear infrmatin abut assessment requirements is prvided (fr assessrs and students) Page 13 f 38

14 Allws fr reasnable adjustment and prvides fr bjective feedback Cnsiders dimensins f cmpetency and transferability Rules f Evidence validity, sufficiency, authenticity, currency: SITXHRM30 1 SITXFSA201 Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Currency: Assessment evidence cnsidered has direct relevance t the unit r mdule s specificatins Sufficient assessment evidence is cnsidered t substantiate a cmpetency judgement Assessment evidence gathered is the learner s wn wrk Cmpetency judgements include cnsideratin f evidence frm the present r the very recent past Reasns fr finding f nn-cmpliance: N assessments tls were prvided by the rganisatin that ensures that assessment cmplies with the assessment requirements f the relevant training package and is cnducted in accrdance with the Principles f Assessment cntained in Table and the Rules f Evidence cntained in Table SITXFSA201 Participate in safe fd handling practices N instructins fr the trainers and assessrs were presented at time f audit fr them t make a cnsistent judgement in regards t the practical cmpnent f the assessment t meet the principles f assessment. In rder t becme cmpliant, the rganisatin is required t: Prvide a suite f assessment tls that cmplies with the assessment requirements f the relevant training package and ensures assessment is cnducted in accrdance with the Principles f Assessment cntained in Table and the Rules f Evidence cntained in Table SITXFSA201 Participate in safe fd handling practices Prvide a set f instructins fr the trainers and assessrs t make a cnsistent judgement abut the practical cmpnent f the assessment t meet the principles f assessment. Analysis f rectificatin evidence: Page 14 f 38

15 The rganisatin prvided a suite f assessment tls that cmplies with the assessment requirements f the relevant training package and ensures assessment is cnducted in accrdance with the Principles f Assessment cntained in Table and the Rules f Evidence cntained in Table SITXFSA201 Participate in safe fd handling practices Evidence was prvided in the frm f a set f instructins fr the trainers and assessrs t make a cnsistent judgement abut the practical cmpnent f the assessment t meet the principles f assessment. The evidence prvided supprts cmpliance with the requirements f Clause The RTO implements a plan fr nging systematic validatin f assessment practices and judgements that includes fr each training prduct n the RTO s scpe f registratin: a) when assessment validatin will ccur; b) which training prducts will be the fcus f the validatin; c) wh will lead and participate in validatin activities; and d) hw the utcmes f these activities will be dcumented and acted upn. N/A A plan fr nging systematic validatin f assessment has been develped that identifies: When assessment validatin will ccur fr each training prduct n the RTO s scpe f registratin Wh will lead and participate in validatin activities Hw the validatin utcmes will be dcumented and acted upn The plan fr validatin has been implemented 1.10 Fr the purpses f Clause 1.9, each training prduct is validated at least nce every five years, with at least 50% f prducts validated within the first three years f each five year cycle, taking int accunt the relative risks f all f the training prducts n the RTO s scpe f registratin, including thse risks identified by the VET Regulatr. N/A The plan fr validatin f assessment ensures: All training prducts will be validated at least nce every five years At least 50% f training prducts will be validated in the first three years f the abve cycle Relative risk f all training prducts are taken int accunt in scheduling validatin Training prducts identified as high risk by ASQA are taken int accunt in scheduling validatin The abve have been achieved in implementing the plan fr validatin f assessment 1.11 Fr the purpses f Clause 1.9, systematic validatin f an RTO s assessment practices Page 15 f 38

16 and judgements is undertaken by ne r mre persns wh are nt directly invlved in the particular instance f delivery and assessment f the training prduct being validated, and wh cllectively have: a) vcatinal cmpetencies and current industry skills relevant t the assessment being validated; b) current knwledge and skills in vcatinal teaching and learning; and c) the training and assessment qualificatin r assessr skill set referred t in Item 1 r 3 f Schedule 1. Industry experts may be invlved in validatin t ensure there is the cmbinatin f expertise set ut in (a) t (c) abve. Validatin f assessment has been cmpleted fr at least ne training prduct. If n, clause is nt audited. If yes: Validatin f assessment has been undertaken by ne r mre persns wh, cllectively, hld: Relevant vcatinal cmpetencies and current industry skills Current knwledge and skills in VET teaching and learning TAE40110 Certificate IV in Training and Assessment (r its successr) r TAESS00001 Assessr skill set (r its successr) Final validatin decisins are made by a persn wh was nt directly invlved with the delivery and assessment f the training prduct being validated 1.12 The RTO ffers recgnitin f prir learning t individual learners. RPL has been ffered t individual learners 1.13 In additin t the requirements specified in Clause 1.14 and Clause 1.15, the RTO s training and assessment is delivered nly by persns wh have: a) vcatinal cmpetencies at least t the level being delivered and assessed; b) current industry skills directly relevant t the training and assessment being prvided; and c) current knwledge and skills in vcatinal training and learning that infrms their training and assessment. Industry experts may als be invlved in the assessment judgement, wrking alngside the trainer and/r assessr t cnduct the assessment. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant Evidence Guidance Y N Skills and knwledge f trainers and assessrs have been verified Alisn Garner Trainer/assessr f fllwing training prducts within scpe f audit: Page 16 f 38

17 Vcatinal cmpetencies at least t the level being delivered and assessed (actual qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills Andy Brennan Trainer/assessr f fllwing training prducts within scpe f audit: SIT30713 Certificate III in Hspitality BSB40812 Certificate IV in Frntline Management Vcatinal cmpetencies at least t the level being delivered and assessed (actual qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills Dminque Bendebiza Trainer/assessr f fllwing training prducts within scpe f audit: Vcatinal cmpetencies at least t the level being delivered and assessed (actual qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills Janne Mnk Trainer/assessr f fllwing training prducts within scpe f audit: SIT30713 Certificate III in Hspitality Vcatinal cmpetencies at least t the level being delivered and assessed (actual qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills Katherine Brwne Trainer/assessr f fllwing training prducts within scpe f audit: Vcatinal cmpetencies at least t the level being delivered and assessed (actual qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills Michelle Lckyer Trainer/assessr f fllwing training prducts within scpe f audit: SIT30713 Certificate III in Hspitality Vcatinal cmpetencies at least t the level being delivered and assessed (actual Page 17 f 38

18 qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills N trainer/assessr prvided Trainer/assessr f fllwing training prducts within scpe f audit: Vcatinal cmpetencies at least t the level being delivered and assessed (actual qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills Trainer/assessr name Trainer/assessr f fllwing training prducts within scpe f audit: List cde and name Vcatinal cmpetencies at least t the level being delivered and assessed (actual qualificatin/unit nt required) Current relevant industry skills Current vcatinal training and learning knwledge and skills Reasns fr finding f nn-cmpliance: Alisn Garner N evidence was prvided that this nminated trainer and assessr hlds: Vcatinal cmpetencies at least t the level being delivered and assessed; Current industry skills directly relevant t the training and assessment being prvided; Current knwledge and skills in vcatinal training and learning that infrms their training and assessment. HLTAID003 - Prvide first aid Dminque Bendebiza Katherine Brwne N evidence was prvided that this nminated trainer and assessr hlds: Vcatinal cmpetencies at least t the level being delivered and assessed. HLTAID003 - Prvide first aid N evidence was prvided that the rganisatin has emplyed a trainer and assessr wh hlds: Vcatinal cmpetencies at least t the level being delivered and assessed; Current industry skills directly relevant t the training and assessment being prvided; Current knwledge and skills in vcatinal training and learning that infrms their training and assessment. Page 18 f 38

19 In rder t becme cmpliant, the rganisatin is required t: Alisn Garner Prvide evidence that this nminated trainer and assessr hlds: Vcatinal cmpetencies at least t the level being delivered and assessed; Current industry skills directly relevant t the training and assessment being prvided; Current knwledge and skills in vcatinal training and learning that infrms their training and assessment. HLTAID003 - Prvide first aid Dminque Bendebiza Katherine Brwne Prvide evidence that nminated trainer and assessrs hld: Vcatinal cmpetencies at least t the level being delivered and assessed. HLTAID003 - Prvide first aid Prvide evidence that demnstrates the rganisatin has emplyed a trainer and assessr wh hlds: Vcatinal cmpetencies at least t the level being delivered and assessed; Current industry skills directly relevant t the training and assessment being prvided; Current knwledge and skills in vcatinal training and learning that infrms their training and assessment. Analysis f rectificatin evidence: Alisn Garner Evidence was prvided that this nminated trainer and assessr hlds: Vcatinal cmpetencies at least t the level being delivered and assessed; Current industry skills directly relevant t the training and assessment being prvided; Current knwledge and skills in vcatinal training and learning that infrms their training and assessment. HLTAID003 - Prvide first aid Evidence was prvided fr newly nminated internal trainer and assessr Michael Jhnsn wh hlds: Vcatinal cmpetencies at least t the level being delivered and assessed; Current industry skills directly relevant t the training and assessment being prvided; Current knwledge and skills in vcatinal training and learning that infrms their training and assessment. The evidence prvided supprts cmpliance with the requirements f Clause The RTO s training and assessment is delivered nly by persns wh have: a) prir t 1 January 2016, the training and assessment qualificatin specified in Item 1 r Item 2 f Schedule 1, r demnstrated equivalence f cmpetencies; and b) frm 1 January 2016, the training and assessment qualificatin specified in Item 1 r Item 2 f Schedule 1. Page 19 f 38

20 Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant Evidence Guidance Y N VET qualificatins f trainers and assessrs have been verified Alisn Garner Each trainer must meet at least ne f the fllwing fur requirements: TAE40110 Certificate IV in Training and Assessment r its successr Equivalent cmpetencies t TAE40110 (TAA40104 is equivalent) Diplma r higher qualificatin in adult educatin Equivalent cmpetencies t diplma r higher qualificatin in adult educatin Reasns fr finding f nn-cmpliance: Alisn Garner N evidence was prvided that this nminated trainer and assessr meets ne f the fllwing fur requirements: TAE40110 Certificate IV in Training and Assessment r its successr Equivalent cmpetencies t TAE40110 (TAA40104 is equivalent) Diplma f higher qualificatin educatin Equivalent cmpetencies t diplma r higher qualificatin in adult educatin. In rder t becme cmpliant, the rganisatin is required t: Alisn Garner Prvide evidence that this nminated trainer and assessr meets ne f the fllwing fur requirements: TAE40110 Certificate IV in Training and Assessment r its successr Equivalent cmpetencies t TAE40110 (TAA40104 is equivalent) Diplma f higher qualificatin educatin Equivalent cmpetencies t diplma r higher qualificatin in adult educatin. Analysis f rectificatin evidence: Alisn Garner Evidence prvided utlines that this nminated trainer and assessr meets ne f the fllwing fur requirements: TAE40110 Certificate IV in Training and Assessment r its successr Equivalent cmpetencies t TAE40110 (TAA40104 is equivalent) Diplma f higher qualificatin educatin Equivalent cmpetencies t diplma r higher qualificatin in adult educatin. The evidence prvided supprts cmpliance with the requirements f Clause Where a persn cnducts assessment nly, the RTO ensures that the persn has: a) prir t 1 January 2016, the training and assessment qualificatin specified in Item 1 r Item 2 r Item 3 f Schedule 1, r demnstrated equivalence f cmpetencies; and Page 20 f 38

21 b) frm 1 January 2016, Item 1 r Item 2 r Item 3 f Schedule 1. Original finding: Nt audited The RTO uses assessrs that cnduct assessment nly. If n, clause is nt audited. If yes: 1.16 The RTO ensures that all trainers and assessrs undertake prfessinal develpment in the fields f the knwledge and practice f vcatinal training, learning and assessment including cmpetency based training and assessment. Trainers and assessrs undertake prfessinal develpment in the knwledge and practice f vcatinal training, learning and assessment, including cmpetency based training and assessment 1.17 Where the RTO, in delivering training and assessment, engages an individual wh is nt a trainer r assessr, the individual wrks under the supervisin f a trainer and des nt determine assessment utcmes. Original finding: Nt audited Peple delivering training under supervisin are utilised If n, clauses are nt audited, g t Clause If yes: Supervisin is prvided by a trainer that meets the requirements f clauses 1.13 and 1.14 Peple under supervisin d nt determine assessment utcmes 1.18 The RTO ensures that any individual wrking under the supervisin f a trainer under Clause 1.17: a) hlds the skill set defined in Item 4 f Schedule 1 r, prir t 1 January 2016, is able t demnstrate equivalence f cmpetencies; b) has vcatinal cmpetencies at least t the level being delivered and assessed; and c) has current industry skills directly relevant t the training and assessment being prvided. Original finding: Nt audited Supervisin is prvided by a trainer that meets the requirements f clauses 1.13 and 1.14 Peple under supervisin d nt determine assessment utcmes Trainer name Each trainer (that cnducts training under supervisin) must meet at least ne f the fllwing six requirements: Page 21 f 38

22 TAESS00003 Enterprise trainer and assessr skill set r its successr Equivalent cmpetencies t TAESS00003 TAESS00007 Enterprise trainer presenting skill set r its successr Equivalent cmpetencies t TAESS00007 TAESS00008 Enterprise trainer mentring skill set r its successr Equivalent cmpetencies t TAESS00008 Each trainer (that cnducts training under supervisin) must meet all f the fllwing requirements: Vcatinal cmpetencies at least t the level being delivered (actual qualificatin/unit nt required) Current relevant industry skills 1.19 Where the RTO engages an individual under Clause 1.17, it ensures that the training and assessment cmplies with Standard 1. Original finding: Nt audited Training and assessment cmplies with Standard Withut limiting Clauses , the RTO: a) determines and puts in place: i) the level f the supervisin required; and ii) any requirements, cnditins r restrictins cnsidered necessary n the individual s invlvement in the prvisin f training and cllectin f assessment evidence; and b) ensures that trainers prviding supervisin mnitr and are accuntable fr all training prvisin and cllectin f assessment evidence by the individual under their supervisin. Original finding: Nt audited Supervisin arrangements have been identified Peple delivering training under supervisin have been mnitred by the supervising trainer 1.21 Prir t 1 January 2016, t deliver any AQF qualificatin r skill set frm the Training and Educatin Training Package (r its successr) the RTO must ensure all trainers and assessrs delivering the training and assessment: a) hld the training and assessment qualificatin at least t the level being delivered; r b) have demnstrated equivalence f cmpetencies. Original finding: Nt audited TAE training prduct/s are included in the audit scpe Page 22 f 38

23 If n, clause is nt audited. If yes: Trainer/assessr name Each trainer/assessr that intends t deliver any training prduct frm the TAE10 Training and Educatin Training Package (excluding TAE40110 Certificate IV in Training and Assessment and TAESS00001 Assessr skill set) must meet ne f the fllwing requirements: Hld a TAE training prduct at least t the level being delivered Equivalent cmpetencies t the abve 1.22 Frm 1 January 2016, t deliver any AQF qualificatin r skill set frm the Training and Educatin Training Package (r its successr) the RTO must ensure all trainers and assessrs delivering the training and assessment hld the training and assessment qualificatin at least t the level being delivered. Nte: frm 1 January 2017, the requirements set ut in Clause 1.22 cntinue t apply t any ther AQF qualificatin r skill set frm the Training and Educatin Training Package (r its successr). Nt audited as clause des nt cmmence until 1 January Frm 1 January 2017, t deliver the training and assessment qualificatin specified in Item 1 f Schedule 1, r any assessr skill set frm the Training and Educatin Training Package (r its successr), the RTO must ensure all trainers and assessrs delivering the training and assessment: a) hld the qualificatin specified in Item 5 f Schedule 1; r b) wrk under the supervisin f a trainer that meets the requirement set ut in (a) abve. Nt audited as clause des nt cmmence until 1 January The RTO must ensure that any individual wrking under supervisin under Clause 1.23.b) hlds the qualificatin specified in Item 1 f Schedule 1 and des nt determine assessment utcmes. Nt audited as clause des nt cmmence until 1 January Frm 1 January 2016, t deliver any AQF qualificatin r assessr skill set frm the Training and Educatin Training Package (r its successr), the RTO must have undergne an independent validatin f its assessment system, tls, prcesses and utcmes in accrdance with the requirements cntained in Schedule 2 (and the definitins f independent validatin and validatin). Nt audited as clause des nt cmmence until 1 January 2016 Page 23 f 38

24 1.26 Subject t Clause 1.27 and unless therwise apprved by the VET Regulatr, the RTO ensures that: a) where a training prduct n its scpe f registratin is superseded, all learners training and assessment is cmpleted and the relevant AQF certificatin dcumentatin is issued r learners are transferred int its replacement, within a perid f ne year frm the date the replacement training prduct was released n the Natinal Register; b) where an AQF qualificatin is n lnger current and has nt been superseded, all learners training and assessment is cmpleted and the relevant AQF certificatin dcumentatin issued within a perid f tw years frm the date the AQF qualificatin was remved r deleted frm the Natinal Register; c) where a skill set, unit f cmpetency, accredited shrt curse r mdule is n lnger current and has nt been superseded, all learners training and assessment is cmpleted and the relevant AQF certificatin dcumentatin issued within a perid f ne year frm the date the skill set, unit f cmpetency, accredited shrt curse r mdule was remved r deleted frm the Natinal Register; and d) a new learner des nt cmmence training and assessment in a training prduct that has been remved r deleted frm the Natinal Register. Original finding: Nt audited N/A One r mre training prducts n the RTO s scpe f registratin has been superseded, remved r deleted since 1 April 2015 If n, clause is nt audited. If yes: Learners have been cmpleted and issued certificatin r transferred t the replacement within ne year f training prducts being superseded Learners have been cmpleted and issued certificatin within tw years f qualificatins being remved r deleted Learners have been cmpleted and issued certificatin within ne year f skill sets, units, mdules r shrt curses being remved r deleted Learners are nt cmmenced in training prducts that have been remved r deleted NOTE transitin arrangements may apply t this clause fr audits cnducted prir t 30 June The requirements specified in Clause 1.26 (a) d nt apply where a training package requires the delivery f a superseded unit f cmpetency. Original finding: Nt audited One r mre training prducts n the RTO s scpe f registratin requires delivery f a superseded unit f cmpetency If n, clause is nt audited. If yes: The superseded unit f cmpetency has cntinued t be delivered as required by training prduct packaging rules Standard 2. The peratins f the RTO are quality assured. Page 24 f 38

25 T be cmpliant with Standard 2 the RTO must meet the fllwing: 2.1 The RTO ensures it cmplies with these Standards at all times, including where services are being delivered n its behalf. This applies t all peratins f an RTO within its scpe f registratin. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant The RTO is cmpliant with the clauses sampled acrss all peratins within its scpe f registratin Reasns fr finding f nn-cmpliance: As nn-cmpliances have been identified at audit this demnstrates the RTO has nt ensured it cmplies with these Standards at all times including where services are being delivered n its behalf. This applies t all peratins f an RTO within its scpe f registratin. In rder t becme cmpliant, the rganisatin is required t: Prvide evidence that satisfactrily rectifies all f the areas f nn-cmpliance identified in the audit reprt. Analysis f rectificatin evidence: The evidence prvided satisfactrily rectifies all f the areas f nn-cmpliance identified therefre this demnstrates that the rganisatin nw has a strategy in place t ensure it will cmply with Standards at all times. 2.2 The RTO: a) systematically mnitrs the RTO s training and assessment strategies and practices t ensure nging cmpliance with Standard 1; and b) systematically evaluates and uses the utcmes f the evaluatins t cntinually imprve the RTO s training and assessment strategies and practices. Evaluatin infrmatin includes but is nt limited t quality/perfrmance indicatr data cllected under Clause 7.5, validatin utcmes, client, trainer and assessr feedback and cmplaints and appeals. Training and assessment strategies and practices are systematically mnitred, including evaluatin f: AVETMISS data Quality indicatr data Validatin utcmes Client feedback Trainer and assessr feedback Cmplaints and appeals Outcmes f mnitring have infrmed imprvement activities 2.3 The RTO ensures that where services are prvided n its behalf by a third party the prvisin f thse services is the subject f a written agreement. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant Page 25 f 38

26 Third party arrangements are in place fr delivery f services If n, clauses are nt audited. If yes: A written agreement is in place fr each arrangement (als refer Clause 8.2) NOTE transitin arrangements may apply t this clause fr audits cnducted prir t 30 June 2015 Reasns fr finding f nn-cmpliance: The training and assessment strategy fr the abve qualificatin states that the unit f cmpetency will be delivered by third party. At the time f audit n third party written agreement was presented. Furthermre, at time f audit the rganisatin prvided cnflicting infrmatin that they are nw intending t emply a cntract trainer and assessr t deliver this unit f cmpetency. Cnsequently, the auditr was unable t cnfirm and unable t make a judgement cncerning the cmpliance f the rganisatin in meeting the requirements f this Clause. In rder t becme cmpliant, the rganisatin is required t: Prvide evidence that explicitly demnstrates the rganisatin is cmpliant with the requirements f this Clause. Analysis f rectificatin evidence: The rganisatin prvided evidence that there will be n third party arrangements in place therefre they are cmpliant with the requirements f this Clause. 2.4 The RTO has sufficient strategies and resurces t systematically mnitr any services delivered n its behalf, and uses these t ensure that the services delivered cmply with these Standards at all times. Original finding: Nt cmpliant Fllwing rectificatin: Cmpliant N/A Strategies have been develped t systematically mnitr third party arrangements t ensure services cmply with these Standards The abve strategies have been implemented NOTE transitin arrangements may apply t this clause fr audits cnducted prir t 30 June 2015 Reasns fr finding f nn-cmpliance: The training and assessment strategy fr the abve qualificatin states that the unit f cmpetency will be delivered by third party. At the time f audit n third party written agreement was presented. Furthermre, at time f audit the rganisatin prvided cnflicting infrmatin that they are nw intending t emply a cntract trainer and assessr t deliver this unit f cmpetency. Cnsequently, the auditr was unable t cnfirm and unable t make a judgement cncerning the cmpliance f the rganisatin in meeting the requirements f this Clause. In rder t becme cmpliant, the rganisatin is required t: Prvide evidence that explicitly demnstrates the rganisatin is cmpliant with the requirements f this Clause. Page 26 f 38