AQTF Audit Report Continuing Registration Australian College of Training and Employment, EVOCCA College NTIS #31455

Transcription

1 AQTF Audit Report Continuing Registration Australian College of Training and Employment, EVOCCA College NTIS #31455 FM-PMA-34A TRIM No: 09/ Version July 2011 Training and International Quality Organisation details Registration expiry 22 December 2011 Principal address Unit 20, 8 Riverland Drive, Loganholme RTO contact Mrs Jenny Field Phone number Operations Audit team The organisation operates under two separate trading names: Australian College of Training and Employment (ACTE) and EVOCCA College. ACTE: Core clients are fee for service trainees, or non-traineeship learners. Delivery is mixed mode comprising of one-on-one (workplace) delivery and distance delivery. EVOCCA College: Core clients are fee for service enrolled under VET Fee-Help. Delivery is face to face at the college locations, or distance delivery. The organisation has a partnering arrangement with a Tasmanian based organisation. The organisation is approved for User Choice, and has accessed minimal funding to date. The organisation has had the following approximate number of current enrolments and completions for the following qualifications respectively: FNS20110 Certificate II in Financial Services 0 & 0 FNS40210 Certificate IV in Financial Services (Bookkeeping) 0 & 0 BSB41407 Certificate IV in Occupational Health and Safety 519 & 421 BSB51407 Diploma of Project Management 127 & 2 BSB60207 Advanced Diploma of Business 1 & 1 CHC30708 Certificate III in Children s Services 50 & 25 CHC50908 Diploma of Children s Services (Early childhood education and care) 45 & 5 HLT52007 Diploma of Practice Management 2 & 1 TAA50104 Diploma of Training and Assessment 51 & 14 TAE40110 Certificate IV in Training and Assessment 442 & 118 Lead auditor Ms Emma Betts Auditor/s Mrs Tracey Hancock Phone Adviser/s N/A Emma.betts@deta.qld.gov.au Observer/s N/A Audit details Reason/s for audit Monitoring Audit Audit date/s October 2011 Audit number/s A Standards audited 1.1, 1.2, 1.3, 1.4, 1.5, 2.2, 2.3, 3.2, 3.3 Conditions audited 8 Audit outcome on day of audit Rectification received 01 December 2011 Audit outcome following rectification Minor non-compliance Minor non-compliance Significant non-compliance Critical non-compliance Significant non-compliance Critical non-compliance Page 1 of 13

2 Other audit notes Focus of audit The qualifications FNS20104 Certificate II in Financial Services and FNS40207 Certificate IV in Financial Services (Bookkeeping) were initially included in the audit scope, as delivery had occurred in these qualifications. Following discussions with the organisation, it was agreed prior to audit to review the strategies, resources and assessment tools of FNS20110 Certificate II in Financial Services and FNS40210 Certificate IV in Financial Services (Bookkeeping). Assessment records would still be reviewed against the superseded qualifications. Condition 8 was added to the audit scope during audit, following evidence sighted which indicated the NRT logo had not been employed in accordance with its conditions of use. Code Qualification / Course / Unit title Regulated Delivery venues FNS20110 Certificate II in Financial Services ACTE: FNS40210 Certificate IV in Financial Services (Bookkeeping) Face to face SE Qld and BSB41407 BSB51407 BSB60207 Certificate IV in Occupational Health and Safety Diploma of Project Management Advanced Diploma of Business Sydney Distance throughout Australia CHC30708 CHC50908 HLT52007 TAA50104 TAE40110 Interviewee/s (incl. position) Certificate III in Children s Services Diploma of Children s Services (Early childhood education and care) Diploma of Practice Management Diploma of Training and Assessment Certificate IV in Training and Assessment Mr Robert Gordon (Chief Executive Officer) Mrs Jenny Field (Academic Manager) Ms Sharnna Maddrell (Compliance Officer) Mr Graeme Cain (Trainer and Assessor Occupational Health and Safety / Project Management) Mr William Phillips (Trainer and Assessor Finance) EVOCCA: Fact to face Beenleigh and Brisbane Distance throughout Australia Disclaimer: The Department of Education and Training collects the information on this form as part of the audit of registered training organisations under the AQTF. Only authorised government officers or contracted personnel have access to this information. Your personal information will not be disclosed to any other third party without your consent, unless authorised or required by law, in accordance with the Information Privacy Act Page 2 of 13

3 Standard 1: The RTO provides quality training and assessment across all of its operations Page 3 of 13 Elements 1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment. 1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry stakeholders. 1.3 Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the Training Package or accredited course and the RTO s own training and assessment strategies. 1.4 Training and assessment is delivered by trainers and assessors who: a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors b) have the relevant vocational competencies at least to the level being delivered or assessed, and c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken, and d) continue to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence. 1.5 Assessment, including Recognition of Prior Learning (RPL): a) meets the requirements of the relevant Training Package or accredited course b) is conducted in accordance with the principles of assessment and the rules of evidence c) meets workplace and, where relevant, regulatory requirements d) is systematically validated. Audit findings At time of audit: Not Findings: The organisation was not compliant with Standard One. Following rectification received 01 December 2011: Not Examined The organisation s continuous improvement approach is systematic, involving staff, clients and other stakeholders, and uses qualitative data to determine the need for improvements to training and assessment. The organisation has employed a compliance officer responsible for managing continuous improvement in its collection, analysis, and improvements. Predetermined continuous improvement activities, such as validation of assessment tools, are planned throughout the year. Other continuous improvement opportunities are obtained from reviews of student and employer feedback forms, industry skills council consultation, other industry consultation, and direct from trainers. These opportunities, once identified, are recorded in the organisation s total management system (known as SMART system) which are reviewed and reported to senior management on a weekly basis. Communication is provided to all staff as the analysis and actions are developed. RESOURCES: The resources used by the organisation across all of its operations for all qualifications except HLT52007 Diploma of Practice Management are consistent with current industry standards and Training Package requirements. The organisation demonstrated the process undertaken, using the SMART system, to ensure the resources are used by all staff and learners. Where commercially developed resources are used, the organisation demonstrated the validation process undertaken to ensure they meet Training Package requirements and industry standards. HUMAN RESOURCES: The organisation provided evidence to demonstrate the following nominated trainers and assessors provided for audit have the necessary training and assessment competencies, have relevant vocational competencies at least to the level being delivered or assessed, have current industry skills directly relevant to the training and assessment being undertaken, and have undertaken sufficient ongoing development of their VET knowledge and skills, industry currency and trainer and assessor competencies: Mr John Meyers (BSB41407 Certificate IV in Occupational Health and Safety) Ms Liz Mazza (BSB41407 Certificate IV in Occupational Health and Safety) Mr Graeme Cain (BSB41407 Certificate IV in Occupational Health and Safety and BSB51407 Diploma of Project Management) Mrs Jenny Field (BSB60207 Advanced Diploma of Business) Mr Rahul Kulkarni (BSB60207 Advanced Diploma of Business) Ms Leanne George (CHC30708 Certificate III in Children s Services and Diploma of Children s Services (Early childhood education and care)) Ms Debbie Ambridge (FNS20110 Certificate II in Financial Services and FNS40210 Certificate IV in

4 Financial Services (Bookkeeping)) Ms Nicole Grundy (HLT52007 Diploma of Practice Management) Ms Pam Damon (TAA50104 Diploma of Training and Assessment) Ms Anne Scott-Hunter (TAA50104 Diploma of Training and Assessment) Ms Christine Lennon (TAE40110 Certificate IV in Training and Assessment) Ms Lisa Lawrence (TAE40110 Certificate IV in Training and Assessment) ASSESSMENT: BSB60207 Advanced Diploma of Business BSBADV602B Develop an advertising campaign BSBHRM602B Manage human resources strategic planning FNS40210 Certificate IV in Financial Services (Bookkeeping) FNSBKG404A Carry out business activity and instalment activity statement tasks TAA50104 Diploma of Training and Assessment TAACMQ503B Lead and conduct training and/or assessment evaluations TAADES504B Develop and evaluate e-learning resources TAE40110 Certificate IV in Training and Assessment TAEDEL401A Plan, organise and deliver group-based learning TAEASS502B Design and develop assessment tools For the above listed qualifications and relevant units of competency, the organisation provided assessment tools that met all requirements of the Training Package, including all required knowledge and skills, and critical aspects of evidence, necessary to achieve the performance criteria. The evidence provided included all evidence criteria necessary to ensure that assessment met the principles of competency based assessment and the rules of evidence; and demonstrated the organisation had systematically validated the tools and assessment process. Non-compliances: STRATEGIES: The information provided in the training and assessment strategies for all qualifications had been written from a template, with many sections of the document not contextualised for the qualification to which they refer; this did not demonstrate the strategy had been clearly defined to meet the requirements of the Training Package, nor would it guide trainers and assessors to ensure learners receive training and assessment that meets their needs. For example, generic statements were provided regarding industry consultation, delivery and assessment arrangements, and assessment and evaluation strategies. These statements were not reflective of the specific industry consulted, resources used or validation processes that was being utilised for the qualification. Additional qualification-specific non-compliances relating to strategies are identified immediately below. The organisation provided evidence to demonstrate there were two delivery programs for BSB60207 Advanced Diploma of Business, however were unable to provide a training and assessment strategy that covered both delivery programs. The organisation advised the separate delivery programs were developed based on the industry requirements and client needs; those enrolled through ACTE studied a different program to those enrolled through EVOCCA. The strategy did not identify the differences between the two programs, including the physical resources required. The training and assessment strategies for CHC30708 Certificate III in Children s Services and CHC50908 Diploma of Children s Services (Early childhood education and care) did not identify the physical resources used to meet the requirements of the Training Package. Units of competency identified in the delivery program require specific resources for assessment which have not been included. In addition, the training and assessment strategy for CHC50908 Diploma of Children s Services (Early childhood education and care) specified a pre-requisite qualification to be completed prior to enrolling, which did not meet the requirements of the Training Package. An entry requirement for the qualification is the demonstration of competence in 12 units of competency. The training and assessment strategy for FNS20110 Certificate II in Financial Services did not specify a delivery program that met all requirements of the Training Package. Units of competency identified on the strategy did not meet packaging rule requirements. Page 4 of 13

5 The training and assessment strategy for HLT52007 Diploma of Practice Management identified resource requirements that were referenced and specific to a different qualification. Subsequently the physical resource requirements did not meet the requirements of the Training Package. RESOURCES: The organisation advised at audit they did not have access to all required training and assessment materials for HLT52007 Diploma of Practice Management. The organisation provided a resources list to demonstrate that both commercially developed and self-developed materials will be used, dependent on the unit of competency. The organisation could not demonstrate that all self-developed materials had been developed. Consequently the organisation could not demonstrate the materials were consistent with industry standards and Training Package requirements, or that they were used across all operations. HUMAN RESOURCES: The organisation could not provide evidence of current industry skills directly relevant to the training and assessment being undertaken for Mr William Phillips, its nominated trainer and assessor for FNS20110 Certificate II in Financial Services and FNS40210 Certificate IV in Financial Services (Bookkeeping). The organisation advised they have sighted a resume of Mr Phillips which demonstrated these skills. This was unavailable at the time of audit. ASSESSMENTS: BSB41407 Certificate IV in Occupational Health and Safety BSBOHS403B Identify hazards and assess OHS risks BSBOHS405B Contribute to the implementation of emergency procedures For both units of competency listed above, assessment tools provided did not sufficiently address unit required skills. The organisation identified the qualification was being assessed in a holistic manner and advised a committee had been formed to validate the tools and develop the criteria defining acceptable performance. This process had not been completed at the time of audit. BSB51407 Diploma of Project Management BSBPMG503A Manage project time BSBPMG509A Manage project procurement The organisation provided a holistic suite of assessment tools, however did not provide evidence of validation of the tools or the criteria defining acceptable performance. The organisation advised a committee had been formed to complete these tasks but had not been completed at the time of audit. CHC30708 Certificate III in Children s Services CHCCN303A Contribute to provision of nutritionally balanced food in a safe and hygienic manner Overall, assessment tools did not meet the requirements of the unit of competency, specifically with regards to all required skills, range statement, and critical aspects of evidence, necessary to achieve the performance criteria. The organisation provided commercially developed assessment tools, including marking and mapping guides, however could not provide evidence to demonstrate how the assessment tools had been validated. The third party observation checklist was a direct copy of the performance criteria and required skills which did not sufficiently detail the tasks to be observed. CHCCN305B Provide care for babies Overall, assessment tools did not meet the requirements of the unit of competency, specifically with regards to all required skills, range statement, and critical aspects of evidence, necessary to achieve the performance criteria. The organisation provided commercially developed assessment tools, including marking and mapping guides, however could not provide evidence to demonstrate how the assessment tools had been validated and improved upon. Assessment tools included three separate observation checklists to be completed by the supervisor, of which two checklists consisted of a list of overarching statements to be achieved and did not provide a list of instructions about assessment requirements for the student or observer. The other checklist was a direct copy of the performance criteria and required skills. None of the checklists sufficiently detailed the tasks to be observed. CHC50908 Diploma of Children s Services (Early childhood education and care) CHCPR502E Organise experiences to facilitate and enhance children s development Overall, assessment tools did not meet the requirements of the unit of competency, specifically with regards to all required skills, range statement, and critical aspects of evidence. The organisation provided commercially developed assessment tools, Page 5 of 13

6 including marking and mapping guides, however could not provide evidence to demonstrate how the assessment tools had been validated and improved upon. The third party observation checklist was a direct copy of the performance criteria and required skills, which did not identify the tasks to be administered to the student. CHCRF511A Work in a partnership with families to provide appropriate care for children The organisation provided commercially developed assessment tools, including marking and mapping guides, however could not provide evidence to demonstrate how the assessment tools had been validated and improved upon. The third party observation checklist was a direct copy of the performance criteria and required skills, which did not identify the tasks to be administered to the student. FNS20110 Certificate II in Financial Services FNSFLIT201B Develop and use a personal budget FNSFLT204A Develop understanding of superannuation Assessment tools did not provide clear information about assessment requirements for assessors. The organisation provided assessment tools which allowed for the provision of objective feedback to document a substantiated competency judgement; however on review of the sample assessment records, it was evident that documented objective feedback was not being completed in all circumstances. In discussion with the organisation, they advised clear information had not been provided to assessors as to how to manage assessment evidence when it was submitted in electronic copy. The organisation advised a trainer and assessor pack was in development, which included instructions to assessors regarding electronic assessment evidence, but had not been completed at the time of audit. In addition, the assessment tools provided had not been validated by the organisation. FNS40210 Certificate IV in Financial Services (Bookkeeping) FNSBKG402A Establish and maintain a cash accounting system The organisation provided assessment tools which did not meet the requirements of the unit of competency, specifically with regards to required skills. Assessment tools included written questions, reports, and a portfolio of evidence; however the organisation could not demonstrate where required skills relating to the identified communication skills were evidenced. HLT52007 Diploma of Practice Management HLTIN403C Implement and monitor infection control policy and procedures Overall, the tools did not meet the requirements of the unit of competency, including all required knowledge and skills, and critical aspects of evidence, necessary to achieve the performance criteria. In addition, the organisation could not provide evidence to demonstrate how it ensured the assessment was conducted in accordance with defined pre-requisites; this unit must be assessed after successful completion of HLTIN301C Comply with infection control policies and procedures. The third party observation checklist was a direct copy of the performance criteria, required knowledge, and required skills, which did not identify the tasks to be administered to the student. The organisation provided commercially developed assessment tools, including marking and mapping guides, however could not provide evidence to demonstrate how the assessment tools had been validated HLTHIR505C Provide leadership in promoting effective work practices in health Assessment tools did not meet the requirements of the unit of competency, including all required knowledge and skills, and critical aspects of evidence, necessary to achieve the performance criteria. In addition, criteria defining acceptable performance had not been outlined for any assessment tool. The organisation provided assessment tools that were still in development for this unit; consequently the processes, tools and practices had not been validated.. Rectification required: STRATEGIES: The organisation is required to provide evidence to demonstrate that documented training and assessment strategies, for all qualifications audited are clearly defined to meet the requirements of the Training Package, and are reflective of the actual activities undertaken. Additional qualification-specific rectification requirements relating to strategies are identified immediately below. The organisation is required to provide one or more training and assessment strategies for BSB60207 Advanced Diploma of Business which describes all delivery programs offered, identifies how that delivery programs were informed by information collected on industry requirements, and includes all resources specific to that delivery program. Page 6 of 13

7 The organisation is required to provide evidence to demonstrate the training and assessment strategies for CHC30708 Certificate III in Children s Services and CHC50908 Diploma of Children s Services (Early childhood education and care) specify the physical resources required, to the level of resources for assessment for each unit of competency. In addition, the organisation is required to provide evidence to demonstrate the training and assessment strategy for CHC50908 Diploma of Children s Services (Early childhood education and care) describes a delivery program that includes prerequisites to meet the requirements of the Training Package. The organisation is required to provide evidence to demonstrate the training and assessment strategy for FNS20110 Certificate II in Financial Services describes a delivery program that meets all requirements of the Training Package. The organisation is required to provide evidence to demonstrate the physical resources listed in the training and assessment strategy for HLT52007 Diploma of Practice Management are reflective of the qualification and meet Training Package requirements. RESOURCES: The organisation is required to provide evidence to demonstrate that it has training and assessment materials for HLT52007 Diploma of Practice Management appropriate to current industry standards and Training Package requirements. HUMAN RESOURCES: The organisation is required to provide evidence to demonstrate Mr William Phillips has current industry skills directly relevant to the training and assessment being undertaken for FNS20110 Certificate II in Financial Services and FNS40210 Certificate IV in Financial Services (Bookkeeping). ASSESSMENTS: BSB41407 Certificate IV in Occupational Health and Safety BSBOHS403B Identify hazards and assess OHS risks BSBOHS405B Contribute to the implementation of emergency procedures The organisation is required to provide evidence to demonstrate holistic assessment tools meet the requirements of the units of competency, specifically relating to all required skills. The organisation is required to provide evidence to demonstrate the tools have been validated for use, and is further required to provide evidence to demonstrate the criteria defining acceptable performance has been outlined. BSB51407 Diploma of Project Management BSBPMG503A Manage project time BSBPMG509A Manage project procurement The organisation is required to provide evidence to demonstrate holistic assessment tools have been validated for use, and is further required to provide evidence to demonstrate the criteria defining acceptable performance has been outlined. CHC30708 Certificate III in Children s Services CHCCN303A Contribute to provision of nutritionally balanced food in a safe and hygienic manner The organisation is required to provide evidence to demonstrate assessment tools meet the requirements of the unit of competency, specifically relating to all required skills, range statement, and critical aspects of evidence, necessary to achieve the performance criteria. The organisation is required to provide evidence to demonstrate the tools have been validated. Where observation checklists are utilised, the organisation is required to provide evidence to demonstrate these identify the tasks to be administered to the candidate. Where additional tools are developed, the organisation is required to demonstrate the criteria defining acceptable performance has been outlined. CHCCN305B Provide care for babies The organisation is required to provide evidence to demonstrate assessment tools meet the requirements of the unit of competency, specifically relating to all required skills, range statement, and critical aspects of evidence, necessary to achieve the performance criteria. The organisation is required to provide evidence to demonstrate the tools have been validated. Where observation checklists are utilised, the organisation is required to provide evidence to demonstrate these identify the tasks to be administered to the candidate and further that they provide clear information about assessment requirements for the student and observer. Where additional tools are developed, the organisation is required to demonstrate the criteria defining acceptable performance has been outlined. Page 7 of 13

8 CHC50908 Diploma of Children s Services (Early childhood education and care) CHCPR502E Organise experiences to facilitate and enhance children s development The organisation is required to provide evidence to demonstrate assessment tools meet the requirements of the unit of competency, specifically relating to all required skills, range statement, and critical aspects of evidence. The organisation is required to provide evidence to demonstrate the tools have been validated. Where observation checklists are utilised, the organisation is required to provide evidence to demonstrate these identify the tasks to be administered to the candidate. Where additional tools are developed, the organisation is required to demonstrate the criteria defining acceptable performance has been outlined. CHCRF511A Work in a partnership with families to provide appropriate care for children The organisation is required to provide evidence to demonstrate assessment tools have been validated. Where observation checklists are utilised, the organisation is required to provide evidence to demonstrate these identify the tasks to be administered to the candidate. FNS20110 Certificate II in Financial Services FNSFLIT201B Develop and use a personal budget FNSFLT204A Develop understanding of superannuation The organisation is required to provide evidence to demonstrate clear information about assessment requirements is provided to assessors, particularly with regards to documenting objective feedback that demonstrates a substantiated competency judgement for electronic assessment evidence. The organisation is also required to provide evidence to demonstrate assessment tools had been validated for use. FNS40210 Certificate IV in Financial Services (Bookkeeping) FNSBKG402A Establish and maintain a cash accounting system The organisation is required to provide evidence to demonstrate assessment tools meet the requirements of the unit of competency, specifically with regards to required skills. Where additional tools are developed, the organisation is required to demonstrate the criteria defining acceptable performance has been outlined. HLT52007 Diploma of Practice Management HLTIN403C Implement and monitor infection control policy and procedures The organisation is required to provide evidence to demonstrate assessment tools meet the requirements of the unit of competency, including all required knowledge and skills, and critical aspects of evidence, necessary to achieve the performance criteria. The organisation is required to provide evidence to demonstrate the tools have been validated. Where observation checklists are utilised, the organisation is required to provide evidence to demonstrate these identify the tasks to be administered to the candidate. Where additional tools are developed, the organisation is required to demonstrate the criteria defining acceptable performance has been outlined. The organisation is also required to provide evidence to demonstrate how it ensures assessment is conducted in accordance with defined pre-requisites. HLTHIR505C Provide leadership in promoting effective work practices in health The organisation is required to provide evidence to demonstrate assessment meets the requirements of the unit of competency, including all required knowledge and skills, and critical aspects of evidence, necessary to achieve the performance criteria. The organisation is required to demonstrate the tools have been validated and provide the criteria defining acceptable performance for each tool. Rectification evidence received 01 December 2011: STRATEGIES: The organisation provided a new template structure for the training and assessment strategies, for all qualifications audited, to demonstrate that documented strategies are clearly defined to meet the requirements of the Training Package, and are reflective of the actual activities undertaken. The training and assessment strategies identify eight sections, and each are contextualised to the specific qualification. The organisation provided training and assessment strategies for BSB60207 Advanced Diploma of Business which describes two separate delivery programs, identifies how the delivery programs were informed by information collected on industry requirements, and includes all resources specific to that delivery program. Page 8 of 13

9 The organisation provided evidence to demonstrate the training and assessment strategies for CHC30708 Certificate III in Children s Services and CHC50908 Diploma of Children s Services (Early childhood education and care) specify the physical resources required, to the level of resources for assessment for each unit of competency. Evidence included a physical resources checklist, which is referenced in the training and assessment strategy. In addition, the organisation provided evidence to demonstrate the training and assessment strategy for CHC50908 Diploma of Children s Services (Early childhood education and care) describes a delivery program that includes pre-requisites to meet the requirements of the Training Package. The organisation provided evidence to demonstrate the training and assessment strategy for FNS20110 Certificate II in Financial Services describes a delivery program that meets all requirements of the Training Package. The organisation provided evidence to demonstrate the physical resources listed in the training and assessment strategy for HLT52007 Diploma of Practice Management are reflective of the qualification and meet Training Package requirements. RESOURCES: The organisation provided evidence to demonstrate that it has training and assessment materials for HLT52007 Diploma of Practice Management appropriate to current industry standards and Training Package requirements. Evidence included a learning resource checklist, example materials for two units of competence, and a validation schedule to be completed by January HUMAN RESOURCES: The organisation provided evidence to demonstrate Mr William Phillips has current industry skills directly relevant to the training and assessment being undertaken for FNS20110 Certificate II in Financial Services and FNS40210 Certificate IV in Financial Services (Bookkeeping). Evidence was included in a resume and identified that Mr Phillips is currently employed as an Accounts Assistance (including MYOB bookkeeping), and was previously employed as a tax consultant. ASSESSMENTS: BSB41407 Certificate IV in Occupational Health and Safety BSBOHS403B Identify hazards and assess OHS risks BSBOHS405B Contribute to the implementation of emergency procedures The organisation provided evidence to demonstrate that, although training will be conducted in a holistic manner, assessment will be individually conducted against each unit of competency. Assessment tools met the requirements of the units of competency. The organisation demonstrated the tools had been validated for use and included the criteria defining acceptable performance. BSB51407 Diploma of Project Management BSBPMG503A Manage project time BSBPMG509A Manage project procurement The organisation provided revised assessment tools, which included additional assessment tasks, for both units of competency. Evidence provided demonstrated the assessment tools had been validated for use, and included the criteria defining acceptable performance. CHC30708 Certificate III in Children s Services CHCCN303A Contribute to provision of nutritionally balanced food in a safe and hygienic manner The organisation provided new assessment tools which met the requirements of the unit of competency. Evidence provided demonstrated the assessment tools had been validated for use, and included the criteria defining acceptable performance. Observation checklists demonstrated the tasks to be administered to the candidate. CHCCN305B Provide care for babies The organisation provided additional assessment tools to supplement commercially produced resources. Assessment tools met the requirements of the unit of competency. Evidence provided demonstrated the tools had been validated, and included the criteria defining acceptable performance. Observation checklists demonstrated the tasks to be administered to the candidate and provided clear information about assessment requirements for the student and observer. CHC50908 Diploma of Children s Services (Early childhood education and care) CHCPR502E Organise experiences to facilitate and enhance children s development The organisation provided new assessment tools which met the requirements of the unit of competency. Evidence provided Page 9 of 13

10 demonstrated the assessment tools had been validated for use, and included the criteria defining acceptable performance. Observation checklists demonstrated the tasks to be administered to the candidate. CHCRF511A Work in a partnership with families to provide appropriate care for children The organisation provided evidence of a validation panel checklist and mapping guide to demonstrate assessment tools had been validated. Observation checklists demonstrated the tasks to be administered to the candidate. FNS20110 Certificate II in Financial Services FNSFLIT201B Develop and use a personal budget FNSFLT204A Develop understanding of superannuation The organisation provided a trainer assessment pack as evidence to demonstrate how objective feedback will be recorded by the assessor for each student. The tool included clear information about assessment requirements for assessors. The organisation also provided evidence to demonstrate assessment tools had been validated for use. FNS40210 Certificate IV in Financial Services (Bookkeeping) FNSBKG402A Establish and maintain a cash accounting system The organisation provided additional assessment tools to supplement commercially produced resources. Assessment tools met the requirements of the unit of competency, specifically with regards to required skills. The organisation provided a marking guide and trainer assessor pack to demonstrate the criteria defining acceptable performance has been outlined. HLT52007 Diploma of Practice Management HLTIN403C Implement and monitor infection control policy and procedures The organisation provided evidence within the student assessment tasks to demonstrate how it ensures assessment is conducted in accordance with defined pre-requisites. The organisation provided new assessment tools which met the requirements of the unit of competency. Evidence provided demonstrated the assessment tools had been validated for use, and included the criteria defining acceptable performance. Observation checklists demonstrated the tasks to be administered to the candidate. HLTHIR505C Provide leadership in promoting effective work practices in health The organisation provided evidence to demonstrate assessment met the requirements of the unit of competency. The organisation demonstrated the tools had been validated and provided the criteria defining acceptable performance for each tool. Opportunities for Improvement The organisation has developed a systematic process and started to document evidence of industry consultation. The organisation should strengthen the process to ensure industry consultation will occur for all qualifications, with respect to course advisor consultation and trainer and assessor case studies. Where a series of documents, such as industry consultation forms and resource lists, will be used as part of the training and assessment strategy, the strategy should clearly reference the location of the document/s. When workplace training and assessment is identified within the training and assessment strategy, the physical resources required for the workplace could be more specific to ensure that workplace will have the resources required. The organisation should review newly developed assessment tools for grammatical errors. Page 10 of 13

11 Standard 2: The RTO adheres to principles of access and equity and maximises outcomes for its clients Elements 2.1 The RTO establishes the needs of clients, and delivers services to meet these needs. 2.2 The RTO continuously improves client services by collecting, analysing and acting on relevant data. 2.3 Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations. 2.4 Employers and other parties who contribute to each learner s training and assessment are engaged in the development, delivery and monitoring of training and assessment. 2.5 Learners receive training, assessment and support services that meet their individual needs. 2.6 Learners have timely access to current and accurate records of their participation and progress. 2.7 The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively. Audit findings At time of audit: Not compliant Following rectification received 01 December 2011: Not compliant Findings: The organisation was not compliant with all aspects of Standard Two. Examined Client services are continuously improved by the organisation, in accordance with data collected about their effectiveness. The organisation collects feedback from students, employers and trainers and assessors with regards to meeting client needs. All data relating to clients is recorded in the SMART system, with the compliance officer and academic manager using the information to meet individual and group needs. Examples of improvements made include providing documented evidence to employers and students regarding face to face delivery, and developing and updating employer questionnaires to ascertain employer needs on student enrolment. Information provided to students and employers for FNS20110 Certificate II in Financial Services, FNS40210 Certificate IV in Financial Services (Bookkeeping), BSB60207 Advanced Diploma of Business, CHC30708 Certificate III in Children s Services, HLT52007 Diploma of Practice Management, TAA50104 Diploma of Training and Assessment, and TAE40110 Certificate IV in Training and Assessment is clear, accurate and sufficient to assist them to make an informed choice. Information is developed from automatic actions created in the SMART system, which instructs administration, trainers and assessors, and a printing company to complete required actions to develop and provide a student kit. The trainer and assessor will explain the information to both the student and employer to ensure all parties understand the content prior to enrolling and beginning training. Non-compliances: BSB41407 Certificate IV in Occupational Health and Safety BSB51407 Diploma of Project Management The organisation provided course information sheets for both qualifications which did not advice clients prior to enrolling of the organisation s holistic approach to training and assessment. The information provided did not supply the client with an opportunity to understand the full training and assessment process. Specifically, clients were not made aware that they would not be provided with a statement of attainment for the partial completion of the qualification, should they exit the training program early. CHC50908 Diploma of Children s Services (Early childhood education and care) The organisation provided a course information sheet which was provided to clients prior to enrolment and did not identify prerequisite entry requirements. The organisation advised this was discussed with clients verbally only. Please note: Satisfactory rectification evidence was provided to support the identified non-compliance prior to the completion of the site visit (Refer to rectification evidence received 27/10/2011). Page 11 of 13

12 Rectification required: BSB41407 Certificate IV in Occupational Health and Safety BSB51407 Diploma of Project Management The organisation is required to provide evidence to demonstrate clients will be advised prior to enrolling of the training and assessment process. This includes providing information that, due to the holistic nature of the assessment process, the client will not be provided with a statement of attainment if they exit the training program early. Rectification evidence received 27/10/2011: CHC50908 Diploma of Children s Services (Early childhood education and care) The organisation provided an updated course information sheet which identified pre-requisite entry requirements. The evidence provided satisfactorily met rectification requirements. Rectification evidence received 01/12/2011: BSB41407 Certificate IV in Occupational Health and Safety BSB51407 Diploma of Project Management The organisation provided evidence to demonstrate clients will be advised prior to enrolling of the training and assessment process. The information is provided on a pre-enrolment form and also on the organisation s website. Standard 3: Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the RTO operates Elements 3.1 The RTO s management of its operations ensures clients receive the services detailed in their agreement with the RTO. 3.2 The RTO uses a systematic and continuous improvement approach to the management of operations. 3.3 The RTO monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards for Continuing Registration. 3.4 The RTO manages records to ensure their accuracy and integrity. Audit findings At time of audit: Not Findings: The organisation is compliant with Standard 3. Examined The organisation has comprehensive management systems which are appropriate for the size and scope of its operations, allows it to be focused on providing quality training and assessment, are consistently implemented, and are monitored and improved upon. The organisation has developed its own total management system (SMART system) which automatically updates, and is automatically updated by, AVETMISS compliant software. All staff are allocated permission levels and are appropriately trained in the use of the systems. The systems have been developed to respond to changing needs of clients, trainers and assessors, and management. The systems allow for snap-shot information to be provided to trainers and assessors to manage their clients, and for detailed reports to be developed for managers to conduct full analysis of the organisation. The organisation manages training and assessment provided on its behalf by documenting agreements that cover the responsibilities of both parties, and monitoring the implementation of these agreements. Partnership organisations are required to use the same training and assessment materials as the organisation, and also to use the same SMART system to ensure transparent communication. All hard-copy student records are forwarded to the organisation to be retained. Strengths The organisation has developed a total management system which allows it to manage training and assessment, client services, and operational requirements in a comprehensive manner. The system is supported by an in-house IT department to continuously improve the system as operations develop. Page 12 of 13

13 Conditions of registration Conditions 1 Governance 2 Interactions with the registering body 3 Compliance with legislation 4 Insurance 5 Financial management 6 Certification and issuing of qualifications and statements of attainment 7 Recognition of qualifications issued by other RTOs 8 Accuracy and integrity of marketing 9 Transition to training packages/expiry of accredited courses Audit findings At time of audit: Not Following rectification received 01 December 2011: Not Examined The conditions of registration listed above were reviewed for this audit as: On review of the training resources provided to students, it was identified that the NRT logo had not been employed in accordance with its conditions of use. Non-compliances: The organisation provided evidence of a training resource pack provided to students studying TAE40110 Certificate IV in Training and Assessment which included a mouse pad printed with the NRT logo on it. As part of the conditions of use, the NRT logo must not be used on products such as mouse pads. Rectification required: The organisation required to provide evidence to demonstrate the NRT logo has been employed only in accordance with its conditions of use. Rectification evidence received 01 December 2011: The organisation provided evidence to demonstrate a new design for the mouse pad has been developed. The NRT logo has been removed from the design. Evidence provided demonstrates the NRT logo has been employed only in accordance with its conditions of use. Page 13 of 13