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

Transcription

1 Audit report VET Quality Framework Standards for Registered Training Organisations (RTOs) 2015 ORGANISATION DETAILS Organisation s legal name Trading name/s Health Train Education Services Pty Ltd - Healthtrain - HealthTrain@CQUniversity - Train@CQUniversity RTO number 4017 CRICOS number n/a AUDIT TEAM Lead auditor Auditor/s Technical adviser/s Daniel Taylor Judith Keller n/a AUDIT DETAILS Application number/s Audit number/s Audit reason 1 Audit reason 2 Audit reason 3 Activity type Address of site/s visited Application - renewal n/a n/a Site visit Room 8.18, Level 8 Chancellery, CQUniversity Brisbane campus 160 Ann Street, Brisbane Date/s of audit 28/04/2015 Organisation s contact for audit Colin Hatcher Executive Director ed-train@train.cqu.edu.au Clauses audited , 1.26, 1.27, 2, 3, 4, 5, 6, 7.3, 8.2, 8.6 BACKGROUND Health Train Education Services Pty Ltd Training as CQUniversity became a registered training organisation on April Initially its focus of training was predominantly in the Health sector, delivering aged care and nursing qualifications. The organisation now also delivers a variety of qualifications from the Business Services, Community Services, Financial Services and Foundation Skills training packages. Train@ CQUniversity is a wholly owned subsidiary of CQUniversity Australia, acquired in mid In 2014 the Queensland government announced that Central Queensland University Page 1 of 45

2 became the first dual sector university in Queensland delivering in both the Higher Education and VET sectors The focus for regions CQUniversity is to grow vocational education and training outside Central Queensland in metropolitan, regional and rural communities. Partnering agreement in place with SmartSkills Pty Ltd to deliver CHC30312 Certificate III in Home and Community Care and CHC30212 Certificate III in Aged Care. Funding: o QLD - VET Fee-Help, Certificate 3 Guarantee, Higher Level Skills, User Choice, Aged Care Workforce Vocational Education and Training o NSW - VET Fee-Help, Aged Care Workforce Vocational Education and Training o VIC - VET Fee-Help, Victorian Training Guarantee, Aged Care Workforce Vocational Education and Training o NT - VET Fee-Help, Aged Care Workforce Vocational Education and Training o SA - VET Fee-Help, Aged Care Workforce Vocational Education and Training o WA - VET Fee-Help, Aged Care Workforce Vocational Education and Training o TAS - VET Fee-Help, Aged Care Workforce Vocational Education and Training FNS40611 Certificate IV in Accounting and FNS50210 Diploma of Accounting (both superseded) were removed from the audit scope at audit when it was confirmed by the organisation that it no longer had any students enrolled into the qualifications. HLT32612 Certificate III in Pathology and HLT41812 Certificate IV in Pathology will be removed from the scope of registration pending endorsement by relevant CQUniversity Australia governance bodies. Total number of current enrolments in RTO as at audit date: 210 AUDIT SAMPLE Code Training product Mode/s of delivery/assessment* BSB30415 Certificate III in Business Administration Online 0 BSB51415 Diploma of Project Management Online 0 CHC30312 Certificate III in Home and Community Care Face to face 0 CHC40108 Certificate IV in Aged Care Face to face 30 FSK10113 Certificate I in Access to Vocational Pathways Face to face 16 HLT61107 Advanced Diploma of Nursing Face to face 0 HLT32812 FNS40611 FNS50210 Certificate III in Health Support Services Certificate IV in Accounting (Superseded) Diploma of Accounting (Superseded) Face to face 0 Online 0 Online 0 Current enrolments (If not yet on scope, record N/A) Page 2 of 45

3 *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) INTERVIEWEES Name Position Training product Colin Hatcher Executive Director n/a Kim Roberts National Training Operations Manager n/a Helen Magnussen Quality Manager n/a Gayathri Dhanashekar National Training Delivery Co-ordinator n/a ORIGINAL AUDIT FINDING AT TIME OF AUDIT Audit finding as at 28/04/2015: Significant non-compliance The level of non-compliance considers the potential for an adverse impact on the quality of training and assessment outcomes for students. If non-compliance has been identified, this audit report describes evidence of the non-compliance. Refer to notification of non-compliance for information on providing further evidence of compliance. AUDIT FINDING FOLLOWING ANALYSIS OF RECTIFICATION EVIDENCE Audit finding following analysis of additional evidence provided on 11/06/2015: Compliant AUDIT FINDING BY STANDARD Standard Original finding Finding following rectification Standard 1 Not compliant Compliant Standard 2 Not compliant Compliant Standard 3 Compliant n/a Standard 4 Compliant n/a Standard 5 Compliant n/a Standard 6 Compliant n/a Standard 7 Compliant n/a Standard 8 Compliant n/a ABOUT THIS REPORT This report details findings against the Standards for Registered Training Organisations (RTOs) Page 3 of 45

4 The evidence guidance included against each clause is designed to guide the auditor and RTO on the requirements of the clause. The evidence guidance is not designed to limit the audit findings and there may be other factors an auditor takes into consideration when determining whether compliance has been demonstrated. Where evidence of non-compliance is identified, the Reasons for finding of non-compliance section of the report will document the issues that were considered in the formulation of a finding of non-compliance. Page 4 of 45

5 Standard 1 The RTO s training and assessment strategies and practices are responsive to industry and learner needs and meet the requirements of training packages and VET accredited courses. To be compliant with Standard 1 the RTO must meet the following: 1.1 The RTO s training and assessment strategies and practices, including the amount of training they provide, are consistent with the requirements of training packages and VET accredited courses and enable each learner to meet the requirements for each unit of competency or module in which they are enrolled. N/A A training and assessment strategy (or strategies) was provided for each training product sampled Each strategy is consistent with the requirements of the training product Each strategy provides a framework to guide the learning requirements and the training and assessment arrangements of each training product the macro level requirements of the learning and assessment process Each strategy identifies an amount of training to be provided to learners that is consistent with the requirements of the training product Each strategy has been consistently implemented NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June For the purposes of Clause 1.1, the RTO determines the amount of training they provide to each learner with regard to: a) the existing skills, knowledge and the experience of the learner; b) the mode of delivery; and c) where a full qualification is not being delivered, the number of units and/or modules being delivered as a proportion of the full qualification. For each training product sampled, the amount of training to be provided identified in each strategy is consistent with: the existing skills, knowledge and experience of learners the mode/s of delivery the number of units and/or modules being delivered Each strategy is consistent with the AQF volume of learning benchmarks, taking into account the above items Reference: AQF, AQF volume of learning NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June The RTO has, for all of its scope of registration, and consistent with its training and assessment strategies, sufficient: a) trainers and assessors to deliver the training and assessment; b) educational and support services to meet the needs of the learner cohort/s undertaking the training and assessment; c) learning resources to enable learners to meet the requirements for each unit of Page 5 of 45

6 competency, and which are accessible to the learner regardless of location or mode of delivery; and d) facilities, whether physical or virtual, and equipment to accommodate and support the number of learners undertaking the training and assessment. For all training products sampled, there are sufficient: trainers and assessors educational and support services to meet the needs of learners learning resources that address the requirements of all components of the relevant training product and are accessible to all learners facilities and equipment to accommodate the number of learners Consistency is evident between each strategy and the above resources 1.4 The RTO meets all requirements specified in the relevant training package or VET accredited course. Original finding: Not compliant Following rectification: Compliant N/A Training and assessment strategies and resources are consistent with the requirements of each training product sampled Training and assessment practices are consistent with the requirements of each training product sampled Reasons for finding of non-compliance: HLT61107 Advanced Diploma of Nursing As noted with reference to Clause 1.8, evidence presented at audit for sampled units of competency did not confirm that the organisation s assessment meets all of the requirements specified in the HLT07 Health Training Package for the above qualification. HLT32812 Certificate III in Health Support Services As noted with reference to Clause 1.8, evidence presented at audit for a sampled unit of competency from the above qualification did not confirm that the organisation s RPL assessment is conducted in accordance with the principles of assessment and rules of evidence. CHC40108 Certificate IV in Aged Care CHC30312 Certificate III in Home and Community Care As noted with reference to Clause 1.8, evidence presented at audit for sampled units of competency did not confirm that the organisation s assessment meets all of the requirements for the above qualifications. As noted with reference to Clause 1.8, evidence presented at audit for a sampled unit of competency from the above qualification did not confirm that the organisation s RPL assessment is conducted in accordance with the principles of assessment and rules of evidence. Page 6 of 45

7 In order to become compliant, the organisation is required to: CHC40108 Certificate IV in Aged Care CHC30312 Certificate III in Home and Community Care HLT32812 Certificate III in Health Support Services HLT61107 Advanced Diploma of Nursing For each of the above qualifications provide evidence that satisfactorily rectifies all noncompliance identified in respect of Clause 1.8, so as to demonstrate that the organisation s assessment resources and practices are consistent with the requirements of the training products sampled at audit. Analysis of rectification evidence: CHC40108 Certificate IV in Aged Care CHC30312 Certificate III in Home and Community Care HLT32812 Certificate III in Health Support Services HLT61107 Advanced Diploma of Nursing For each of the above qualifications the organisation provided evidence that satisfactorily rectifies all non-compliance identified in respect of Clause 1.8, so as to demonstrate that the organisation s assessment resources and practices are consistent with the requirements of the training products sampled at audit. 1.5 The RTO s training and assessment practices are relevant to the needs of industry and informed by industry engagement. Training and assessment practices are informed by and consistent with the outcomes from industry engagement strategies NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June The RTO implements a range of strategies for industry engagement and systematically uses the outcome of that industry engagement to ensure the industry relevance of: a) its training and assessment strategies, practices and resources; and b) the current industry skills of its trainers and assessors. N/A A range of industry engagement strategies have been developed Industry engagement strategies have been implemented Outcomes from industry engagement strategies have been systematically used to inform: training and assessment strategies training and assessment practices resources, including facilities and equipment Page 7 of 45

8 current industry skills required to be held by trainers and assessors NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June The RTO determines the support needs of individual learners and provides access to the educational and support services necessary for the individual learner to meet the requirements of the training product as specified in training packages or VET accredited courses. Support needs of learners have been identified Learners have access to educational and support services necessary for them to meet the requirements of the relevant training product 1.8 The RTO implements an assessment system that ensures that assessment (including recognition of prior learning): a) complies with the assessment requirements of the relevant training package or VET accredited course; and b) is conducted in accordance with the Principles of Assessment contained in Table and the Rules of Evidence contained in Table Original finding: Not compliant Following rectification: Compliant N/A CHC30312 Certificate III in Home and Community Care Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) CHCAC319A Provide support to people living with dementia Assessment tools consist of: Pre-assessment (self evaluation activity) Written knowledge assessment Scenarios Projects Practical workplace activities 3 rd Party report HLTFS207C Follow basic food safety practices Assessment tools consist of: Written knowledge assessment Projects Practical workplace activities 3 rd Party report Principles of Assessment fairness, flexibility, validity, reliability: CHCAC319A HLTFS207C Page 8 of 45

9 Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: CHCAC319A HLTFS207C Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Currency: Competency judgements include consideration of evidence from the present or the very recent past N/A CHC40108 Certificate IV in Aged Care Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) CHCAC416A - Facilitate support responsive to the specific nature of dementia Assessment tools consist of: smallprint Written knowledge assessments Scenarios Projects Practical Assessment/s Third party/supervisor report RPL Student Guide Information and Application. Page 9 of 45

10 RPL Trainer Guide (version April 2015). Included three competency conversation questions with benchmarks for this unit. RPL kit includes observation recording sheets for practical tasks, however no practical tasks were identified for this unit. The organisation provided a 'Development and Delivery Plan' for its RPL Tool - Trainer Guide that indicated completion of resource development/acquisition as being 30 November Student records: Noble Thomas, Atul Thakur CHCDIS301C Work effectively with people with a disability Assessment tools consist of: smallprint Written knowledge assessments Scenarios Projects Practical Assessment/s Third party/supervisor report Student records Karma Vassallo, Baljinder Kaur, Jamie Portelli, Rebekah Fry Principles of Assessment fairness, flexibility, validity, reliability: CHCAC416A CHCDIS301 C Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: CHCAC416A CHCDIS301 C Y N Y N Evidence guidance: Validity: Sufficiency: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Page 10 of 45

11 Authenticity: Currency: Assessment evidence gathered is the learner s own work Competency judgements include consideration of evidence from the present or the very recent past N/A HLT61107 Advanced Diploma of Nursing Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) HLTEN606B Assess client and manage client care Assessment tools consist of: Assessment 1: Pre-admission/pre-operative phases. Case study: Fredericka McCracken. 14 open-ended written questions covering aspects of the required knowledge for the unit, including theoretical knowledge underpinning the essential skills for the unit. Assessment 1: Practical tasks: A list of practical tasks was included in the front of the Assessment 1 Workbook. The list included observation chart completed, competency completed for venipuncture, fluid balance charted according to case study data, VRE information received, administer IV fluids and document, complete pre-op checkilst. However, there were no assessment tools available for these tasks. Assessment 2: Post-operative phase. Continued case study Fredericka McCracken. 23 openended written questions. Assessment 2: Practical task noted as 'Competency documents attached, ECG, NG tube insertion, blood safe certificate'. However, there was no additional information about the specifics of the competency documents to be presented as evidence. Assessment 3: Post-operative phase. Continued case study Fredericka McCracken. 13 openended written questions. Assessment 3: Practical task noted as 'Emergency assessment scenario'. However, there were no assessment tools for this task.. Assessment 4: Discharge plan. Continued case study Fredericka McCracken. 5 open-ended written questions. Assessment 4: Practical task noted as 'Completion of a discharge plan'. However, there were no assessment tools for this task. The training and assessment strategy referenced third party report, student competency book and RPL, under the heading assessment method, however no evidence gathering tools were provided at audit. Answer guide provided for Assessment 1 written questions only. Assessment mapping matrix mapping assessment instruments to performance criteria and required skills for the unit. No RPL assessment resources available at audit. The organisation provided a 'Development and Delivery Plan' for this unit that indicated completion of resource development/acquisition as 20 November No current enrolments or completions to date. HLTEN511B Provide nursing care for clients requiring palliative care Assessment tools consist of: Assessment tool: Includes instructions to students. Written assessment tasks: 1. Case scenario provided (Penny), involving family member (Margaret). 3 written questions related to scenario covering aspects of required knowledge. 2. Case scenario Page 11 of 45

12 provided (John). 4 written questions covering aspects of required knowledge. 3. Research task - research an ethnic group. Written questions 3, 4, and 5 related to research and apsects of required knowledge for the unit. 6. Case scenario provided (Michelle). 2 questions related to scenario covering aspects of required knowledge. 7 & 8. Written questions related to aspects of required knowledge. 9. Scenarios with questions covering aspects of requied knowledge. 10. Written questions about origins of nociceptive and neuropathic pain. 11. Scenario provided (James). Written questions related to scenario and covering aspects of required knowledge. 12. Written question covering aspects of required knowledge. 13. Research task written questions about workplace policy and procedure relating to palliative care written questions about after death care processes based on organisational policy and procedure. Organisation advised that it has not yet developed assessment tasks to assess the required clinical and other skills for this unit. The traiining and assessment strategy referenced third party report, student competency book and RPL under the assessment methods, however no evidence gathering tools were provided at audit. Assessment matrix mapping assessment instruments to the elements, performance criteria, required skills and knowledge for the unit. No RPL assessment resources available at audit. The organisation provided a 'Development and Delivery Plan' for this unit that indicated completion of resource development/acquisition as 20 November Principles of Assessment fairness, flexibility, validity, reliability: HLTEN606B HLTEN511B Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: HLTEN606B HLTEN511B Y N Y N Evidence guidance: Validity: Sufficiency: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Page 12 of 45

13 Authenticity: Currency: Assessment evidence gathered is the learner s own work Competency judgements include consideration of evidence from the present or the very recent past N/A HLT32812 Certificate III in Health Support Services Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) CHCAC319A Provide support to people living with dementia (as above) Assessment tools consist of: As above HLTCSD306D Respond effectively to behaviours of concern Assessment tools consist of: SmallPrint Assessment (version 2, May 2014). Assessment instructions provided. Assessment plan. Includes instructions for participants, resources required to undertake the assessment, assessment instructions, performance standards and participant's declaration. Formative assessment 1. 8 activities. Written tasks covering aspects of underpinning knowledge requried to underke the tasks as outlined in the elements and performance criteria. Summative assessment 1. Questions: 8 theory questions covering aspects of required knowledge. Summative assessment 2: Projects. Project 1: Scenario provided - support worker for Jack, a 24 year old male client with an intellectual disability. Written questions. Project 2: Complete 8 mathematical equations - addition, subtraction, multiplcation division. Project 3: Written asessment task about cultural historical, access and equity issues relevant to own work in health services sector. Summative assessment 3: Observation report. Requires recording of context and date of observation of tasks, the actual tasks observed or evidence provided and assessor comments. Lists of observable tasks provided relevant to unit. Third party report (supplementary evidence). Corresponds to tasks in summative assessment 3. Model answers/suggested responses/benchmarks provided for written assessment tasks. Observation/practical asessment tasks aligned with performance criteria/required skills. Evidence summary sheet. Mapping of assessment tasks to performance criteria, required skills, required knowledge. No students have been enrolled in this qualification to date, therefore no completed student assessments available at audit. RPL Student Guide Information and Application. RPL Trainer Guide (version April 2015). Incomplete. 'Development and Delivery Plan' for RPL Tool - Trainer Guide indicated completion of resource development/acquisition as 30 November Principles of Assessment fairness, flexibility, validity, reliability: CHCAC319A HLTCSD306 D Y N Y N Evidence guidance: Page 13 of 45

14 Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: CHCAC319A HLTCSD306 D Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Currency: Competency judgements include consideration of evidence from the present or the very recent past N/A FSK10113 Certificate I in Access to Vocational Pathways Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) FSKDIG01 Use digital technology for basic workplace tasks (clustered with unit FSKWTG03 Write basic workplace information) Assessment tools consist of: Formative Assessment Activity Sheet (version 1, September 2014). Includes assessment overview, instructions to student and conditions of assessment. Activity 1: Workplace texts. Analyse given texts according to purpose, audience, language, vocabulary, format/layout. Activity 2: What technology for what task. Identify suitable technology for four given tasks. Activity 3: Workplace terminology. Match 4 WHS terms with their meaning. Activity 4: Login procedures: Draft a simple set of instructions for a new employee on how to complete the login screen at own workplace/ Page 14 of 45

15 college. Submit to assessor. Update draft in line with feedback received and submit final copy with original draft. Activity 5: Complete online form. Simulation involving completion of online 'Enrol to vote' form. Print screen completion slide. Formative Assessment Assignment (version 1, July 2013). Includes assessment overview, instructions to student and conditions of assessment. Admin4U case study. Task 1: 5 yes/no questions regarding workplace policies and procedures re use of technology. Task 2: 3 messages - identify who messages should be forwarded to. Task 3: Draft text message according to given specifications, on a mobile phone. Task 4: Rewrite given outlining purpose, removing unnecessary information and keeping short, concise and to the point. Task 5: Calculate postage for sending two items to Perth using calculator on Australia Post website. Send to supervisor with postage summaries (PDFs) attached. Observation: Observation record form. Checklist to be completed by assessor as student is observed completing formative activities and assignment tasks. Checklist covers behaviours associated with seeking feedback, discussing performance, using computer, locating information using internet, opening and using word processing programs, printing documents, and using mobile phone to send text message. Answers/suggested solutions for all formative assessment activities and all assignment tasks. Activity Sheet Marking Summary. Includes instructions for assessor, feedback instructions and space for recording assessment outcome on each of the 5 activities - includes checklist of benchmark requirements for each task. Assignment Marking Summary. Includes instructions for assessor, feedback instructions and space for recording assessment outcome on each of the five assignment tasks - icludes checklist of benchmark requirements for each task. Student competency record form (version 1, August 2013). Includes record of portfolio evidence and results. Completed student assessments sighted: (i) Candiate KD, completed 23 May 2014, assessed by Kylie Harrison. Sighted course completion record for full qualication, asessment evidence record, student completion records for units. Completed marking summary sheet for assessment activities, assignment tasks, and observation record (checklist). Completed assessment documents and assessment evidence retained for activities and assignment tasks. Assessed in accordance with answers/suggested solutions. (ii) Candidate PT, completed 9 January 2015, assessed bykylie Harrsion. Sighted course completion record for full qualication, asessment evidence record, student completion records for units. Completed marking summary sheet for assessment activities, assignment tasks, and observation record (checklist). Completed assessment documents and assessment evidence retained for activities and assignment tasks. Assessed in accordance with answers/suggested solutions. (iii) Candidate RT, completed 18 June 2014, assessed bykylie Harrsion. Sighted course completion record for full qualication, asessment evidence record, student completion records for units. Completed marking summary sheet for assessment activities, assignment tasks, and observation record (checklist). Completed assessment documents and assessment evidence retained for activities and assignment tasks. Assessed in accordance with answers/suggested solutions. FSKWTG03 Write basic workplace information (clustered with FSKDIG01 Use digital technology for basic workplace tasks) Assessment tools consist of: See above notes for FSKDIG01 Principles of Assessment fairness, flexibility, validity, reliability: FSKDIG01 FSKWTG03 Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Page 15 of 45

16 Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: FSKDIG01 FSKWTG03 Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Currency: Competency judgements include consideration of evidence from the present or the very recent past N/A BSB30415 Certificate III in Business Administration Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) BSBFIA302 Process Payroll Assessment tools consist of: Written knowledge assessment Project/s Practical activities 3 rd party reportvwhere applicable BSBITU309 Produce desktop published documents Assessment tools consist of: Written knowledge assessment Project/s Page 16 of 45

17 Practical activities 3 rd party report where applicable Principles of Assessment fairness, flexibility, validity, reliability: BSBFIA302 BSBITU309 Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: BSBFIA302 BSBITU309 Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Currency: Competency judgements include consideration of evidence from the present or the very recent past N/A BSB51415 Diploma of Project Management Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) BSBPMG514 Manage project cost Assessment tools consist of: Page 17 of 45

18 Written knowledge assessment Project/s Practical activities 3 rd party report where applicable BSBPMG512 Manage project time Assessment tools consist of: Written knowledge assessment Project/scenarios Practical activities 3 rd party report where applicable Principles of Assessment fairness, flexibility, validity, reliability: BSBPMG514 BSBPMG512 Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: BSBPMG514 BSBPMG512 Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Currency: Competency judgements include consideration of evidence from the present or the very recent past Page 18 of 45

19 Reasons for finding of non-compliance: CHC30312 Certificate III in Home and Community Care HLTFS207C Follow basic food safety practices CHC40108 Certificate IV in Aged Care CHCDIS301C Work effectively with people with a disability CHCAC416A - Facilitate support responsive to the specific nature of dementia For all the above units, it could not be confirmed from the practical assessment tools provided at audit, that the organisation s assessment would gather valid evidence of a candidate s performance in respect of all of the elements/performance criteria for the unit, specifically, the observation checklist is not a valid assessment instrument as it: o did not provide clear instructions for the student and assessor as to the context of assessment, o did not provide observable behaviours that the student must demonstrate in a range of contexts and over a period of time, as required by the unit of competency. Therefore there is no evidence of assessment of the required skills. The RPL Trainer Guide provided by the organisation was incomplete. Specifically, the Trainer Guide: o did not specify the RPL evidence requirements for unit o included observation recording sheets for practical tasks, however, there was no information about the practical tasks that RPL applicants would be required to undertake or demonstrate. HLT61107 Advanced Diploma of Nursing HLTEN606B Assess clients and manage client care. Assessment consisted of: o Assessment 1: Pre-admission/pre-operative phases. Case study with 14 open-ended written questions. List of practical assessment tasks. o Assessment 2: Post-operative phase. Continued case study with 23 open-ended written questions. List of competency documents required. o Assessment 3: Post-operative phase. Continued case study with 13 open-ended written questions. Practical task identified as Emergency assessment scenario. o Assesment 4: Discharge plan. Continued case study with 5 open-ended written questions. Practical task identified as Completion of a discharge plan. The organisation advised that its suite of assessment tools for unit HLTEN606B Assess clients and manage client care is currently under development, and that the set of tools provided at audit was incomplete. Specifically, whilst Assessments 1 4 included lists of practical tasks to be undertaken and competencies to be demonstrated by candidates, the organisation has not yet developed assessment tools to support the administration of the practical assessment tasks and the collection of assessment evidence. Additionally, the organisation s training and assessment strategy document identified third party reports, student competency book and RPL, among the assessment methods for the unit, however it was noted that the associated assessment / evidence gathering tools have yet to be developed Analysis of the evidence provided at audit found that the organisation s assessment for HLTEN606B Assess clients and manage client care did not address all of the requirements of the HLT07 Health Training Package for the unit. Specifically: Due to the absence of assessment tools and evidence criteria for the practical tasks/ competencies listed in Assessments 1 4, it could not be confirmed that evidence of all of the required skills specified in the Training Package for the unit would be gathered through the Page 19 of 45

20 assessment process. - in particular, application of the specified clinical nursing skills, and conduct physical examination of client. Additionally, it could not be confirmed from asessment tools provided at audit, that the organisaton s assessment would gather valid evidence of a candidate s performance in respect of all of the elements/performance criteria for the unit, including but not limited to: o PC 1.1 Undertake holistic assessment of a client/group of clients in consultation with a registered nurse o PC 1.6 Discuss assessment data with the registered nurse, and other memebers of the health care team as required to support best practice in nursing care delivery o PC 2.6 Following client consent, discuss the care plan with significant other(s) o PC 3.5 Provide comprehensive hand-over to nurses on other shifts o PC 4.6 Administer medications safely, based on knowledge of principles of drug actions and side effects, in accordance with health unit policies and procedures. As the assessment tools provided at audit for HLTEN606B Assess clients and manage client care were incomplete, it was not evident that the organisation s assessment addresses all of the critical aspects for assessment and evidence required to demonstrate the competency unit specified in the HLT07 Training Package for the unit, in particular the requirement that the individual being assessed must provide evidence of specified essential knowledge as well as skills. With reference to the principles of assessment: Due to the organisation s assessment tools for this unit being incomplete - and in particular, due to the absence of clear information for candidates about the practical assessment/ evidence requirements - it was not possible to confirm that assessment for HLTEN606B would satisfy the principles of fairness and flexibility with regard to the conduct and administration of the assessment. Furthermore, in the absence of detailed information about the practical assessment tasks, it was not possible to conclusively confirm that the planned assessment tasks and methods match the assessment evidence requirements for the unit and therefore gather valid evidence of performance relative to the unit requirements. Additionally, whilst the organisation demonstrated that it had developed evidence criteria (by way of an answer guide) for the written questions in Assessment 1, it could not be ascertained how reliability and consistency would be assured in the assessment and evaluation of performance on the other written assessment tasks and practical assessments for unit HLTEN606B, as no evidence criteria was provided at audit for these assessments. With reference to the rules of evidence: Due to the identified deficiencies in the organisation s assessment tools provided at audit for HLTEN606B Assess clients and manage client care, it could not be confirmed that evidence collected through the assessment process and used to make a decision about a candidate s competency in respect of the unit would be valid, sufficient, authentic and current. HLTEN511B Provide nursing care for clients requiring palliative care Assessment consisted of: o Written questions, with application to case scenarios and organisational policies and procedures o Research tasks with written questions. The organisation advised that its suite of assessment tools for unit HLTEN511B Provide nursing care for clients requiring palliative care is currently under development, and that the set of tools provided at audit was incomplete. In particular, the organisation has yet to develop assessment / evidence gathering tools to assess the clinical/required skills aspects of the unit. Additionally, the organisation s training and assessment strategy document identified third party reports, student competency book and RPL, among the assessment methods for the unit, however it was noted that the associated assessment / evidence gathering tools have not yet been developed. Page 20 of 45

21 Analysis of the evidence provided at audit found that the organisation s assessment for HLTEN511B Provide nursing care for clients requiring palliative care did not address all of the requirements of the HLT07 Health Training Package for the unit. Specifically, the assessment tools provided did not gather evidence of all of the required skills specified in the Training Package for the unit, including but not limited to. o o Perform nursing interventions, including. as per list in unit of competency Use oral communication skills (language competence) required to fulfil job roles as specified by the organisation/service. Oral communication skills include interviewing techniques, asking questions, active listening, asking for clarification. It was not evident from the assessment tools provided that the organisation s assessment gathers evidence of all of the required knowledge for the unit. Identified gaps included knowledge of: o Various signs of imminent death/deterioration of human anatomy and physiology in relation to: organ donation request for autopsy. Additionally, it could not be confirmed from assessment tools provided at audit, that the organisation s assessment would gather valid evidence of a candidate s performance in respect of all of the elements/performance criteria for the unit, including but not limited to: o PC 2.1 Develop an individualised care plan in consultation/collaboration with a registered nurse o PC 2.5 Monitor changes to advanced care directives as they are reviewed regularly by appropriate staff member and support implementation of these changes o PC 3.5 Document and promptly report observations of pain and other discomforts to appropriate member of staff o PC 4.2 Monitor and document client responses to nursing interventions o PC 4.3 Evaluate, document and report effectiveness of implemented strategies that address client needs. As the assessment tools provided at audit for HLTEN511B Provide nursing care for clients requiring palliative care were incomplete, it was not evident that the organisation s assessment addresses all of the critical aspects for assessment and evidence required to demonstrate the competency unit specified in the HLT07 Training Package for the unit, in particular the requirement that the individual being assessed must provide evidence of specified essential knowledge as well as skills. With reference to the principles of assessment: Due to the organisation s assessment tools for this unit being incomplete it was not possible to confirm that assessment for HLTEN511B would satisfy the principles of fairness and flexibility with regard to the conduct and administration of the assessment. Furthermore, in the absence of information about the practical assessment tasks / tools that are currently under development, it was not possible to establish that the planned assessment tasks and methods match the assessment evidence requirements for the unit and therefore gather valid evidence of performance relative to the unit requirements. With reference to the rules of evidence: Due to the identified deficiencies in the organisation s assessment tools provided at audit for HLTEN511B Provide nursing care for clients requiring palliative care, it could not be confirmed that evidence collected through the assessment process and used to make a decision about a candidate s competency in respect of the unit would be valid, sufficient, authentic and current. HLT32812 Certificate III in Health Support Services HLTCSD306D Respond effectively to behaviours of concern The RPL Trainer Guide (version April 2015) provided by the organisation was incomplete. Page 21 of 45

22 Specifically, the Trainer Guide: o did not specify the RPL evidence requirements for unit HLTCSD306D o included observation recording sheets for practical tasks - however, there was no information about the practical tasks that RPL applicants would be required to undertake or demonstrate. Consequently, it could not be confirmed that RPL assessment for unit HLTCSD306D Respond effectively to behaviours of concern would be conducted in accordance with: o the principles of assessment - particularly with regard to ensuring consistency in the conduct of the assessment process and reliability in the determination of assessment decisions; and o the rules of evidence - particularly with regard to ensuring that sufficient and valid evidence is collected through the RPL assessment process to support judgements about candidate competency for the unit. In order to become compliant, the organisation is required to: HLT61107 Advanced Diploma of Nursing HLTEN606B Assess clients and manage client care HLTEN511B Provide nursing care for clients requiring palliative care For each of the above units of competency, provide revised assessment tools that fully address all of the requirements specified in HLT07 Health Training Package for the unit of competency, including the elements, performance criteria, required skills and knowledge, critical aspects for assessment and evidence required to demonstrate competency in the unit, context of and specific resources for assessment. The assessment tools must confirm that assessment for the above units will be conducted in accordance with the principles of assessment and rules of evidence. As noted in ASQA s General Direction: Retention requirements for completed student assessment items (20 February 2013), assessment tools include the following components - context and conditions of assessment, tasks to be administered to the student, an outline of the evidence to be gathered from the candidate and evidence criteria used to judge the quality of performance (i.e. the assessment decision-making rules). HLT32812 Certificate III in Health Support Services HLTCSD306D Respond effectively to behaviours of concern Provide revised RPL assessment tools for the above unit of competency. The tools must confirm that RPL assessments for the above unit of competency will be conducted in accordance with the principles of assessment and rules of evidence. CHC30312 Certificate III in Home and Community Care HLTFS207C Follow basic food safety practices CHC40108 Certificate IV in Aged Care CHCDIS301C Work effectively with people with a disability CHCAC416A - Facilitate support responsive to the specific nature of dementia For all of the above units, the organisation is required to provide a full set of practical assessment tools for this unit and the criteria to be used by the assessor in determining competence. Furthermore, the assessment must include clear instructions for the student and assessor. Provide revised RPL assessment tools for the above unit of competency. The tools must confirm that RPL assessments for the above unit of competency will be conducted in accordance with the principles of assessment and rules of evidence. Page 22 of 45