AQTF Essential Conditions and Standards for Continuing Registration AUDIT REPORT

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1 RTO DETAILS RTO Name VICSEG New Futures T/A New Futures Training Address 11 Monro Street, Coburg, VIC 3058 NTIS Number Website Registration Contact John Zika Phone Number Student Numbers Student enrolled in ,600 students. Enrolled up to May ,300 students. AUDIT TEAM Lead Auditor John Molenaar Auditor/s Technical Advisor/s Observer/s REGISTERING BODY DETAILS Maree Raftis, Manager, Training and Employment Programs Contact Person Katherine Papastathopoulos Phone Number AUDIT DETAILS Type of Audit Post-initial/Extension to scope/renewal/monitoring/complaint/strategic Conditions audited Standards audited 1.1, 1.2, 1.3, 1.4, 1.5. Audit Date/s 22/23 May, 2012 Other audit notes 1, 3, 4, 6, 7, 8, 9. (Conditions 2 & 5 are not required to be audited, see page 3 below) 2.1, 2.2, 2.3, 2.4, 2.5, 2.6, , 3.2, 3.3, 3.4 VICSEG New Futures is a community based organisation that has a focus on creating employment pathways for its clients which include new entrants to Australia as refugees and migrants, many of whom have limited formal education and language literacy and numeracy skills. Traditionally the organisation has focused on family, youth and children and in recent years this has expanded to include new entrants to Australia for countries such as the Middle East, Horn of Africa, the Indian sub-continent, Sudan and West Africa. Student welfare is a core part of its business and additional staff are appointed to include translators, welfare officers and counsellors. The RTO is responsive to its community and provides services and training to community members and in response to local employers who have identified their skills needs. The organisation employs up to 66 staff including 50 staff directly involved with the RTO functions. At any one time up to 1,500 could be enrolled, attending classes at campuses in Coburg, Epping, Sunshine, Oakleigh, Footscray and Board Meadows. VICSEG New Futures was very responsive to the cultural needs of students and this was confirmed by students interviewed. The organisation has also establish sound Version AQTF 1 July 2010 Page 1 of 14

2 relationships with employers in different geographic locations, to review and support its delivery and assessment arrangements and provide opportunities for student work placement. ACCOMPANYING REPORTS Yes No VRQA Guidelines Audit Report VRQA Guidelines Re-registration Checklist Version AQTF 1 July 2010 Page 2 of 14

3 FOCUS OF AUDIT NTIS Code QUALIFICATION/UNIT OF COMPETENCE/ACCREDITED COURSE Qualification/Unit of Competence/Accredited Course (as per NTIS) CHC30708 Certificate III in Children s Services Coburg CHC40708 Certificate IV in Community Services Work Coburg CHC50908 Diploma of Children s Services (Early childhood education and care) Coburg BSB51107 Diploma of Management Coburg Delivery Site INTERVIEWEE/S: Staff name and position; employer name and position; students by program (do not list by name) Trainer/assessor: Certificate III in Children s Services Monica Barron Diploma of Children s Services (Early childhood education and care) Trainer/assessor: Sue Paton Certificate IV in Community Services Work Certificate III in Aged Care Trainer/assessor: Mehdi Salaan Diploma of Management Version AQTF 1 July 2010 Page 3 of 14

4 AUDIT SUMMARY 1 Governance Conditions of Registration Compliant Noncompliant 1.1 CEO must ensure the RTO complies with relevant conditions, standards and guidelines 1.2 Fit & Proper Persons Tests 1.3 Input of Trainers and Assessors in senior management decision making Not audited 2 Interactions with the Registering Body 3 Compliance with Legislation 4 Insurance 5 Financial Management 6 Certification & Issuing of Qualifications & 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 Version AQTF 1 July 2010 Page 4 of 14

5 Summary of non-compliances Conditions of Registration New Futures Training was identified as compliant with the requirements for Conditions 1, 3, 4. Conditions 2 and 5 were not audited as part of this re-registration audit. Condition 6 New Futures Training had developed and issued Statements of Attainment that were not consistent with the requirements of the AQF. The Statement of Attainment included the statement A Statement of Attainment is issued by a registered training organisation when an individual has completed one or more units of competency from a nationally recognised qualification(s)/course(s). This should be A Statement of Attainment is issued by a registered training organisation when an individual has completed one or more accredited units. Condition 7 National Recognition process identified requirement to complete an RPL/CT Application Form. Sighted form which was specific to an Application for RPL. This identified RPL and Credit Transfer. This required learners to provide information about education/training, additional studies after school and work experience. This was not appropriate for a student wishing to access national recognition. The Learner Handbook referred to a Credit Transfer Application Form. No form was sighted and the Handbook included an RPL Application Form. Condition 8 The New Futures Training website identified four courses which were identified as Training Package units with unit codes and titles. Two of these units were not identified as on the organisation s scope of registration. On the New Futures Training website, credit transfer identified that Access Training and Logistics Pty Ltd would recognise if students had an identical competency or accredited module/unit for which a student had a statement of attainment from any Registered Training Organisation (RTO) which included the Nationally Recognised Training logo. It is not appropriate that Access Training and Logistics Pty Ltd be identified to provide credit transfer. The Diploma of Children s Services marketing brochure identified the entry requirements that required the learner to have completed a Certificate III in Children s Services. This was not incompliance with the Training Package requirements. Condition 9 New Futures Training had identified strategies for ensuring that transition of Training Packages occurred within the appropriate timeline and within 12 months of being published on the NTIS. This should have been identified as Recommendations Condition 6 It is recommended that New Futures Training modify its Statement of Attainment to correctly use the terminology A Statement of Attainment is issued by a registered training organisation when an individual has completed one or more accredited units. Version AQTF 1 July 2010 Page 5 of 14

6 Condition 7 It is recommended that New Futures Training review its procedures for national recognition and ensures that an appropriate Application Form is accessible to students that requires students to provide original copies of testamurs and Statements of Attainment and not the information required for an RPL assessment. Condition 8 It is recommended that New Futures Training: Reviews the short courses and related units marketed on its website and ensure that only units identified on its Scope of Registration are marketed as separate courses. Delete reference to Access Training and Logistics Pty Ltd for the provision of Credit Transfer. Review the entry requirements in marketing materials of all qualifications and ensure that identified entry requirements are consistent with the qualification entry requirements. Condition 9 It is recommended that New Futures Training review its procedures for Transitioning of Training Packages and modify to replace references to NTIS with Strengths Opportunities for Improvement Condition 6 New Futures Training would benefit from consulting the NSSC and ASQA communiqués and websites to access updated information on the issue of testamurs. Version AQTF 1 July 2010 Page 6 of 14

7 Standard 1: The RTO provides quality training and assessment across all of its operations Audit conclusion Result Standard 1.1 New Futures Training had identified and implemented a range of feedback collection and analysis activities that were not identified in its Continuous Improvement Procedure. The activities were implemented in an adhoc way and a schedule of proposed activities for 2012 was not identified. A systematic approach that clearly identified all feedback and analysis strategies was not identified. A procedure for the review of the effectiveness of continuous improvement actions implemented were not identified or implemented. It is recommended that New Futures Training review its procedures for implementing continuous improvement strategies and modify to identify: All stakeholders. Feedback collection strategies implemented. Tools used and the dates of implementation. Analysis strategy for collating and analysing feedback. Action plan that identifies the issue, action, person responsible, completion date and review date. The procedure for the review of the actions implemented and that identify the analysis and decision making processes to adopt, based on information collected and analysed, such as review and action formulation and implementation by the Management Committee. Standard 1.2 CHC50908 Diploma of Children s Services (Early childhood education and care) The delivery duration and arrangements identified one day of classroom activities and 15 hours of work placement a week. These durations were not identified in the marketing materials. Compliant Noncompliant Not audited Version AQTF 1 July 2010 Page 7 of 14

8 Industry consultation was provided by only one childcare centre. This was inadequate as the course covered workers in long day care, short day care and after hours care. Industry feedback on the learning and assessment strategies should have been sought from a diversity of employers. Pathways identified possible job titles. Qualifications pathways were not identified. CHC40708 Certificate IV in Community Services Work Training and Assessment Strategy identified units to be delivered. For one unit, the unit code was incorrectly identified. The unit code CHCC541B should have been CHCC541D. Industry consultation for feedback and confirmation of the learning and assessment arrangements included a response from only one employer on the 8/3/2012. No business name was provided. Only one employer had provided feedback. Pathways identified possible job titles. Qualifications pathways were not identified. It is recommended that New Futures Training: Review the unit codes and titles of all units packaged into qualifications and ensure they are consistent with the version of the Training Package that the units relate to. Obtain feedback from sufficient employers, on the delivery and assessment arrangements, including selection of elective units to ensure that they meet a diversity of the industry identified in the target group for the qualification. BSB51107 Diploma of Management Learning and Assessment Strategy units to be delivered and assessed. The unit code BSBMGT516A should be BSBMGT516B. Industry consultation was limited to feedback from industry consultant Yzxin Zheng signed and dated 8/3/2012. The company was not identified. Validation and moderation process was identified. No schedule for implementation was identified. No moderation activities had been implemented to date. Pathways included employment pathways. Qualifications pathways were not identified. It is recommended that New Futures Training: Review the unit codes and titles of all units packaged into qualifications and ensure they are consistent with the version of the Training Package that the units relate to. Obtain feedback from sufficient employers, on the delivery and assessment arrangements, including selection of elective units to ensure that they meet a diversity of the industry identified in the target group for the qualification. Develop and implement a schedule for the validation and moderation of assessment processes and tools. Identify qualifications pathways for the qualification in addition to the vocational pathways. Standard 1.3 For the qualifications sampled, facilities checklists were not available to identify that the required facilities and equipment, necessary for the delivery and assessment of each unit, were available. Version AQTF 1 July 2010 Page 8 of 14

9 It is recommended that New Futures Training identify the facility and equipment requirements for each unit and qualification on its scope of registration. BSB51107 Diploma of Management No reference books were identified, to provide learners with the underpinning knowledge appropriate to the qualification. Handouts and RTO developed resources were not available for each unit. It is recommended that New Futures Training: Identifies and has available appropriate references texts for the qualification to enable student to access required underpinning knowledge. Has available for each unit, the RTO developed handouts and resources as identified in the Learning and Assessment Strategy. Standard 1.4 BSB51107 Diploma of Management The trainer/assessor for the qualification BSB51107 Diploma of Management provided evidence of achievement of higher education qualifications, experience as a trainer/assessor in the area of management and overseas experience in business consultancy. The trainer/assessor had not provided evidence of currency of competency to deliver the identified unit of the qualification - BSB51107 Diploma of Management. It is recommended New Futures Training provide evidence that the trainer for qualification BSB51107 Diploma of Management has currency of competency to deliver the identified units of the qualification Diploma of Management. Standard 1.5 CHC50908 Diploma of Children s Services (Early childhood education and care) The Learner Workbook, Learning Area 2 families and communities, included content knowledge of units. Student workbook alignment included assessment tasks. These were not specific to the assessment tasks identified in the Assessment Kit. The mapping of unit content to assessment tasks did not identify the specific question numbers of knowledge assessment, practical tasks and supplementary evidence assessments to ensure that all components of the unit would be assessed and the assessment tasks identified. These were not consistent with the assessment tasks identified in the Assessment Kits. Version AQTF 1 July 2010 Page 9 of 14

10 The Session Plan for each unit did not include assessment tasks that were consistent with those identified in the Assessment Kit. Student assessment files included completed assessments that were consistent with the Assessment Kit, however the Assessment Coversheet for the unit did not identify the assessments completed by the students and whether they were C/NYC for each assessment completed and did not provide for a signature of the candidate or the assessor and date completed. CHC40708 Certificate IV in Community Services Work Unit sampled: CHCCS412D Deliver and develop client services Assessment cover sheets were general for all units. Assessment tasks were identified as workplace simulations, class participation and presentation, however no assessment tools were available. CHCRF511A Work in partnership with families to provide appropriate care Student workbook included an alignment of assessment tasks to unit content. The identified assessment tasks were consistent with those identified in the Assessment Kit. It is recommended that New Futures Training: Have available for all units to be assessed, Unit Assessment Cover Sheets that identify the specific assessment tasks completed for that unit and provide for an identification if the candidate was C/NYC for each task, dates of completion and signatures of the candidate and assessors. Review Session Plans to ensure that they accurately identify the required assessment tasks to be completed, consistent with the assessment tasks identified in the Assessment Kits for each qualification. Ensure that assessment tools are available for each assessment task identified for each unit. BSB51107 Diploma of Management The assessment requirements as identified in the units of competency had not been identified in the unit assessments to be completed for the sampled units. The BSBPMG510A Manage projects required the development of a project plan. This was not identified as an assessment activity. Assessment tasks required access to workplace documentation. Strategies for accessing these were not identified. Student assessment files did not include cover sheets and clear headings to enable alignment of work presented with the required assessment tasks for the unit. It was therefore not possible to determine whether the required assessments had been completed. Version AQTF 1 July 2010 Page 10 of 14

11 The unit BSBMGT516A Facilitate continuous improvement required the completion of a project to demonstrate the use of a model to encourage participation. A portfolio was also to be completed to include a variety of documents, reports and other documentation. Evidence of the following was essential: Examples of strategies and approaches to improve work outcomes or organisational functioning. Methods for monitoring performance and customer service. Knowledge of continuous improvement model. The completed assessment tasks sampled included a report on initiating and improving a process, a research paper encouraging employee participation - and oral questions. No project was completed. An assessment to identify application of the principles of sustainability was not completed. The Learner Guide for the unit identified the requirement for the completion of three assessment activities related to each chapter. These had not been completed. RPL process was identified. No RPL tool was available. It is recommended that New Futures Training reviews the assessment requirements for each unit within the qualification Diploma of Management and ensures that: required assessment activities are identified and completed by each candidate for all units to be assessed, Unit Assessment Cover Sheets are available that identify the specific assessment tasks completed for that unit and provide for an identification if the candidate was C/NYC for each task, dates of completion and signatures of the candidate and assessors and dates of completion Session Plans are reviewed to ensure that they accurately identify the required assessment tasks to be completed, consistent with the assessment tasks identified in the Assessment Kits for each qualification assessment tools are available for each assessment task identified for each unit RPL assessment tools for each unit are provided. Strengths Opportunities for Improvement Version AQTF 1 July 2010 Page 11 of 14

12 Standard 2: clients The RTO adheres to principles of access and equity and maximises outcomes for its Audit conclusion Result New Futures Training was identified as compliant with the requirements of Standards 2.1, 2.4, 2.5 and 2.6. Standard 2.2 New Futures Training obtains information on the effectiveness of student services in an informal way. A range of feedback had been collected but this has not been processed to contribute to the continuous improvement strategy. A systematic approach to the collection and analysis of student feedback on the effectiveness of student services had not been implemented. It is recommended that New Futures Training review its procedures for the continuous improvement of student support services and develop a systematic procedure to the collection, analysis and identification of opportunities for improvement and implement these, to ensure that services are progressively improved in response to student feedback. Standard 2.3 Durations and entry requirements were not clearly identified in course information materials. It is recommended that New Futures Training includes information about the duration of the course and entry requirements in course information. Standard 2.7 Students were informed of the Complaints and Appeals Procedures in the Student Handbook Complaints and Appeals. This identified an informal process and a formal process. An appeals process for appealing a complaints decision was not identified. An external, independent body for hearing unresolved complaints and appeals was not identified. No formal complaints had been recorded in the Complaints Register. A procedure for ensuring that informal complaints contribute to the continuous improvement processes was not identified. It is recommended that New Futures Training: Reviews information provided to students in the Student Handbook about the complaints and appeals procedures and ensures that they are consistent with the organisation s complaints and appeals procedures and include an appeals procedure and identifies an external, independent body to access for hearing unresolved complaints and appeals. Reviews the effectiveness of its complaints procedures to identify why no complaints have been recorded in the Complaints Register and identify a strategy for ensuring that informal complaints contribute to the continuous improvement processes. Compliant Noncompliant Not audited Strengths Version AQTF 1 July 2010 Page 12 of 14

13 Opportunities for Improvement Version AQTF 1 July 2010 Page 13 of 14

14 Standard 3: Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the RTO operates Audit conclusion Result New Futures Training was identified as compliant with the requirements of Standards 3.1, 3.2 and 3.4. Standard 3.3 was not audited as part of this re-registration audit. Compliant Noncompliant Not audited Strengths Opportunities for Improvement Version AQTF 1 July 2010 Page 14 of 14