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 RTO number CRICOS number Selmar Holdings Pty Ltd Selmar Institute of Education Selmar Aged Care Education Institute Selmar Early Childhood Education Institute Selmar Education Institute n/a AUDIT TEAM Lead auditor Auditor/s Technical adviser/s Sue Foster Lesley Shaw n/a AUDIT DETAILS Application number/s Audit number/s Audit reason 1 Audit reason 2 Audit reason 3 Activity type Application - renewal n/a specify or delete n/a specify or delete Site visit Address of site/s visited 3 Wellington St, St Kilda, VIC, 3182 Date/s of audit 04/03/2015 and 05/03/2015 Organisation s contact for audit Ms Julie Bowry Needham General Manager - Compliance & Support Services julie.bowryneedham@selmar.edu.au (03) Clauses audited , 1.26, 1.27, , , 4.1, , , 7.3, 8.2, 8.6 BACKGROUND Selmar Holdings Pty Ltd has been in operation since It is registered to deliver training and assessment services in the areas of: business services; foundation skills and preparatory studies; community services; early childhood; aged care; competitive systems and practice; retail; hospitality; and training and assessment. The parent company is the Careers Training Group, as of December Training and assessment is conducted in the workplace, at the RTO s premises and via distance Page 1 of 58

2 learning. Victoria is the main state of delivery. The RTO provides some non-accredited training related to the framework for early learning, conflict resolution and behaviour management. This training is to assist their clients in childcare and aged care centres to manage emerging issues in their industry. Revenue sources are mainly from a Victorian Training Guarantee and fee-for-service activity. The RTO does not offer VET Fee Help programs. The RTO has two partnerships o St Patricks in NSW to deliver training to their own staff. o 7-Eleven to provide food safety training to their staff. The RTO certifies and validates the training provided by the partner organisations. Total number of current enrolments in RTO as at audit date: 2000 (plus an additional 300 students who have either deferred or are waiting to commence). AUDIT SAMPLE Code Training product Mode/s of delivery/assessment* BSB40507 Certificate IV in Business Administration Workplace 14 BSB51107 Diploma of Management Workplace, Distance 97 CHC30212 Certificate III in Aged Care Face to Face, Workplace 184 CHC30312 CHC30113 CHC50113 FSK20113 MSS40312 Certificate III in Home and Community Care Certificate III in Early Childhood Education and Care Diploma of Early Childhood Education and Care Certificate II in Skills for Work and Vocational Pathways Certificate IV in Competitive Systems and Processes Face to Face, Workplace 107 Face to Face, Workplace, Distance Face to Face, Workplace, Distance Face to Face 0 Workplace 0 SIR30212 Certificate III in Retail Operations Workplace, Face to face 0 SIT20213 Certificate II in Hospitality Workplace, Face to face 0 SIT30713 Certificate III in Hospitality Workplace, Face to face 17 TAE40110 HLTAID001 Certificate IV in Training and Assessment Provide cardiopulmonary resuscitation (Explicit unit) Current enrolments (If not yet on scope, record N/A) Face to face 22 Face to Face, Workplace 0 *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) INTERVIEWEES Name Position Training product Ms Julie Bowry-Needham General Manager Compliance and Support Systems Angela Quinn Trainer/assessor HLTAID001 Page 2 of 58

3 Mary Fennessy LLN Student Support Coordinator Bree Perks Trainer/assessor CHC30113, CHC50113 Amanda Gilder Trainer/assessor CHC30113, CHC50113 Marie Ah-Yu Trainer/assessor CHC30113, CHC50113 Jenny Astorino Trainer/assessor CHC30312, ORIGINAL AUDIT FINDING AT TIME OF AUDIT Audit finding as at 05/03/2015: 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 19/05/2015: 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 Not compliant Compliant ABOUT THIS REPORT This report details findings against the Standards for Registered Training Organisations (RTOs) 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. Page 3 of 58

4 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 58

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. Original finding: Not compliant Following rectification: Compliant 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 2015 Reasons for finding of non-compliance: BSB51107 Diploma of Management CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care The organisation provided documented training and assessment strategies for each mode of delivery for the above qualifications. The evidence provided does not demonstrate the organisation s strategies and practices are consistent with the Training Packages. The training and delivery schedule in each training and assessment strategy did not accurately reflect the total number of weeks allocated for delivery and the nominal hours per unit or cluster of units did not match other information in the training and assessment strategy. In order to become compliant, the organisation is required to: BSB51107 Diploma of Management CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care provide evidence that its strategies for the training and assessment of the above qualifications, provide accurate and consistent information to guide consistent delivery of training products. Analysis of rectification evidence: Page 5 of 58

6 BSB51107 Diploma of Management CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care The organisation provided training and assessment strategies for each of the above qualifications. The strategies provided accurate information that satisfied the requirements of the relevant training packages. The information was consistent throughout the strategies. 1.2 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. Original finding: Not compliant Following rectification: Compliant 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 2015 Reasons for finding of non-compliance: MSS40312 Certificate IV in Competitive Systems and Practices CHC30113 Certificate III in Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care FSK20113 Certificate II in Skills for Work and Vocational Pathways SIT20213 Certificate II in Hospitality SIT30713 Certificate III in Hospitality TAE40110 Certificate IV in Training and Assessment The organisation provided training and assessment strategies for each of the listed qualifications. These training and assessment strategies included details of the duration of structured training and assessment delivery. The strategies did not describe sufficient training services to enable the learners to meet the requirements of the knowledge and skills for these qualifications. BSB51107 Diploma of Management The organisation provided two training and assessment strategies for distance delivery in NSW and Victoria for delivery to existing workers. Page 6 of 58

7 The strategies were not consistent in the volume of learning identified between the two strategies. The NSW delivery model is for up to 2 years, whilst the Victorian delivery model is for 36 weeks with no rationale to explain the difference. CHC30113 Certificate III in Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care The volume of learning and amount of training is inconsistent between the workplace and campus based training models for the above qualifications. The workplace models are delivered over 12 months and the learners are employed in the industry. The campus models are targeted at new entrants to the industry and are conducted over 20 weeks for 2 days a week or over 30 weeks for 1 day a week. No rationale was provided to explain why the campus model that has less participation time for the learner can be completed sooner. Strategies for campus and workplace delivery were provided for the combined delivery of this qualification with CHC30212 Certificate III in Aged Care. The delivery times were the same as for a single Certificate ie: Campus delivery for 2 days a week over 20 weeks or 1 day a week over 30 weeks with a placement of 140 hours. The workplace model was over 12 months for the 2 qualifications. In order to become compliant, the organisation is required to: BSB51107 Diploma of Management (Distance learning) CHC30113 Certificate III in Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care FSK20113 Certificate II in Skills for Work and Vocational Pathways MSS40312 Certificate IV in Competitive Systems and Practices SIT20213 Certificate II in Hospitality SIT30713 Certificate III in Hospitality TAE40110 Certificate IV in Training and Assessment provide evidence that training and assessment will satisfy the requirements of the standard to provide a sufficient amount of training to enable learners to meet the requirements of the knowledge and skills for these qualifications in consideration of the various delivery modes. Analysis of rectification evidence: BSB51107 Diploma of Management (Distance learning) CHC30113 Certificate III in Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care SIT30713 Certificate III in Hospitality TAE40110 Certificate IV in Training and Assessment Training and assessment strategies provided for the above qualifications described an amount of learning that was differentiated according to the mode of delivery and client base. A rationale for the amount of learning was provided and the amount of learning was consistent with the requirements for each qualification and for each mode of learning. Page 7 of 58

8 FSK20113 Certificate II in Skills for Work and Vocational Pathways MSS40312 Certificate IV in Competitive Systems and Practices SIT20213 Certificate II in Hospitality The organisation provided written advice that it wished to remove the above listed qualifications from its application. Consequently, no further evidence is required. 1.3 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 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. Original finding: Compliant 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: BSB40507 Certificate IV in Business Administration CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care FSK20113 Certificate II in Skills for Work and Vocational Pathways The evidence provided does not comply with the requirement that training and assessment practices are consistent with the training products sampled. The assessment methods listed in the training and assessment strategies is not consistent with the assessment mapping documents provided for each unit of competency. Page 8 of 58

9 In order to become compliant, the organisation is required to: BSB40507 Certificate IV in Business Administration CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care FSK20113 Certificate II in Skills for Work and Vocational Pathways provide evidence that its strategies and practices for assessment of the above qualifications are consistent with assessment mapping documentation. Analysis of rectification evidence BSB40507 Certificate IV in Business Administration CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care The organisation provided training and assessment strategies and mapping documents for each of the above qualifications The information in the training and assessment strategies was consistent with the information provided in the relevant mapping documents. FSK20113 Certificate II in Skills for Work and Vocational Pathways The organisation provided written advice that it wished to remove the above listed qualification from its application. Consequently, no further evidence is required. 1.5 The RTO s training and assessment practices are relevant to the needs of industry and informed by industry engagement. Original finding: Compliant 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. Original finding: Not compliant Following rectification: Compliant 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: Page 9 of 58

10 training and assessment strategies training and assessment practices resources, including facilities and equipment 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 2015 Reasons for finding of non-compliance: BSB51107 Diploma of Management CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care SIR30212 Certificate III in Retail Operations SIR30713 Certificate III in hospitality MSS40312 Certificate IV in Competitive Systems and Practices The evidence provided does not comply with the requirement that the RTO has developed and implemented a range of industry consultation strategies. Consultation has been limited to single person engagement per training and assessment strategy and one group activity in 2014 for the Children Services qualifications. The evidence provided does not comply with the requirement that the RTO has used the outcomes of industry consultation to systematically inform training and assessment strategies and practices and current skills required to be held by trainers and assessors. Industry feedback was sighted however there is no evidence of how the feedback is collated, analysed and acted upon to systematically inform the above. BSB40507 Certificate IV in Business Administration FSK20113 Certificate II in Skills for Work and Vocational Pathways HLTAID001 Provide Cardiopulmonary Resuscitation (Explicit unit) The evidence provided does not comply with the requirement that the RTO has implemented industry consultation strategies. In order to become compliant, the organisation is required to: BSB51107 Diploma of Management CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care BSB40507 Certificate IV in Business Administration FSK20113 Certificate II in Skills for Work and Vocational Pathways HLTAID001 Provide Cardiopulmonary Resuscitation (Explicit unit) provide evidence of an action plan, or similar that, if fully implemented will mean the RTO will be compliant with all aspects of this clause by no later than 1 July Analysis of rectification evidence: Page 10 of 58

11 BSB51107 Diploma of Management CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care BSB40507 Certificate IV in Business Administration FSK20113 Certificate II in Skills for Work and Vocational Pathways HLTAID001 Provide Cardiopulmonary Resuscitation (Explicit unit) The organisation provided an industry consultation implementation plan that included the following information: o a specific industry consultation calendar o Industry panel forums including activities scheduled in each of these areas for the second half of the year. For example, inviting industry professionals to discuss the relevant industry needs and trends; and to validate materials and assessment strategies o consultation during initial development of training and assessment strategies o conduct of TAS Course reviews o industry consultation across specialist sectors within their industries o workplace contact visits were to be documented on their client management system o implementation of a workplace inventory checklist o conduct of external industry forums including business development executives and to attend industry forums o development of current industry skills and professional development for trainers and assessors. FSK20113 Certificate II in Skills for Work and Vocational Pathways The organisation provided written advice that it wished to remove the above listed qualification from its application. Consequently, no further evidence is required. 1.7 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. Original finding: Compliant 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 Page 11 of 58

12 N/A MSS40312 Certificate IV in Competitive Systems and Processes Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) MSS403001A Implement competitive systems and practices Assessment tools consist of: 1. Project - to identify KPIs, areas for improvements and a plan for improvement 2. Knowledge test 3. Third party report MSS403010A Facilitate change in an organisation implementing competitive systems and practices Assessment tools consist of: 1. Knowledge test 2. Action learning project 3. Third party report Principles of Assessment fairness, flexibility, validity, reliability: MSS A MSS A 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: MSS A MSS A Y N Y N Evidence guidance: Validity: Assessment evidence considered has direct relevance to the unit or module s specifications Page 12 of 58

13 Sufficiency: Authenticity: Currency: Sufficient assessment evidence is considered to substantiate a competency judgement 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 SIR30212 Certificate III in Retail Operations Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) SIRXCOM101 Communicate in the workplace to support team and customer outcomes Assessment tools consist of: 1. Written test 2. Workplace observation SITXFSA201 Participate in safe food handling practices Assessment tools consist of: 1. Knowledge test 2. Practical demonstration Principles of Assessment fairness, flexibility, validity, reliability: SIRXCOM10 1 SITXFS201 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 Page 13 of 58

14 Rules of Evidence validity, sufficiency, authenticity, currency: SIRXCOM10 1 SITXFS201 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 SIT20213 Certificate II in Hospitality Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) SITXCCS202 Interact with customers Assessment tools consist of: 1. Classroom activities 2. Knowledge test 3. Project - scenario to organise for service routines Observations in the workplace SITXFIN201 Process financial transactions Assessment tools consist of: 1. Knowledge test 2. Project re. visa payments 3. Observation Principles of Assessment fairness, flexibility, validity, reliability: SITXCCS202 SITXFIN201 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 Page 14 of 58

15 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: SITXCCS202 SITXFIN201 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 SIT30713 Certificate III in Hospitality Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) SITXCOM201 Show social and cultural sensitivity Assessment tools consist of: Workplace observations SITHFAB202 Operate a bar Assessment tools consist of: 1. Written test 2. Workplace observations 3. third party report Principles of Assessment fairness, flexibility, validity, reliability: SITXCOM20 1 SITHFAB202 Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Page 15 of 58

16 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: SITXCOM20 1 SITHFAB202 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 TAE40110 Certificate IV in Training and Assessment Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) TAEDEL401A Plan, organise and deliver group based learning (training and assessment pathway) Assessment tools consist of: 1. Project1 Create delivery plans, session plans and learning resources 2. Facilitate group based learning 3. Peer review of practice 4. Facilitate group based learning 5. Written test TAEASS402B Assess competence (training and assessment pathway) Page 16 of 58

17 Assessment tools consist of: 1. Practical demonstrations - over 3 assessment sessions 2. Knowledge test Principles of Assessment fairness, flexibility, validity, reliability: TAEDEL401 A TAEASS402 B 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: TAEDEL401 A TAEASS402 B 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 BSB40507 Certificate IV in Business Administration Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment Page 17 of 58

18 conditions/assessment guidelines) BSBITU402A Develop and use complex spreadsheets Assessment tools consist of: written responses practical demonstrations portfolio of evidence third party report BSBMKG414B Undertake marketing activities Assessment tools consist of: written tasks / questions case studies / scenarios research project Principles of Assessment fairness, flexibility, validity, reliability: BSBITU402A BSBMKG414 B 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: BSBITU402A BSBMKG414 B 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 Page 18 of 58

19 Currency: Competency judgements include consideration of evidence from the present or the very recent past N/A BSB51107 Diploma of Management Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) BSBINM501A Manage an information management system Assessment tools consist of: written tasks/questions case studies/scenarios research project workplace tasks BSBMGT502B Manage people performance Assessment tools consist of: written tasks/questions case studies/scenarios research project workplace tasks Principles of Assessment fairness, flexibility, validity, reliability: BSBINM501 A BSBMGT502 B 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 Page 19 of 58

20 Rules of Evidence validity, sufficiency, authenticity, currency: BSBINM501 A BSBMGT502 B 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 CHC30113 Certificate III in Early Childhood Education and Care Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) CHCECE005 Provide care for babies and toddlers Assessment tools consist of: written tasks observation by assessor of practical knowledge and skills workplace tasks and reflection supervisor's report CHCECE010 Support the holistic development of children in early childhood Assessment tools consist of: written tasks observation by assessor of practical knowledge and skills workplace tasks and reflection supervisor's report Principles of Assessment fairness, flexibility, validity, reliability: CHCECE005 CHCECE010 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 Page 20 of 58

21 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: CHCECE005 CHCECE010 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 CHC30212 Certificate III in Aged 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: written tasks case studies role plays / simulation sample documentation CHCICS301B Provide support to meet personal care needs Assessment tools consist of: written tasks case studies role plays/simulation observation by assessor in workplace sample documentation Principles of Assessment fairness, flexibility, validity, reliability: Page 21 of 58

22 CHCAC319A CHCICS301 B 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 CHCICS301 B 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 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) CHCCS305C Assist clients with medication Assessment tools consist of: written tasks Page 22 of 58

23 case studies role plays / simulation sample documentation CHCICS304B Work effectively with carers Assessment tools consist of: written tasks case studies role plays / simulation sample documentation Principles of Assessment fairness, flexibility, validity, reliability: CHCCS305C CHCICS304 B 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: CHCCS305C CHCICS304 B 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 23 of 58

24 N/A CHC50113 Diploma of Early Childhood Education and Care Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) CHCORG506E Coordinate the work environment Assessment tools consist of: Questions and answers Project Case study CHCORG627B Provide mentoring support to colleagues Assessment tools consist of: written tasks role play/simulations workplace tasks and reflections supervisor's report Principles of Assessment fairness, flexibility, validity, reliability: CHCORG506 E CHCORG62 7B 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: CHCORG506 E CHCORG62 7B Y N Y N Evidence guidance: Validity: Assessment evidence considered has direct relevance to Page 24 of 58

25 the unit or module s specifications Sufficiency: Authenticity: Currency: Sufficient assessment evidence is considered to substantiate a competency judgement 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 FSK20113 Certificate II in Skills for Work and Vocational Pathways Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) FSKWTG09 Write routine workplace texts Assessment tools consist of: written tasks observation by assessor sample documentation FSKNUM08 Identify and use whole numbers and simple fractions, decimals and percentages for work Assessment tools consist of: written tasks observation by assesor sample documentation Principles of Assessment fairness, flexibility, validity, reliability: FSKWTG09 FSKNUM08 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) Page 25 of 58

26 Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: FSKWTG09 FSKNUM08 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 HLTAID001 Provide cardiopulmonary resuscitation (Explcit unit) Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) HLTAID001 Provide cardiopulmonary resuscitation (Explcit unit) Assessment tools consist of: online questions practical tasks observation by assessor Unit 2 code and name Assessment tools consist of: briefly list assessment tools Principles of Assessment fairness, flexibility, validity, reliability: HLTAID001 Code 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 Page 26 of 58

27 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: HLTAID001 Code 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 Reasons for finding of non-compliance: BSB51107 Diploma of Management BSBINM501A Manage an information management system BSBMGT502B Manage people performance CHC50113 Diploma of Early Childhood Education and Care CHCORG506E Coordinate the work environment Assessment tools provided for these units of competency did not comply with the assessment requirements of the relevant training package. The assessment materials do not support that assessment will be conducted in accordance with the principles of assessment as currently the assessment materials do not sufficiently simulate workplace conditions. For example in BSBINM501A Manage an information or knowledge management system, element 2.5 requires one to manage an information management system failure or technical difficulties. Assessment is a single written response asking how would one manage contingencies with no actual practical demonstration of managing a failure or difficulties. In BSBMGT502B Manage people performance a number of the required skills are assessed with written responses. Element 3 requires one to provide feedback to staff both formally and informally through on the job coaching and to document staff performance. The written responses required do not demonstrate the learner has applied these skills in a workplace or simulated work Page 27 of 58

28 environment. CHC30113 Certificate III in Early Childhood Education and Care CHCECE005 Provide care for babies and toddlers CHCECE010 Support the holistic development of children in early childhood The assessment tools were not implemented in accordance with the stated assessment procedures and assessment tasks. o The volume and frequency assessment requirements stated in each of the above units is not clearly articulated in the workplace observation checklists used by assessors. o The training and assessment strategies for this qualification indicate the use of a supervisor s report for all units. There was no evidence provided of such a report being used in practice to confirm workplace competency for the workplace mode of delivery. CHC30113 Certificate III in Early Childhood Education and Care CHCECE005 Provide care for babies and toddlers CHCECE010 Support the holistic development of children in early childhood SIT30713 Certificate III in Hospitality SITHFAB202 Operate a bar MSS40312 Certificate IV in Competitive Systems and Practice MSS403001A Implement competitive systems and practices TAE40110 Certificate IV in Training and Assessment RPL assessment tool HLTAID001 Provide cardio pulmonary resuscitation (Explicit unit) The organisation was not compliant with the requirements of the relevant training package. The assessment tools for these units did not: o provide sufficient information to the assessor to ensure consistency in judgements of competence. o include decision making rules and/or criteria for making a judgement of competence to guide assessors judgements of evidence of competence. o include sufficient information on the assessment tasks required to be delivered or the conduct of these assessment tasks. CHC30212 Certificate III in Aged Care CHCAC319A Provide support to people living with dementia CHCICS301B Provide support to meet personal care needs CHC30312 Certificate III in Home and Community Care CHCICS304B Work effectively with carers FSK20113 Certificate II in Skills for Work and Vocational Pathways FSKWTG09 Write routine workplace texts MSS40312 Certificate IV in Competitive Systems and Practice MSS403001A Implement competitive systems and practices SIR30212 Certificate III in Retail Operations SIRXCOM101 Communicate in the workplace to support team and customer outcomes SIT20213 Certificate II in Hospitality SITXCCS202 Interact with customers SITXFIN201 Process financial transactions SIT30713 Certificate III in Hospitality SITHFAB202 Operate a bar SITXCOM201 Show social and cultural sensitivity The organisation was not compliant with the requirements of the relevant training packages for assessment to be conducted in accordance with the principle of validity and the rule of sufficiency. Assessment tools did not provide for assessment of practical demonstration of competency through defined, relevant assessment tasks. Page 28 of 58