AQTF 2007 AUDIT REPORT

Transcription

1 AQTF 2007 AUDIT REPORT RTO DETAILS RTO Name KnowledgeSpace Pty Ltd NTIS Number Address Suite 110, 530 Lt Collins St., Melbourne 3000 Website Registration Contact Phone Number Student Numbers 347 current enrolments AUDIT TEAM Lead Auditor B.Delaney Auditor/s Technical Advisor/s Observer/s REGISTERING BODY DETAILS Contact Person Mr J. Gill Phone Number AUDIT DETAILS Type of Audit Initial/Post-initial/Extension to scope/renewal/monitoring/complaint/strategic Standards audited 1,2,3 Conditions audited 6 Audit Date/s and Other audit notes Registration expires

2 FOCUS OF AUDIT QUALIFICATION/UNIT OF COMPETENCE/ACCREDITED COURSE NTIS Code Qualification/Unit of Competence/Accredited Course (as per NTIS) BSB40307 Certificate IV in Customer Contact BSBOHS407A Monitor a Safe Workplace FNSICORG515A Provide mentoring and coaching within the BSB40507 Certificate IV in Business Administration BSBADM405B BSBREL401A Organise meetings Establish networks BSBCUS402A Address customer needs BSB50307 Diploma of Customer Contact FNSICORG515A Provide mentoring and coaching within the BSBWOR502A Ensure Team effectiveness FNS30107 Certificate III in Financial Services ICT40102 Certificate IV in Customer Contact ICTCC100A Follow OHS ICTCC482A Develop teams and individuals in a contact centre ICTCC481A Lead teams in a contact centre ICTCC341A Provide sales solutions to customers ICT30102 Certificate III Customer Contact ICTCC352A Resolve Complex Customer Complaints ICTCC330A Manage Customer relationships ICTCC341A Provide sales solutions to customers Delivery Site 2

3 INTERVIEWEE/S (Staff -name and position; employer name and position ; students (by program, do not list by name) Renee Simonds Sherry Hayward Jesse Simonds Bianca Liberatore Portia Gestos Tracey Williamson Judith Thomas Office Manager AIG, National RTO Manager Consultant Account Manager Account Manager Primus Admin Trainer 3

4 AQTF 2007 AUDIT REPORT Standard 1: The RTO provides quality training and assessment across all of its operations Audit conclusion Findings The RTO was not compliant with this standard due to the non compliances in elements 1.3 and 1.5 Element 1.1 Continuous Improvement COMPLIANT Element 1.2 Strategies for training and assessment COMPLIANT Element 1.4 Staff COMPLIANT Result Compliant Non-compliant! Not audited 4

5 AQTF 2007 AUDIT REPORT Standard 1: The RTO provides quality training and assessment across all of its operations Audit conclusion Element 1.3 Resources and Element 1.5 Quality of assessment The RTO was not compliant with these elements as the assessment materials and tools for the qualifications sampled in audit did not adequately cover the Training Package requirements, the principles of assessment and the rules of evidence. This was also reflected in the RPL processes. Assessment tasks did not cover the entire requirements of the Training Package- elements, performance criteria, critical aspects of assessment, context of assessment as well as essential knowledge and skills. Hence, evidence collected was not sufficient or valid. The units sampled in audit required the demonstration of skills as part of the assessment and there were insufficient assessment materials for practical demonstrations or observations. There were some examples of reports of observations but these were not comprehensive or not framed as assessment tools. The assessment tools presented in audit did not provide information to candidates about the context, purpose, process and expectations of assessment. The instructions to the assessors did not detail how assessments would be conducted and the assessment tools did not describe the basis of assessors judgements of competence. The Third Party Reports did not state the context of assessment, the number of observations and how the judgements of competency were made. The assessment tasks instructions and the assessment criteria for candidates and assessors was insufficient to ensure consistency. There were very few examples of assessor guidelines except in the cases of sample answers to questions. Result Compliant Non-compliant! Not audited 5

6 Standard 1: The RTO provides quality training and assessment across all of its operations Audit conclusion Element 1.3 Resources and Element 1.5 Quality of assessment RECOMMENDATIONS It is recommended that the RTO reviews its assessment tools, including those used for RPL to ensure that they cover the requirements outlined in the units of competency as well as following the rules of evidence and principles of assessment. Result Compliant Non-compliant! Not audited It is recommended that assessment tools also cover procedures about how the assessment is conducted, recording procedures, marking guides and instructions to assessors and candidates. It is recommended that the instructions for candidates and assessors outline the assessment criteria relevant to each assessment task so that it is clear to all parties the evidence that is to be demonstrated to show competence. Strengths Opportunities for Improvement 1.4 It is suggested, as confirmed in audit, that RPL granted for one staff member be reviewed and reassessed. 6

7 Standard 2: The RTO adheres to principles of access and equity and maximises outcomes for its clients Audit conclusion Result COMPLIANT Compliant! Non-compliant Not audited Strengths Opportunities for Improvement 7

8 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 COMPLIANT Compliant! Noncompliant Not audited Strengths Opportunities for Improvement 8

9 Condition 6 Certification And Issuing Of Qualifications And Statements Of Attainment Audit conclusion Result COMPLIANT Compliant! Noncompliant Not audited Strengths Opportunities for Improvement 9

10 AQTF 2007 Essential Standards for Registration Acceptance Form RTO Name KnowledgeSpace TOID: RTO Contact: Contact Phone Number: Audit Type: ReRegistration Audit Date: and Auditor s Name: Bernadette Delaney The RTO accepts the findings of the audit in full YES/NO (circle your response) OR Where the RTO disputes the audit findings the reasons should be detailed in the Provider Comments document attached. This page together with any comments on the audit findings should be faxed or ed back to the auditor within four days of the audit visit. Auditor s Signature: B.Delaney CEO s Signature: (or authorised representative) Name of Auditor: B.Delaney Date: Name of CEO:.. (or authorised representative) Date:. 10

11 Provider Comments Provider name: KnowledgeSpace Pty Ltd Audit Date(s): and Reference Comments 1.3 & 1.5 Observation 1 Consistency of Auditor interpretation We are very disappointed with the outcomes of the audit precisely because we have worked so hard to be compliant with this very standard. We employed a TRC in November 08 to assist us, spent 4 weeks reviewing assessments and training materials for every single unit of competency we deliver and spent 6 months reviewing noted materials as well as our own and rewriting materials. As a result of the November TRC report we formed a project team between December 08 and January 09, discarded all our previous learning and assessment materials, created a matrix that outlined how every element and performance criteria was trained and assessed and purchased noted training and assessment materials where they were available from TVNET. We estimate the cost of this effort including TRC fees was over $50K. For a SME employing over 17 staff and contractors in the middle of a recession this represents an enormous investment. It is difficult to not be disappointed with the outcome. Recommendation We respectfully request that the VQA consider providing Victorian auditors with consistent and clear guidelines about interpreting learning and assessment materials because in our case the TRC and auditor have very different opinions about what outcomes based assessment and training means. Although we know TRC s are being phased out, we have concerns about the consistency of interpretations of auditors in general, since the assessment materials (including RPL) that this auditor has assessed as not compliant were commended last September in a full audit conducted by two auditors of our business partner (another RTO in Victoria). Observation 2 Advice about noted materials As a result of feedback provided by the TRC we discarded our own carefully designed training and assessment materials and purchased noted materials from TVET for the BSB07 training package. The materials we purchased were all noted by the National Quality Council (NQC), a Committee of the Ministerial Council for Vocational and Technical Education (MCVTE), responsible for overseeing quality assurance and national consistency in the application of the Australian Quality Training Framework standards for audit and registration of training providers. Amongst the five quality principles the NQC assess training and assessment materials against is Principle 3 Structure and Design - Training Package support materials must promote effective learning and assessment strategies and use easily accessible formats. Apparently 11

12 the assessment materials provided in these packages is not enough to pass standards 1.3 and 1.5 of the AQTF 2007 audit. If we cannot trust the Ministerial Council for Vocational and Technical Education endorsement of materials, then this should be noted for RTOs. We understand that the process of noting is under review but make the observation that the materials currently offered via TVET are still noted. Nowhere is it communicated that these materials may not pass AQTF 2007 audit requirements. Recommendation we respectfully recommend that a communication to RTOs is made to let them know noted materials do not comply with AQTF 2007 requirements and further would like to ask VQA to ensure auditors do not recommend to RTO s the purchase of noted training and assessment materials assuming that they will be compliant. They are clearly not as demonstrated by this audit s outcomes. Improvement and action plan KnowledgeSpace Pty Ltd IMPROVEMENT ACTIONS (Provide detail of all improvement actions that should be implemented as a result of the audit) o o o o Review BSB40307 Certificate IV in Customer Contact and update training and assessment materials Review BSB40507 Certificate IV in Business Administration and update training and assessment materials Review BSB30207 Certificate III in Customer Contact and update training and assessment materials Review FNS30104 Certificate III in Financial Services and update training and assessment materials! Make an assessment as to whether to keep original RTO Trainee Survey or the new Evaluation Form (STUD) V1.1. Delete version that will not be used. (These can be found templates / delivery assessment / class pack). ACTIONED BY (Indicate person responsible for compliance correction) Portia Gestos Account Manager & Senior Trainer/Assessor Dot Hennessey Account Manager & Senior Trainer/Assessor Judith Thomas Trainer/Assessor Tracey Williamson Paperwork administrator and Assessor Marie Pandeloglou Senior trainer and assessor DATE COMPLETED (Indicate date for compliance correction completion) STATUS 14/07/09 Complete 14/07/09 Complete 14/07/09 Complete 14/07/09 Complete 30/06/09 Completed 12

13 IMPROVEMENT ACTIONS (Provide detail of all improvement actions that should be implemented as a result of the audit) o Delete superfluous courses from scope to only include 5 courses: " BSB50307 Diploma of Customer Contact Leadership " BSB40307 Certificate IV in Customer Contact " BSB40507 Certificate IV in Business Administration " BSB30207 Certificate III in Customer Contact " FNS30104 Certificate III in Financial Services ACTIONED BY (Indicate person responsible for compliance correction) DATE COMPLETED (Indicate date for compliance correction completion) STATUS 29/06/09 Complete! Update the compliance timeline matrix to identify any further tasks and list who is responsible for each task in the relevant column. (see template folder / prevention correction and review / compliance timeline matrix) 19/06/09 Completed and ongoing! Make an assessment and review the current RTO Employer Feedback and Stakeholder evaluation. Delete version that will not be used. (These can be found templates / delivery assessment / stakeholder evaluation). 30/04/09 Completed! Review and update of KnowledgeSpace current compliance and continuous improvement system inline with the introduction of AQTF o o System implementation includes advising relevant staff of any changes to their current responsibilities. Staff File checklist signed off by each staff member and placed into their individual file. Renee Simonds Office Manager 30/04/09 Completed! Complete the Resource Register to reflect all resources relevant to the courses on scope of registration. (see template folder / version control currency and retrieval / resource register) RTO Admin Assistant 30/04/09 Completed 13

14 IMPROVEMENT ACTIONS (Provide detail of all improvement actions that should be implemented as a result of the audit)! Review the extra info Trainee Handbook (see template folder / enrolment pack / extra info trainee handbook) to see if any info within can be added to the original Trainee Info Book. ACTIONED BY (Indicate person responsible for compliance correction) DATE COMPLETED (Indicate date for compliance correction completion) STATUS 30/04/09 Completed! Complete staff personal training plans need to develop in line with Human Resource Policy and Procedure. (Staff training plan template can be found template folder / human resource management / staff training plans).! Staff competency matrix and /or Trainer / Assessor Checklists needs to be updated to reflect current staff qualifications and staff vocational competencies. Insert relevant matrices and delete / archive any templates that are not being used anymore. (See templates / human resource management / staff skills).! Update Student Information booklet to include Refund Request Form and update Complaints Policy to include Corrective Action policy and Trainers & Assessors 30/04/09 Completed 30/04/09 Completed 30/01/09 Completed! Review current MOUs to ensure they accurately reflect current training and assessment practices, insurance is up-todate. 30/11/08 Completed! Issuance of certificates / statements of attainments must meet AQF 2007 Implementation Handbook, fourth edition. (Refer to examples in templates / qualification and certification /certification examples). Renee Simonds Office Manager 30/11/08 Completed! Ensure RTO organisational structure is up to date, including organisation chart, position descriptions etc.! Update Risk Identification register to the new AQTF standards 30/11/08 Completed 30/11/08 Completed! Register membership to the relevant VET bodies identified on page 11 of the policies and procedures. Also identify any industry specific memberships and record on page 7 where highlighted yellow. Renee Simonds Office Manager 29/04/08 Completed 14

15 IMPROVEMENT ACTIONS (Provide detail of all improvement actions that should be implemented as a result of the audit)! Archive all old electronic RTO files. ACTIONED BY (Indicate person responsible for compliance correction) Renee Simonds Office Manager DATE COMPLETED (Indicate date for compliance correction completion) STATUS 29/04/08 Ongoing MD s Signature: Date: 14/07/09 Note these action items are to be reviewed at each team meeting (fortnightly), responsible staff to update status and the status on this plan is updated by the Office Manager. 15