VET Quality Framework audit report

VET Quality Framework audit report Continuing registration as a national VET regulator (NVR) registered training organisation (RTO) Legal name of organisation Sharp Mining Industry Training Pty Ltd Date/s of audit 13 and 14 November 2012 Uncontrolled when printed 1

ORGANISATION DETAILS RTO legal name Sharp Mining Industry Training Pty Ltd RTO ID number 40478 Registered business trading name Sharp Training ABN 78104240155 Address Suite 12, 52 Macalister Street, MACKAY Postcode 4740 Phone 07 49441112 Fax 07 49441332 E-mail susan@sharptraining.com.au Website http://www.sharptraining.com.au Registration contact Name Susan Viero Position Compliance and Development Manager AUDIT TEAM Lead auditor Jane Connellan Technical Audit team members Amanda Fairweather, Tony Farrington adviser/s N/A ASQA CONTACT DETAILS Phone 1300 701801 (ASQA Info line) E-mail Jane.connellan@asqa.gov.au AUDIT DETAILS Audit type Scope of audit Date/s of site visit/s 13 and 14 November 2012 Site/s visited Renewal of registration Extension to scope of registration Compliance monitoring (incl. post-initial registration) Other: Standards for NVR Registered Training Organisations Australian Qualifications Framework (AQF) Data Provision Requirements Fit and Proper Person Requirements Financial Viability Risk Assessment Requirements Suite 12, 52 Macalister Street, MACKAY Standards audited Essential Standards for Continuing Registration 15, 16, 17, 18, 19, 20, 21, 22, 23, 24, 25 ORGANISATION In June 2012 First Five Minutes purchased Sharp Mining Industry Training Pty Ltd from Peter and Lyn Sharp. Most of the previous staff have remained. Peter Sharp is occasionally engaged as a technical expert. Little change has occurred with regard to the policies, procedures and systems. The parent company First Five Minutes has put in place a new strategic plan. At the time of the change of ownership Sharp Mining Industry Training Pty Ltd was regulated by the Department of Education, Training and Employment (DETE). Under DETE policy Sharp Mining Training Pty Ltd was granted provisional ownership with an initial registration audit to occur within 90 days. During this time ASQA became the organisation s regulator. ASQA does not grant provisional registration following a change of ownership and therefore does not recognise provisional registration. Sharp Mining Industry Training Pty Ltd was therefore provided with an RTO registration certificate and a monitoring audit was scheduled to occur to confirm the organisation s compliance with the VET Quality Framework. The organisation s business plan and the marketing on its website identified the organisation focuses its training efforts on the delivery of units or clusters of units that meet the needs of the mining industry. However, the organisation s scope of registration comprised 16 qualifications, 17 units of competency and one accredited course. Prior to the audit Amanda Fairweather, Lead Compliance Auditor, ASQA had communication with the organisation regarding its intent/capacity to deliver all of the training products on its scope of registration. The organisation was informed as it hadn t undergone an initial registration audit all training products on its scope of registration would be audited against the continuing registration standards. The organisation chose at that time to continue with its current scope. At audit the organisation identified the training products on its scope of registration were based on the scope from the change of ownership. Following the recent strategic planning meeting the organisation began working on rationalising its scope and removing the training products it did not intend to deliver. As part of this process the organisation should remove the training products that have been superseded Uncontrolled when printed 2

and the individual units of competency that can be trained within any of the qualifications that remain on its scope of registration. The organisation s core clients are corporations and individuals in the mining industry. The organisation has a partnership arrangement with Bradford Employment Services and Training. Some of the organisation s trainers and assessors are engaged on a contract arrangement. Delivery occurs onsite and at the organisation s Mackay and Moranbah premises. Fees are not collected in advance. Other fee revenue sources include training program development. Since the change of ownership the organisation has had the following completions: 12 Supervisor program S123 (RIIRIS301A, RIIOHS301A, RIICOM301A) 8 G3 (RIIRIS601A) 14 Standard 11 Induction program (RIICOM201A, RIIGOV201A, RIIOHS201A, RIIRIS201B, RIIERR205A, RIIERR302A. RIIERR203A) 12 Certificate IV Training and assessment TAA to TAE upgrades 12 Mining workplace trainer and assessor units (TAEDEL401A, TAEASS401B, TAEASS402B, TAEASS403B) 12 39253QLD Course in Low Voltage Electrical Work 13 BSBSUS201A Participate in environmentally sustainable work practices 12 HLTFA301C Apply First Aid 12 HLTCPR201A Perform CPR 12 PUAFIR207B Operate breathing apparatus open circuit; PUAFIR306B Render hazardous materials incidents safe; PUAFIR307B Monitor hazardous atmospheres; PUASAR0024A Undertake confined space rescue; PUASAR032A Undertake vertical rescue 15 PUASAR032A Undertake vertical rescue 4 RIIERR201A Conduct fire team operations 6 RIIHAN208A Perform dogging; RIIHAN212A Conduct non-slewing crane operations 9 RIIBLA201A Support shotfiring operations; RIIMPO310A Conduct grader operations 10 RIIHAN301A Operate elevating work platform; RIIHAN305A Operate gantry or overhead crane; RIIHAN307A Operate a vehicle loading crane; RIIHAN201A Operate a forklift truck; RIIHAN203A Conduct lifting operations; RIIUND207A Conduct underground lifting operations 11 RIIMEX405A Apply and monitor systems and methods of surface coal mining 12 RIIOHS401A Supervise work in confined space; RIIOHS204A Work safely at heights; RIIOHS202A Enter confined space; RIIRIS402A Carry out the risk management process; RIISAM202A Isolate and access plant 484 RIICOM301B Conduct information 6 TLILIC2001A Licence to operate a forklift truck; TLILIC2005A Licence to operate boom type elevating work platform (boom length 11 metres or more). At audit the organisation identified it had submitted an application to withdraw the five individual RII AQF level 6 units from its scope of registration. A review of ASQAnet confirmed the application had been received therefore these units were removed from the audit scope. The application was approved on 16 November 2012. FOCUS OF AUDIT Code Qualification / Accredited course name Mode(s) of delivery &/or assessment 39253QLD Course in Low Voltage Electrical Work Face to face BSB41407 Certificate IV in Occupational Health and Safety Not delivered / mode not defined HLTCPR201B/HLTCPR211A Perform CPR Face to face, self-paced theory HLTFA301C /HLTFA311A Apply First Aid Face to face, self-paced theory MSAPMER200C Work in accordance with an issued permit Not delivered / mode not defined Uncontrolled when printed 3

PUAWER001B PUAWER002B PUAWER003B PUAWER004B PUAWER005B PUAWER006B PUAWER007B PUAWER008B Identify, prevent and report potential workplace emergency situations Ensure workplace emergency prevention procedures, systems and processes are implemented Manage and monitor workplace emergency procedures, equipment and other resources Respond to workplace emergencies Operate as part of an emergency control organisation Lead an emergency control organisation Manage an emergency control organisation Confine small workplace emergencies Fire Safety Adviser course 2 days face to face then completion of projects in the workplace RII20209 Certificate II in Surface Extraction Operations Face to Face, Traineeship RII30109/RII30111 Certificate III in Surface Extraction Operations Fact to Face, Traineeship RII40109 Certificate IV in Surface Extraction Operations No delivered / mode not defined RII40209/RII40212 Certificate IV in Surface Coal Mining (Open Cut Examiner) Face to Face, Traineeship, Logbook RII30709 Certificate III in Mine Emergency Response and Rescue Face to Face, Traineeship RII20309 Certificate II in Underground Coal Mining Face to face and logbook RII30212 Certificate III in Underground Coal Mining Face to face and logbook RII40411/RII40412 Certificate IV in Underground Coal Operations Face to face at mine sites RII20509 Certificate II in Resource Processing Face to face at mine sites RII30409/RII30411 Certificate III in Resource Processing Face to face at mine sites RIIOHS601A Establish and maintain the OHS management system Face to face at mine sites RIIRIS601A Establish and maintain the risk management system Face to face at mine sites TAE40110 Certificate IV in Training and Assessment Face to face TLILIC2001A Licence to operate a forklift truck Face to face and logbook TLILIC2005A Licence to operate a boom-type elevating work platform (boom length 11 meters or more) Face to face and logbook INTERVIEWEES Staff (name and position) Susan Viero Name Position Program (qualification, course, etc) Compliance and Development Manager Kevin Notting Training Manager RII20209 Certificate II in Surface Extraction Operations Gregg Jones General Manager N/A N/A SUMMARY OF AUDIT OUTCOME This audit was conducted under the National Vocational Education and Training Regulator Act 2011 (the Act) to assess compliance with requirements of the VET Quality Framework as identified under the Scope of Audit section above. Uncontrolled when printed 4

AUDIT OUTCOME Audit status as at 14 November 2012 The organisation has not demonstrated compliance with all compliance requirements reviewed for the audit. The level of non-compliance is considered to be significant when considering the potential for adverse impact on the quality of training and assessment outcomes for students. The audit report describes evidence of non-compliance identified. Each issue referenced must be rectified by the organisation with evidence provided to ASQA within 20 working days of the date of the letter accompanying this audit report to demonstrate corrective actions implemented. Auditor s Name Jane Connellan Date of Report Uncontrolled when printed 5

AUDIT SUMMARY OF VET QUALITY FRAMEWORK REQUIREMENTS VET QUALITY FRAMEWORK COMPONENT STATUS* Financial Viability Risk Assessment Requirements C NC NA Fit and Proper Person Requirements C NC NA Data Provision Requirements C NC NA Australian Qualifications Framework (AQF) Requirements C NC NA Standards for NVR Registered Training Organisations 2011 - Essential Standards for Continuing Registration 15 The NVR registered training organisation provides quality training and assessment across all of its operations 16 The NVR registered training organisation adheres to principles of access and equity and maximises outcome for its clients 17 Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the NVR registered training organisation operates C NC NA C NC NA C NC NA 18 The NVR registered training organisation has governance arrangements in place C NC NA 19 Interactions with the National VET Regulator C NC NA 20 Compliance with legislation C NC NA 21 Insurance C NC NA 22 Financial management C NC NA 23 Certification, issuing and recognition of qualifications and statements of attainment C NC NA 24 Accuracy and integrity of marketing C NC NA 25 Transition to training packages/expiry of VET accredited courses C NC NA *STATUS: Status of audit findings when audit was conducted C = Compliant NC = Not Compliant NA = Not audited Audit Findings The organisation was found compliant with the Standards for NVR Registered Training Organisations 2011 (SNR) - Essential Standards for Continuing Registration 16, 17, 19, 20, 21, 22, 24 and 25. The organisation was found not compliant with SNR 15, 18 and 23. The level of non-compliance was considered to be significant largely due to the organisation not being adequately resourced to deliver all of the training products on its scope of registration. Non-compliances: SNR 15 Systemic issues The organisation s system for recording and maintaining the currency of trainers and assessors VET and industry competency was deficient. In the majority of cases the organisation had difficulty in evidencing the currency of trainers and assessors based on records it currently holds. It was noted the organisation was generally able to source further information to support the currency of its trainers and assessors; however, this information was not readily available and therefore the organisation s ability to monitor and ensure its trainers and assessors are maintaining their currency was lacking. Specific training product issues BSB41407 Certificate IV in Occupational Health and Safety The organisation identified this qualification was added to scope in anticipation of demand following the harmonisation of the OHS legislation. As yet it has not resourced the qualification as it has not had any demand. The organisation therefore did not demonstrate it has: training and assessment strategies and access to appropriate equipment and training materials that meet the requirements of the training package and have been developed through effective consultation with industry access to trainers and assessors who have the necessary training and assessment competencies/relevant Uncontrolled when printed 6

vocational competencies; can demonstrate relevant current industry skills and have continued to develop their industry currency and trainer/assessor competence assessments for all units that meet the requirements of the training package; will be conducted in accordance with the principles of assessment and the rules of evidence; meets workplace requirements. MSAPMPER200C Work in accordance with an issued permit The organisation identified it has not delivered this unit of competency. It intends to deliver MSAPMPER3001C Issue work permit instead. The organisation only had access to an RPL tool for MSAPMPER200C. As yet it had not resourced the full training and assessment pathway and therefore did not have training and assessment materials. The organisation submitted an application to withdraw this from its scope of registration before the audit report was provided to the organisation. Therefore the organisation is not required to provide rectification evidence specific to this unit. RII20209 Certificate II in Surface Extraction Operations RII20309 Certificate II in Underground Coal Mining RII20509 Certificate II in Resource Processing RII30109 Certificate III in Surface Extraction Operations* RII30111 Certificate III in Surface Extraction Operations* RII30212 Certificate III in Underground Coal Operations* RII30409 Certificate III in Resource Processing* RII30411 Certificate III in Resource Processing* RII40109 Certificate IV in Surface Extraction Operations* The organisation did not provide training and assessment strategies for the above qualifications. To date the organisation has only delivered individual units of competency from these qualifications. The organisation did not demonstrate it has (for the full qualification): training and assessment strategies and access to appropriate equipment and training materials that meet the requirements of the training package and have been developed through effective consultation with industry access to trainers and assessors who have the necessary training and assessment competencies/relevant vocational competencies; can demonstrate relevant current industry skills and have continued to develop their industry currency and trainer/assessor competence. It was noted the organisation did not provide sufficient evidence trainer and assessor Gary Bickford has current vocational competence to train and assess RIIMPO310A Conduct grader operations [RII40109]. Additionally, the information provided for Edward Parsons did not demonstrate current industry skills directly relevant to the training and assessment he had delivering [units from RII20309, RII20509, RII30212 and RII30411]. assessments for each unit that meet the requirements of the training package; will be conducted in accordance with the principles of assessment and the rules of evidence; meets workplace requirements. See below for specific assessment issues that were identified for the individual units reviewed. BSBSUS201A Participate in environmentally sustainable work practices [RII20209] The assessment tools provided did not ensure the critical aspects of evidence for the above unit of competency had been assessed. The completed student assessments that were examined demonstrated that students had been determined to be competent without evidence being gathered that the critical aspects had been addressed. RIIBLA204A Store, handle and transport explosives in underground coal mines [RII30212] The assessment for the above unit is clustered with RIIBLA302A Conduct shotfiring operations in underground coal mining. The assessment focused on RIIBLA302A and did not address all the required knowledge and skills for RIIBLA204A. Additionally, there was no guidance for assessors that ensures performance standards were consistent with the requirements of the training package and that assessment was conducted consistently across a range of assessors and students. The completed student assessments that were examined demonstrated that students had been determined to be competent without appropriate evidence having been gathered. *The organisation submitted an application to withdraw these qualifications from its scope of registration before the audit report was provided to the organisation. Therefore the organisation is not required to provide rectification evidence specific to these qualifications. Note: should the organisation continue to offer any of the units of competency identified above with non-compliances under another qualification the organisation is required to address the issues in the rectification phase. RII40411 Certificate IV in Underground Coal Operations RII40412 Certificate IV in Underground Coal Operations Following the audit advice was obtained from Skills DMC that confirmed RIIBLA204A Store, handle and transport explosives in underground coal mines is an AQF level II unit. As a result, where this unit has been included as an elective in the packaging of units for the above qualifications the qualification packaging rules have not been meet as they do not allow for units below AQF level III to be included. Uncontrolled when printed 7

The organisation did not demonstrate that it has access to appropriate equipment and training materials for all of the units of competency in its training and assessment strategies for the above qualifications that meet the requirements of the training package and have been developed through effective consultation with industry. RIIMCU403A Apply and monitor the gas management plan The assessment for the above unit was based on extensive theory questioning and the option to demonstrate or explain the practical aspects of the unit in the workplace while being observed by a workplace mentor. In the case of the student work that had been completed electronically and retained on file in many cases where the student had been asked to describe things they had cut and paste sections of legislation and mine site policy and procedure documents as their response. Additionally, when asked to draw items graphics with company logos where inserted as the response. Where the assessment identified a practical was required the instructions stated the Student is to Demonstrate or explain. Where the student had demonstrated the tasks the workplace mentor had completed a Verification of Activity Conducted document which had varying levels of detail between the students reviewed as the mentor was not provided with specific instruction as to what the student was to demonstrate. As a result of all of the above the assessment does not provide the users with sufficient guidance to ensure sufficient evidence is gathered for an assessor to ensure all of the unit of competency requirements are addressed. RIIRIS601A Establish and maintain the risk management system The assessment tools provided were not supported by sufficient instructions to students and assessors about assessment requirements to ensure sufficient evidence was gathered to demonstrate competence. For example, written questions were not robust enough to elicit sufficient information to demonstrate the level of required knowledge. Furthermore, insufficient evidence was provided to demonstrate assessment tools were accompanied by guidance for trainers and assessors that ensures performance standards are consistent with the requirements of the training package and that assessment is conducted consistently across a range of assessors and learners. Assessment records examined demonstrated that students have been determined to be competent without sufficient evidence having been gathered. TAE40110 Certificate IV in Training TAEDES401A Design and develop learning programs The organisation identified the above unit of competency had not as yet been assessed via the full delivery and assessment pathway. The assessment tools were still in development. A theory assessment with short answer questions was provided. The questions related to the previous version of the VET standards (the AQTF) and the previous state VET regulator (DETE) rather than the current VET Quality Framework and the National VET Regulator (ASQA). Additionally, the assessment provided did not address the practical aspects of the unit including the required skills and critical aspects. TLILIC2001A Licence to operate a forklift truck TLILIC2005A Licence to operate a boom-type elevating work platform (boom length 11 meters of more) The training and assessment strategies for the above two units identified Richard Williams as the trainer and assessor. The completed student assessments reviewed had been signed off by Greg McNeil. The organisation identified Greg has very recently replaced Richard and the strategy has not as yet been updated. The organisation was unable to provide evidence to demonstrate Greg has continued to develop his VET knowledge and skills as well as his industry currency in relation to the above two units. SNR 18 The non-compliances identified at audit demonstrate the organisation s chief executive has not ensured the NVR registered training organisation has complied with the VET Quality Framework across its operations and entire scope of registration. SNR 23 The organisation had been issuing a qualification to students that completed the 39253QLD Course in Low Voltage Electrical Work Rescue rather than a statement of attainment. It was noted the organisation amended its template to address this issue at the time of audit. Rectification requirements evidence of rectification to be submitted within 20 working days SNR 15 The organisation is required to demonstrate it has reviewed its system for recording and maintaining the currency of trainers and assessors VET and industry competency and demonstrate how it will provide the organisation with readily available information allowing it to ensure trainer and assessor currency is maintained. Uncontrolled when printed 8

RII20209 Certificate II in Surface Extraction Operations RII20309 Certificate II in Underground Coal Mining RII20509 Certificate II in Resource Processing The organisation is required to provide: training and assessment strategies that meet the requirements of the training package and have been developed through effective consultation with industry evidence it has access to appropriate equipment and training materials that meet the requirements of the training package and have been developed through effective consultation with industry evidence it has access to trainers and assessors who have the necessary training and assessment competencies/relevant vocational competencies; can demonstrate relevant current industry skills and have continued to develop their industry currency and trainer/assessor competence (see non-compliances above for specific issues that were identified with the trainers and assessors sampled. Should these persons continue to train and assess the organisation is required to demonstrate they are suitable) a full suite of assessment tools for each unit that meet the requirements of the training package; will be conducted in accordance with the principles of assessment and the rules of evidence and meet workplace requirements. Additionally, the organisation is required to provide assessment tools for BSBSUS201A Participate in environmentally sustainable work practices that address the critical aspects of evidence Should the organisation s training and assessment strategies identify it will still deliver RIIBLA204A Store, handle and transport explosives in underground coal mines the organisation is required to provide the full suite of assessment tools that address all the required knowledge and skills for the unit of competency. Additionally, the assessment tools are required to provide guidance for assessors to ensure performance standards will be consistent with the requirements of the training package and that assessment will be conducted consistently across a range of assessors and students. RII40411 Certificate IV in Underground Coal Operations RII40412 Certificate IV in Underground Coal Operations For the above two qualifications the organisation is required to demonstrate: its training and assessment strategies meet the qualification packaging rules it has access to appropriate equipment and training materials for all of the units of competency in its training and assessment strategies that meet the requirements of the training package and have been developed through effective consultation with industry. RIIMCU403A Apply and monitor the gas management plan The organisation is required to provide a full suite of assessment tools for the above unit that address all of the training package requirements; will be conducted in accordance with the principles of assessment and rules of evidence and meet workplace requirements. The assessments are to provide the users with sufficient guidance to ensure sufficient evidence is gathered for an assessor to ensure all of the unit of competency requirements are addressed. RIIRIS601A Establish and maintain the risk management system The organisation is required to provide a full suite of assessment tools that are supported by sufficient instructions to students and assessors about assessment requirements to ensure sufficient evidence will be gathered to demonstrate competence. The assessment questions are to be robust enough to elicit sufficient information to demonstrate the level of required knowledge. The guidance for trainers and assessors is required to ensure performance standards will be consistent with the requirements of the training package and assessment is conducted consistently across a range of assessors and learners. TAE40110 Certificate IV in Training TAEDES401A Design and develop learning programs The organisation is required to: demonstrate the content of its assessments relate to the current VET Quality Framework and the National VET Regulator (ASQA) provide assessment tools that address the practical aspects of the unit including the required skills and critical aspects. Uncontrolled when printed 9

TLILIC2001A Licence to operate a forklift truck TLILIC2005A Licence to operate a boom-type elevating work platform (boom length 11 meters of more) The organisation is required to demonstrate: its training and assessment strategies for the above two units identify the correct trainer and assessor Greg McNeil has continued to develop his VET knowledge and skills as well as his industry currency in relation to the above two units. Note: should the organisation no longer wish to identify Greg as its trainer and assessor the organisation is required to provide evidence that it has a trainer and assessor that has the required vocational and training and assessment competencies; can demonstrate relevant current industry skills and has continued to maintain their VET knowledge and skills as well as their industry currency. SNR 18 Rectifying all the non-compliances identified at audit will address the non-compliance awarded to SNR 18. Uncontrolled when printed 10