Audit report VET Quality Framework Continuing registration as a national VET regulator (NVR) registered training organisation ORGANISATION DETAILS Organisation s legal name Racing Queensland Limited Trading name/s Racing Queensland Limited RTO number 31452 CRICOS number n/a AUDIT TEAM Lead auditor Auditor/s Technical adviser/s Pauline Bowtell Denise Middleton n/a AUDIT DETAILS Application number/s n/a Audit number/s 1005727 Audit reason 1 Audit reason 2 Audit reason 3 Activity type Compliance - monitoring n/a n/a Site visit Address of site/s visited Racecourse Rd, DEAGON, QLD, 4017 Date/s of audit 20/03/2013 Organisation s contact for audit Mr Darren Condon CEO NVR standards audited training@racingqueensland.co m.au (07) 3869 9730 Selected Standards for Continuing Registration: 15.1, 15.2, 15.3, 15.4, 15.5, 16.4, 17.1, 17.2, 17.3, 17.4, 18.1, 20.1, 20.2, 24.1, 24.2 BACKGROUND On 1 May 2013, Queensland All Codes Racing Industry Board (trading as Racing Queensland) was established as a statutory body under section 9 AA of the Racing Act; it replaced Racing Queensland Limited as the control body for the three codes of racing in Queensland. In October 2012, the Queensland Government announced its intention to implement changes to the structure of thoroughbred, harness and greyhound codes of racing in Queensland. As a part of those reforms, on 1 May 2013, Racing Queensland Limited was removed as the control body for thoroughbred, harness and greyhound codes of racing and a statutory body, known as Page 1 of 12
Queensland All Codes Racing Industry Board (QACRIB) was established as the new control body. To implement this change, the Queensland Government passed the Racing and Other Legislation Amendment Act 2012 (Qld)(Amending Act) to establish QACRIB and to transfer all assets liabilities and instruments currently held by Racing Queensland Limited to QACRIB. This transferred on commencement of the Amending Act, being 1 May 2013 (Transfer Date).In accordance with reform process, Racing Queensland Limited's rights and obligations under the Contract were transferred to QACRIB (ABN: 80 730 390 733). On 8 October 2013, the RTO notified ASQA via email (notification of material change or event form) that the CEO was now Mr Darren Condon. With regards to the RTO operations, significant governance changes have been occurring since October 2013 and a clear plan has been established for ongoing work. A restructure of the RTO has seen the removal of the Licensing and Registrations Manager to ensure a clear and ethical line between licencing and RTO operations. In most recent weeks a Training Manager and RTO Manager have been appointed. Since commencing they have undertaken a thorough review of the RTO and are working closely with the HR & Industry Training Manager to ensure ongoing compliance and continuous improvement. For the two qualifications reviewed at audit, students must hold a licence before they enrol which is issued by Racing Queensland; students then enter into an apprenticeship agreement. It is the licensing arm that assesses and approves the suitability of the workplace for the agreement. Factors such as financial viability and resourcing are considered as part of the application. Furthermore, apprentices must meet requirements set by Queensland Racing including meeting weight and physical requirements and demonstrating competence in pre-requisites. Some of an apprentice s income is derived from percentages of stake of money and the apprentice must compete with peers to obtain the best mounts. It is also an occupation where non-adherence to rules or poor performance can result in fines or suspensions from riding. There are potential conflicts with trainers and assessors having industry currency. Essentially this means that trainers and/or assessor will compete against apprentices during meets in order to maintain currency. Therefore, training and assessment staff may have a direct influence on the potential earning of an apprentice. The RTO engaged in an arrangement with the Sunshine Coast Institute of TAFE (SCIT), AKA Equine Academy, during January October 2013. During this time all apprentices were students of SCIT and SCIT acted as the SRTO. The arrangement ceased in October 2013 and Racing Queensland was once again the SRTO of the apprentices. Total number of current enrolments in RTO as at audit date: o 77 AUDIT SAMPLE Code Qualification/Course/Unit name Mode/s of delivery/assessment* RGR30108 Certificate III in Racing (Trackrider) Apprenticeship 16 RGR40208 Certificate IV in Racing (Jocky) Apprenticeship 49 *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) Current enrolments (If not yet on scope, record N/A) INTERVIEWEES Name Position Qualification/Course/Unit code/s Karen Green HR & Industry Training Manager N/A Page 2 of 12
Gabrielle Tidly-Passlow RTO Manager N/A Luke Millinton Training Manager N/A Angela McGregor-Godwin RTO Consultant N/A ORIGINAL AUDIT FINDING AT TIME OF AUDIT Audit finding as at 20/03/2014: 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 21/05/2014: Compliant AUDIT FINDING BY STANDARD Standard Original finding Finding following rectification SNR 15 Not compliant Compliant SNR 16 Compliant n/a SNR 17 Compliant n/a SNR 18 Not compliant Compliant SNR 19 Not audited n/a SNR 20 Compliant n/a SNR 21 Not audited n/a SNR 22 Not audited n/a SNR 23/AQF Not audited n/a SNR 24 Compliant n/a SNR 25 Not audited n/a Page 3 of 12
SNR 15 The NVR registered training organisation provides quality training and assessment across all of its operations, as follows: 15.1 The NVR registered training organisation collects, analyses, and acts on relevant data for continuous improvement of training and assessment. 15.2 Strategies for training and assessment meet the requirements of the relevant Training Package or VET accredited course and have been developed through effective consultation with industry. Original finding: Not compliant Reasons for finding of non-compliance: Following rectification: Compliant RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV Racing (Jockey) The training and assessment strategies include details on the delivery arrangements, however the strategy does not identify all units of competency. The RTO advised the lower level units of competency are detailed in other training and assessment strategies; however there is no reference to those documents. Students will generally come to the Certificate III and IV already holding the lower level units due to licencing requirements. Assessment methods do not reflect the actual assessment methods used by the RTO. Shane Scriven and Rachael Mason are listed in the strategies to conduct training and assessment. Both staff are working a under supervision arrangement and are only allowed to conduct training. The strategies do not reflect the arrangements or ability to only conduct training. Glen Stockdale delivers selected units of competency however, the strategy notes training and assessment for the whole qualification. In order to become compliant, the organisation is required to: Provided updated training and assessment strategies for RGR30108 Certificate III in Racing (Trackrider) and RGR40208 Certificate IV Racing (Jockey) which: meet the requirements of the training package by identifying all units of competency required to complete the qualification. This may include additional training and assessment strategies which have been referenced for the lower level units of competency reflect the actual assessment methods used by the RTO identify Shane Scriven and Rachael Mason as working a under supervision arrangement who are only allowed to conduct training identifies Glen Stockdale and the explicit unit of competency he is responsible for training and assessing. Analysis of rectification evidence: RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV Racing (Jockey) The RTO provided updated training and assessment strategies which: meet the requirements of the training package identify the actual assessment methods identify the training and assessment staff and associated arrangements remove Glen Stockdale as a trainer an assessor. Page 4 of 12
15.3 Staff, facilities, equipment and training and assessment materials used by the NVR registered training organisation are consistent with the requirements of the Training Package or VET accredited course and the NVR registered training organisation s own training and assessment strategies and are developed through effective consultation with industry. Original finding: Not compliant Reasons for finding of non-compliance: Non-compliances were identified against SNR 15.2, 15.4 and 15.5. In order to become compliant, the organisation is required to: Address the non-compliances identified in SNR 15.2, 15.4 and 15.5. Following rectification: Compliant Analysis of rectification evidence: The RTO provided evidence which addressed the non-compliances identified in SNR 15.2, 15.4 and 15.5. 15.4 Training and assessment is delivered by trainers and assessors who: (a) have the necessary training and assessment competencies as determined by the National Skills Standards Council or its successors; and (b) have the relevant vocational competencies at least to the level being delivered or assessed; and (c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken; and (d) continue to develop their vocational education and training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence. Original finding: Not compliant Reasons for finding of non-compliance: Following rectification: Compliant Shane Sciven Rachael Mason RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV in Racing (Jokey) The identified staff are listed in the training and assessment strategies as both trainers and assessors. The staff do not hold training or assessment qualifications and are currently enrolled in the TAE40110 Certificate IV in Training and Assessment. The NSSC Determination for trainer and assessor competencies states that staff may not assess under supervision. The RTO advised the staff will work under the supervision of Luke Millington, Senior Training Manager who commenced with the organisation in March. A Working Under Supervision Policy and Procedure, professional development plan 2014, and direct supervision agreement template have recently been created but not implemented. Therefore, the direct supervision arrangements for the identified staff could not be confirmed. Rachael Mason RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV in Racing (Jokey) Rachael Mason holds RGR40202 Certificate IV in Racing (Jockey) but does not does not hold RGR30108 Certificate III in Racing (Trackrider). Trainer matrix maps units of comptency from both the Certificate III and IV delivered to qualifications/units held, professional development and Page 5 of 12
currency. The matrix does not cover RGRPSH407A Educate thoroughbred horses for racing an elective unit. The following units have been mapped to equivilant units however, when validated with the training package mapping document they are not considered to be equivalent: RGRPSH301 Implement stable operations RGRPSH309A Implement feeding programs for racehorses under direction RGRPSH405A Ride horses in jump outs. In order to become compliant, the organisation is required to: Shane Sciven Rachael Mason RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV in Racing (Jokey) See SNR 15.2. Evidence to support the direct supervision arrangements for the identified. Rachael Mason RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV in Racing (Jokey) Evidence to support vocational competence and currency for the following units of competency: RGRPSH407A Educate thoroughbred horses for racing RGRPSH301 Implement stable operations RGRPSH309A Implement feeding programs for racehorses under direction RGRPSH405A Ride horses in jump outs. or Evidence of an amended training and assessment strategy which identifies the specific units of competency Rachael Mason will train and assess. Analysis of rectification evidence: Shane Sciven Rachael Mason RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV in Racing (Jokey) The RTO provided evidence to address the non-compliances identified in SNR 15.2. This was spported by evdience detailing the direct supervision arrangements. Rachael Mason RGR30108 Certificate III in Racing (Trackrider) RGR40208 Certificate IV in Racing (Jokey) The RTO provided evidence to support vocational competence and currency for the following units of competency: RGRPSH407A Educate thoroughbred horses for racing RGRPSH301 Implement stable operations RGRPSH309A Implement feeding programs for racehorses under direction RGRPSH405A Ride horses in jump outs. Page 6 of 12
15.5 Assessment including Recognition of Prior Learning (RPL): (a) meets the requirements of the relevant Training Package or VET accredited course; and (b) is conducted in accordance with the principles of assessment and the rules of evidence; and (c) meets workplace and, where relevant, regulatory requirements; and (d) is systematically validated. Original finding: Not compliant Reasons for finding of non-compliance: RGRPSH404A Ride horses at trackwork RGRPSH201A Handle horses RGRPSH205A Perform basic riding tasks RGRPSH415A Ride horses in races The assessment tools do not support the collection of sufficient evidence to address the requirements of the identified units of competency. The assessment tools do not provide a purpose or instruction for the student or assessor. The context is not clear and specifics such as location, track conditions, horses are not recorded. Without this evidence the tools do not allow for the collection of evidence to support the critical aspects or context of and specific resources for assessment. The required knowledge is not sufficiently addressed and the RTO advised that at the time it may be assessed in other units/assessment tools. The RTO agreed it did not have a clear idea of how and where the theory may be addressed for any one unit as some assessments are offered as a cluster. Whilst the tools include some benchmark criteria it was insufficient and would not support a range of assessors to make reliable and valid decision regarding competence. The 3 rd party reports did not include instructions or a criteria for supervisors to provide consistent and reliable feedback. In order to become compliant, the organisation is required to: RGRPSH404A Ride horses at trackwork RGRPSH201A Handle horses RGRPSH205A Perform basic riding tasks RGRPSH415A Ride horses in races provide a full suite of assessment tools for each unit of competency identified which: address all of the units performance criteria, elements, required skills and knowledge, critical aspects of evidence, required range statement and context and consistency of assessment include clear information to assessors, supervisors and learners about assessment requirements including the context and purpose of assessment, how assessment will be conducted and recorded include criteria defining acceptable performance for all assessment tools/tasks to ensure consistency in the judgements made by assessor/s (sample answers/benchmarks) meet the principles of assessment and rules of evidence. Analysis of rectification evidence: RGRPSH404A Ride horses at trackwork RGRPSH201A Handle horses RGRPSH205A Perform basic riding tasks RGRPSH415A Ride horses in races The RTO provided a full suite of assessment tools for each unit of competency which: address all of the units performance criteria, elements, required skills and knowledge, critical aspects of evidence, required range statement and context and consistency of assessment include clear information to assessors, supervisors and learners about assessment requirements including the context and purpose of assessment, how assessment will be Page 7 of 12
conducted and recorded include criteria defining acceptable performance for all assessment tools/tasks to ensure consistency in the judgements made by assessor/s (sample answers/benchmarks) meet the principles of assessment and rules of evidence. SNR 16 The NVR registered training organisation adheres to principles of access and equity and maximises outcome for its clients, as follows: 16.1 The NVR registered training organisation establishes the needs of clients, and delivers services to meet these needs. 16.2 The NVR registered training organisation continuously improves client services by collecting, analysing and acting on relevant data. 16.3 Before clients enrol or enter into an agreement, the NVR registered training organisation informs them about the training, assessment and support services to be provided, and about their rights and obligations. 16.4 Employers and other parties who contribute to each learner s training and assessment are engaged in the development, delivery and monitoring of training and assessment. 16.5 Learners receive training, assessment and support services that meet their individual needs. 16.6 Learners have timely access to current and accurate records of their participation and progress. 16.7 The NVR registered training organisation provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively. SNR 17 Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the NVR registered training organisation operates, as follows: 17.1 The NVR registered training organisation s management of its operations ensures clients receive the services detailed in their agreement with the NVR registered training Page 8 of 12
organisation. 17.2 The NVR registered training organisation uses a systematic and continuous improvement approach to the management of operations. 17.3 The NVR registered training organisation monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the VET Quality Framework. 17.4 The NVR registered training organisation manages records to ensure their accuracy and integrity. SNR 18 The NVR registered training organisation has governance arrangements in place as follows: 18.1 The NVR registered training organisation s Chief Executive must ensure that the NVR registered training organisation complies with the VET Quality Framework. This applies to all of the operations within the NVR registered training organisation s scope of registration, as listed on the National Register. Original finding: Not compliant Reasons for finding of non-compliance: Following rectification: Compliant As non-compliances have been identified against other SNR s, this provides evidence that the RTO s CEO has not ensured the RTO complies with the VET Quality Framework. In order to become compliant, the organisation is required to: Provide satisfactory evidence to address the non-compliances identified in the audit reports to ensure compliance with the VET Quality Framework. Analysis of rectification evidence: The RTO provided satisfactory evidence to address the non-compliances identified in the audit reports ensuring compliance with the VET Quality Framework. 18.2 The NVR registered training organisation must also explicitly demonstrate how it ensures the decision making of senior management is informed by the experiences of its trainers and assessors. Page 9 of 12
SNR 19 Interactions with the National VET Regulator 19.1 The NVR registered training organisation must co-operate with the National VET Regulator: (a) in the conduct of audits and the monitoring of its operations; (b) by providing accurate and timely data relevant to measures of its performance; (c) by providing information about significant changes by its operations; (d) by providing information about significant changes to its ownership; and (e) in the retention, archiving, retrieval and transfer of records consistent with National VET Regulator s requirements. SNR 20 Compliance with legislation 20.1 The NVR registered training organisation must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements relevant to its operations and its scope of registration. 20.2 The NVR registered training organisation must ensure that its staff and clients are fully informed of legislative and regulatory requirements that affect their duties or participation in vocational education and training. SNR 21 Insurance 21.1 The NVR registered training organisation must hold public liability insurance throughout its registration period. SNR 22 Financial management 22.1 The NVR registered training organisation must be able to demonstrate to the National VET Regulator, on request, that it is financially viable at all times during the period of its registration. 22.2 The NVR registered training organisation must provide the following fee information to each client: (a) the total amount of all fees including course fees, administration fees, materials fees and any other charges; (b) payment terms, including the timing and amount of fees to be paid and any nonrefundable deposit/administration fee; (c) the nature of the guarantee given by the NVR registered training organisation to Page 10 of 12
complete the training and/or assessment once the student has commenced study in their chosen qualification or course; (d) the fees and charges for additional services, including such items as issuance of a replacement qualification testamur and the options available to students who are deemed not yet competent on completion of training and assessment; and (e) the organisation s refund policy. 22.3 Where the NVR registered training organisation collects student fees in advance it must ensure it complies with one of the following acceptable options: (a) (Option 1) the NVR registered training organisation is administered by a State, Territory or Commonwealth government agency; (b) (Option 2) the NVR registered training organisation holds current membership of an approved Tuition Assurance Scheme; (c) (Option 3) the NVR registered training organisation may accept payment of no more than $1000 from each individual student prior to the commencement of the course. Following course commencement, the NVR registered training organisation may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed $1,500; (d) (Option 4) the NVR registered training organisation holds an unconditional financial guarantee from a bank operating in Australia for no less than the full amount of funds held by the NVR registered training organisation which are prepayments from students (or future students) for tuition to be provided by the NVR registered training organisation to those students; or (e) (Option 5) the NVR registered training organisation has alternative fee protection measures of equal rigour approved by the National VET Regulator. SNR 23 Certification, issuing and recognition of qualifications & statements of attainment 23.1 The NVR registered training organisation must issue to persons whom it has assessed as competent in accordance with the requirements of the Training Package or VET accredited course, a VET qualification or VET statement of attainment (as appropriate) that: (a) meets the Australian Qualifications Framework (AQF) requirements; (b) identifies the NVR registered training organisation by its national provider number from the National Register and (c) includes the NRT logo in accordance with its current conditions of use. 23.2 The NVR registered training organisation must recognise the AQF and VET qualifications and VET statements of attainment issued by any other RTO. Page 11 of 12
23.3 The NVR registered training organisation must retain client records of attainment of units of competency and qualifications for a period of 30 years. 23.4 The NVR registered training organisation must provide returns of its client records of attainment of units of competency and VET qualifications to the National VET Regulator on a regular basis, as determined by the National VET Regulator. [no requirements currently exist] This element was not audited. 23.5 The NVR registered training organisation must meet the requirements for implementation of a national unique student identifier. [no requirements currently exist] This element was not audited. SNR 24 Accuracy and integrity of marketing 24.1 The NVR registered training organisation must ensure its marketing and advertising of AQF and VET qualifications to prospective clients is ethical, accurate and consistent with its scope of registration. 24.2 The NVR registered training organisation must use the NRT logo only in accordance with its conditions of use. SNR 25 Transition to Training Packages/expiry of VET accredited courses 25.1 The NVR registered training organisation must manage the transition from superseded Training Packages within 12 months of their publication on the National Register so that it delivers only currently endorsed Training Packages. 25.2 The NVR registered training organisation must manage the transition from superseded VET accredited courses so that it delivers only currently endorsed Training Packages or currently VET accredited courses. Page 12 of 12