Audit report: Rise Education & Training Pty Ltd

Transcription

1 Audit report: Rise Education & Training Pty Ltd Date/s of audit: 26 April 2018 Date report created: 11/05/2018 Date report updated: 7/08/2018

2 Organisation details Organisation s legal name: Rise Education & Training Pty Ltd Trading name/s: Rise Education & Training RTO number: CRICOS number: N/A Audit team Lead auditor: Assistant/s: Christine Williams Madelain McCann Audit details Application number/s: N/A Audit number: AUDREC Audit reason Compliance - monitoring Address of site/s visited: Unit Old Cleveland Rd COORPAROO QLD 4152 Date/s of audit: 26/04/2018 Organisation s contact for audit: Mr Sen Mou CEO info@riseeducation.edu.au Original finding at time of audit Audit finding: Not yet determined Report completed by: Christine Williams Practice Standards for RTOs 2015 Finding Marketing/ Recruitment 4.1 Compliant Enrolment 5.1, Compliant Not Audited Not Compliant Support and Progression 1.7 Compliant Training and Assessment 1.1, 1.2, 1.3, , , , 1.16 Compliant Not Compliant Completion 3.1 Not compliant Regulatory Compliance / Governance 2.3, 2.4, 8.2 Compliant Audit finding following analysis of additional evidence Audit finding following analysis of additional evidence provided on 17/07/2018 : Compliant Report completed by: Christine Williams Practice Standards for RTOs 2015 Finding Enrolment 5.2 Compliant Completion 3.1 Compliant

3 Training and Assessment 1.8, 1.16 Compliant Background Summary of organisation and management structure: Mr Sen Mou purchased the organisation from Mr Gulsher Singh on 24 December The structure consists of Mr Mou as Director, accountant Mr Vincent Chi, Operational Manager Mr Ray Chua, trainers/assessors and an Administration Officer. Scope of registration: BSB30115 Certificate III in Business Deliver and assess BSB40215 Certificate IV in Business Deliver and assess BSB51915 Diploma of Leadership and Management Deliver and assess CHC30113 Certificate III in Early Childhood Education and Care Deliver and assess CHC50113 Diploma of Early Childhood Education and Care Deliver and Assess 10362NAT Certificate I in Spoken and Written English Deliver and assess Suburb and state of all delivery locations: Unit Old Cleveland Rd COORPAROO QLD 4151 Shiloh Church - 72 Redbank Plains Road GOODNA QLD 4300 Metro Community Centre - 22 Qualtrough Street WOOLLOONGABBA QLD 4102 Multilink Community Services Inc - 38 Blackwood Road LOGAN CENTRAL QLD 4114 Third party usage: The RTO does not currently have any third party arrangements Core clients/target groups: Domestic students (Australian Citizen/ Permanent Resident/ New Zealand Citizen) Training Revenue (Funded or fee for service): Certificate III Guarantee QLD funding Higher Level Skills QLD funding Total number of current enrolments as at audit date: 104 In preparing the audit report, consideration has been given and reference made, where relevant, to: Information provided by students as part of a student survey or interview. Information provided directly by Rise Education & Training Pty Ltd to ASQA Existing information and records held by ASQA concerning Rise Education & Training Pty Ltd Information provided to ASQA s auditors and documentation reviewed during the site audit of Rise Education & Training Pty Ltd conducted on 26 April 2018.

4 Other publically available information - including but not limited to, information published on the organisation s and third party websites. After purchasing the business in February 2018 and receiving notice of a compliance audit to be conducted by ASQA, the current owner/ceo provided the following information via on 7 March 2018: The CEO advised ASQA that he had engaged a private auditing firm to conduct a thorough examination of the business and its ability to comply with Standards for Registered Training Organisations 2015 and Queensland State funding (PQS). The audit identified serious issues relating to past activities in relation to valid assessment. The following information was provided by the RTO prior to the audit site visit: Majority of issues on student's file are: 1. No evidence to show student paid contribution fee 2. Enrolment form No Date, No Signature 3. No USI 4. LLN not being marked and sign 5. No certification of original document 6. First aid issued without certificate and some without assessment book 7. No training plan in any files 8. Missing assessment, missing workplace book. Claim being make against them 9. No marking assessment, no assessor & student signature and Date 10. No workplace agreement, logbook hour are not adding up to the correct hour or missing. The RTO advised ASQA of the following ongoing matters and matters that have been rectified: 1. Cancelled teacher contracts and formed a new training team 2. Developed an internal audit file checklist to go through student s files, and check on study progress. Checks have been completed and will continue to work with students for progress outcomes. 3. Students are being asked to meet in person to correct their assignment work, sign and date. In addition, trainers will bring those assignments to the class to meet students to complete and correct every week. 4. Contracted a qualified head trainer to be in the office, currently on a 2 day a week basis, to help students if they have further questions to their studies and work assignment. 5. Follow the correct procedure for completed assignment, make sure they are signed and dated by both assessor and student before making claim to DET. 6. Accessed current new resources and asked students to complete those units that have been superseded or being deleted and contact previous completed student to come back to re-do superseded units which had been delivered after transition. Some students are willing others may not agree to this process and will not be given any awards but may be given some statements of attainment. 7. Wisenet team provided support (site visit) to provide training/support to the team on how to manage the student management system more efficiently and identify anomalies created by the previous owners. 8. Hired a professional auditing company to help do an internal audit. 9. Created new policies and procedures. The audit site visit took place on 26 April 2018 and the audit team examined student files of those listed in the above information. Through rigorous evaluation and discussion with the RTO staff it was determined that the CEO has engaged quality staff who have, and are continuing to fix the possible harm caused to students and rectify any breaches of funding claims. After examination of files it was confirmed that the RTOs internal audit findings align to the evaluations carried out by the audit team and that the steps being taken by the RTO to rectify the issues identified are relevant. It is considered by the audit team that the RTO is genuine in its attempts to rectify the issues

5 identified and carry out relevant work placement assessment processes required to ensure no false qualifications are issued to students. The RTO has informed PQS of the issues identified by the new owners and therefore PQS has currently suspended its funding contracts with the RTO pending an audit by PQS. The organisation provided the audit team with 24 files of which were examined to verify the RTOs internal audit outcomes and progress of the management plan to date. Audit Sample Code Training products Mode/s of delivery / assessment* CHC30113 CHC50113 Certificate III in Early Childhood Education and Care Diploma of Early Childhood Education and Care Face to face 22 Face to face 82 *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) Current enrolments Interviewees Name Position Training products Sen Mou Ray Chua Tamika Dyson CEO Operation Manager Head Trainer N/A N/A CHC30113 and CHC50113 About this Report This report details findings against the Standards for Registered Training Organisations 2015 (Standards for RTOs 2015). If non-compliance has been identified, this report describes evidence of the noncompliance. Where non-compliance has been identified, the Registered Training Organisation is accountable for identifying and correcting non-compliant practices and behaviours, particularly those that have had a negative impact on learners. Correcting non-compliance may require: correcting a process or system that has led to the non-compliance, and implementing a revised process or system identifying the impact on learners and carrying out remedial action for current and past learners

6 Original Action required by RTO Rise Education & Training Pty Ltd did not meet all requirements for clauses 1.8, 1.16, 5.2 and 3.1. Remedial action is required for the following training products: CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early childhood education and Care o CHCDIV002 Promote Aboriginal and/or Torres Strait Islander cultural safety o CHCECE005 Provide care for babies and toddlers o CHCECE018 Nurture creativity in children The RTO is required to provide evidence that demonstrates: Enrolment and Progression Clause 5.2 The RTO now has appropriate systems that are followed to ensure each learner is provided with accurate information to enable them to make an informed decision about undertaking training with the RTO that complies with Clause 5.2. Training and Assessment Clause 1.8 Clause 1.16 The RTO has corrected its assessment system (to comply with Clause 1.8) for future students and has systems in place to ensure it is this system that is applied. The RTO now has appropriate processes to ensure it only uses trainers/assessors meet the requirements of the standards to provide training and assessment (Clause 1.16) Completion Clause 3.1 The RTO continues to carry out remedial action to address the impact the non-compliance may have caused to students that were issued AQF certification documentation and were not assessed as meeting the requirements of the training product as specified in the relevant training product. Audit finding following analysis of additional evidence Following analysis of additional evidence provided by Rise Education & Training Pty Ltd on the17 July 2018: provided sufficient evidence to demonstrate compliance with clauses 5.2, 1.8, 1.16 and 3.1 Refer to analysis of additional evidence detailed under each clause in this report for further information.

7 VET - Clause 4.1 VET C lause 5.1 VET C lause 5.2 Areas of non-compliance Enrolment Standards for RTOs Clause 5.2 Original Finding: Not compliant Finding following additional evidence: Compliant Prior to enrolment or the commencement of training and assessment, whichever comes first, the RTO provides, in print or through referral to an electronic copy, current and accurate information that enables the learner to make informed decisions about undertaking training with the RTO and at a minimum includes the following content: a) the code, title and currency of the training product to which the learner is to be enrolled, as published on the National Register; b) the training and assessment, and related educational and support services the RTO will provide to the learner including the: i) estimated duration; ii) expected locations at which it will be provided; iii) expected modes of delivery; iv) name and contact details of any third party that will provide training and/or assessment, and related educational and support services to the learner on the RTO s behalf; and v) any work placement arrangements. c) the RTO s obligations to the learner, including that the RTO is responsible for the quality of the training and assessment in compliance with these Standards, and for the issuance of the AQF certification documentation. d) the learner s rights, including: i) details of the RTO s complaints and appeals process required by Standard 6; and ii) if the RTO, or a third party delivering training and assessment on its behalf, closes or ceases to deliver any part of the training product that the learner is enrolled in; e) the learner s obligations: i) in relation to the repayment of any debt to be incurred under the VET FEE-HELP scheme arising from the provision of services; ii) any requirements the RTO requires the learner to meet to enter and successfully complete their chosen training product; and iii) any materials and equipment that the learner must provide; and f) information on the implications for the learner of government training entitlements and subsidy arrangements in relation to the delivery of the services. CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early childhood education and Care The following was reviewed in relation to pre enrolment information: Qualification flyers Website marketing Course information documents The RTOs pre enrolment information and practices are not compliant with the requirements of Clause 5.2 of the Standards for RTOs 2015 as the information provided is not current and accurate that enables the learner to make informed decisions about undertaking training with the RTO.

8 VET C lause 5.3 VET C lause 7.3 VET C lause 1.1 VET C lause 1.2 VET C lause 1.3 Evidence of non-compliant information includes: The RTO has not ensured the Prior to enrolment or the commencement of training and assessment, whichever comes first, the RTO provides, in print or through referral to an electronic copy, current and accurate information that enables the learner to make informed decisions about undertaking training with the RTO, specifically: b) v) any work placement arrangements. Analysis of additional evidence: The following additional evidence was provided: Addressing Non-Compliance Questions.pdf Clause 5.2-Rise Education & Training Course Information Guide.pdf Clause 5.2-Rise Education & Training Student Handbook.pdf The evidence provided ensures students are well informed about their program of learning and specifically in relation to work placement arrangements. No further evidence required Training and Assessment Training Delivery and Assessment Standards for RTOs Clause 1.8 Original Finding: Not compliant Finding following additional evidence: Compliant 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 Table Principles of Assessment Fairness Flexibility Validity The individual learner s needs are considered in the assessment process. Where appropriate, reasonable adjustments are applied by the RTO to take into account the individual learner s needs. The RTO informs the learner about the assessment process, and provides the learner with the opportunity to challenge the result of the assessment and be reassessed if necessary. Assessment is flexible to the individual learner by: reflecting the learner s needs; assessing competencies held by the learner no matter how or where they have been acquired; and drawing from a range of assessment methods and using those that are appropriate to the context, the unit of competency and associated assessment requirements, and the individual. Any assessment decision of the RTO is justified, based on the evidence of performance of the individual learner. Validity requires:

9 VET C lause 1.8 Reliability Table Rules of Evidence Validity Sufficiency Authenticity Currency assessment against the unit/s of competency and the associated assessment requirements covers the broad range of skills and knowledge that are essential to competent performance; assessment of knowledge and skills is integrated with their practical application; assessment to be based on evidence that demonstrates that a learner could demonstrate these skills and knowledge in other similar situations; and judgement of competence is based on evidence of learner performance that is aligned to the unit/s of competency and associated assessment requirements. Evidence presented for assessment is consistently interpreted and assessment results are comparable irrespective of the assessor conducting the assessment. The assessor is assured that the learner has the skills, knowledge and attributes as described in the module or unit of competency and associated assessment requirements. The assessor is assured that the quality, quantity and relevance of the assessment evidence enables a judgement to be made of a learner s competency. The assessor is assured that the evidence presented for assessment is the learner s own work. The assessor is assured that the assessment evidence demonstrates current competency. This requires the assessment evidence to be from the present or the very recent past. CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early childhood education and Care CHCDIV002 Promote Aboriginal and/or Torres Strait Islander cultural safety (common unit) The following evidence was reviewed: Master copies of assessment tools including knowledge questions, projects and work placement observation reports. The RTO is not compliant with the requirements of Clause 1.8 of the Standards for RTOs 2015 as its assessment system does not ensure 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 and the Rules of Evidence. Evidence of non-compliance includes: The holistic delivery does not ensure the following knowledge evidence is assessed: o factors that contribute to Aboriginal and/or Torres Strait Islander ill health and common diseases experienced by these groups of people: impact of trauma on individuals ability for: - decision-making - communicating - understanding - retaining information As per the unit of competency s assessment conditions, the RTO has not ensured that the assessment has involved person/s approved of by relevant local community elders. CHCECE005 Provide care for babies and toddlers (common unit) The following evidence was reviewed: Master copies of assessment tools including knowledge questions, projects and work placement observation reports.

10 The RTO is not compliant with the requirements of Clause 1.8 of the Standards for RTOs 2015 as its assessment system does not ensure 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 and the Rules of Evidence. Evidence of non-compliance includes: The holistic delivery does not ensure the following knowledge evidence is assessed: o How to access: - the National Quality Framework - the National Quality Standards - the relevant approved learning framework o how to navigate through framework and standards documents to find areas relevant to this unit of competency CHCECE018 Nurture creativity in children The following evidence was reviewed: Master copies of assessment tools including knowledge questions, projects and work placement observation reports. The RTO is not compliant with the requirements of Clause 1.8 of the Standards for RTOs 2015 as its assessment system does not ensure 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 and the Rules of Evidence. Evidence of non-compliance includes: The holistic delivery does not ensure the following knowledge evidence is assessed: o How to access: - the National Quality Framework - the National Quality Standards - the relevant approved learning framework o how to navigate through framework and standards documents to find areas relevant to this unit of competency The example(s) listed above provide guidance on the areas of non-compliance identified and are not a full list of each unit of competency requirements that have not been met. The organisation is responsible for providing evidence that demonstrates all units of competency requirements are met. Analysis of additional evidence: The following additional evidence was provided: Addressing Non-Compliance Questions.pdf Clause 1.8-CHCDIV002-Meeting with Uncle Ernie-29 June 2018.jpg Clause 1.8-CHCDIV002-Meeting with Uncle Ernie-9 July 2018.jpg Clause 1.8-CHCDIV002-Uncle Ernest Chong s approval Letter Clause 1.8-New QuestionsDIV002 ECE005 ECE1.pdf CHC50113 Diploma of Early Childhood Education and Care CHCDIV002 Promote Aboriginal and/or Torres Strait Islander cultural safety (common unit) CHCECE005 Provide care for babies and toddlers (common unit)

11 VET C lause 1.13 VET C lause 1.14 VET C lause 1.15 VET C lause 1.16 CHCECE018 Nurture creativity in children Evidence provided meets the requirements of the Training Package. Note: whilst the RTO provided additional assessments which include Suggested answer for trainer. 001 Activity 2: Investigation curriculum practices did not include the suggested answers for the trainer. As the model answers were only missing from this one example this has been noted but not included as an overall non-compliance. No further evidence required Trainer and assessor competency Standards for RTOs Clause 1.16 Original Finding: Not compliant Finding following additional evidence: Compliant The RTO ensures that all trainers and assessors undertake professional development in the fields of the knowledge and practice of vocational training, learning and assessment including competency based training and assessment. Tamika Dyson Janice De La Rosa The following evidence was reviewed: Assessor Profiles The RTO is not compliant with the requirements of Clause 1.16 of the Standards for RTOs 2015 as it does not ensure that all trainers and assessors undertake professional development in the fields of the knowledge and practice of vocational training, learning and assessment including competency based training and assessment. Evidence of non-compliance includes: No evidence was provided for the above trainers/assessors to demonstrate the RTO ensures that all trainers and assessors undertake professional development in the fields of the knowledge and practice of vocational training, learning and assessment including competency based training and assessment. Analysis of additional evidence: The following additional evidence was provided: Addressing Non-Compliance Questions.pdf Clause Janice De La Rosa-Rise Education Updated Matrix (2).pdf Clause Janice De La Rosa-Staff Industry Professional Reading Log SG V (2).pdf Clause Rise Education & Training Staff-Handbook.pdf Clause Janice De La Rosa-Staff Industry Engagement Log for Single Industry Location TS SG V (5).pdf Clause 1.16-Janice De La Rosa-Velg Training Joining Evidence.jpg Clause 1.16-Rise Education and Training Job Description.pdf Clause 1.16-Tamika Dyson- Evidence.pdf Evidence valuated demonstrates the RTO ensures its trainers and assessors undertake professional development in the fields of competency based training and assessment. No further evidence required

12 VET C lause 1.17VET use 1.18T Cau se 1.20 VET C lause 3.1 Completion Standards for RTOs Clause 3.1 Original Finding: Not compliant Finding following additional evidence: Compliant The RTO issues AQF certification documentation only to a learner whom it has assessed as meeting the requirements of the training product as specified in the relevant training package or VET accredited course. CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early childhood education and Care The following evidence was reviewed: 24 Student files reviewed at audit RTO admission to ASQA via written correspondence regarding qualifications/units of competency issued, where evidence of assessment is incomplete/missing. Student status report provided by the RTO 4 May 2018 The RTO is not compliant with the requirements of Clause 3.1 of the Standards for RTOs 2015 as it has issued AQF certification documentation to learners whom have not been assessed as meeting the requirements of the training product as specified in the relevant training package or VET accredited course. Evidence of non-compliance includes: Prior to the conduct of the audit activity the RTOs CEO advised ASQA that he had recently purchased the RTO and had conducted an internal audit which identified significant issues with the student assessments and claims made to PQS (for funding). The majority of issues were: o Missing assessments including workplace booklets which have been issued and claimed from PQS o No marking of assessments o No workplace agreements or log books o Log book hours not reflecting the required work placement hours (120hrs or 240 hrs) o No workplace observation o First aid certificates issued without assessment or evidence of original The RTO provided at the time of audit evidence on students files that it has and continues to contact effected students to rectify the issues found in their assessments. This includes remedial actions such as: o Knowledge reassessment o Organising workplace observations o Reissuance of log books to complete work placement The RTO provided on 4 May 2018, a student status report for its 105 students. The report includes: o Each student s name, o the findings of the review of their assessments, o what actions are required to rectify the issues identified, o how contact with the student has been made, and o a timeframe for expected completion. It is noted that the RTO has identified 3 qualifications that require reassessment/additional assessment. Analysis of additional evidence:

13 VET C lause 2.3T Clau se 2.4 The following additional evidence was provided: Addressing Non-Compliance Questions.pdf Clause 3.1-Students Action Completed Update.xlsx Evidence evaluated as clauses 1.8 and 3.1 supports the RTO s insurance that students are appropriately assessed/re-assessed where required and that all appropriate work placement hours are completed and evaluated for a determination of competent. The RTO has satisfied the requirement for valid and sufficient assessment. No further evidence required