Audit report VET Quality Framework

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1 Audit report VET Quality Framework Standards for Registered Training Organisations 2015 ORGANISATION DETAILS Organisation s legal name: Train Assess Australia Pty Ltd Trading name/s: Train Assess Australia RTO number: 1831 CRICOS number: n/a AUDIT TEAM Lead auditor: Assistant/s: Technical advisor/s: Tony Feagan n/a n/a AUDIT DETAILS Application number/s: Audit number/s: Audit reason 1: Audit reason 2: Audit reason 3: Application - change n/a n/a Activity type: Site visit Address of site/s visited: 9/93 Burnside Road, Stapylton, QLD, Date/s of audit: 26/05/2016 Organisation s contact for audit: Matt Biss Systems Manager matt.biss@trainassessau.com Clauses audited: 1.1, 1.2, 1.3, 1.4, 1.5, 1.8, 1.13, 1.14, 1.15, 1.16, 1.17, 1.18, 1.19, 1.20, 1.22, 1.25, 2.3, 8.2 BACKGROUND Train Assess Australia offers a variety of courses from AQF 1 to 5 in industry areas ranging across traditional trades including engineering, civil construction, plumbing, tiling and cabinet making, to more office oriented courses including information technology and business. The organisation offers courses through fee for service arrangements, State based User Choice, Certificate III Guarantee and Higher Level Skills Funding as well as VET in Schools. The organisation has applied to add Certificates II and III in Surface Extraction and Certificates I and II in Hospitality to their scope of registration. Australian Skills Quality Authority 1 of 36

2 NOTE 30/08/2016 Following receipt of this audit report the organisation provided written advice to ASQA that it had not been informed at audit of the non-compliance in Clause 1.3 with regard to not demonstrating it had access to learning materials for all of RII20215 Certificate II in Surface Extraction Operations and. ASQA contacted the auditor who confirmed that the requested learning materials were not available as the laptop on which the materials were stored was not accessible at the time of audit. It was noted that the auditor only sought to confirm it had access to the units sampled for these qualifications under Clause 1.8 which is incorrect. Providers are required to demonstrate they have access to learning materials for all units it will deliver within a qualification. In consideration of this error, the rectification period will be restarted from 30/08/2016. Total number of current enrolments in RTO as at audit date: 1923 AUDIT SAMPLE Code Training products Mode/s of delivery / assessment* Current enrolments RII20215 RII30115 Certificate II in Surface Extraction Operations Certificate III in Surface Extraction Operations Face to face Face to face SIT10216 Certificate I in Hospitality Face to face N/A SIT20316 Certificate II in Hospitality Face to face N/A *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) N/A N/A INTERVIEWEES Name Position Training products Matt Biss Systems Manager none Shaun Smit Business Manager - Construction none ORIGINAL FINDING AT TIME OF AUDIT Audit finding: Significant non-compliance Report completed by: Tony Feagan Date: 17/06/2016 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 noncompliance. Refer to notification of non-compliance for information on providing further evidence of compliance. Australian Skills Quality Authority 2 of 36

3 AUDIT FINDING FOLLOWING ANALYSIS OF RECTIFICATION EVIDENCE Audit finding following analysis of additional evidence provided on 19/09/2016: Significant non-compliance Report completed by: Tony Feagan Date: 29/10/2016 AUDIT FINDING BY STANDARD Standard Original finding Finding following rectification Standard 1 Not compliant Not compliant Standard 2 Not audited n/a Standard 3 Not audited n/a Standard 4 Not audited n/a Standard 5 Not audited n/a Standard 6 Not audited n/a Standard 7 Not audited n/a Standard 8 Not audited n/a ABOUT THIS REPORT This report details findings against the Standards for Registered Training Organisations The evidence guidance included against each clause is designed to guide the auditor and RTO on the requirements of the clause. The evidence guidance is not designed to limit the audit findings and there may be other factors an auditor takes into consideration when determining whether compliance has been demonstrated. Where evidence of non-compliance is identified, the Reasons for finding of non-compliance section of the report will document the issues that were considered in the formulation of a finding of noncompliance. Australian Skills Quality Authority 3 of 36

4 STANDARD 1 The RTO s training and assessment strategies and practices are responsive to industry and learner needs and meet the requirements of training packages and VET accredited courses. To be compliant with Standard 1 the RTO must meet the following: Clause 1.1 The RTO s training and assessment strategies and practices, including the amount of training they provide, are consistent with the requirements of training packages and VET accredited courses and enable each learner to meet the requirements for each unit of competency or module in which they are enrolled. Original finding: Not compliant Following rectification: Not compliant N/A A training and assessment strategy (or strategies) was provided for each training product sampled Each strategy is consistent with the requirements of the training product Each strategy provides a framework to guide the learning requirements and the training and assessment arrangements of each training product the macro level requirements of the learning and assessment process Each strategy identifies an amount of training to be provided to learners that is consistent with the requirements of the training product Each strategy has been consistently implemented Reasons for finding of non-compliance: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality Evidence provided: o strategies for training and assessment for each of the above listed qualifications. The evidence provided did not demonstrate the RTO s training and assessment strategies, including the amount of training they provide, are consistent with the requirements of the relevant training packages and enable to each learner to meet the requirements for each unit of competency they are enrolled in. The organisation provided training and assessment strategies for each of the sampled qualifications however these did not outline the assessment methods planned for each unit of competency listed on the respective strategy document. Each of the strategies provided did not include information to articulate how the resource requirements of each unit would be met to ensure the learner achieved the requirements of the units in which they were enrolled. The strategy documentation provided did not outline the amount of training that would be associated with each qualification. Australian Skills Quality Authority 4 of 36

5 The strategy for training and assessment for this organisation included reference to RII30815 Certificate III in Civil Construction Plant Operations and then listed the units associated with the latter qualification. Consequently it could not be determined which qualification the strategy was intended for and as a result it could not be confirmed that the strategy would ensure students would achieve the outcome for RII In order to become compliant, the organisation is required to: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality provide amended training and assessment strategies for the above listed qualifications which outline the assessment methods associated with each unit of competency listed on the respective strategy. provide amended training and assessment strategies for all qualifications sampled which outline the resource requirements associated with each unit of competency listed on the respective strategy. provide amended training and assessment strategies for all qualifications sampled which outline the amount of training associated with each qualification. provide an amended strategy that that does not include contradictory information regarding other qualifications and correctly articulates how the organisation intends to structure the qualification, so as to meet all requirements of the training package including amount of training. Analysis of rectification evidence: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality Evidence provided: o o o Training and assessment strategies for each training product listed The RTO included a list of assessment methods used for each unit of competency in each of the training and assessment strategies. The RTO provided resources lists for each training product sampled Outstanding non compliance: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality The organisation has not provided evidence that its training and assessment strategies and practices, including the amount of training they provide, are consistent with the requirements of Australian Skills Quality Authority 5 of 36

6 the training packages and enable each learner to meet the requirements for each unit of competency or module in which they are enrolled. Whilst each training and assessment strategy listed the volume of learning as outlined in the Australian Qualifications Framework, the amount of training has not been articulated. Whilst some of the issues raised with the training and assessment strategy for RII30115 Certificate III in Surface Extraction Operations have been amended, the strategy still reads as if it has been developed for civil construction plant operators rather than those working in a surface extraction setting. For example:the training and assessment strategy, in part 2.5, outlines the Train Assess Australia Target Groups as : o clients that would like to undertake training to become a skilled operator of civil construction plant The training package qualification descriptor states (in part) that: o This qualification reflects the role of employees such as production operators in an open cut mine or quarry. It is therefore still unclear that the training and assessment strategy has been developed in the context of a surface extraction setting. The evidence provided does not meet the compliance requirements of clause 1.1 Clause 1.2 For the purposes of Clause 1.1, the RTO determines the amount of training they provide to each learner with regard to: a) the existing skills, knowledge and the experience of the learner; b) the mode of delivery; and c) where a full qualification is not being delivered, the number of units and/or modules being delivered as a proportion of the full qualification. Original finding: Not compliant Following rectification: Not compliant For each training product sampled, the amount of training to be provided identified in each strategy is consistent with: the existing skills, knowledge and experience of learners the mode/s of delivery the number of units and/or modules being delivered Reasons for finding of non-compliance: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality Evidence provided: o strategies for training and assessment for each of the above listed qualifications. Australian Skills Quality Authority 6 of 36

7 The evidence provided did not demonstrate that the RTO has determined the amount of training provided to each learner as required by this Clause. Analysis of the strategies provided for each document did not identify any amount of training to demonstrate the RTO had considered the skills and experience of learners, the mode of delivery or the number of units being delivered. In order to become compliant, the organisation is required to: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality provide evidence of strategies that demonstrate the RTO has determined an amount of training it provides to learners that considers: o the existing skills, knowledge and the experience of the learner o the mode of delivery; and o where a full qualification is not being delivered, the number of units and/or modules being delivered as a proportion of the full qualification. Analysis of rectification evidence: The RTO has outlined, in each training and assessment strategy, the volume of learning as defined by the Australian Qualifications Framework but there is no evidence as to how an amount of training has been determined. Outstanding non-compliance SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality The RTO has not outlined the amount of training they provide to each learner as outlined in the analysis of clause 1.1. The evidence provided does not meet the compliance requirements of clause 1.2 Clause 1.3 The RTO has, for all of its scope of registration, and consistent with its training and assessment strategies, sufficient: a) trainers and assessors to deliver the training and assessment; b) educational and support services to meet the needs of the learner cohort/s undertaking the training and assessment; c) learning resources to enable learners to meet the requirements for each unit of competency, and which are accessible to the learner regardless of location or mode of delivery; and d) facilities, whether physical or virtual, and equipment to accommodate and support the number of learners undertaking the training and assessment. Original finding: Not compliant Australian Skills Quality Authority 7 of 36 Following rectification: Not compliant For all training products sampled, there are sufficient:

8 trainers and assessors educational and support services to meet the needs of learners learning resources that address the requirements of all components of the relevant training product and are accessible to all learners facilities and equipment to accommodate the number of learners Consistency is evident between each strategy and the above resources Reasons for finding of non-compliance: The organisation did not provide evidence it had access to learning materials for the all of the units listed in its strategies for training and assessment. SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality The organisation did not demonstrate that for all of its scope of registration, and consistent with its strategies for training and assessment, it has facilities and equipment to accommodate and support the number of learners undertaking training and assessment. The organisation provided access agreements with a number of facilities including a school and surface extraction worksites. However, the evidence provided did not include any information to demonstrate the organisation had identified and established any of the specific facility and equipment requirements necessary to deliver and assess each of the units listed in its strategies for the above listed qualifications in the first instance. In the absence of any evidence to confirm the organisation has established the specific equipment and facility requirements of the qualifications, it could not be demonstrated how the organisation had determined the school premises, worksites and on-site equipment was consistent with the requirements of the relevant training package. In order to become compliant, the organisation is required to: provide evidence it has access to learning materials for the all of the units listed in its strategies for training and assessment for the above listed qualifications. SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality provide evidence to demonstrate it has identified and established the facilities and equipment requirements for each unit of competency within each qualification so as to confirm the access agreements provided at audit will provide a training and assessment environment that meets the requirements of the relevant training package. Analysis of rectification evidence: Australian Skills Quality Authority 8 of 36

9 Evidence provided: Learning materials for the units of competency: o BSBSUS201 Participate in environmentally sustainable work practices o RIICOM201D Communicate in the workplace o RIICOM301D Communicate information o RIIENV201D Identify and assess environmental and heritage concerns SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality Evidence provided: o resource list o resource list o SIT10216 Certificate I in Hospitality resource list o SIT20316 Certificate II in Hospitality resource list Train Assess Australia provided a list of all the equipment requirements for each unit of competency in each of the four qualifications sampled. Outstanding non compliance: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality The RTO did not demonstrate that it has access to facilities and equipment to accommodate and support the number of learners undertaing the training and assessment. In the original submission, evidence of a MOU was provided relating to courses for VET in Schools students (Cavendish Road State High School). This MOU does not include any information regarding hospitality training. There is also a contract with a trainer who is to said to be providing access to facilities, specifc plant and equipment, workshops and classroom facilities used in the surface extraction qualifications. However, there is no specificity in the contract as to what specific plant and equipment is to be provided. Whilst these specific items are listed on the resource list, there is no evidence that Train Assess Australia has access to the equipment listed either directly or through the contract arrangement. Clause 1.4 The RTO meets all requirements specified in the relevant training package or VET accredited course. Original finding: Not compliant Australian Skills Quality Authority 9 of 36 Following rectification: Not compliant N/A

10 Training and assessment strategies and resources are consistent with the requirements of each training product sampled Training and assessment practices are consistent with the requirements of each training product sampled Reasons for finding of non-compliance: The organisation was found not compliant with clauses 1.1, 1.2 and 1.8 The organisation has not demonstrated it meets all requirements specified in the relevant training packages. In order to become compliant, the organisation is required to: provide evidence to rectify non-compliances with clauses 1.1, 1.2 and 1.8 Analysis of rectification evidence: Evidence provided: o Training and assessment strategies as requested in clauses 1.1 and 1.2 o Assessment materials as requested in clause 1.8 Outstanding non compliances: The RTO has not provided evidence to meet the requirements of clauses 1.1, 1.2 and 1.8 Clause 1.5 The RTO s training and assessment practices are relevant to the needs of industry and informed by industry engagement. Original finding: Compliant Training and assessment practices are informed by and consistent with the outcomes from industry engagement strategies Clause 1.6 The RTO implements a range of strategies for industry engagement and systematically uses the outcome of that industry engagement to ensure the industry relevance of: a) its training and assessment strategies, practices and resources; and b) the current industry skills of its trainers and assessors. N/A A range of industry engagement strategies have been developed Industry engagement strategies have been implemented Outcomes from industry engagement strategies have been systematically used to inform: training and assessment strategies training and assessment practices resources, including facilities and equipment Australian Skills Quality Authority 10 of 36

11 current industry skills required to be held by trainers and assessors Clause 1.7 The RTO determines the support needs of individual learners and provides access to the educational and support services necessary for the individual learner to meet the requirements of the training product as specified in training packages or VET accredited courses. Support needs of learners have been identified Learners have access to educational and support services necessary for them to meet the requirements of the relevant training product Clause 1.8 The RTO implements an assessment system that ensures that assessment (including recognition of prior learning): a) complies with the assessment requirements of the relevant training package or VET accredited course; and b) is conducted in accordance with the Principles of Assessment contained in Table and the Rules of Evidence contained in Table 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: 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. Australian Skills Quality Authority 11 of 36

12 Reliability Evidence presented for assessment is consistently interpreted and assessment results are comparable irrespective of the assessor conducting the assessment. Table Rules of Evidence Validity Sufficiency Authenticity Currency 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. Original finding: Not compliant Following rectification: Not compliant SIT10216 Certificate I in Hospitality SITXCCS001 Provide customer information and assistance SITXFSA001 Use hygienic practices for food safety Assessment complies with the assessment requirements of the relevant training package or VET accredited course. Assessment is conducted in accordance with the Principles of Assessment contained in Table and the Rules of evidence contained in Table SIT20316 Certificate II in Hospitality SITHIND003 Use hospitality skills effectively SITXFIN001 Process financial transactions Assessment complies with the assessment requirements of the relevant training package or VET accredited course. Assessment is conducted in accordance with the Principles of Assessment contained in Table and the Rules of evidence contained in Table BSBSUS201 Participate in environmentally sustainable work practices RIIGOV201D Comply with site work processes/procedures Assessment complies with the assessment requirements of the relevant training package or VET accredited course. Assessment is conducted in accordance with the Principles of Assessment contained in Table and the Rules of evidence contained in Table Australian Skills Quality Authority 12 of 36

13 RIIRIS301D Apply risk management processes RIISAM301E Comply with site work processes/procedures nominated Assessment complies with the assessment requirements of the relevant training package or VET accredited course. Assessment is conducted in accordance with the Principles of Assessment contained in Table and the Rules of evidence contained in Table Reasons for finding of non-compliance: BSBSUS201 Participate in environmentally sustainable work practices RIIGOV201D Comply with site work processes/procedures RIIRIS301D Apply risk management processes The theory based questions did not address all knowledge requirements of the unit of competency and consequently did not meet training package requirements, the Principles of Assessment and Rules of Evidence. SIT10216 Certificate I in Hospitality SITXCCS001 Provide customer information and assistance SITXFSA001 Use hygienic practices for food safety SIT20316 Certificate II in Hospitality SITHIND003 Use hospitality skills effectively SITXFIN001 Process financial transactions BSBSUS201 Participate in environmentally sustainable work practices RIIGOV201D Comply with site work processes/procedures RIIRIS301D Apply risk management processes RIISAM301E Comply with site work processes/procedures nominated The organisation provided observation checklists intended to gather evidence of competent performance against the practical aspects of the units. However, the itemised statements in these checklists were broad and overarching and therefore were not sufficiently detailed to ensure the assessor would gather valid and sufficient evidence of the skills demonstrated by the learner to allow a valid and reliable judgement of competence. In order to become compliant, the organisation is required to: BSBSUS201 Participate in environmentally sustainable work practices RIIGOV201D Comply with site work processes/procedures RIIRIS301D Apply risk management processes provide amended assessment tools that address all the knowledge requirements for the above listed units. Australian Skills Quality Authority 13 of 36

14 SIT10216 Certificate I in Hospitality SITXCCS001 Provide customer information and assistance SITXFSA001 Use hygienic practices for food safety SIT20316 Certificate II in Hospitality SITHIND003 Use hospitality skills effectively SITXFIN001 Process financial transactions BSBSUS201 Participate in environmentally sustainable work practices RIIGOV201D Comply with site work processes/procedures RIIRIS301D Apply risk management processes RIISAM301E Comply with site work processes/procedures nominated provide amended observation checklists that will ensure that evidence of assessment of the practical application of the unit s requirements, sufficiently detailed to allow for reliable assessment judgements. Analysis of rectification evidence: Assessments addressing the knowledge requirements of the respective unit of competency were provided for the following: o BSBSUS201 Participate in environmentally sustainable work practices o RIIGOV201D Comply with site work processes/procedures o RIIRIS301D Apply risk management processes Revised practical / observation checklists were provided for the following: SIT10216 Certificate I in Hospitality o SITXCCS001 Provide customer information and assistance o SITXFSA001 Use hygienic practices for food safety SIT20316 Certificate II in Hospitality o SITHIND003 Use hospitality skills effectively o SITXFIN001 Process financial transactions o BSBSUS201 Participate in environmentally sustainable work practices o RIIGOV201D Comply with site work processes/procedures o RIIRIS301D Apply risk management processes o RIISAM301E Comply with site work processes/procedures nominated The evidence provided demonstrates the RTO has: o a knowledge based assessment for the unit of competency BSBSUS201 Participate in environmentally sustainable work practices which addresses the knowledge requirements of the unit. o an observation checklist associated with the unit of competency SITXCCS001 Provide customer information and assistance which addresses the unit s practical assessment requirements. o Their was an error in the initial request with the code of the unit RIISAM301E having the incorrect unit name. As a result, to provide the benefit of the disparity to the RTO, the rectified observation checklist, has not been analysed. Australian Skills Quality Authority 14 of 36

15 Outstanding non compliance: The RTO did not provide evidence that its assessment system ensures that assessment (including recognition of prior learning) complies with the assessment requirements of the relevant training package and will be conducted in accordance with the principles of assessment and the rules of evidence. o The knowledge based assessment for the unit of competency RIIGOV201D Comply with site work processes/procedures requires the student to respond in writing to some questions. There is no evidence that these questions are contextualised to address the unit of competency requirements for assessment in the resources and infrastructure sector given the unit is being assessed as part of a surface extraction qualification. For example, the assessment conditions for the unit of competency state this unit must be assessed in compliance with relevant legislation/regulation and using policies, procedures, processes and operational manuals directly related to the industry sector for which it is being assessed. There is no evidence of the required contextualisation. o The knowledge based assessment for the unit of competency RIIRIS301D Apply risk management processes includes question 3 which reads What is the risk management process as outlined in AS 4360 Risk Management? Australian Standard 4360 was superseded by AS 31000:2009 in As a result, it is not evident that the student is being taught and assessed information which is current. Observation checklists o o o The observation checklist associated with the unit of competency SITXFSA001 Use hygienic practices for food safety does not address the unit of competency requirement particularly the performance evidence section. Whilst the assessment conditions allow for the assessment to be conducted in a real or simulated food preparation area, and the RTOs assessment checklist has the provision to record multiple assessments, the observation checklist does not clearly outline how the assessor will ensure that that the student can demonstrate use of safe food handling practices in food handling work functions in line with organisational hygiene procedures on at least three occasions. The observation checklist and Supervisor Checklist associated with the unit of competency SITHIND003 Use hospitality skills effectively have the capacity to record the student completing 12 shifts providing hospitality service but neither provide an outline of how this is to be realised. The unit of competency allows for either assessment in a real hospitality environment or a simulated industry environment but neither of these conditions are outlined or explained. The observation checklist associated with the unit of competency SITXFIN001 Process financial transactions does not address the unit of competency requirements as it does not outline in what context the assessment is to take place. The observation checklist provided lists observable tasks that cannot be completed unless the assessment is conducted in a real or simulated workplace but this has been neither explained or, in the case of the simulated environment, created and explained. Examples on the observation checklist include completed three eftpos transactions, consistently gives correct change and determines point of sale records of customer payments. o The observation checklist associated with the unit of competency BSBSUS201 Participate in environmentally sustainable work practices includes a list of tasks which requires the assessor to observe the student completing. Without more specificity, the observation checklist would not be considered to produce reliable outcomes as many of the prompts are too broad. For example, the student is required to Interpret workplace information in relation to work role and calculate resource usage in work area. The task however gives no guidance for the assessor as to what a suitable response might be. Australian Skills Quality Authority 15 of 36

16 o o The observation checklist RIIGOV201D Comply with site work processes/procedures does not provide sufficient evidence that the assessment addresses the unit of competency requirement specifically that assessment must confirm consistent performance can be applied in a range of relevant workplace circumstances. Once again, there is no information regarding the context in which this assessment is to be conducted which the unit of competency requires to be either a real or simulated surface extraction working environment. The observation checklist for the unit RIIRIS301D Apply risk management processes does not address the performance evidence requirements of the unit of competency. The training and assessment strategy in which this unit appears, is related to the qualification. The associated strategy does not specify that only existing workers may enter the course nor does it outline how a surface extraction working environment will be established. It does outline that the course is delivered face to face or in a combination of online and face to face workshops. Without further explanantion in the observation checklist as to the context in which the assessment is to be conducted, it is unclear how the student will be assessed in their ability to: Identify documents that are related to local risk control. Identify hazards in your workplace. Conduct a risk assessment on your workplace Evaluate consequences of these hazards. Implement control measures for these hazards Write up a risk management plan. Clause 1.9 The RTO implements a plan for ongoing systematic validation of assessment practices and judgements that includes for each training product on the RTO s scope of registration: a) when assessment validation will occur; b) which training products will be the focus of the validation; c) who will lead and participate in validation activities; and d) how the outcomes of these activities will be documented and acted upon. N/A A plan for ongoing systematic validation of assessment has been developed that identifies: when assessment validation will occur for each training product on the RTO s scope of registration who will lead and participate in validation activities how the validation outcomes will be documented and acted upon The plan for validation has been implemented Clause 1.10 For the purposes of Clause 1.9, each training product is validated at least once every five years, with at least 50% of products validated within the first three years of each five year cycle, taking into account the relative risks of all of the training products on the RTO s scope of registration, including those risks identified by the VET Regulator. Australian Skills Quality Authority 16 of 36

17 N/A The plan for validation of assessment ensures: all training products will be validated at least once every five years at least 50% of training products will be validated in the first three years of the above cycle relative risk of all training products are taken into account in scheduling validation training products identified as high risk by ASQA are taken into account in scheduling validation The above have been achieved in implementing the plan for validation of assessment Clause 1.11 For the purposes of Clause 1.9, systematic validation of an RTO s assessment practices and judgements is undertaken by one or more persons who are not directly involved in the particular instance of delivery and assessment of the training product being validated, and who collectively have: a) vocational competencies and current industry skills relevant to the assessment being validated; b) current knowledge and skills in vocational teaching and learning; and c) the training and assessment qualification or assessor skill set referred to in Item 1 or 3 of Schedule 1. Industry experts may be involved in validation to ensure there is the combination of expertise set out in (a) to (c) above. Validation of assessment has been completed for at least one training product. If no, clause is not audited. If yes: Validation of assessment has been undertaken by one or more persons who, collectively, hold: relevant vocational competencies and current industry skills current knowledge and skills in VET teaching and learning TAE40110 Certificate IV in Training and Assessment (or its successor) or TAESS00001 Assessor skill set (or its successor) Final validation decisions are made by a person who was not directly involved with the delivery and assessment of the training product being validated Clause 1.12 The RTO offers recognition of prior learning to individual learners. RPL has been offered to individual learners Australian Skills Quality Authority 17 of 36

18 Clause 1.13 In addition to the requirements specified in Clause 1.14 and Clause 1.15, the RTO s training and assessment is delivered only by persons who have: a) vocational competencies at least to the level being delivered and assessed; b) current industry skills directly relevant to the training and assessment being provided; and c) current knowledge and skills in vocational training and learning that informs their training and assessment. Industry experts may also be involved in the assessment judgement, working alongside the trainer and/or assessor to conduct the assessment. Original finding: Not compliant Evidence guidance Following rectification: Compliant Each trainer / assessor must meet all requirements for each training product being delivered: Trainer / Assessor name Training product code/s delivered 1.13 (a) 1.13 (b) 1.13 (c) Y N Y N Y N Scott MacDougall RII20215 Certificate II in Surface Extraction Operations Scott MacDougall RII30115 Certificate III in Surface Extraction Operations Nadia Snell SIT10216 Certificate I in Hospitality Nadia Snell SIT20316 Certificate II in Hospitality Reasons for finding of non-compliance: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality The organisation did not provide evidence that the nominated trainer/assessor for hospitality courses, Nadia Snell, has current knowledge and skills in vocational training and learning that informs her training and assessment. In order to become compliant, the organisation is required to: SIT10216 Certificate I in Hospitality SIT20316 Certificate II in Hospitality provide evidence that Nadia Snell has current VET knowledge or has a plan in place to maintain her VET knowledge. Australian Skills Quality Authority 18 of 36

19 Analysis of rectification evidence: Evidence provided: o A plan for VET related professional development for Nadia Snell Clause 1.14 The RTO s training and assessment is delivered only by persons who have: a) prior to 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 of Schedule 1, or demonstrated equivalence of competencies; and b) from 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 of Schedule 1. Original finding: Compliant VET qualifications of trainers and assessors have been verified Each trainer / assessor must meet at least one of the following requirements: Trainer / Assessor name Schedule 1 Item 1 Schedule 1 Item 2 Y N Y N Scott MacDougall Nadia Snell Schedule 1, Item 1: TAE40110 Certificate IV in Training and Assessment or its successor Schedule 1, Item 2: A Diploma or higher level qualification in adult education Clause 1.15 Where a person conducts assessment only, the RTO ensures that the person has: a) prior to 1 January 2016, the training and assessment qualification specified in Item 1 or Item 2 or Item 3 of Schedule 1, or demonstrated equivalence of competencies; and b) from 1 January 2016, Item 1 or Item 2 or Item 3 of Schedule 1. The RTO uses assessors that conduct assessment only. If no, clause is not audited. If yes: Each assessor must meet at least one of the following requirements: Assessor name Schedule 1 Item 1 Schedule 1 Item 2 Schedule 1 Item 3 Y N Y N Y N Australian Skills Quality Authority 19 of 36

20 Schedule 1, Item 1: TAE40110 Certificate IV in Training and Assessment or its successor Schedule 1, Item 2: A Diploma or higher level qualification in adult education Schedule 1, Item 3: TAESS00001 Assessor Skill Set or its successor Clause 1.16 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. Original finding: Not compliant Following rectification: Compliant Trainers and assessors undertake professional development in the knowledge and practice of vocational training, learning and assessment, including competency based training and assessment Reasons for finding of non-compliance: There was no evidence to support current knowledge and practice in vocational training, learning and assessment, including competency based training and assessment, for the nominated trainer/assessor for hospitality courses, Nadia Snell. In order to become compliant, the organisation is required to: provide evidence of currency of knowledge and practice in vocational training, learning and assessment, including competency based training and assessment for Nadia Snell or a plan to obtain the required knowledge and practice. provide evidence of how it ensures all trainers and assessors undertake professional development in the fields of knowledge and practice of vocational training, learning and assessment including competency based training and assessment. Analysis of rectification evidence: Evidence provided. A professional development plan for Nardia Snell was provided. A Professional Development Policy for Train Assess Australia was also provided. Clause 1.17 Where the RTO, in delivering training and assessment, engages an individual who is not a trainer or assessor, the individual works under the supervision of a trainer and does not determine assessment outcomes. Australian Skills Quality Authority 20 of 36 People delivering training under supervision are utilised If no, clauses are not audited, go to Clause If yes: Supervision is provided by a trainer that meets the requirements of clauses 1.13 and 1.14 People under supervision do not determine assessment outcomes

21 Clause 1.18 The RTO ensures that any individual working under the supervision of a trainer under Clause 1.17: a) holds the skill set defined in Item 4 of Schedule 1 or, prior to 1 January 2016, is able to demonstrate equivalence of competencies; b) has vocational competencies at least to the level being delivered and assessed; and c) has current industry skills directly relevant to the training and assessment being provided. Each individual who works under the supervision of a trainer must meet all requirements for each training product being delivered: Individual working under supervision name Training product code/s delivered 1.18 (a) 1.18 (b) 1.18 (c) Y N Y N Y N Schedule 1, Item 4: TAESS00003 Enterprise trainer and assessor skill set or its successor, or TAESS00007 Enterprise trainer presenting skill set or its successor; or TAESS00008 Enterprise trainer mentoring skill set or its successor Clause 1.19 Where the RTO engages an individual under Clause 1.17, it ensures that the training and assessment complies with Standard 1. Training and assessment complies with Standard 1 Clause 1.20 Without limiting Clauses , the RTO: a) determines and puts in place: i) the level of the supervision required; and ii) any requirements, conditions or restrictions considered necessary on the individual s involvement in the provision of training and collection of assessment evidence; and b) ensures that trainers providing supervision monitor and are accountable for all training provision and collection of assessment evidence by the individual under their supervision. Australian Skills Quality Authority 21 of 36 Supervision arrangements have been identified People delivering training under supervision have been monitored by the supervising trainer

22 Clause 1.21 Prior to 1 January 2016, to deliver any AQF qualification or skill set from the Training and Education Training Package (or its successor) the RTO must ensure all trainers and assessors delivering the training and assessment: a) hold the training and assessment qualification at least to the level being delivered; or b) have demonstrated equivalence of competencies. Not audited - clause does not apply from 1 January 2016 (Clause 1.22 applies from this date) Clause 1.22 From 1 January 2016, to deliver any AQF qualification or skill set from the Training and Education Training Package (or its successor) the RTO must ensure all trainers and assessors delivering the training and assessment hold the training and assessment qualification at least to the level being delivered. Note: from 1 January 2017, the requirements set out in Clause 1.22 continue to apply to any other AQF qualification or skill set from the Training and Education Training Package (or its successor). A TAE qualification or skill set is included in the audit scope If no, clause is not audited. If yes: Clause 1.23 From 1 January 2017, to deliver the training and assessment qualification specified in Item 1 of Schedule 1, or any assessor skill set from the Training and Education Training Package (or its successor), the RTO must ensure all trainers and assessors delivering the training and assessment: a) hold the qualification specified in Item 5 of Schedule 1; or b) work under the supervision of a trainer that meets the requirement set out in (a) above. Not audited as clause does not commence until 1 January 2017 Clause 1.24 The RTO must ensure that any individual working under supervision under Clause 1.23.b) holds the qualification specified in Item 1 of Schedule 1 and does not determine assessment outcomes. Not audited as clause does not commence until 1 January 2017 Clause 1.25 From 1 January 2016, to deliver any AQF qualification or assessor skill set from the Training and Education Training Package (or its successor), the RTO must have undergone an independent validation of its assessment system, tools, processes and outcomes in accordance with the requirements contained in Schedule 2 (and the definitions of independent validation and validation). N/A A TAE qualification or the assessor skill set is included in the audit scope? Australian Skills Quality Authority 22 of 36

23 If no, clause is not audited. If yes and RTO is applying to add training product to scope, Schedule 2 a) and c) apply If yes and training product is already on scope, Schedule 2 b) and c) apply Schedule 2 a) (addition to scope only) Validation of the RTO s assessment tools, processes and outcomes for five (5) other AQF qualifcations and/or units of competency on scope has occurred (or all, if RTO has less than five (5) qualifications and/or units on scope) Validation of the assessment system to be adopted in the delivery of the training and assessment qualification or assessor skill set has occurred. Schedule 2 b) (RTOs that already have TAE training products on scope) Validation of the assessment system used for delivery of the training and assessment qualification or assessor skill set has occurred. Validation of the RTO s assessment tools, processes and outcomes in relation to the training and assessment qualification or assessor skill set has occurred. Schedule 2 c) Validation has been carried out by a validator/s who: collectively have current knowledge and skills in vocational teaching and learning hold the training and assessment qualification or assessor skill set at least to the level being validated are not employed or subcontracted by the RTO to provide training and assessment have no other involvement or interest in the operations of the RTO Clause 1.26 Subject to Clause 1.27 and unless otherwise approved by the VET Regulator, the RTO ensures that: a) where a training product on its scope of registration is superseded, all learners training and assessment is completed and the relevant AQF certification documentation is issued or learners are transferred into its replacement, within a period of one year from the date the replacement training product was released on the National Register; b) where an AQF qualification is no longer current and has not been superseded, all learners training and assessment is completed and the relevant AQF certification documentation issued within a period of two years from the date the AQF qualification was removed or deleted from the National Register; c) where a skill set, unit of competency, accredited short course or module is no longer current and has not been superseded, all learners training and assessment is completed and the relevant AQF certification documentation issued within a period of one year from the date the skill set, unit of competency, accredited short course or module was removed or deleted from the National Register; and d) a new learner does not commence training and assessment in a training product that has been removed or deleted from the National Register. N/A One or more training products on the RTO s scope of registration has been superseded, removed or deleted since 1 April 2015 Australian Skills Quality Authority 23 of 36

24 If no, clause is not audited. If yes: Learners have been completed and issued certification or transferred to the replacement within one year of training products being superseded Learners have been completed and issued certification within two years of qualifications being removed or deleted Learners have been completed and issued certification within one year of skill sets, units, modules or short courses being removed or deleted Learners are not commenced in training products that have been removed or deleted Clause 1.27 The requirements specified in Clause 1.26 (a) do not apply where a training package requires the delivery of a superseded unit of competency. One or more training products on the RTO s scope of registration requires delivery of a superseded unit of competency If no, clause is not audited. If yes: The superseded unit of competency has continued to be delivered as required by training product packaging rules STANDARD 2 The operations of the RTO are quality assured. To be compliant with Standard 2 the RTO must meet the following: Clause 2.1 The RTO ensures it complies with these Standards at all times, including where services are being delivered on its behalf. This applies to all operations of an RTO within its scope of registration. The RTO is compliant with the clauses sampled across all operations within its scope of registration Clause 2.2 The RTO: a) systematically monitors the RTO s training and assessment strategies and practices to ensure ongoing compliance with Standard 1; and b) systematically evaluates and uses the outcomes of the evaluations to continually improve the RTO s training and assessment strategies and practices. Evaluation information includes but is not limited to quality/performance indicator data collected under Clause 7.5, validation outcomes, client, trainer and assessor feedback and complaints and appeals. Australian Skills Quality Authority 24 of 36 Training and assessment strategies and practices are systematically monitored, including evaluation of:

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