Audit report VET Quality Framework

Transcription

1 Audit report VET Quality Framework Standards for Registered Training Organisations 2015 ORGANISATION DETAILS Organisation s legal name: Vertical Horizonz Australia Pty Ltd Trading name/s: Vertical Horizonz Australia Pty Ltd RTO number: CRICOS number: N/A AUDIT TEAM Lead auditor: Assistant/s: Technical advisor/s: Judith Keller 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: Unit 3/94 Delta Street, Geebung QLD 4034 Date/s of audit: 17 November 2015 Organisation s contact for audit: Graeme Banks General Manager Clauses audited: graeme@verticalhorizonz.com.au , 1.2, 1.3, 1.4, 1.5, 1.8, 1.13, 1.14 and 1.16 (The following clauses were not audited at they are not applicable to the applicant's change of scope applications , , 2.3 and 8.2) BACKGROUND The audit conducted on 17 November 2015 considered Vertical Horizonz Australia Pty Ltd s applications to add 9 units of competency drawn from the CPC08 Construction, Plumbing and Services Training Package, MSA07 Manufacturing Training Package, PUA12 Public Safety Training Package, RII Resources and Infrastructure Industry Training Package and TLI10 Transport and Logistics Training Package, to its scope of registration. The organisation has previously had eight of the nine requested units on its scope of registration, with all eight units having being withdrawn at the request of the RTO, submitted to ASQA on 11 March 2015 Australian Skills Quality Authority 1 of 53

2 (application ). The most recent site audit of the organisation prior to the current audit was a renewal of registration audit undertaken on 11 & 12 March The organisation advised that since the March 2015 audit it has restructured its operations and, following a period of scaled-back delivery of accredited training, has developed a plan to re-build the accredited training arm of the organisation based on consultation with industry about their current training needs. During the audit the organisation s Director and General Manager identified several organisations that it has consulted with as part of this process, including the Australian Defence Force, Contract Resources, BOC, GJ Gardiner Homes and the Melbourne Fire Service. A document* was also provided outlining Vertical Horizonz s established relationship with one client, in particular, Contract Resources, whom the organisation advised has offices/branches in Sydney, Auckland, Perth, Abu Dhabi, Saudi Arabia, Oman, Chile, Qatar, Columbia and the United States. The document was noted to include a rationale for delivery of several of the training products listed in the organisation s applications. For eight of the nine requested units of competency (application ) the organisation is seeking extent of registration to include all Australian States and Territories, and offshore delivery in Saudi Arabia, New Zealand, United Arab Emirate and Papua New Guinea. For the remaining unit of competency (TLILIC2001A Licence to operate a forklift truck), the organisation s application to ASQA (application ) seeks extent of registration to include all Australian States and Territories, and offshore delivery in New Zealand and Papua New Guinea. However, during the site audit, the organisation s General Manager provided written advice by way of to the auditor advising that the organisation wished to amend its change of scope application to limit the extent of registration to onshore delivery only. The organisation s General Manager advised that training and assessment for the training products included in its applications will be offered face to face, on a fee for service basis. At this stage, the organisation does not intend to seek government funding for the delivery of the units and does not plan to enter into any third party arrangements. Total number of current enrolments in RTO as at audit date: 32 (all enrolled in RII30813 Certificate III in Civil Construction Plant Operations) * During review of the document provided at audit outlining the relationship between Vertical Horizonz and Contract Resources it was noted that the units of competency referred to in the document were listed under the heading Australian Qualifications. The auditor discussed the referencing of the units in this manner with the RTO s General Manager at audit, clarifying that the training products listed in the document are units of competency, not Australian qualifications, as defined in the Australian Qualifications Framework. The RTO s General Manager agreed that the organisation would ensure that this distinction is made clear in all such future documents, so as to ensure that information about the training products being offered is both accurate and factual, and particularly where this information is being provided to prospective and current learners and clients. AUDIT SAMPLE Code Training products Mode/s of delivery / assessment* Current enrolments (If not yet on scope, record N/A) CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction Face to face, workplace N/A Australian Skills Quality Authority 2 of 53

3 industry MSAPMOHS216A Operate breathing apparatus Face to face, workplace MSAPMOHS217A Gas test atmospheres Face to face, workplace MSAPMPER200C Work in accordance with an issued permit Face to face, workplace PUASAR022A Participate in a rescue operation Face to face, workplace PUASAR025A Undertake confined space rescue Face to face, workplace RIIWHS204D Work safely at heights Face to face, workplace TLILIC2001A Licence to operate a forklift truck Face to face, workplace *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) N/A N/A N/A N/A N/A N/A N/A INTERVIEWEES Name Position Training products Bruce Mazengarb Director / Trainer / Assessor MSAPMOHS216A Graeme Banks General Manager N/A Wendy Miller Business Services N/A ORIGINAL FINDING AT TIME OF AUDIT Audit finding as at 17/11/2015: 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 noncompliance. 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 07/01/2016: Compliant AUDIT FINDING BY STANDARD Standard Original finding Finding following rectification Standard 1 Not compliant Compliant Standard 2 Not audited n/a Standard 3 Not audited n/a Standard 4 Not audited n/a Australian Skills Quality Authority 3 of 53

4 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 4 of 53

5 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: 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: Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry The RTO provided a documented training and assessment strategy (2 November 2015) detailing its proposed approach to delivery of training and assessment for the above unit of competency. Review of the documented training and assessment strategy found that: - Whilst the strategy identified a simulated workplace may be required for delivery of the unit, there was no information about the specific requirements and arrangements for the creation and use of the simulated workplace consistent with the requirements outlined in the CPC08 Construction, Plumbing and Services Training Package for the unit. - The evidence gathering techniques identified in the strategy included a log book. However, review of the organisation s assessment tools (see Clause 1.8) confirmed that a log book will not be used to gather assessment evidence for this unit. Therefore, the documented strategy does not accurately reflect the evidence gathering methods to be used in the delivery of the unit. - The strategy identified prospective target learners as including trainees and apprentices. However, this is inconsistent with advice provided by the RTO s General Manager at audit that the unit will be offered as a standalone training product on a fee-for-service basis only to both existing workers and new entrants to the construction industry. Furthermore, the strategy contained inconsistent information about the minimum age entry requirements for prospective learners. Therefore, the strategy did not contain accurate information about the intended target learners for the training product. - The RTO s strategy only included a framework for delivery of unit CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry at its training facility in Geebung, Queensland. No information was provided to demonstrate the organisation s Australian Skills Quality Authority 5 of 53

6 proposed delivery arrangements where this unit is delivered at other locations to which it is seeking to extend its scope of registration, particularly at offshore locations in Saudi Arabia, New Zealand, United Arab Emirates and Papua New Guinea. MSAPMOHS216A Operate breathing apparatus The RTO provided a documented training and assessment strategy (2 November 2015) detailing its proposed approach to delivery of training and assessment for the above unit of competency. Review of the documented training and assessment strategy found that: - Whilst the strategy identified a simulated workplace may be required for delivery of the unit, there was no information about the specific requirements and arrangements for the creation and use of the simulated workplace to support assessment, including specific resources for assessment consistent with the requirements of the MSA07 Manufacturing Training Package for the unit. - The strategy identified prospective target learners as including trainees and apprentices. However, this is inconsistent with advice provided by the RTO s General Manager at audit that the unit will be offered as a standalone training product on a fee-for-service basis only, to both existing working and others seeking specialised skills development. Furthermore, the strategy contained inconsistent information about the minimum age entry requirements for prospective learners. Therefore, the strategy did not contain accurate information about the intended target learners for the training product. - The RTO s strategy only included a framework for delivery of unit MSAPMOHS216A Operate breathing apparatus at its training facility in Geebung, Queensland. No information was provided to demonstrate the organisation s proposed delivery arrangements where this unit is delivered at other locations to which it is seeking to extend its scope of registration, particularly at offshore locations in Saudi Arabia, New Zealand, United Arab Emirates and Papua New Guinea. MSAPMOHS217A Gas test atmospheres The RTO provided a documented training and assessment strategy (2 November 2015) detailing its proposed approach to delivery of training and assessment for the above unit of competency. Review of the documented training and assessment strategy found that: - Information contained in the strategy about the resources to be used in the delivery of the above unit was of a generic nature - for example, suitable, operative/calibrated equipment, equipment appropriate to following WHS policies and procedures, and materials relevant to following WHS policies and procedures - rather than identifying the specific resources relevant to the unit MSAPMOHS217A Gas test atmospheres. - Whilst the strategy identified a simulated workplace may be required for delivery of the unit, there was no information about the specific requirements and arrangements for the creation and use of the simulated workplace to support assessment, consistent with the requirements of the MSA07 Manufacturing Training Package for the unit. - The strategy identified prospective target learners as including trainees and apprentices. However, this is inconsistent with advice provided by the RTO s General Manager at audit that the unit will be offered as a standalone training product on a fee-for-service basis only, to both existing working and others seeking specialised skills development. Furthermore, the strategy contained inconsistent information about the minimum age entry requirements for prospective learners. Therefore, the strategy did not contain accurate information about the intended target learners for the training product. - The RTO s strategy only included a framework for delivery of unit MSAPMOHS217A Gas test atmospheres at its training facility in Geebung, Queensland. No information was provided to demonstrate the organisation s proposed delivery arrangements where this unit is delivered at other locations to which it is seeking to extend its scope of registration, particularly at offshore locations in Saudi Arabia, New Zealand, United Arab Emirates and Papua New Guinea. Australian Skills Quality Authority 6 of 53

7 MSAPMPER200C Work in accordance with an issued permit The RTO provided a documented training and assessment strategy (2 November 2015) detailing its proposed approach to delivery of training and assessment for the above unit of competency. Review of the documented training and assessment strategy found that: - The strategy identified a simulated workplace is required for delivery of the above unit. However, there was limited information regarding the requirements and arrangements for the creation and use of a simulated workplace relevant to the different industries / workplace contexts of target learners, to enable consistency in the delivery of training and assessment and ensure realistic simulation. - The RTO s strategy for the above unit of competency identified prospective target learners as including trainees and apprentices. However, this is inconsistent with advice provided by the RTO s General Manager at audit that the unit will be offered as a standalone training product on a fee-for-service basis only to both existing working and others seeking specialised skills development. Therefore, the strategy did not contain accurate information about the intended target learners for the training product. PUASAR022A Participate in a rescue operation The RTO provided a documented training and assessment strategy (2 November 2015) detailing its proposed approach to delivery of training and assessment for the above unit of competency. Review of the documented training and assessment strategy found that: - Whilst the strategy identified a simulated workplace is required for delivery of the unit, there was limited information about the requirements and arrangements for the creation and use of a simulated environment (including rescue scenarios) to support assessment and enable learners to meet the requirements of the unit. - The RTO s strategy for the above unit of competency identified prospective target learners as including trainees and apprentices. However, this is inconsistent with advice provided by the RTO s General Manager at audit that the unit will be offered as a standalone training product on a fee-for-service basis only to both existing workers and others seeking specialised skill development. Therefore, the strategy did not contain accurate information about the intended target learners for the training product. PUASAR025A Undertake confined space rescue The RTO provided a documented training and assessment strategy (2 November 2015) detailing its proposed approach to delivery of training and assessment for the above unit of competency. Review of the documented training and assessment strategy found that: - Whilst the strategy identified a simulated workplace is required for delivery of the unit, there was limited information about the requirements and arrangements for the creation and use of a simulated environment to support assessment and enable learners to meet the requirements of the unit. - The RTO s strategy for the above unit of competency identified prospective target learners as including trainees and apprentices. However, this is inconsistent with advice provided by the RTO s General Manager at audit that the unit will be offered as a standalone training product on a fee-for-service basis only to both existing workers and others seeking specialised skill development. Therefore, the strategy did not contain accurate information about the intended target learners for the training product. RIIWHS204D Work safely at heights The RTO provided a documented training and assessment strategy (2 November 2015) detailing its proposed approach to delivery of training and assessment for the above unit of competency. Review of the documented training and assessment strategy found that: - Whilst the strategy identified a simulated workplace is required for delivery of the unit, there was limited information about the requirements and arrangements for the creation and use of Australian Skills Quality Authority 7 of 53

8 a simulated environment to support assessment and enable learners to meet the requirements of the unit. - The RTO s strategy for the above unit of competency identified prospective target learners as including trainees and apprentices. However, this is inconsistent with advice provided by the RTO s General Manager at audit that the unit will be offered as a standalone training product on a fee-for-service basis only, to both existing workers and others seeking specialised skill development. Therefore, the strategy did not contain accurate information about the intended target learners for the training product. In order to become compliant, the organisation is required to: Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry Provide a revised, documented training and assessment strategy for the above unit of competency that: - includes details of the arrangements for the creation and use of the simulated workplace consistent with the requirements outlined in the CPC08 Construction, Plumbing and Services Training Package for the unit; and - accurately reflects the evidence gathering methods to be used in the delivery of the unit; and - contains accurate information about the intended target learners for the training product, including minimum age entry requirements for prospective learners; and - includes information about proposed delivery arrangements where the unit is delivered at other locations in Australia and offshore. MSAPMOHS216A Operate breathing apparatus Provide a revised, documented training and assessment strategy for the above unit of competency that: - includes details of the arrangements for the creation and use of the simulated workplace to support assessment, consistent with the requirements of the MSA07 Manufacturing Training Package for the unit; and - contains accurate information about the intended target learners for the training product, including minimum age entry requirements for prospective learners; and - includes information about proposed delivery arrangements where the unit is delivered at other locations in Australia and offshore. MSAPMOHS217A Gas test atmospheres Provide a revised, documented training and assessment strategy for the above unit of competency that: - identifies the specific resources/equipment to be used in the delivery of the unit, including details of the arrangements for the creation and use of the simulated workplace to support assessment, consistent with the requirements of the MSA07 Manufacturing Training Package for the unit; and - contains accurate information about the intended target learners for the training product, including minimum age entry requirements for prospective learners; and - includes information about proposed delivery arrangements where the unit is delivered at other locations in Australia and offshore. MSAPMPER200C Work in accordance with an issued permit Provide a revised, documented training and assessment strategy for the above unit of competency that: Australian Skills Quality Authority 8 of 53

9 - contains sufficient information about the requirements and arrangements for the creation and use of a simulated workplace relevant to the different industries / workplace contexts of target learners, to ensure realistic simulation and consistency in the delivery of training and assessment; and - contains accurate information about the intended target learners for the training product. PUASAR022A Participate in a rescue operation Provide a revised, documented training and assessment strategy for the above unit of competency that: - contains sufficient information about the requirements and arrangements for the creation and use of a simulated environment to support assessment and enable learners to meet the requirements of the unit; and - contains accurate information about the intended target learners for the training product. PUASAR025A Undertake confined space rescue Provide a revised, documented training and assessment strategy for the above unit of competency that: - contains sufficient information about the requirements and arrangements for the creation and use of a simulated environment to support assessment and enable learners to meet the requirements of the unit; and - contains accurate information about the intended target learners for the training product. RIIWHS204D Work safely at heights Provide a revised, documented training and assessment strategy for the above unit of competency that: - contains sufficient information about the requirements and arrangements for the creation and use of a simulated environment to support assessment and enable learners to meet the requirements of the unit; and - contains accurate information about the intended target learners for the training product. Analysis of rectification evidence: Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry Evidence provided: - Revised training and assessment strategy (v 1.2, date of approval 23/12/2015) - Simulated work environment photographs - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. Review of the revised, documented training and assessment strategy for CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry found that it: - included basic details of the arrangements for use of the workplace or a simulated workplace environment for practical assessment, which includes the use of resources / equipment for the creation of a simulated workplace consistent with the requirements outlined in the CPC08 Construction, Plumbing and Services Training Package for the unit; and - accurately reflected the evidence gathering methods to be used in the delivery of the unit; and Australian Skills Quality Authority 9 of 53

10 - contained accurate information about the intended target learners for the training product, including minimum age entry requirements for prospective learners; and - included basic information about proposed delivery arrangements where the unit is delivered at other locations in Australia and offshore. MSAPMOHS216A Operate breathing apparatus Evidence provided: - Revised training and assessment strategy (v 1.2, date of approval 23/12/2015) - Simulated work environment photographs - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. Review of the revised, documented training and assessment strategy for MSAPMOHS216A Operate breathing apparatus found that it: - included basic details of the arrangements for use of the workplace or a simulated workplace environment for practical assessment, which includes the use of resources / equipment for the creation of a simulated workplace consistent with the requirements of the MSA07 Manufacturing Training Package for the unit; and - contained accurate information about the intended target learners for the training product, including minimum age entry requirements for prospective learners; and - included basic information about proposed delivery arrangements where the unit is delivered at other locations in Australia and offshore. MSAPMOHS217A Gas test atmospheres Evidence provided: - Revised training and assessment strategy (v 1.2, date of approval 23/12/2015) - Simulated work environment photographs - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. Review of the revised, documented training and assessment strategy for MSAPMOHS217A Gas test atmospheres found that it: - identified the specific resources/equipment to be used in the delivery of the unit, including basic details of the arrangements for the use of a simulated workplace to support assessment, consistent with the requirements of the MSA07 Manufacturing Training Package for the unit; and - contained information about the intended target learners for the training product, including minimum age entry requirements for prospective learners for the training product; and - included basic information about proposed delivery arrangements where the unit is delivered at other locations in Australia and offshore. MSAPMPER200C Work in accordance with an issued permit Evidence provided: - Revised training and assessment strategy (v 1.2, date of approval 23/12/2015) - Simulated work environment photographs - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. Australian Skills Quality Authority 10 of 53

11 Review of the revised, documented training and assessment strategy for MSAPMPER200C Work in accordance with an issued permit found that it: - contained basic information about the requirements and arrangements for the use of workplace environments and/or a simulated workplace environment to ensure realistic simulation and consistency in the delivery of training and assessment; and - contained accurate information about the intended target learners for the training product. PUASAR022A Participate in a rescue operation Evidence provided: - Revised training and assessment strategy (v 1.2, date of approval 23/12/2015) - Simulated work environment photographs and video - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. Review of the revised, documented training and assessment strategy for PUASAR022A Participate in a rescue operation found that it: - contained basic information about the requirements and arrangements for the use of a simulated environment to support assessment and enable learners to meet the requirements of the unit; and - contained accurate information about the intended target learners for the training product. PUASAR025A Undertake confined space rescue Evidence provided: - Revised training and assessment strategy (v 1.2, date of approval 23/12/2015) - Simulated work environment photographs and video - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. Review of the revised, documented training and assessment strategy for PUASAR025A Undertake confined space rescue found that it: - contained basic information about the requirements and arrangements for the use of a simulated environment to support assessment and enable learners to meet the requirements of the unit; and - contained accurate information about the intended target learners for the training product. RIIWHS204D Work safely at heights Evidence provided: - Revised training and assessment strategy (v 1.2, date of approval 23/12/2015) - Simulated work environment photographs - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. Review of the revised, documented training and assessment strategy for PUASAR025A Undertake confined space rescue found that it: - contained basic information about the requirements and arrangements for the use of a simulated environment to support assessment and enable learners to meet the requirements of the unit; and - contained accurate information about the intended target learners for the training product. Australian Skills Quality Authority 11 of 53

12 The evidence provided supports compliance with the requirements of Clause 1.1. No further evidence is required. 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: 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 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 Following rectification: Compliant For all training products sampled, there are sufficient: 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: Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry MSAPMOHS216A Operate breathing apparatus Australian Skills Quality Authority 12 of 53

13 MSAPMOHS217A Gas test atmospheres MSAPMPER200C Work in accordance with an issued permit PUASAR022A Participate in a rescue operation PUASAR025A Undertake confined space rescue RIIWHS204D Work safely at heights For the above units of competency the RTO provided evidence at audit to support that it has access to sufficient trainers/assessors, educational and support services to meet the needs of learners, learning resources, facilities and equipment to accommodate learners, at its Geebung delivery location. However, the organisation was unable to demonstrate how it will ensure that the requirements of Clause 1.3 will be met where training and assessment is delivered at other locations in Australia and offshore. TLILIC2001A Licence to operate a forklift truck For the above unit of competency, insufficient evidence was available to support that the RTO has a trainer/assessor who meets all of the requirements of Clause 1.13 (see Clause 1.13 for details). Therefore, it could not be confirmed that the RTO has sufficient trainers/assessors to deliver the above unit of competency. Furthermore, whilst the RTO was able to evidence at audit that it has access to sufficient education and support services to meet the needs of learners, learning resources, facilities and equipment to accommodate learners at its Geebung delivery location, it was unable to demonstrate how it will ensure that these requirements associated with Clause 1.3 will be met where training and assessment is delivered at other locations in Australia. In order to become compliant, the organisation is required to: Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry MSAPMOHS216A Operate breathing apparatus MSAPMOHS217A Gas test atmospheres MSAPMPER200C Work in accordance with an issued permit PUASAR022A Participate in a rescue operation PUASAR025A Undertake confined space rescue RIIWHS204D Work safely at heights Provide evidence to demonstrate how the RTO will ensure that it has access to sufficient resources - as per the requirements specified in Clause 1.3 (a) (d) - where training and assessment for the above units of competency is delivered at other Australian locations (other than at its facility at Geebung, Queensland) and offshore. TLILIC2001A Licence to operate a forklift truck Provide evidence to demonstrate that the RTO has at least one trainer/assessor for the above unit of competency who meets all of the requirements of Clause Provide evidence to demonstrate how the RTO will ensure that it has access to sufficient resources - as per the requirements specified in Clause 1.3 (a) (d) - where training and assessment for the above units of competency is delivered at other Australian locations (other than at its facility at Geebung, Queensland). Analysis of rectification evidence: Australian Skills Quality Authority 13 of 53

14 Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry MSAPMOHS216A Operate breathing apparatus MSAPMOHS217A Gas test atmospheres MSAPMPER200C Work in accordance with an issued permit PUASAR022A Participate in a rescue operation PUASAR025A Undertake confined space rescue RIIWHS204D Work safely at heights Evidence provided: - Revised training and assessment strategies for each of the above units of competency, identifying the address of proposed delivery sites and training facilities in Brisbane, Sydney, Melbourne, Adelaide, Perth, Darwin, Auckland (NZ), Tauranga (NZ), Papua New Guinea, Abu Dhabi (UAE), Qatar and Dubai (UAE) - identifying delivery location in Jubail (Saudi Arabia) - Simulated work environment photographs - Copies of correspondence from New Zealand Qualifications Authority confirming approval of permanent delivery sites in Auckland (21 December 2012), Tauranga (12 August 2013) and Christchurch (28 October 2015), New Zealand. The evidence demonstrates that the RTO has access to sufficient resources, as per the requirements specified in Clause 1.3 (a) (d) to support the delivery of training and assessment for the above units of competency where they are delivered at Australian locations and specified offshore locations. TLILIC2001A Licence to operate a forklift truck Evidence provided: - Revised training and assessment strategy (v1.2, date of approval 23/12/15) - delivery at 3/94 Delta Street, Geebung, Queensland. - Written response dated 7 January As for Clause 1.13 (Sonya Francis). The evidence demonstrates that for the unit TLILIC2001A Licence to operate a forklift truck the RTO: - has a trainer/assessor for the above unit of competency who meets all of the requirements of Clause presently has access to resources to enable the delivery of this unit in Queensland only - as per the written statement provided Further to the above the RTO (Vertical Horizonz Australia Code 31160), acknowledges the different interstate requirements for the delivery of this unit. Therefore, the RTO only supplied rectification evidence for the delivery of this unit in the state of Queensland ONLY. The evidence provided supports compliance with the requirements of Clause 1.3. No further evidence is required. 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 14 of 53 Following rectification: Compliant N/A

15 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: Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry MSAPMOHS216A Operate breathing apparatus MSAPMOHS217A Gas test atmospheres MSAPMPER200C Work in accordance with an issued permit PUASAR022A Participate in a rescue operation PUASAR025A Undertake confined space rescue For each of the above units of competency, the organisation s training and assessment strategies did not demonstrate unequivocal consistency with the requirements of the relevant training package, particularly with regard to the creation and use of a simulated workplace environment for assessment purposes - see Clause 1.1 for further details. Additionally, evidence provided for the above units for Clause 1.8 did not confirm that the RTO s proposed assessment strategies are consistent with training package requirements, particularly with regard to ensuring that assessment is conducted in accordance with the principles of assessment rules of evidence - see Clause 1.8 for further details. RIIWHS204D Work safely at heights For the above unit of competency, the organisation s training and assessment strategy did not contain sufficient information about the arrangements for the creation and use of a simulated environment to unequivocally confirm that it would meet all of the requirements of the unit - see Clause 1.1. In order to become compliant, the organisation is required to: Explicit units of competency CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry MSAPMOHS216A Operate breathing apparatus MSAPMOHS217A Gas test atmospheres MSAPMPER200C Work in accordance with an issued permit PUASAR022A Participate in a rescue operation PUASAR025A Undertake confined space rescue For each of the above units, provide evidence that satisfactorily rectifies the non-compliance identified in respect of Clause 1.1 and Clause 1.8. RIIWHS204D Work safely at heights For the above unit of competency, provide evidence that satisfactorily rectifies the noncompliance identified in respect of Clause 1.1. Analysis of rectification evidence: Explicit units of competency Australian Skills Quality Authority 15 of 53

16 CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry MSAPMOHS216A Operate breathing apparatus MSAPMOHS217A Gas test atmospheres MSAPMPER200C Work in accordance with an issued permit PUASAR022A Participate in a rescue operation PUASAR025A Undertake confined space rescue For each of the above units of competency the organisation provided evidence that satisfactorily rectified the previously identified non-compliance in respect of Clause 1.1, thereby demonstrating consistency with the requirements of the relevant training packages, particularly with regard to the use of a simulated workplace environment for assessment purposes. Rectification evidence provided for the above units for Clause 1.8 confirmed that the RTO s proposed assessment strategies are consistent with training package requirements, particularly with regard to ensuring that assessment will conducted in accordance with the principles of assessment rules of evidence RIIWHS204D Work safely at heights For the above unit of competency the organisation provided evidence that satisfactorily rectified the previously identified non-compliance in respect of Clause 1.1, thereby demonstrating consistency with the requirements of the RII Training Package, particularly with regard to the use of a simulated workplace environment for assessment purposes. The evidence provided supports compliance with the requirements of Clause 1.4. No further evidence is required. 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 Australian Skills Quality Authority 16 of 53

17 resources, including facilities and equipment 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 Original finding: Not compliant Following rectification: Compliant N/A Explicit scope units of competency Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) CPCCOHS2001A Apply OHS requirements, policies and procedures in the construction industry Assessment tools consist of: Activity book (v4, 16 Sept 2015): Module 1-8 open-ended written questions. Practical activities. Module 2-9 open ended written questions. Practical activities. Module 3-19 openended written questions. Practical activities. Unit assessment tool (v4, 16 Sept 2015): Theory assessment. 31 open-ended questions covering names and definitions of OHS/WHS laws and guidelines; responsibilities under duty of care as an employee; safe work method statements; MSDS; safe work practices; procedures and OHS/WHS documentation in construction industry; work at heights;, role of an OHS/WHS representative; common hazards on a construction site; hazardous materials on a construction site; type of medium required when a HAZCHEM code indicates the number 1; asbestos-containing materials in the construction industry; who to report asbestos containing material to; why high speed abrasive power and pneumatic tools should not be used around asbestos containing materials; avoiding manual handing injuries; hierarchy of hazard control; documents and information to refer to before undertaking high risk construction work; PPE to wear on worksite; reporting equipment defects; two way radios used on construction sites; hand signals; isolation of work area from pedestrians; where to obtain instructions for installation and fitting of guards; ways to adapt to cultural and Australian Skills Quality Authority 17 of 53

18 social differences; types/categories of signs; clearance of litter and debris from work area at end of task; basic steps to follow in the event of an emergency, first aid; classes of fire; evacuation procedures; hazard and incident reporting. Practical assessment. 1. Identify and gather OHS/WHS documentation relevant to role in construction industry, Use documentation and provide explanations - checklist provided, 2. Demonstrate and explain how to carry out risk management - including identifying hazards in work area, asseesing risks, carrying out risk/hazard analysis, using hierarchy of control to determine and apply appropriate measures for control the identified risks and hazards, dealing with hazardous materials. 3. Demonstrate and explain how to plan and prepare for a task following safe work pactices - including identifying and gathering safey plan for the tasks and using documents to plan task, planning and organising setting out the work task following workplace procedure, selecting PPE, selecting tools and equipment, preparing work area. 4. Demonstrate and/or explain how to perform task applying safe work practices according to workplace and legislative requirements, identifying and following all safety signs and symbols, communicating with team, cleaning and clearing the work area. 5. Demonstrate and/or explain the workplace emergency response procedures for a simulated incident/acident in the workplace - including identifying who to communicate with in the event of incident or emergency and their roles, correctly responding to the incident/accident, following safety procedures to extinguish a simulated mechnical fire, carrying out emergency evacuation of the site following procedures. Assessment checklists provided. Trainer's handbook (v.4, 16 Sept 2015): Includes - Module 1 activity book answers, guidance for assessment of Module 1 practical activities; Module 2 activity book answers; Module 3 activity book answers, guidance for assessment of Module 3 practical activities; Unit assessment tool answers, Audit mapping. Auditors handbook. MSAPMOHS216A Operate breathing apparatus Assessment tools consist of: Activity book (v4, 16 Sept 2015): Module 1-12 open-ended questions. Practical activities. Module 2-11 open-ended questions. Practical activities. Unit assessment tool (v4, 16 Sept 2015): Theory assessment. 12 open-ended questions covering equipment inspections; pre-use tests and checks of breathing apparatus; why it is important that breathing apparatus is donned in a specific order; how a negative test is performed on breathing apparatus; what to do if any fault or damage is found with equipment after inspection and testing; considerations for maintaining personal safety when using breathing apparatus; types of atmosphereic variatbles that must be monitored when working confined space; moving through low visability areas whilst using breathing apparatus; procedures to implement if trapped; removing breathing apparaus; returning breathing apparatus to operational readiness; maintenance procedures. Practical assessment. 1 Demonstrate and/or explain the procedures required to prepare breathing apparatus for the designated task in accordance with workplace procedures. Conduct pre-tests on breathing apparatus (checklist provided), don breathing apparatus in accordance with workplace procedures and manufacturer's instructions, start breathing apparatus and perform operation checks, start and/or record faulty or damaged equipment, conduct risk management process in consultation with team - identify hazards, work out best way to control, minimise or eliminate, implement control. 2. Demonstrate and/or explain procedures required to operate breathing apparatus to complete the designated simulated task. Communicate with team, use breathing apparatus to conduct activities, work as member of team in reduced visibility, maintain personal safety. 3. Demonsterate and/or explain procedures to conclude operation and make breathing apparatus and equipment ready for operatonal use. Assessment checklists provided. Trainer's handbook (v.4, 16 Sept 2015): Includes - Module 1 activity book answers, guidance for assessment of Module 1 practical activities; Module 2 activity book answers; Unit assessment tool Australian Skills Quality Authority 18 of 53