Audit report VET Quality Framework

Transcription

1 Audit report VET Quality Framework Standards for Registered Training Organisations 2015 ORGANISATION DETAILS Organisation s legal name: Melbourne City Institute of Education Pty. Ltd. as Trustee for MCIE Unit Trust Trading name/s: Melbourne City Institute of Education RTO number: CRICOS number: 03024A AUDIT TEAM Lead auditor: Assistant/s: Technical advisor/s: F. Garai N/A N/A AUDIT DETAILS Application number/s: N/A Audit number/s: Audit reason 1: Compliance - monitoring Audit reason 2: n/a Audit reason 3: n/a Activity type: Site visit Address of site/s visited: Level 2, Chetwynd Street, West Melbourne Vic 3003 Date/s of audit: 20 to 21 January 2016 Organisation s contact for audit: Mr Paramvir (Gary) Coonar Managing Director gary.coonar@mcie.com.au Clauses audited: , 1.22, 1.25, 1.26, 1.27, 2, 3, 4, 5, 6, 7.3, 8.2, & 8.6 Australian Skills Quality Authority 1 of 45

2 BACKGROUND The RTO was registered on the 30 October And transferred to ASQA on the 29 October 2013, the RTO is both a VET and CRICOS provider. The RTO delivers training to both domestic and international students. On the 23 July 2014 the Chief Commissioner ASQA approved that a compliance monitoring audit was to be conducted on the RTO s as an outcome of a sanction evidence review conducted on the 14 May RTO Management structure The RTO has a management team that consists of Managing Directors and managers from Training, HR, Admin, and report to the Managing Directors fortnightly. Training co-ordinators meet with department managers weekly. Other strategic & operational groups that assist the RTO The RTO also utilises the following peak bodies and industry associations to maintain current industry knowledge: ACPET, NEAS, Hospitality Industry Association Australia (Victoria), industry reference committees and skills service organisations. General description of RTO location & facilities The RTO has offices and training facilities at the following locations: Level 2, Chetwynd Street West Melbourne Vic 3003 (Head office & Child care Management Hospitality Aged Care) Level 5, 250 Collins Street, Melbourne Vic 3000 (ELICOS only) 644 Victoria Street North Melbourne Vic 3051 (Commercial Kitchen) The RTO uses client venues and facilities for the delivery of training and the conduct of assessment for the training of the child care qualifications. General description of training modes used by the RTO The RTO provides training using: classroom based delivery workplace based delivery Traineeship RTO scope of registration The RTO scope of registration has qualifications/accredited courses/units of Competency from the following industry training packages: BSB, CHC Community Services, and SIT The RTO is registered to deliver the following qualifications: BSB40407 Certificate IV in Small Business Management BSB40415 Certificate IV in Small Business Management BSB51107 Diploma of Management BSB51915 Diploma of Leadership and Management CHC30113 Certificate III in Early Childhood Education and Care CHC30212 Certificate III in Aged Care CHC30312 Certificate III in Home and Community Care CHC40108 Certificate IV in Aged Care Australian Skills Quality Authority 2 of 45

3 CHC40312 Certificate IV in Disability CHC50113 Diploma of Early Childhood Education and Care SIT20213 Certificate II in Hospitality SIT20312 Certificate II in Kitchen Operations SIT30813 Certificate III in Commercial Cookery SIT40413 Certificate IV in Commercial Cookery SIT50313 Diploma of Hospitality The RTO delivers and assess the following accredited courses: 10046NAT Certificate II in Understanding and Management of Diabetes 10317NAT Certificate IV in TESOL (Teaching English to Speakers of Other Languages) 10318NAT Diploma of TESOL (Teaching English to Speakers of Other Languages) 22128VIC Certificate I in Work Education RTO current enrolment details 10046NAT Certificate II in Understanding and Management of Diabetes = 41 students BSB40407 Certificate IV in Small Business Management = 15 students BSB40415 Certificate IV in Small Business Management = 1 student BSB51107 Diploma of Management= 21 students BSB51915 Diploma of Leadership and Management = 2 students CHC30113 Certificate III in Early Childhood Education and Care = 57 students CHC30212 Certificate III in Aged Care = 65 students CHC30312 Certificate III in Home and Community Care = 9 students CHC40312 Certificate IV in Disability = 23 students CHC50113 Diploma of Early Childhood Education and Care = 525 students SIT30813 Certificate III in Commercial Cookery = 146 students SIT40413 Certificate IV in Commercial Cookery = 39 students SIT50313 Diploma of Hospitality = 33 RTO fee or funding information The RTO offers its training and services as a fee for service and government funded provider AUDIT SAMPLE Code Training products Mode/s of delivery / assessment* Current enrolments (If not yet on scope, record N/A) CHC30113 Certificate III in Early Childhood Education and Care Face to face, & workplace 57 CHC50113 Diploma of Early Childhood Education and Care Face to face, & workplace 525 SIT50313 Diploma of Hospitality Face to face, & workplace 33 *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) Australian Skills Quality Authority 3 of 45

4 INTERVIEWEES Name Position Training products Gary Coonar Managing Director ALL Rajesh Iyer Community services training coordinator Nicole Summers Data quality manager ALL Maryann James Bryony Dade Early childhood training coordinator Director for Learning and Development Community services qualifications Early childhood qualifications ALL Rajiv Guvman Director of training delivery ALL Gurpreet Bhatia Hospitality trainer and assessor Hospitality qualification ORIGINAL FINDING AT TIME OF AUDIT Audit finding: Critical non-compliance Report completed by: F. Garai Date: 22 January 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 4 of 45

5 AUDIT FINDING FOLLOWING ANALYSIS OF RECTIFICATION EVIDENCE Audit finding following analysis of additional evidence provided on 11 March 2016: Compliant Report completed by: F. Garai Date: 22 March 2016 AUDIT FINDING BY STANDARD Standard Original finding Finding following rectification Standard 1 Not compliant Compliant Standard 2 Not compliant Compliant Standard 3 Not compliant Compliant Standard 4 Compliant n/a Standard 5 Not compliant Compliant Standard 6 Compliant n/a Standard 7 Not audited n/a Standard 8 Not compliant Compliant 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 5 of 45

6 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: Evidence audited: Training and assessment strategies for: CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care SIT50313 Diploma of Hospitality Training and assessment Strategy s Policy and Procedure The registered provider s training & assessment strategies and practices including the amount of training they provide, are inconsistent with the requirements of training packages and VET accredited courses, and do not enable each learner to meet the requirements for each unit of competency or module in which they are enrolled because: The training and assessment strategy and practices did not determine how the RTO will schedule training and assessment activities to ensure learners are able to fully develop the required skills and knowledge prior to being assessed. (Refer to Clause 1.2 for details). The assessment strategy and practices were not consistent with the requirements of the training products, as the assessment practices did not comply with the assessment requirements of the following training products: CHCECE009 Use an approved learning framework to guide practice CHCECE010 Support the holistic development of children in early childhood SITHCCC309 Work effectively as a cook SITXFSA101 Use hygienic practices for food safety (Refer to Clause 1.8 for details). Australian Skills Quality Authority 6 of 45

7 In order to become compliant, the organisation is required to: Provide evidence that the training and assessment strategies and practices have been amended to demonstrate that: training and assessment practices, meet the requirements for the relevant training packages and, assessment practices meet the Principles of Assessment and the Rules of evidence. Analysis of rectification evidence: Training and assessment strategies for: CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care SIT50313 Diploma of Hospitality ACSF support options The registered provider s evidence demonstrated that the training & assessment strategies and practices including the amount of training they provide, are consistent with the requirements of training packages and VET accredited courses, and will enable each learner to meet the requirements for each unit of competency or module in which they are enrolled. 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: 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: Evidence audited: Training and assessment strategies for: CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care SIT50313 Diploma of Hospitality Training and assessment Strategy s Policy and Procedure The registered provider s evidence did not demonstrate that the amount of training provided to each learner is determined because: Australian Skills Quality Authority 7 of 45

8 The training and assessment strategies did not identify how it would deliver the course to different learner cohorts with varied experience. That is, the strategy contained the same delivery and assessment methodology for experienced learners that may have been working in the industry for a reasonable period of time to assimilate a working level of experience, knowledge and skills, compared to a learner that is new to the industry environment with little or no working experience, knowledge and skills. In order to become compliant, the organisation is required to: Provide evidence that the training and assessment strategies have been amended to identify how it would deliver the course to different learner cohorts with varied experience. Identifying a learner s existing experience, skills and knowledge in conjunction with the specific requirements of the training product, to determine how the RTO will schedule training and assessment activities to ensure learners are able to fully develop the required skills and knowledge prior to being assessed. Analysis of rectification evidence: Training and assessment strategies for: CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care SIT50313 Diploma of Hospitality The evidence demonstrated that the registered provider determines the amount of training they provide to each learner with regard to their existing skills, knowledge and the experience of the learner. 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: Evidence audited: Level 2, Chetwynd Street West Melbourne Vic 3003 (Head office & Child care Management Hospitality Aged Care training facilities) MCIE s commercial training kitchen at: 644 Victoria Street North Melbourne Vic 3051 Australian Skills Quality Authority 8 of 45

9 SIT50313 Diploma of Hospitality training and assessment strategy The registered provider s evidence did not demonstrate how it ensures that resources specified in SIT12 training package and the SIT50313 Diploma of Hospitality training and assessment strategy are used across all of its operations by learners because: There were insufficient resources in the commercial kitchen that are required to be demonstrated in sufficient quantities to accommodate the number of learners for the unit of competency SITHCCC309 Work effectively as a cook. The RTO s identified at time of audit that cohort sizes will be between 15 to 20 learners, only the following equipment in the quantities identified were presented at the time of audit: 1 x microwave 1 x hot plate, grill/griddle 1 x dough/cake mixer 1 x marble dough & pastry preparation bench The critical aspects for assessment and evidence required to demonstrate competency in the SITHCCC309 Work effectively as a cook unit, under Context Specific Resources for assessment states: Assessment must ensure use of: an operational commercial kitchen with the fixtures, large and small equipment and workplace documentation defined in the Assessment Guidelines; (Ref: p 982 SIT12 Tourism, Travel and Hospitality Training Package) The assessment Guidelines for the SIT12 Tourism, Travel and Hospitality Training Package state: Simulated assessment environments and activities: Wherever a simulated assessment is conducted it is vital that the assessment environment is as industry realistic as possible. It is essential that assessment is conducted using suitable resources and equipment and under industry-relevant conditions as close to a real work situation as possible. This involves: appropriate environments as prescribed in the Context of and specific resources for assessment section within each unit of competency adequate numbers of up-to-date equipment and technology that is currently used within industry and would be generally available in a modern tourism, hospitality or events business (Ref p 121, SIT12 Tourism, Travel and Hospitality Training Package) In accordance with the training packages simulated assessment environments and activities requirements, the quantities of the equipment identified above would not be sufficient to demonstrate, wherever a simulated assessment is conducted it is vital that the assessment environment is as industry realistic as possible. In order to become compliant, the organisation is required to: Provide evidence that the registered provider s commercial training kitchen at: 644 Victoria Street North Melbourne Vic, has sufficient quantities of the equipment identified above to demonstrate, wherever a simulated assessment is conducted that the assessment environment is as industry realistic as possible, and accommodates the number of learners being trained and assessed. Analysis of rectification evidence: Paid invoices from Kmart for: 3 x 25 litre Stainless steel front microwave ovens, and 1 X Marble and wood long board Paid invoices from Chefs hat: 2 x 5L planetary mixer, 2 x Electric Griddles flat top Australian Skills Quality Authority 9 of 45

10 The evidence demonstrated that the registered provider s commercial training kitchen at 644 Victoria Street, North Melbourne, has sufficient quantities of equipment to demonstrate, wherever a simulated assessment is conducted that the assessment environment is as industry realistic as possible, and accommodates the number of learners being trained and assessed. Clause 1.4 The RTO meets all requirements specified in the relevant training package or VET accredited course. Original finding: Not compliant Following rectification: Compliant N/A 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: Evidence audited: Training and assessment strategies for: CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care SIT50313 Diploma of Hospitality Training and assessment Strategy s Policy and Procedure MCIE s commercial training kitchen at: 644 Victoria Street North Melbourne Vic 3051 Assessment tools for: CHCECE009 Use an approved learning framework to guide practice CHCECE010 Support the holistic development of children in early childhood SITHCCC309 Work effectively as a cook SITXFSA101 Use hygienic practices for food safety The registered provider does not meet all the requirements specified in the relevant training package or VET accredited courses because: Standard 1: Clause; 1.1: The registered provider s training & assessment strategies and practices including the amount of training they provide, are inconsistent with the requirements of training packages and VET accredited courses, and do not enable each learner to meet the requirements for each unit of competency or module in which they are enrolled Standard 1: Clause; 1.2: The registered provider s evidence did not demonstrate how the amount of training provided to each learner is determined because; the training and assessment strategies did not identify how it would deliver the course to different learner cohorts with varied experience, skills and knowledge. Standard 1: Clause; 1.3: The registered provider s evidence did not demonstrate how it ensures that resources specified in SIT12 training package and the SIT50313 Diploma of Hospitality training and assessment strategy are used across all of its operations by learners. Australian Skills Quality Authority 10 of 45

11 Standard 1: Clause; 1.8: The registered provider s evdience has not demonstrated that they have developed and implemented an assessment system to ensure: a) it complies with the assessment requirements of the relevant training packages; and b) is conducted in accordance with the Principles of Assessment contained in Table and the Rules of Evidence contained in Table In order to become compliant, the organisation is required to: Provide evidence that rectification for the identified non-compliances for Standard: 1 Clauses; 1.1., 1.2, 1.3, and 1.8 has been affected. Analysis of rectification evidence: The registered provider s evidence demonstrated that it meets all of the requirements specified in the relevant training package. 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. Original finding: Compliant 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 current industry skills required to be held by trainers and assessors Australian Skills Quality Authority 11 of 45

12 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. Original finding: Compliant 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 12 of 45

13 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: Compliant Training product CHCECE009 Use an approved learning framework to guide practice CHCECE010 Support the holistic development of children in early childhood SITHCCC309 Work effectively as a cook SITXFSA101 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 Reasons for finding of non-compliance: Evidence audited: Student assessment instructions Student hand book Assessment tools for: CHCECE009 Use an approved learning framework to guide practice CHCECE010 Support the holistic development of children in early childhood SITHCCC309 Work effectively as a cook SITXFSA101 Use hygienic practices for food safety Student files CHC30113 Certificate III in Early Childhood Education and Care: Sui Cer Chin Hlawn Ceu, Student No: MCE , Mooroolbark Group Sui Len Par Cin Zah, Student No: MCE , Mooroolbark Group Leanne Kirkman, Student No: MCE April Wieland, Student No: MCE Australian Skills Quality Authority 13 of 45

14 Student files for the CHC50113 Diploma of Early Childhood Education and Care: Amelia Elis, Student No: MCE Jasleen Bindra, Student No: MCE Rachel Di Bernado, Student No: MCE Michael Agbuya, Student No: MCE Student files for the SIT50313 Diploma of Hospitality: Lalit Dewan, Student No: MCE , Gurpeets Class The registered provider has not demonstrated that they have developed and implemented an assessment system to ensure: a) it complies with the assessment requirements of the relevant training packages; and b) is conducted in accordance with the Principles of Assessment contained in Table and the Rules of Evidence contained in Table because: Common non-compliances for all assessment tools: The registered provider s evidence did not demonstrate the RTO providing information to the candidate about the assessment process, and providing the candidate with the opportunity to challenge an assessment result, and be reassessed if necessary. Non-compliance for the CHCECE010 Support the holistic development of children in early childhood assessment tools CHC30113 Certificate III in Early Childhood Education and Care Workplace Portfolio visit two The assessment tool Portfolio visit two for CHCECE010 Support the holistic development of children in early childhood does not collect sufficient evidence to satisfy the performance evidence to assess competence of the applicant in accordance with the training product requirements. Performance evidence: The candidate must show evidence of the ability to complete tasks outlined in elements and performance criteria of this unit, manage tasks and manage contingencies in the context of the job role. There must be demonstrated evidence that the candidate has completed the following tasks at least once: There must be demonstrated evidence that the candidate has completed the following tasks at least once: supported the development of children in at least three different situations/activities (including different age groups and abilities), including: interacting with children to holistically support development and learning appropriate to the child s abilities and age providing a variety of experiences and environments to support the different areas of children s development (including a combination of physical, creative, social, emotional, language and cognitive) (Ref: p1857 CHC Community Services Training Package, Release 3.0, 8 December 2015) Non-compliances for: CHCECE009 Use an approved learning framework to guide practice, and CHCECE010 Support the holistic development of children in early childhood Third party Report Work placement assessment tasks visit one, and visit two Third party Report Work placement assessment tasks visit two is used to formulate the competency judgement and does not follow the criteria of ASQA s fact sheet for the use of third party evidence to assess competence as follows: The registered provider s evidence does not identify if using a third party to collect evidence that will contribute to a pool of evidence is a co-assessment arrangement, in which an assessor and another party work together to conduct assessment. Australian Skills Quality Authority 14 of 45

15 The registered provider s evidence does not identify if an agreement has been reached with a third party to collect evidence to complement other evidence gathered by the assessor, it is still the role of the assessor to make the judgement about whether competency has been achieved. The registered provider s evidence does not identify that the RTO must ensure its assessment processes lead to the collection of quality evidence. The registered provider s evidence does not identify that it must provide sufficient guidance to both assessors and the third party by: Providing assessors with comprehensive guidance about how to select the best third party: The appropriate person to observe or report on the performance of the learner is someone who is in a position to make a valid comment on the learner s performance, for example, a line manager. Providing quality materials for collecting evidence: These materials must seek/solicit/allow for feedback that is directly related to the relevant unit(s) of competency on the learner s performance. Providing third parties with comprehensive information about their role in the evidence-gathering process: This includes providing clear guidance and instruction on when, how, how often and over what period of time the evidence is to be collected. The materials must explain the form in which the evidence is to be collected for example, a structured third party report or an observation checklist that clearly identifies what was observed or performed. Obtaining confirmation that the third party understands their role in the process: This should include confirmation that the third party has agreed to participate in the evidence gathering process and that they understand when and how to collect evidence. Interpreting training package information to be relevant to the third party: Training package units of competency describe work outcomes. Each of these units describes: a specific work activity the conditions under which this work activity is conducted, and the evidence that may be gathered in order to determine whether the activity is being performed in a competent manner. Training package information is written to guide assessors in making competency judgements, and the language is sometimes complex. Therefore, the behaviours and/or knowledge that the third party is being asked to collect evidence of must be interpreted. The interpreted information should describe how a competent worker would perform the task described by the unit. This may include describing how a competent worker might meet standards in effect in the workplace (for example, standards relating to the speed or amount of work to be undertaken or other quality measures). Setting requirements for assessors in confirming the authenticity and currency of evidence provided by a candidate: That is, setting requirements for assessors to confirm that evidence is the candidate s own work. (Ref. ASQA Fact Sheet - Using third-party evidence to assess competence, updated 18 February 2014) Non compliance for the CHCECE010 Support the holistic development of children in early childhood assessment tool: Work place observations and report WP Visit one The observation checklist did not have criteria to assess the candidate and did not provide observable behaviours that the student must demonstrate in a range of contexts and over a period of time, as required by the training product. Therefore there is no evidence of assessment of the required skills. Australian Skills Quality Authority 15 of 45

16 The RPL assessment tool for Diploma of hospitality does not collect evidence for the two units of competency sampled. SITHCCC309 Work effectively as a cook SITXFSA101 Use hygienic practices for food safety In order to become compliant, the organisation is required to: Provide evidence that the registered provider has developed an assessment system to ensure: a) it complies with the assessment requirements of the relevant training packages; and b) is conducted in accordance with the Principles of Assessment contained in Table and the Rules of Evidence contained in Table Analysis of rectification evidence: Assessment instructions for: CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care SIT50313 Diploma of Hospitality RPL assessment tool for: SIT50313 Diploma of Hospitality Assessment tools for: CHCECE009 Use an approved learning framework to guide practice CHCECE010 Support the holistic development of children in early childhood The registered provider s evidence demonstrated that it 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 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. Original finding: Compliant 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 Australian Skills Quality Authority 16 of 45

17 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. Original finding: Not compliant Following rectification: Compliant 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 Reasons for finding of non-compliance: Evidence audited: Assessment Validation and Moderation Procedures Validation and moderation schedule Early Childhood Learning & Development Unit by Unit Risk Assessment The registered provider s evidence did not demonstrate each training product on the RTO s scope of registration must undergo validation at least once every five years. The registered provider s evidence did not demonstrate that the plan must ensure it allows for validation of at least 50 per cent of the training products in the first three years of that cycle. The registered provider s evidence did not demonstrate that relative risk of all training products is taken into account in scheduling validation for the hospitality units of competency. In order to become compliant, the organisation is required to: Provide evidence that: each training product on the RTO s scope of registration must undergo validation at least once every five years. that the plan must ensure it allows for validation of at least 50 per cent of the training products in the first three years of that cycle. that relative risk of all training products is taken into account in scheduling validation for the hospitality units of competency. Australian Skills Quality Authority 17 of 45

18 Analysis of rectification evidence: MCIE 5 year Scope of registration validation plan 2015 to 2020 MCIE Risk rating Hospitality qualifications and units of competency The registered provider s evidence demonstrated a plan that each training product will be 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. 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. Original finding: Compliant 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 Australian Skills Quality Authority 18 of 45

19 Clause 1.12 The RTO offers recognition of prior learning to individual learners. Original finding: Compliant RPL has been offered to individual learners 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 Gurpeet (Kenny) Gabbi CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care Janitha Madola CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care Jumbee Chakma CHC30113 Certificate III in Early Childhood Education and Care CHC50113 Diploma of Early Childhood Education and Care Australian Skills Quality Authority 19 of 45

20 Gurpreet Bhatia SIT Diploma of Hospitality Sudhir Lad SIT Diploma of Hospitality Reasons for finding of non-compliance: Evidence audited: Staff file for Janitha Madola; qualification certificates, resume, and Trainer Assessor Qualifications & Vocational Competency Record The registered provider s evidence for trainer and assessor Janitha Madola did not demonstrate why the trainer & assessor is suitable to deliver & assess the CHC30113 Certificate III in Early Childhood Education and Care when they only hold the previous qualification CHC50302 Diploma of Children s Services. The registered provider s evidence for trainer and assessor Janitha Madola did not demonstrate evidence of current industry skills for trainer and assessor. In order to become compliant, the organisation is required to: Provide evidence demonstrating: a) why Janitha Madola s vocational competencies are suitable to deliver training and conduct assessment for the CHC30113 Certificate III in Early Childhood Education and Care; and b) that Janitha Madola has current industry skills directly relevant to the training and assessment for the CHC30113 Certificate III in Early Childhood Education and Care, and CHC50113 Diploma of Early Childhood Education and Care. Analysis of rectification evidence: Certified copy of CHC30402 Certificate III in Children s Services, for Janitha Madola, issued by Victoria University, 28 May Letter dated 10 February 2016 from Kelly Walton Centre Director Good Start Early Learning Centre Box Hill confirming that Janitha Madola worked at the centre on the 10 February 2016 on a voluntary basis for professional development. Letter dated 31 March 2015 from Annette Hounihan from the Richmond Multicultural Children s Centre, confirming that Janitha Madola worked at the centre on a voluntary basis for professional development. MCIE Professional development placement report from Good Start Early Learning Centre Box Hill The registered provider s evidence demonstrated that their training and assessment is delivered only by persons who have: vocational competencies at least to the level being delivered and assessed. current industry skills directly relevant to the training and assessment being provided. Australian Skills Quality Authority 20 of 45

21 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 Gurpeet (Kenny) Gabbi Janitha Madola Jumbee Chakma Gurpreet Bhatia Sudhir Lad 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 Australian Skills Quality Authority 21 of 45

22 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. Original finding: Not audited 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 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 Australian Skills Quality Authority 22 of 45

23 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: Evidence audited: Staff file for: Janitha Madola; resume, and Trainer Assessor Qualifications & Vocational Competency Record Staff files for: Jumbee Chakma; resume, and Trainer Assessor Qualifications & Vocational Competency Record The RTO s s evidence did not demonstrate that trainers and assessors have undertaken professional development in the knowledge and practice of vocational training, learning and assessment, including competency based assessment. In order to become compliant, the organisation is required to: Provide evidence to demonstrate if the identified trainers and assessors have undertaken professional development in the knowledge and practice of vocational training, learning and assessment, including competency based assessment. Provide a plan demonstrating trainers and assessors will undertake professional development in the knowledge and practice of vocational training, learning and assessment, including competency based assessment. Analysis of rectification evidence: MCIE Professional development schedule 2015 to 2016 The registered provider s evidence demonstrated that trainers and assessors have and will be undertaking professional development in the knowledge and practice of vocational training, learning and assessment, including competency based assessment. 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. Original finding: Not audited 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 Australian Skills Quality Authority 23 of 45

24 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. Original finding: Not audited 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. Original finding: Not audited Training and assessment complies with Standard 1 Australian Skills Quality Authority 24 of 45

25 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. Original finding: Not audited Supervision arrangements have been identified People delivering training under supervision have been monitored by the supervising trainer 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). Original finding: Not audited A TAE qualification or skill set is included in the audit scope If no, clause is not audited. If yes: Trainer / Assessor name Each trainer/assessor that intends to deliver TAE40110 Certificate IV in Training and Assessment or TAESS00001 Assessor skill set must meet at least one of the following requirements: TAE40110 Certificate IV in Training and Assessment or its successor TAE50111 Diploma of Vocational Education and Training or its successor TAE50211 Diploma of Training Design and Development or its successor Diploma or higher qualification in adult education Australian Skills Quality Authority 25 of 45