Audit report VET Quality Framework Standards for Registered Training Organisations (RTOs) 2015

Transcription

1 Audit report VET Quality Framework Standards for Registered Training Organisations (RTOs) 2015 ORGANISATION DETAILS Organisation s legal name C Chopping and C E Finucan Trading name/s Pro-Lift Training and Assessment Services RTO number CRICOS number n/a AUDIT TEAM Lead auditor Auditor/s Technical adviser/s Judith Keller n/a n/a AUDIT DETAILS Application number/s n/a Audit number/s Audit reason 1 Audit reason 2 Audit reason 3 Activity type Post initial n/a n/a Site visit Address of site/s visited 11 Progress Drive, Paget QLD 4740 Date/s of audit 22 & 23 January 2015 Organisation s contact for audit Mr Craig Finucan Partner rto@prolifttraining.com Clauses audited 1.1, 1.2, 1.3, 1.4, 1.5, , 1.8, 1.9, 1.10, 1.12, 1.13, 1.14, 1.16, 2.1, 2.2, 3.1, 3.2, 3.3, 3.4, 3.5, 3.6, 4.1, 5.1, 5.2, 5.3, 5.4, 6.1, 6.2, 6.3, 6.5, 7.4, 8.6 (The following clauses were not audited as not applicable to the organisation , 1.15, 1.17, 1.18, 1.19, 1.20, 1.21, 1.26, 1.27, 2.3, 2.4, 6.4, 6.6, 7.3, 8.2) BACKGROUND The organisation, C Chopping and C E Finucan (formerly J Eastment and C E Finucan), trading as Pro-Lift Training and Assessment Services, achieved initial registration as a registered training organisation in December 2013, with eight individually registered units of competency. Since its initial registration, the organisation has expanded its scope of registration to currently comprise 44 individually registered units of competency from the RII, CPC08 and TLI10 Training Packages. Current scope of registration permits delivery of training and assessment for all units in all Australian states and Page 1 of 41

2 territories. Pro-Lift Training and Assessment Services identifies itself as specialising in high risk licensing and RII competencies for workers in the mining, construction, civil, rail, gas and sugar industries. The organisation s head office and main training facility is based at Paget in Mackay, Queensland, with some delivery of training and assessment also occurring at Moranbah, Queensland, where the organisation has access to facilities and equipment to deliver confined space and working at heights training. Earthmoving training is delivered onsite in the workplace. The organisation is not delivering training and assessment outside of Queensland at present, but may do so in future, in response to industry demands and needs. In addition to offering the units of competency listed on its scope of registration, the organisation also has an established partnership with another registered training organisation to deliver scaffolding training on behalf of that RTO. Training and assessment is primarily offered by the organisation on a fee for service basis, and the organisation also accesses funding through Construction Skills Queensland for delivery of some RII, CPC and TLI units of competency. The organisation does not currently have any arrangements with third parties to provide training and assessment on its behalf, but is anticipating that it may enter into such an arrangement with another company within the next 12 months. Total number of current enrolments in RTO as at audit date: 12 AUDIT SAMPLE Code Training product Mode/s of delivery/assessment* CPCCLRG3001A RIIHAN210D RIIHAN309D Licence to perform rigging basic level Perform intermediate rigging operations Conduct telescopic materials handler operations Face to face 2 Face to face 7 Face to face 0 RIIVEH201D Operate light vehicle Face to face 0 RIIVEH303D Drive heavy combination vehicles Face to face 0 RIIWHS202D Enter and work in confined spaces Face to face 0 Face to face 0 TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Face to face 0 *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) Current enrolments (If not yet on scope, record N/A) INTERVIEWEES Name Position Training product Craig Finucan CEO CPCCLRG3001A, RIIHAN210D, RIIHAN309D, RIIVEH201D, RIIVEH303D, RIIWHS202D, RIIWHS204D, TLILIC3008A Graeme Pershouse Co-ordinator RIIVEH303D Petra Mould Compliance CPCCLRG3001A, RIIHAN210D, Page 2 of 41

3 RIIHAN309D, RIIVEH201D, RIIVEH303D, RIIWHS202D, RIIWHS204D, TLILIC3008A ORIGINAL AUDIT FINDING AT TIME OF AUDIT Audit finding as at 23/01/2015: Minor non-compliance The level of non-compliance considers the potential for an adverse impact on the quality of training and assessment outcomes for students. If non-compliance has been identified, this audit report describes evidence of the non-compliance. Refer to notification of non-compliance for information on providing further evidence of compliance. AUDIT FINDING FOLLOWING ANALYSIS OF RECTIFICATION EVIDENCE Audit finding following analysis of additional evidence provided on 18/02/2015: Compliant 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 Not compliant Compliant Standard 5 Compliant n/a Standard 6 Not compliant Compliant Standard 7 Not compliant Compliant Standard 8 Compliant n/a ABOUT THIS REPORT This report details findings against the Standards for Registered Training Organisations (RTOs) 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 non-compliance. Page 3 of 41

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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: 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. 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 NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June 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. 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 Each strategy is consistent with the AQF volume of learning benchmarks, taking into account the above items Reference: AQF, AQF volume of learning NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June 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; Page 5 of 41

6 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: CPCCLRG3001A Licence to perform rigging basic level RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Whilst the organisation provided evidence that it has access to the learning resources, required equipment and facilities for the delivery of training and assessment for the above units of competency at its nominated delivery site in Mackay, Queensland, insufficient evidence was provided to demonstrate how the organisation ensures/will ensure that learners have access to the necessary learning resources and required facilities and equipment when training and assessment is conducted in the workplace and at other locations in all States and Territories (in accordance with the organisation s scope of registration for the units). RIIVEH201D Operate light vehicle RIIVEH303D Drive heavy combination vehicle The organisation did not evidence how it ensures/will ensure that learners have access to the required vehicles necessary for the delivery of training and assessment for the above two units of competency. In order to become compliant, the organisation is required to: CPCCLRG3001A Licence to perform rigging basic level RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) RIIVEH201D Operate light vehicle RIIVEH303D Drive heavy combination vehicle Page 6 of 41

7 For each of the above units of competency, provide evidence to demonstrate that the organisation has established processes for ensuring and verifying that learners will have access to the necessary learning resources and required facilities and equipment, prior to the organisation agreeing to conduct training/assessment for the above units of competency in the workplace and at other locations in all States and Territories. Analysis of rectification evidence: CPCCLRG3001A Licence to perform rigging basic level RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) RIIVEH201D Operate light vehicle RIIVEH303D Drive heavy combination vehicle Evidence provided by the organisation consisted of: - Training and Assessment Resources Procedures (version 1, created 28/01/2015) - CPCCLRG3001A Equipment and Resources Checklist (version 1, created 03/02/2015) - RIIHAN210D Equipment and Resources Checklist (version 1, created 03/02/2015) - RIIHAN309D Equipment and Resources Checklist (version 1, created 03/02/2015) - RIIWHS202D Equipment and Resources Checklist (version 1, created 05/02/2015) - RIIWHS204D Equipment and Resources Checklist (version 1, created 05/02/2015) - TLILIC3008A Equipment and Resources Checklist (version 1, created 03/02/2015) - RIIVEH201D Equipment and Resources Checklist (version 1, created 04/02/2015) - RIIVEH303D Equipment and Resources Checklist (version 1, created 04/02/2015). Analysis of the evidence confirmed that the organisation has established processes for ensuring and verifying that learners will have access to the necessary learning resources and required facilities and equipment, prior to the organisation agreeing to conduct training/assessment for the above units of competency at a worksite and at other locations in all States and Territories. 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: RIIWHS202D Enter and work in confined spaces Due to anomalies and omissions in the assessment documentation for several completed Page 7 of 41

8 candidates, it was not clear that sufficient evidence had been collected through the assessment process to demonstrate that all of the performance criteria and performance evidence requirements had been met by the candidates for the above units of competency. Refer to Clause 1.8 for further details of the non-compliance. In order to become compliant, the organisation is required to: RIIWHS202D Enter and work in confined spaces For each of the above units of competency, evidence that satisfactorily rectifies the noncompliance in respect of Clause 1.8, will also address the requirements of Clause 1.4 by demonstrating that the RTO s training and assessment practices are consistent with the requirements specified in the RII Resource and Infrastructure Industry Training Package for the units. Analysis of rectification evidence: RIIWHS202D Enter and work in confined spaces The organisation provided evidence that satisfactorily rectified the non-compliance in respect of Clause 1.8 for each of the above units of competency; thereby demonstrating that the RTO s training and assessment practices are consistent with the requirements specified in the RII Resource and Infrastructure Industry Training Package, in that they ensure sufficient evidence will be collected through the assessment process to demonstrate that all of the performance criteria and performance evidence requirements have been met. 1.5 The RTO s training and assessment practices are relevant to the needs of industry and informed by industry engagement. Training and assessment practices are informed by and consistent with the outcomes from industry engagement strategies NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June 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 Page 8 of 41

9 training and assessment practices resources, including facilities and equipment current industry skills required to be held by trainers and assessors NOTE transition arrangements may apply to this clause for audits conducted prior to 30 June 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 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 Individual units of competency Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) CPCCLRG3001A Licence to perform rigging basic level Assessment tools consist of: Nationally mandated assessment tools Formative assessment - Theory questions. Risk assessment. Operational checklists. Formative practical assessment tasks. Practical assessment observation checklists to be completed by assessor. Sighted completed assessments for three students completed November 2014, December 2014 and January All had completed formative assessment tasks and nationally mandated assessments. RIIHAN210D Perform intermediate rigging operations Assessment tools consist of: 90 short answer theory questions and 4 calculation questions covering knowledge evidence and aspects of knowledge related to performance criteria. Risk assessment task. Complete 3 rigging plans. Safety equipment checks. Page 9 of 41

10 Practical assessment tasks covering conduct routine checks, installing fall arrest system, using ropes, moving and relocating loads, working safely at heights, dismantling, removing, restoring load shifing equipment, clean up. Practical assessment task checklists for completion by assessor. Reasonable adjustment record form. Guidance notes for conduct of assessment, description of assessment taks, instructions to trainees and assessors. Benchmark responses for theory questions. Candidate declaration. Equipment materials used record. Sighted RPL assessments for three students completed October and December Evidence attached that students had completed unit CPCCLRG3002A (Licence to perform rigging intermediate level), risk assessment task and practical assessments for RIIHAN210D. Principles of Assessment fairness, flexibility, validity, reliability: CPCCLRG30 01A RIIHAN210D Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: CPCCLRG30 01A RIIHAN210D Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Currency: Competency judgements include consideration of evidence from the present or the very recent past N/A Page 10 of 41

11 Individual unts of competency Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) RIIHAN309D Conduct telescopic materials handler operations Assessment tools consist of: 45 short answer theory questions covering knowledge evidence and aspects of knowledge related to performance criteria. Risk assessment task. Safety equipment checks. 3 practical assessment tasks (x 3) covering planning for operations and completing checks, conducting telehandler operations, completing maintenance and clean up. Practical assessment task checklists for completion by assessor. Reasonable adjustment record form. Guidance notes for conduct of assessment, description of assessment taks, instructions to trainees and assessors. Benchmark responses for theory questions. Candidate declaration. Equipment materials used record. Sighted completed assessments for three students completed September and November 2014, and January Evidence attached that students had completed all assessment tasks. Two students also provided log book evidence. RIIVEH201D Operate light vehicle Assessment tools consist of: 33 short answer theory questions covering knowledge evidence and aspects of knowledge related to performance criteria. Risk assessment task. Safety equipment checks. 3 practical assessment tasks covering planning for operations, conducting pre and post-operational checks, vehicle operations, attachment/trailer operations, vehicle maintenance, housekeeping and record keeping. Practical assessment task checklists for completion by assessor. Reasonable adjustment record form. Guidance notes for conduct of assessment, description of assessment taks, instructions to trainees and assessors. Benchmark responses for theory questions. Candidate declaration. Equipment materials used record. Sighted completed assessments for three students completed November and December Evidence attached that students had completed all assessment tasks. Log books evidence also provided for all students. Principles of Assessment fairness, flexibility, validity, reliability: RIIHAN309D RIIVEH201D Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Page 11 of 41

12 Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: RIIHAN309D RIIVEH201D Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Currency: Competency judgements include consideration of evidence from the present or the very recent past N/A Individual units of competency Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) RIIVEH303D Drive heavy combination vehicles Assessment tools consist of: 54 short answer theory questions covering knowledge evidence and aspects of knowledge related to performance criteria. Risk assessment task. Safety equipment checks. 3 practical assessment tasks covering planning for operations and completing checks, conducting heavy vehicle operations based on three scenarios, trailer operations, vehicle maintenance, housekeeping and record keeping. Practical assessment task checklists for completion by assessor. Reasonable adjustment record form. Guidance notes for conduct of assessment, description of assessment taks, instructions to trainees and assessors. Benchmark responses for theory questions. Candidate declaration. Equipment materials used record. No completed students for this unit at the date of audit. Page 12 of 41

13 RIIWHS202D Enter and work in confined spaces Assessment tools consist of: 49 short answer theory questions covering knowledge evidence and aspects of knowledge related to performance criteria. Written task - Identify a confined space using confined space criteria. Risk assessment task. Develop emergency plan. Inspect safety equipment. 3 practical assessment tasks covering Sighted assessment tools at audit: 49 theory questions. Written task - Identify a confined space. Practical assessment tasks x 3. Confined space entry permit and gas testing tasks. Practical tasks associated with working in a confined space. Practical assessment task checklists for completion by assessor. Reasonable adjustment record form. Guidance notes for conduct of assessment, description of assessment taks, instructions to trainees and assessors. Benchmark responses for theory questions. Candidate declaration. Equipment materials used record. Sighted completed assessments for three students completed August, October and December Evidence attached indicating that October and December students had completed all assessment tasks. Log books evidence also provided for December student. Aspects of practical assessment found to be marked 'not applicable' and 'not yet satisfactory' for August student assessed as competent for unit - see details of non-compliance below. Principles of Assessment fairness, flexibility, validity, reliability: RIIVEH303D RIIWHS202D Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: RIIVEH303D RIIWHS202D Y N Y N Evidence guidance: Validity: Assessment evidence considered has direct relevance to Page 13 of 41

14 the unit or module s specifications Sufficiency: Authenticity: Currency: Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Competency judgements include consideration of evidence from the present or the very recent past N/A Individual units of competency Assessment meets the assessment requirements of the training package or course. Assessment appropriately simulates workplace conditions (refer assessment conditions/assessment guidelines) Assessment tools consist of: 50 short answer theory questions covering knowledge evidence and aspects of knowledge related to performance criteria. Risk assessment task. Safety equipment checks. 3 practical assessment tasks covering working at heights scenarios (EWP, top of container) and clean up. Practical assessment task checklists for completion by assessor. Reasonable adjustment record form. Guidance notes for conduct of assessment, description of assessment taks, instructions to trainees and assessors. Benchmark responses for theory questions. Candidate declaration. Equipment materials used record. Sighted completed assessments for three students completed September and November 2014 and January Evidence attached indicating that November and January students had completed all assessment tasks. Aspect of practical assessment (demonstrate selection and inspection of safety equipment - safety devices including barricades, cones etc') found not marked for September student assessed as competent for unit - see details of non-compliance below. TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Assessment tools consist of: Nationally mandated assessment tools Formative assessment - 60 review questions, 13 underpinning knowledge questions. Formative practical assessment tasks. Risk assessment. Operational checklists. Practical assessment observation checklists to be completed by assessor. Sighted completed assessments for three students completed July and December All had completed formative assessment tasks and nationally mandated assessments. Principles of Assessment fairness, flexibility, validity, reliability: RIIWHS204D TLILIC3008A Y N Y N Evidence guidance: Elements addressed (to levels as defined in performance criteria) Knowledge evidence/required knowledge addressed Page 14 of 41

15 Performance evidence/required skills addressed Assessment conditions/critical aspects of evidence addressed Context and consistency of assessment addressed to appropriate AQF level Assessment of knowledge and skills is integrated with their practical application Assessment uses a range of assessment methods Criteria defining acceptable performance are outlined for all instruments Clear information about assessment requirements is provided (for assessors and students) Allows for reasonable adjustment and provides for objective feedback Considers dimensions of competency and transferability Rules of Evidence validity, sufficiency, authenticity, currency: RIIWHS204D TLILIC3008A Y N Y N Evidence guidance: Validity: Sufficiency: Authenticity: Currency: Assessment evidence considered has direct relevance to the unit or module s specifications Sufficient assessment evidence is considered to substantiate a competency judgement Assessment evidence gathered is the learner s own work Competency judgements include consideration of evidence from the present or the very recent past Reasons for finding of non-compliance: RIIWHS202D Enter and work in confined space Examination of assessment documentation for a candidate who was assessed for the above unit in August 2014 indicated that the student had been determined competent for the unit, even though several items on the practical checklist for the gas testing practical assessment tasks were marked as either not applicable and/or not yet satisfactory on all three occasions that the practical tasks had been performed. In the absence of further information and evidence of the candidate s performance, it is not clear that sufficient evidence was collected through the assessment process to demonstrate that all of the performance criteria and performance evidence requirements had been met by the candidate to support a competency judgement for RIIWHS202D Enter and work in confined space. Examination of assessment documentation for a candidate who was assessed for the above unit in September 2014 indicated that the student had been determined competent for the unit, even though an item on the Task 3 safety equipment practical assessment checklist (demonstrate selection and inspection of safety equipment - safety devices including barricades, cones etc) had Page 15 of 41

16 not been marked by the assessor on any of the three occasions that the practical tasks had been performed. In the absence of further information and evidence of the candidate s performance, it is not clear that sufficient evidence was collected through the assessment process to demonstrate that all of the performance criteria and performance evidence requirements had been met by the candidate to support a competency judgement for. In order to become compliant, the organisation is required to: RIIWHS202D Enter and work in confined space For each of the above units of competency, provide evidence to demonstrate how the organisation will ensure that sufficient evidence is collected through the assessment process for each individual candidate to support and substantiate competency judgements, in accordance with the rules of evidence. Analysis of rectification evidence: RIIWHS202D Enter and work in confined space The organisation provided: - Assessment Moderation Procedures (version 1, created 28/01/2015) - Amended assessment tools for RIIWHS202D Enter and work in confined space (version 6, revised 29/01/2015) - Amended assessment tools for (version 5, revised 29/01/2015). Review of the assessment tools found that they contained enhanced instructions for assessors, particularly with regard to the completion of the practical assessment checklists and the collection of evidence to demonstrate that the candidate has completed or can demonstrate current skills and knowledge related to the practical assessment tasks. The organisation s Assessment Moderation Procedures document outlines the process to be implemented by the organisation to ensure that candidate assessment documentation and assessment evidence is checked for completeness and consistency with assessment requirements, following submission by the assessor. The document also details the steps to be taken in the event that assessment documentation or evidence is found to incomplete or inconsistent with requirements. Analysis of the evidence supports that the organisation has established procedures to ensure that sufficient evidence is collected through the assessment process for each individual candidate to support and substantiate competency judgements, in accordance with the rules of evidence. 1.9 The RTO implements a plan for ongoing systematic validation of assessment practices and judgements that includes for each training product on the RTO s scope of registration: a) when assessment validation will occur; b) which training products will be the focus of the validation; c) who will lead and participate in validation activities; and d) how the outcomes of these activities will be documented and acted upon. N/A Page 16 of 41

17 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 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. 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 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: Not audited 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) Page 17 of 41

18 Final validation decisions are made by a person who was not directly involved with the delivery and assessment of the training product being validated 1.12 The RTO offers recognition of prior learning to individual learners. RPL has been offered to individual learners 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 Following rectification: Compliant Evidence Guidance Y N Skills and knowledge of trainers and assessors have been verified Norman Coonan Trainer/assessor of following training products within scope of audit: CPCCLRG3001A Licence to perform rigging basic level RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Vocational competencies at least to the level being delivered and assessed (actual qualification/unit not required) Current relevant industry skills Current vocational training and learning knowledge and skills Ross Renall Trainer/assessor of following training products within scope of audit: RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle Vocational competencies at least to the level being delivered and assessed (actual qualification/unit not required) Current relevant industry skills Current vocational training and learning knowledge and skills Page 18 of 41

19 Peter Austin Trainer/assessor of following training products within scope of audit: RIIHAN309D Conduct telescopic materials handler operations RIIVEH303D Drive heavy combination vehicle TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Vocational competencies at least to the level being delivered and assessed (actual qualification/unit not required) Current relevant industry skills Current vocational training and learning knowledge and skills Graeme Perhouse Trainer/assessor of following training products within scope of audit: RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle RIIVEH303D Drive heavy combination vehicle Vocational competencies at least to the level being delivered and assessed (actual qualification/unit not required) Current relevant industry skills Current vocational training and learning knowledge and skills Reasons for finding of non-compliance: Norman Coonan CPCCLRG3001A Licence to perform rigging basic level RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Ross Renall It was not clear from the evidence provided at audit that the organisation s nominated trainer/assessor, Norman Coonan, has current industry skills relevant to the delivery of the above units of competency. RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle It was not clear from the evidence provided at audit that the organisation s nominated trainer/assessor, Ross Renall, has current industry skills relevant to the delivery of the above units of competency. Page 19 of 41

20 Graeme Pershouse RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle RIIVEH303D Drive heavy combination vehicle It was not clear from the evidence provided at audit that the organisation s nominated trainer/assessor, Graeme Pershouse, has current industry skills relevant to the delivery of the above units of competency. In order to become compliant, the organisation is required to: Norman Coonan CPCCLRG3001A Licence to perform rigging basic level RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Ross Renall Provide evidence to demonstrate that Norman Coonan has current industry skills directly relevant to training and assessment being provided for each of the above units of competency. RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle Provide evidence to demonstrate that Ross Renall has current industry skills directly relevant to training and assessment being provided for each of the above units of competency. Graeme Pershouse RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle RIIVEH303D Drive heavy combination vehicle Provide evidence to demonstrate that Graeme Pershouse has current industry skills directly relevant to training and assessment being provided for each of the above units of competency. Analysis of rectification evidence: Norman Coonan CPCCLRG3001A Licence to perform rigging basic level RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations Page 20 of 41

21 TLILIC3008A Licence to operate a slewing mobile crane (up to 20 tonnes) Evidence provided for Norman Coonan included: - Resume BHP Billiton Self Service Report Full Qualification Transcript for Norman Coonan, report date 15/01/ All Site Training Solutions daily diary pages for 19/01/2015 and 20/01/ Professional development and industry currency log book Pages from industry publications - Letter from Robert Alder of Havnago Holdings, dated 28/01/2015. The evidence provided supports that Norman Coonan has current industry skills relevant to training and assessment being provided for the above units of competency. Ross Renall RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle Evidence provided for Ross Renall included: - Resume BHP Billiton Self Service Report Full Qualification Transcript for Ross Renall, report date 08/01/ Verification of competency records issued 2013, Thiess Caval Ridge Project. The evidence provided supports that Ross Renall has current industry skills relevant to training and assessment being provided for the above units of competency. Graeme Pershouse RIIHAN210D Perform intermediate rigging operations RIIHAN309D Conduct telescopic materials handler operations RIIWHS202D Enter and work in confined space RIIVEH201D Operate light vehicle RIIVEH303D Drive heavy combination vehicle Evidence provided for Graham Pershouse included: - Resume BHP Billiton Self Service Report for Graeme Pershouse, report date 22/11/ Statement of Completion BMA Caval Ridge Site Induction Course, date 4/4/ Moorvale Mine Site Induction Card - Induction: Operatonal, completed 11/03/2014. The evidence provided supports that Graeme Pershouse has current industry skills relevant to training and assessment being provided for the above units of competency 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. Page 21 of 41

22 Evidence Guidance Y N VET qualifications of trainers and assessors have been verified Norman Coonan Each trainer must meet at least one of the following four requirements: TAE40110 Certificate IV in Training and Assessment or its successor Equivalent competencies to TAE40110 (TAA40104 is equivalent) Diploma or higher qualification in adult education Equivalent competencies to diploma or higher qualification in adult education Ross Renall Each trainer must meet at least one of the following four requirements: TAE40110 Certificate IV in Training and Assessment or its successor Equivalent competencies to TAE40110 (TAA40104 is equivalent) Diploma or higher qualification in adult education Equivalent competencies to diploma or higher qualification in adult education Peter Austin Each trainer must meet at least one of the following four requirements: TAE40110 Certificate IV in Training and Assessment or its successor Equivalent competencies to TAE40110 (TAA40104 is equivalent) Diploma or higher qualification in adult education Equivalent competencies to diploma or higher qualification in adult education Graeme Perhouse Each trainer must meet at least one of the following four requirements: TAE40110 Certificate IV in Training and Assessment or its successor Equivalent competencies to TAE40110 (TAA40104 is equivalent) Diploma or higher qualification in adult education Equivalent competencies to diploma or higher qualification in adult education 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. Page 22 of 41

23 If no, clause is not audited. If yes: Assessor name Each assessor (that conducts assessment only) must meet at least one of the following six requirements: TAE40110 Certificate IV in Training and Assessment or its successor Equivalent competencies to TAE40110 (TAA40104 is equivalent) Diploma or higher qualification in adult education Equivalent competencies to diploma or higher qualification in adult education TAESS00001 Assessor skill set or its successor Equivalent competencies to TAESS00001 Assessor skill set Each assessor (that conducts assessment only) must meet all of the following requirements: Vocational competencies at least to the level being delivered (actual qualification/unit not required) Current relevant industry skills Current vocational training and learning knowledge and skills 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. Trainers and assessors undertake professional development in the knowledge and practice of vocational training, learning and assessment, including competency based training and assessment 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 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 Page 23 of 41

24 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 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 Trainer name Each trainer (that conducts training under supervision) must meet at least one of the following six requirements: TAESS00003 Enterprise trainer and assessor skill set or its successor Equivalent competencies to TAESS00003 TAESS00007 Enterprise trainer presenting skill set or its successor Equivalent competencies to TAESS00007 TAESS00008 Enterprise trainer mentoring skill set or its successor Equivalent competencies to TAESS00008 Each trainer (that conducts training under supervision) must meet all of the following requirements: Vocational competencies at least to the level being delivered (actual qualification/unit not required) Current relevant industry skills 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 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 Page 24 of 41