Audit report VET Quality Framework Continuing registration as a national VET regulator (NVR) registered training organisation

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1 Audit report VET Quality Framework Continuing registration as a national VET regulator (NVR) registered training organisation ORGANISATION DETAILS Organisation s legal name Trading name/s Master Builders Association of Victoria Master Builders Association of Victoria RTO number 3935 CRICOS number N/A AUDIT TEAM Lead auditor Auditor/s Technical adviser/s F. Garai NIL NIL AUDIT DETAILS Application number/s Audit number/s Audit reason 1 Audit reason 2 Audit reason 3 Activity type Address of site/s visited Application - renewal n/a n/a Site visit 332 Albert Street EAST MELBOURNE VIC 3002 Date/s of audit November 2013 Organisation s contact for audit Ms Viviana Hood Training Manager vhood@mbav.com.au (03) NVR standards audited Selected Standards for Continuing Registration: To assess ongoing compliance with the VQF focus is on evidence of effective ongoing deployment of systems. SNR s: 15, 16, 17, 18, 20 & 22.2 BACKGROUND The organisation has been an RTO since The organisation is an industry association made up of members, and is a not for profit organisation that provides training to the general public as well as to its membership. Page 1 of 24

2 RTO Management structure The RTO/organisation has board of management made of members from building industry and associated building trades. It has a management team that reports to the board on the daily operations of the organisation. Other strategic & operational groups that assist the RTO The RTO/organisation also utilises industry workforce development groups to assist them with developing and validating training and assessment. Industry advisory group/s Contracted consultant/s, and Industry association/s General description of RTO location & facilities The organisation has offices & training facilities at: Melbourne, Ballarat, Wodonga, and Mornington. The organisation delivers courses in other states, but not overseas. General description of training modes used by the RTO/organisation The RTO/organisation provides training using: classroom based delivery workplace based delivery by distance mixed/blended learning modes Online RTO/Organisation scope of registration The RTO/organisations scope of registration has qualifications/accredited courses/units of Competency from the following industry training packages: BSB07 Business Services Training Package CPC08 Construction, Plumbing and Services Training Package UEE11 Electro technology Training Package The RTO is registered to deliver the following qualifications BSB30707 Certificate III in Occupational Health and Safety BSB30712 Certificate III in Work Health and Safety BSB41407 Certificate IV in Occupational Health and Safety BSB41412 Certificate IV in Work Health and Safety BSB51307 Diploma of Occupational Health and Safety CPC40110 Certificate IV in Building and Construction (Building) CPC40308 Certificate IV in Building and Construction (Estimating) CPC40508 Certificate IV in Building and Construction (Site Management) Page 2 of 24

3 CPC50308 Diploma of Building and Construction (Management) RTO/organisation current enrolment/s details There were 3,512 enrolled students at the time of the audit RTO/organisation fee or funding information The RTO/organisation offers its training and services both as a fee for service and government funded provider. Total number of current enrolments in RTO as at audit date: 3,512 AUDIT SAMPLE Code Qualification/Course/Unit name Mode/s of delivery/assessment* BSB41407 BSB51307 CPC40110 CPC50308 Certificate IV in Occupational Health and Safety Diploma of Occupational Health and Safety Certificate IV in Building and Construction (Building) Diploma of Building and Construction (Management) Current enrolments (If not yet on scope, record N/A) Face to face 196 Face to face 29 Face to face *Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify) NIL Face to face 24 INTERVIEWEES Name Position Qualification/Course/Unit code/s Viviana Hood General manager commercial services Margaret Short H.R. Manager NIL ALL Julie Anne Sheppard Training manager ALL Tim Wedding Assistant Training manager ALL ORIGINAL AUDIT FINDING AT TIME OF AUDIT Audit finding as at 20 November 2013: Significant non-compliance The level of non-compliance considers the potential for an adverse impact on the quality of training and assessment outcomes for students. If non-compliance has been identified, this audit report describes evidence of the non-compliance. Refer to notification of non-compliance for information on providing further evidence of compliance. Page 3 of 24

4 AUDIT FINDING FOLLOWING ANALYSIS OF RECTIFICATION EVIDENCE Audit finding following analysis of additional evidence provided on 16 January 2014: Compliant AUDIT FINDING BY STANDARD Standard Original finding Finding following rectification SNR 15 Not compliant Compliant SNR 16 Not compliant Compliant SNR 17 Not compliant Compliant SNR 18 Not compliant Compliant SNR 19 Not audited n/a SNR 20 Compliant n/a SNR 21 Not audited n/a SNR 22 Compliant n/a SNR 23/AQF Not audited n/a SNR 24 Not audited n/a SNR 25 Not audited n/a Page 4 of 24

5 SNR 15 The NVR registered training organisation provides quality training and assessment across all of its operations, as follows: 15.1 The NVR registered training organisation collects, analyses, and acts on relevant data for continuous improvement of training and assessment. Original finding: Compliant Continuous improvement policy & procedure Continuous improvement register Validation policy & procedure External audit conducted by Provok November 2012 January 2013 Continuous improvement register schedule Validation record template RTO demonstrated that it systematically collects data and continuously improve training and assessment by ensuring that: relevant and sufficient stakeholders are identified, related to the scope of the RTO s operations, a range of data is collected, and is sufficient to provide the RTO with valuable improvement opportunities, its processes and analyses of the data and planning, and implementing improvements, are affected and its processes for monitoring continuous improvement activities and for reviewing data collection, continuous improvement processes and outcomes are decided Strategies for training and assessment meet the requirements of the relevant Training Package or VET accredited course and have been developed through effective consultation with industry. Original finding: Not compliant Reasons for finding of non-compliance: Training and Assessment strategies for: BSB41407 TAS Cert IV Occupational Health & Safety_v3 CPCC40110 TAS Certificate IV in Building and Construction (Building)_v4 CPCCOHS1001A TAS Work Safely in the Construction Industry (CIT) v3 Following rectification: Compliant The organisations Training and Assessment strategies did not include processes to be used for its monitoring and review The organisations Training and Assessment strategy did not state how a student will be deemed competent to receive the unit of competency or qualification they have been assessed against The organisation had no strategy for assessing and decision making from multiple sources of assessment evidence across different methods and or tasks in relation to clustered units of competency, The organisations strategy does not identify the required trainer and assessor qualifications in Page 5 of 24

6 accordance with the relevant training package and the NSSC communique December 2011 Appendix A Did not demonstrate how cheating and plagiarism will be monitored and managed. Did not demonstrate how a candidate will be reassessed. The Training and Assessment Strategies did not demonstrate how reasonable adjustments will be applied. In order to become compliant, the organisation is required to: The organisations Training and Assessment strategies to include processes to be used for the monitoring and review of Training and assessment strategies. The organisations Training and Assessment strategy are to state how a student will be deemed competent to receive the unit of competency or qualification they have been assessed against. The organisation is to demonstrate a strategy for assessing and decision making from multiple sources of assessment evidence across different methods and or tasks in relation to clustered units of competency. The organisations Training and Assessment strategy is to identify the required trainer and assessor qualifications in accordance with the relevant training package and the NSSC communique December 2011 Appendix A. Training and Assessment strategy is to demonstrate how cheating and plagiarism will be monitored and managed. Training and Assessment strategy is to demonstrate how a candidate will be reassessed. The Training and Assessment Strategies did not demonstrate how reasonable adjustments will be applied. Analysis of rectification evidence: Rectification evidence audited: Training and Assessment strategies for: BSB41407 TAS Cert IV Occupational Health & Safety_v6 CPCC40110 TAS Certificate IV in Building and Construction (Building)_v7.1 CPCCOHS1001A TAS Work Safely in the Construction Industry (CIT) v7 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR 15.2 Page 6 of 24

7 15.3 Staff, facilities, equipment and training and assessment materials used by the NVR registered training organisation are consistent with the requirements of the Training Package or VET accredited course and the NVR registered training organisation s own training and assessment strategies and are developed through effective consultation with industry. Original finding: Not compliant Reasons for finding of non-compliance: Following rectification: Compliant Construction induction OH&S Regulations 2007 Safety handbook building & construction industry 2008 Construction industry student hand book 2013 Certificate IV Building and construction student manual for Unit of Competency CPCCBC4002A Manage occupational health and safety in the building and construct ion workplace, does not identify the required knowledge and skills to be trained that are specified in the Unit of Competency. Unit of competency CPCCBC4004 Identify and produce estimated costs for building and construct ion projects, the training materials do not identify the required knowledge components to be trained for the unit of competency. In order to become compliant, the organisation is required to: The organisation is to amend the student training materials for Competency CPCCBC4002A Manage occupational health and safety in the building and construct ion workplace, and CPCCBC4004 Identify and produce estimated costs for building and construction projects, to ensure that the required skills and knowledge components for the respective units of competency are delivered as learning outcomes to satisfy the assessment critical aspects of evidence for deeming a student competent. Analysis of rectification evidence: Rectification evidence audited: CPCCBC4002A Student Manual v1.7.4 CPCCBC4004A Student Manual v1.1 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR 15.3 Page 7 of 24

8 15.4 Training and assessment is delivered by trainers and assessors who: (a) have the necessary training and assessment competencies as determined by the National Skills Standards Council or its successors; and (b) have the relevant vocational competencies at least to the level being delivered or assessed; and (c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken; and (d) continue to develop their vocational education and training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence. Original finding: Not compliant Reasons for finding of non-compliance: Staff trainer & assessor files for: Daniel Hodges, Philip Alviano, Stephen Donaghey Contract sessional trainer & assessor files for: Following rectification: Compliant Brian Molyneux, Greg Splatt, Hasan Kaygusuz, Jan Brandjes, Joan Addison, Larry Fairman, Leo Gillman, Lewis Derrico, Luba Pavlovic, Michael Cooney, Michael (Mike) Juniper, NeilL Jaycock, Neil O Connor, Pask Alexis, Paul Payet, Robert Jasiewicz, Sarah McMurtrie, Stephen Zorzi, Tamer Mitwally The organisations trainers and assessors do not have the relevant vocational competencies at least to the level being delivered or assessed; and cannot demonstrate current industry skills directly relevant to the training/assessment being undertaken. The organisation had no strategy, or policy and procedure detailing how trainers and assessors are to maintain vocational currency, VET skills and knowledge, and trainer and assessor competence. Daniel Hodges (Staff trainer), has not demonstrated equivalence to UoCs delivering & assessing, Greg Splatt, has not demonstrated equivalence to BSB30707 Certificate III in Occupational Health and Safety and the BSB41407 Certificate IV in Occupational Health and Safety. Lewis Derrico has not demonstrated equivalence to BSB51307 Diploma of Occupational Health and Safety and had insufficient evidence of professional development for industry currency & trainer & assessor competence. Luba Pavlovic has not demonstrated equivalence to BSB30707 Certificate III in Occupational Health and Safety and the BSB41407 Certificate IV in Occupational Health and Safety, and had insufficient evidence of professional development for industry currency & trainer & assessor competence. Michael Cooney has not demonstrated equivalence to CPC40110 Certificate IV in Building and Construction (Building), and had insufficient evidence of professional development in industry currency, & trainer/assessor competence. Michael (Mike) Juniper, Neil Jaycock, Neil O Connor, Robert Jasiewicz had insufficient evidence of professional development for trainer & assessor competence, and no evidence of professional development for industry currency. Philip Alviano (Staff trainer), Stephen Donaghey (Staff trainer), Pask Alexis, Sarah McMurtrie, had Insufficient evidence of professional development for VET knowledge & skills, and trainer & assessor competence, and no evidence of professional development for industry currency. Paul Payet had no evidence of professional development for VET knowledge & skills, industry Page 8 of 24

9 currency & trainer/assessor competence. Stephen Zorzi, Tim O Keefe, Victoria Prior had insufficient evidence of professional development VET knowledge & skills, no evidence of professional development for industry currency, & trainer & assessor competence. Tamer Mitwally had insufficient evidence of professional development for VET knowledge & skills & industry currency, and no evidence of professional development for trainer & assessor competence. The organisation could not demonstrate how it verifies the trainer/assessor s commitment to deliver training and/assessment services. e.g. the agreements and position descriptions presented for the contract sessional and staff trainers and assessors to deliver and assess the qualifications/courses on its scope of registration, for and on behalf of the organisation did not detail the trainer & assessors responsibilities in accordance with the NSSC communique Training and Assessment Competencies to be held by trainers and assessors 8 December 2011 In order to become compliant, the organisation is required to: The organisation is to show that its trainers and assessors have the relevant vocational competencies at least to the level being delivered or assessed; and can demonstrate current industry skills directly relevant to the training/assessment being undertaken in accordance with the NSSC communique Training and Assessment Competencies to be held by trainers and assessors 8 December The organisation is to develop and demonstrate strategies, policy, and procedures detailing how trainers and assessors are to maintain vocational currency, VET skills and knowledge, and trainer and assessor competence. The organisations agreements and position descriptions for the contract sessional and staff trainers and are to detail the trainer & assessors responsibilities in accordance with the NSSC communique Training and Assessment Competencies to be held by trainers and assessors 8 December The organisation is to demonstrate how it will verify the trainer/assessor s commitment to deliver training and/assessment services for and on its behalf. Analysis of rectification evidence: Rectification evidence audited: Agreement Amendment - including Duty Statement Staff Development_PPSD_v3 Trainer Professional Development matrix 2014v1 Trainer Professional Development Strategy_v1 Trainer skills matrix & PD calendar for: Greg Splatt, Joan Addison, Larry Fairman, Leo Gilman, Michael Cooney, Mike Juniper, Neil O'Connor, Stephen Zorzi, Tamer Mitwally. The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR 15.4 Page 9 of 24

10 15.5 Assessment including Recognition of Prior Learning (RPL): (a) meets the requirements of the relevant Training Package or VET accredited course; and (b) is conducted in accordance with the principles of assessment and the rules of evidence; and (c) meets workplace and, where relevant, regulatory requirements; and (d) is systematically validated. Original finding: Not compliant Reasons for finding of non-compliance: Following rectification: Compliant The assessment processes do not meet the requirements of the relevant Training Packages (15.5a). The evidence audited also do not meet the principles of assessment or the rules of evidence (15.5b). RPL Assessment tools for the following qualifications: BSB41407 Certificate IV in Occupational Health and Safety BSB51307 Diploma of Occupational Health and Safety CPC40110 Certificate IV in Building and Construction (Building) CPC50308 Diploma of Building and Construction (Management) Unit of competency Assessment tools & instruments for: BSBOHS401B Contribute to the implementation of a systematic approach to managing OHS BSBOHS404B Contribute to the implementation of strategies to control OHS risk BSBWOR502B Ensure team effectiveness The three units of competency assessments were clustered with other unit of competency assessments. There were no instructions to the assessor or the candidate on how to conduct the assessment in regards to the standard the candidate is required to meet to be deemed competent and no conditions of the assessment were stated. There were no assessment instructions for the assessor to assist making decisions from multiple sources of assessment evidence across different methods and or tasks in relation to clustered units of competency. Multiple assessments were identified for a Unit of Competency; it was not clear which assessments are to determine a student s progress (Formative Assessments) and which assessments are to determine a student s competence against the Unit of Competency (Summative Assessments). The assessment tools & instruments for BSBWOR502B Ensure team effectiveness do not assess all the knowledge requirements of the unit, as the questions do not examine the breadth and depth of knowledge in the unit. CPCCOHS1001A Work safely in the construction industry, candidate assessment task Part A- Group activity, Assessment task Part B Written test. CPCCBC4008B Conduct on-site supervision of building and construction projects CPCCBC4009B Apply legal requirements to building and construction projects Assessment tasks 1-6 Page 10 of 24

11 CPCCBC5010B Manage construction work There were no instructions to the assessor or the candidate on how to conduct the assessment in regards to the standard the candidate is required to meet to be deemed competent and no conditions of the assessment were stated. The assessment tools & instruments for CPCCBC4008B Conduct on-site supervision of building and construction projects do not assess all the knowledge requirements of the unit, as the questions do not examine the breadth and depth of knowledge in the unit. In order to become compliant, the organisation is required to: Provide complete sets of assessment materials that meet the principles of assessment, the rules of evidence and all the requirements of the unit of competency. Provide assessment materials which must include, or be accompanied by, guidance to assessors to enable them to make consistent judgements about competence and information to students about the assessment process. Provide assessment materials which must Identify for Multiple assessments for Units of Competency, which assessments are to determine a student s progress (Formative Assessments) and which assessments are to determine a student s competence against the Unit of Competency (Summative Assessments). To develop assessment instructions for the assessor to assist making decisions from multiple sources of assessment evidence across different methods and or tasks in relation to clustered units of competency. The assessment tools and instruments are to be amended to collect sufficient evidence to satisfy the critical evidence requirements of the unit of competency Analysis of rectification evidence: Rectification evidence audited: BSBOHS404B Implementation of strategies Assessor Guide v0.1 BSBOHS404B Implementation of strategies Student Assessment v0.1 BSBWOR502B Team Effectiveness Assessor Guide v0.1 BSBWOR502B Team Effectiveness Student Assessment v0.1 CPCCBC4008B On-site supervision Assessor Guide v0.1 CPCCBC4008B On-site supervision Student Assessment v0.1 CPCCBC4009B Legal Requirements Assessor Guide v0.1 CPCCBC4009B Legal Requirements Student Manual v0.1 CPCCBC5010B Manage construction work Assessor Guide v0.1 CPCCBC5010B Manage construction work Student Assessment v0.1 CPCCOHS1001A Work safely Assessor Guide v0.1 CPCCOHS1001A Work safely Student Assessment v0.1 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR 15.5 Page 11 of 24

12 SNR 16 The NVR registered training organisation adheres to principles of access and equity and maximises outcome for its clients, as follows: 16.1 The NVR registered training organisation establishes the needs of clients, and delivers services to meet these needs. Original finding: Compliant Access & equity policy & procedure Student survey & enrolment form Complaints and appeals register Continuous improvement register Learning and support register The RTO ensures that; the needs of clients are established, client services are put into place or accessed to address the identified needs, and the provision of services is monitored to ensure that they continue to address the identified need The NVR registered training organisation continuously improves client services by collecting, analysing and acting on relevant data. Original finding: Compliant Continuous improvement policy & procedure Version document control policy & procedure Complaints and appeals register Continuous improvement register Learning and support register The RTO s continuous improvement approach is systematic, data on the effectiveness of services provided to clients is collected and analysed systematically. Data that is collected and analysed is relevant and sufficient to allow judgements to be make about the quality of clients services across the RTO s scope of registration and operations, improvements to client services are demonstrated. Page 12 of 24

13 16.3 Before clients enrol or enter into an agreement, the NVR registered training organisation informs them about the training, assessment and support services to be provided, and about their rights and obligations. Original finding: Not compliant Reasons for finding of non-compliance: Following rectification: Compliant Organisations Pre -enrolment/enrolment policy and procedure in the student hand book: Enrolments pp 7 11 Policy and or procedure on grievance and appeals student hand book p. 22 Industry training guide July Dec 2013 (Prospectus) Terms & conditions p. 65 Course guides Organisations web site Information provided to clients is not clear, does not articulate and provide sufficient information to assist them to make an informed choice. The information provided by the RTO to the client is not clearly defined and accurate because: The course guide for CPC40110 Certificate IV in Building and Construction (Building) has different information on complaints and appeals process when compared against the student hand book issued 26 June 2013 The student hand book version available on the organisations web site does not detail student/client services in detail to inform the client about their rights and obligations, in particular to dealing with bullying and harassment, and who can the client/student seek help from and how to access the counselling services offered by the organisation. The student hand book does not provide the same key items of information about the complaints and appeals process as the complaints and appeals process & procedures policy does. e.g. how a student/client submits their complaint and or appeal, the time frames that the complaints & appeals process will take, and the student/clients right to have their compliant/appeal dealt with by an external mediator if dissatisfied with the organisations internal process. In order to become compliant, the organisation is required to: Provide information to clients that is clear, must articulate and provide sufficient information to assist them to make an informed choice. The information provided by the RTO to the client is to be clearly defined and to be accurate. Analysis of rectification evidence: Rectification evidence audited: Course Induction Guide CPC East Melbourne _v1 Student Handbook - January 2014 Access and Equity_PPAE_v2 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR 16.3 Page 13 of 24

14 16.4 Employers and other parties who contribute to each learner s training and assessment are engaged in the development, delivery and monitoring of training and assessment. Original finding: Compliant The organisation does not have any training that requires workplace placement 16.5 Learners receive training, assessment and support services that meet their individual needs. Original finding: Compliant Industry training guide July Dec 2013 (Prospectus) Student hand book issued 26 June 2013 Student & staff feedback forms Continuous improvement register Staff meetings minutes The RTO s learners training and learning support needs are systematically assessed, learners have access to relevant learning support services, including assistance with language, literacy and numeracy. Training, assessment and learning support services provided to each client are consistent with the training and assessment strategies, and learning, assessment, and learning support services are monitored and improved Learners have timely access to current and accurate records of their participation and progress. Original finding: Not compliant Reasons for finding of non-compliance: Student records management policy & procedure Qualification issuance policy & procedure Privacy policy & procedure Student hand book issued 26 June 2013 p. 28 Following rectification: Compliant Records management practices are not monitored and improvements are not demonstrated. The student hand book details how a student gains access to their student records, but the underpinning policies and procedures listed in the evidence audited above do not correspond with the information in the student hand book In order to become compliant, the organisation is required to: Demonstrate how it will ensure information provided to the student will be consistently accurate in the underpinning organisation policies and procedures. Provide evidence that its records management practices are to being monitored and improvements are demonstrated. Page 14 of 24

15 Analysis of rectification evidence: Rectification evidence audited: Continuous Improvement Register Extract _ Student Records Management_PPSRM_v2 Flowchart for making a change to a document v1 Course Induction Guide CPC East Melbourne _v1 Student Handbook - January 2014 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR The NVR registered training organisation provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively. Original finding: Compliant Complaints policy & procedure Complaints & appeals register Student feedback forms Student hand book issued 26 June 2013 RTO demonstrated effective management of complaints and appeals and their resolution. The RTO s complaints and appeals are monitored and reviewed to prevent their recurrence and to improve the RTO s operations or services. SNR 17 Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the NVR registered training organisation operates, as follows: 17.1 The NVR registered training organisation s management of its operations ensures clients receive the services detailed in their agreement with the NVR registered training organisation. Original finding: Not compliant Reasons for finding of non-compliance: Industry training guide July Dec 2013 (Prospectus) Student hand book issued 26 June 2013 Complaints policy & procedure Complaints & appeals register Student feedback forms Following rectification: Compliant The RTO does not ensure that clients rights as consumers are protected e.g. the complaints and appeals policy and procedure, and the student hand book do not state that a student s enrolment will not be affected, such as suspension, cancellation of enrolment, whilst the complaints and Page 15 of 24

16 appeals process is being conducted. In order to become compliant, the organisation is required to: Demonstrate that it will ensure that clients rights as consumers are protected during the complaints and appeals process. Analysis of rectification evidence: Rectification evidence audited: Complaints Concerns and Appeals_PPCCCA_v2 Course Induction Guide CPC East Melbourne _v1 Student Handbook - January 2014 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR The NVR registered training organisation uses a systematic and continuous improvement approach to the management of operations. Original finding: Compliant Complaints policy & procedure Continuous improvement policy & procedure Continuous improvement register Complaints & appeals register Student feedback forms Annual validation improvement forms Annual moderation improvement forms VETrack student management system The RTO s management systems are: Appropriate for the size and scope of the RTO s operations Focused on providing quality training, assessment and support services Consistently implemented across all of the RTO s operations Page 16 of 24

17 17.3 The NVR registered training organisation monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the VET Quality Framework. Original finding: Not compliant Following rectification: Compliant Reasons for finding of non-compliance: Staff trainer & assessor files for: Daniel Hodges, Philip Alviano, Stephen Donaghey Contract sessional trainer & assessor files for: Brian Molyneux, Greg Splatt, Hasan Kaygusuz, Jan Brandjes, Joan Addison, Larry Fairman, Leo Gillman, Lewis Derrico, Luba Pavlovic, Michael Cooney, Michael (Mike) Juniper, NeilL Jaycock, Neil O Connor, Pask Alexis, Paul Payet, Robert Jasiewicz, Sarah McMurtrie, Stephen Zorzi, Tamer Mitwally The agreements and position descriptions do not describe the responsibilities of each party and the management strategies to be implemented, including monitoring arrangements. The implementation of the agreement is not monitored to ensure that it is being adhered to and that improvements are made, where required. Improvements to arrangements for the establishment, monitoring and implementation of agreements are not demonstrated. In order to become compliant, the organisation is required to: Develop agreements and position descriptions that describe the responsibilities of each party and the management strategies to be implemented, including monitoring arrangements. Show how implementation of the agreement will be monitored to ensure that it is being adhered to and that improvements are made, where required. Demonstrate improvements to arrangements for the establishment, monitoring and implementation of agreements. Analysis of rectification evidence: Rectification evidence audited: Agreement Amendment - including Duty Statement Trainer Induction v1 with all Appendices Training and Assessment Strategy_PPTAS_v2 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR 17.3 Page 17 of 24

18 17.4 The NVR registered training organisation manages records to ensure their accuracy and integrity. Original finding: Not compliant Reasons for finding of non-compliance: Student records management policy & procedure Qualification issuance policy & procedure Privacy policy & procedure Industry training guide July Dec 2013 (Prospectus) Student hand book issued 26 June 2013 Complaints policy & procedure Continuous improvement policy & procedure Continuous improvement register Complaints & appeals register Following rectification: Compliant The RTO s records are not systematically managed. Refer to SNRs: 15.4, 16.3, 16.6, 17.1, & 17.3 Records for demonstrating compliance with the VET Quality Framework are not maintained; Refer to SNRs 15.4, & 17.3 Staff do not meet their responsibilities for records management; Refer to SNR 15.4 The effectiveness of records management is not monitored and reviewed. Refer to SNRs: 15.4, 16.3, 16.6, 17.1, & 17.3 The continuous improvement of record management systems is not demonstrated. Refer to SNRs: 15.4, 16.3, 16.6, 17.1, & 17.3 In order to become compliant, the organisation is required to: Demonstrate that its records are systematically managed, records for demonstrating compliance with the VET Quality Framework are maintained, staff meet their responsibilities for records management, effectiveness of records management is monitored and reviewed, and continuous improvement of record management systems is demonstrated. Analysis of rectification evidence: Rectification evidence audited: Student Records Management_PPSRM_v2 Flowchart for making a change to a document v1 The rectification evidence provided satisfies the rectification requirements for the RTO to be deemed compliant for SNR 17.3 Page 18 of 24

19 SNR 18 The NVR registered training organisation has governance arrangements in place as follows: 18.1 The NVR registered training organisation s Chief Executive must ensure that the NVR registered training organisation complies with the VET Quality Framework. This applies to all of the operations within the NVR registered training organisation s scope of registration, as listed on the National Register. Original finding: Not compliant Reasons for finding of non-compliance: SNRs: 15, 16, 17, 20, & 22 RTO mangers position description Assistant RTO manager position description Following rectification: Compliant The RTO was found noncompliant with SNRs: 15.2, 15.3, 15.4, 15.5, 16.3, 16.6, 17.1, 17.3, & 17.4 In order to become compliant, the organisation is required to: Satisfy the rectification requirements for the noncompliant SNRs: 15.2, 15.3, 15.4, 15.5, 16.3, 16.6, 17.1, 17.3, & 17.4 Analysis of rectification evidence: Rectification evidence provided has satisfied the requirements for the RTO to be deemed compliant with the SNRs The NVR registered training organisation must also explicitly demonstrate how it ensures the decision making of senior management is informed by the experiences of its trainers and assessors. Original finding: Compliant Staff meeting minutes Continuous improvement register Internal audit forms: Validation & moderation forms Trainers and assessors provide input to business decisions so that these decisions promote quality VET practices. The RTO demonstrated how it includes the considerations of trainers and assessors experiences in decision-making. Page 19 of 24

20 SNR 19 Interactions with the National VET Regulator 19.1 The NVR registered training organisation must co-operate with the National VET Regulator: (a) in the conduct of audits and the monitoring of its operations; (b) by providing accurate and timely data relevant to measures of its performance; (c) by providing information about significant changes by its operations; (d) by providing information about significant changes to its ownership; and (e) in the retention, archiving, retrieval and transfer of records consistent with National VET Regulator s requirements. Original finding: Not audited SNR 20 Compliance with legislation 20.1 The NVR registered training organisation must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements relevant to its operations and its scope of registration. Original finding: Not audited 20.2 The NVR registered training organisation must ensure that its staff and clients are fully informed of legislative and regulatory requirements that affect their duties or participation in vocational education and training. Original finding: Compliant Staff hand book Industry training guide July Dec 2013 (Prospectus) Student hand book Staff induction/orientation process Staff hand book reference the legislative and regulatory requirements that affect their duties or participation in vocational education and training. SNR 21 Insurance 21.1 The NVR registered training organisation must hold public liability insurance throughout its registration period. Original finding: Not audited Page 20 of 24

21 SNR 22 Financial management 22.1 The NVR registered training organisation must be able to demonstrate to the National VET Regulator, on request, that it is financially viable at all times during the period of its registration. Original finding: Not audited 22.2 The NVR registered training organisation must provide the following fee information to each client: (a) the total amount of all fees including course fees, administration fees, materials fees and any other charges; (b) payment terms, including the timing and amount of fees to be paid and any nonrefundable deposit/administration fee; (c) the nature of the guarantee given by the NVR registered training organisation to complete the training and/or assessment once the student has commenced study in their chosen qualification or course; (d) the fees and charges for additional services, including such items as issuance of a replacement qualification testamur and the options available to students who are deemed not yet competent on completion of training and assessment; and (e) the organisation s refund policy. Original finding: Compliant Fees, charges, and refund policy and procedure Industry training guide July Dec 2013 (Prospectus) Student hand book Organisations bank guarantee The RTO demonstrated that it provides the following fee information to each client: a. the total amount of all fees including course fees, administration fees, materials fees and any other charges b. payment terms, including the timing and amount of fees to be paid and any nonrefundable deposit/administration fee c. the nature of the guarantee given by the NVR registered training organisation to complete the training and/or assessment once the student has commenced study in their chosen qualification or course d. the fees and charges for additional services, including such items as issuance of a replacement qualification testamur and the options available to students who are deemed not yet competent on completion of training and assessment e. the organisation s refund policy. Page 21 of 24

22 22.3 Where the NVR registered training organisation collects student fees in advance it must ensure it complies with one of the following acceptable options: (a) (Option 1) the NVR registered training organisation is administered by a State, Territory or Commonwealth government agency; (b) (Option 2) the NVR registered training organisation holds current membership of an approved Tuition Assurance Scheme; [option 2 not currently available] (c) (Option 3) the NVR registered training organisation may accept payment of no more than $1000 from each individual student prior to the commencement of the course. Following course commencement, the NVR registered training organisation may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed $1,500; (d) (Option 4) the NVR registered training organisation holds an unconditional financial guarantee from a bank operating in Australia for no less than the full amount of funds held by the NVR registered training organisation which are prepayments from students (or future students) for tuition to be provided by the NVR registered training organisation to those students; or (e) (Option 5) the NVR registered training organisation has alternative fee protection measures of equal rigour approved by the National VET Regulator. [option 5 not currently available] Original finding: Not audited SNR 23 Certification, issuing and recognition of qualifications & statements of attainment 23.1 The NVR registered training organisation must issue to persons whom it has assessed as competent in accordance with the requirements of the Training Package or VET accredited course, a VET qualification or VET statement of attainment (as appropriate) that: (a) meets the Australian Qualifications Framework (AQF) requirements; (b) identifies the NVR registered training organisation by its national provider number from the National Register and (c) includes the NRT logo in accordance with its current conditions of use. Original finding: Not audited 23.2 The NVR registered training organisation must recognise the AQF and VET qualifications and VET statements of attainment issued by any other RTO. Original finding: Not audited Page 22 of 24

23 23.3 The NVR registered training organisation must retain client records of attainment of units of competency and qualifications for a period of 30 years. Original finding: Not audited 23.4 The NVR registered training organisation must provide returns of its client records of attainment of units of competency and VET qualifications to the National VET Regulator on a regular basis, as determined by the National VET Regulator. [no requirements currently exist] This element was not audited The NVR registered training organisation must meet the requirements for implementation of a national unique student identifier. [no requirements currently exist] This element was not audited. SNR 24 Accuracy and integrity of marketing 24.1 The NVR registered training organisation must ensure its marketing and advertising of AQF and VET qualifications to prospective clients is ethical, accurate and consistent with its scope of registration. Original finding: Not audited 24.2 The NVR registered training organisation must use the NRT logo only in accordance with its conditions of use. Original finding: Not audited SNR 25 Transition to Training Packages/expiry of VET accredited courses 25.1 The NVR registered training organisation must manage the transition from superseded Training Packages within 12 months of their publication on the National Register so that it delivers only currently endorsed Training Packages. Original finding: Not audited Page 23 of 24

24 25.2 The NVR registered training organisation must manage the transition from superseded VET accredited courses so that it delivers only currently endorsed Training Packages or currently VET accredited courses. Original finding: Not audited Page 24 of 24