Audit report – VET Quality Framework

Transcription

Audit report – VET Quality Framework
Continuing registration as a national VET regulator
(NVR) registered training organisation
ORGANISATION DETAILS
Organisation’s legal name
Switch on Learning Pty Ltd
Trading name/s
Australian Institute of Technology and Trade
RTO number
32492
CRICOS number
n/a
AUDIT TEAM
Lead auditor
Nadine Khoury
Auditor/s
n/a
Technical adviser/s
n/a
AUDIT DETAILS
Application number/s
n/a
Audit number/s
1002665
Audit reason 1
Post initial
Audit reason 2
n/a
Audit reason 3
n/a
Activity type
Site visit
Address of site/s visited
6 Rose Crescent, Regents Park NSW 2143
2/8 Welch Street, Underwood QLD 4119
Date/s of audit
19/11/2014
24/11/2014
Organisation’s contact for audit
Dr Geety Nabi (Jasmine)
CEO
[email protected]
1300 602 757
NVR standards audited
Selected Standards for Continuing Registration:
SNR 15, 16.1, 16.3, 16.4, 16.5, 16.7, 17.3, 18.1, 20.2, 21.1, 22.2, 22.3,
23.1, 24.1 & 25
BACKGROUND

Switch on Learning Pty Ltd was initially registered in 2012, with a limited scope of registration, being
individual units of competency from the business and finance industries. Since its initial registration the
RTO has added significantly to its scope of registration. It now has qualifications in business and
management, childcare, electrotechnology, and plumbing, to the Diploma and Advanced Diploma
level. These qualifications were added to scope under a risk-based approach and without audit,
Australian Skills Quality Authority
Continuing registration audit report - Switch on Learning Pty Ltd
Page 1 of 23
including a post-initial audit.
Switch on Learning Pty Ltd is a privately owned company with two shareholders, one of whom is the
RTO CEO.
 The current CEO, Geety Nabi, purchased the RTO in April 2012, shortly after its registration. The CEO
has experience in sales, management and working for RTOs as a sales and marketing manager.
 The CEO stated that the decision to add childcare and electrotechnology qualifications to scope was
based on identified demand for trade recognition from overseas qualified tradespeople.
 The children’s services qualifications are targeted to women with little English who want to establish
family day care services. These include Afghani and Sudanese women. The CHC30113 Certificate III
in Early Childhood Education and Care qualification is delivered under Certificate III Guarantee
funding in Queensland.
 The UEE30811 Certificate III in Electrotechnology electrician is delivered on a fee for service basis.
The delivery is based on gap training for those already qualified overseas, or who have worked as
unlicensed electricians in Australia. The aim of the program is to assist these target groups to achieve
a full electrician’s licence.
 The RTO operates out of sites in NSW and Queensland. The majority of delivery of the
electrotechnology electrician’s course takes place in NSW, while the majority of children’s services
delivery is in Queensland.
 Switch on Learning delivers AUR20212 Certificate II in Automotive air conditioning technology and
AUR30612 Certificate III in Light vehicle mechanical on behalf of Australian Trade Training College
under a partnership arrangement. Switch on Learning does not have these qualifications on scope.
Total number of current enrolments in RTO as at audit date:


165
AUDIT SAMPLE
Code
Qualification/Course/Unit name
Mode/s of
delivery/assessment*
Current
enrolments
(If not yet on
scope, record N/A)
BSB51107
CPC40912
UEE30811
Diploma of Management
Certificate IV in Plumbing and Services
Certificate III in Electrotechnology
Electrician
CHC30113
Certificate III in Early Childhood
Education and Care
Face to face
Assessment only
Assessment only
Face to face
Online
Face-to-face
Online
2
nil
10
145
*Apprenticeship, Traineeship, Face to face, Distance, Online, Workplace, Mixed, Other (specify)
INTERVIEWEES
Name
Position
Qualification/Course/Unit code/s
Geeta (Jasmin) Nabi
CEO
n/a
Safdar Ghafoor
Business owner/ trainer
Business qualifications
Tim Shanahan
Trainer/assessor
Electrotechnology qualification
Masuda Nabi
Operational Manager
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ORIGINAL AUDIT FINDING AT TIME OF AUDIT
Audit finding as at 24/11/2014: Critical 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 10/03/2015:
Critical non-compliance
AUDIT FINDING BY STANDARD
Standard
Original finding
Finding following rectification
SNR 15
Not compliant
Not compliant
SNR 16
Compliant
n/a
SNR 17
Not audited
n/a
SNR 18
Not compliant
Not compliant
SNR 19
Not audited
n/a
SNR 20
Compliant
n/a
SNR 21
Not audited
n/a
SNR 22
Not compliant
Compliant
Compliant
n/a
SNR 24
Not compliant
Not compliant
SNR 25
Not compliant
Compliant
SNR 23/AQF
Page 3 of 23
SNR 15
15.1
The NVR registered training organisation provides quality training and assessment
across all of its operations, as follows:
The NVR registered training organisation collects, analyses, and acts on relevant data for
continuous improvement of training and assessment.
Original finding: Compliant
15.2
Following rectification: n/a
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
Following rectification: Not compliant
Reasons for finding of non-compliance:
BSB51107 Diploma of management
 The RTO provided the following:
o Training and Assessment Strategy
o Industry Consultation in Development of Training and Assessment and Strategies checklist
completed by Anit Chalany
 The evidence provided does not demonstrate that the strategy has been developed through
effective consultation with industry, or that it meets the requirements of the training package,
because:
o There is insufficient evidence of effective industry consultation, as the evidence shows only
one representative being consulted. Notwithstanding the one consultation, the industry
consultation form does not identify which course the feedback is being gathered on, or
which units or material are being commented on in relation to the assessment strategy.
o It is also not evident how the feedback has contributed to the development of the learning
and assessment strategy
o The target group identified in the strategy does not correspond to the target group outlined
at audit (school-leavers and/or those who have completed the Certificate III in Early
childhood education and care and manage their own business as family day care workers)
o In the case of school leavers, the target group is not consistent with the preferred pathways
for entry into the qualification.
o The selection of units, while consistent with qualification packaging rules, does not support
the intended outcomes for the stated target group of family day care workers. For example
units selected include BSBMGT502B Manage People Performance and BSBWOR502B
Ensure Team Effectiveness. Generally, family day care workers do not have access to
people to manage, or teams. The selection is not informed by adequate and appropriate
industry consultation.
o At audit the RTO indicated that there is a work placement component within this
qualification. However the training and assessment strategy did not outline any work
placement requirements, including purpose and timing
UEE30811 Certificate III in Electrotechnology electrician
o Training and Assessment Strategy
 The evidence provided does not demonstrate that the strategy meets the requirements of the
training package, because:
o The strategy presented is incoherent and contains insufficient information to guide
trainers/assessors. For example, it specifies the target group as being people seeking RPL
and who have a minimum of 4 years’ experience, or overseas qualified people who are
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seeking recognition for licencing purposes. In another section, four elective units are
identified as being delivered over 120 hours as part of gap training. At audit the RTO
stated that this was a gap training program agreed with NECA and ACT licencing body. It is
unclear who the target group is for this particular gap training, and what other training is
offered to those who may not gain RPL for other units included in the Certificate III, and
who may require different gap training.
o In addition, the RTO stated at audit that it only delivers the “capstone” unit as a 100-hour
program. It is unclear which unit/s is/are covered in this “capstone” training, who the target
group/s is/are, and how the training is managed. A learning and assessment strategy was
not sighted for this 100-hour program. NB: A capstone assessment is meant to be
undertaken by RTO’s following a candidate’s completion of the Certificate III in
Electrotechnology Electrician.
o The RTO also specified that it delivers gap training on a one-on-one basis depending on
individual student needs and which units they can gain RPL for. Evidence of an
individualised program or training plan that described this type of delivery could not be
sighted at audit.
CPC40912 Certificate IV in Plumbing and services
o Training and Assessment Strategy. The strategy identifies an assessment-only pathway.
 The evidence provided does not demonstrate compliance because:
o The strategy identifies several target groups that do not represent the target group stated at
audit as being the primary candidates for the qualification (these being qualified plumbers
who may want to open their own business)
o The strategy, while outlining correct packaging rules as per training package, does not
identify those units for which the RTO has capacity to offer assessment services
o No evidence of a customised assessment strategy was sighted at audit
o The strategy does not outline how gap training for those students who require it, will be
managed
o No evidence of industry consultation was sighted in relation to the assessment strategy
CHC30113 Certificate III in Early Childhood Education and Care
o Training and Assessment Strategy.
 The evidence provided does not demonstrate that the strategy meets the requirements of the
training package, because:
o At audit the RTO stated that the main target group is Afghani women who run their own
family day care service. It is not evident how the delivery strategy of 35 hours per week
over 24 weeks caters to the needs of this target group, both in terms of the study
commitment, and taking into account education and literacy levels of the group. In addition,
the nominated elective units within the strategy do not reflect family day care requirements,
nor was there sufficient evidence of consultation with relevant industry personnel to support
this selection
o There is no information within the strategy on when the stated 120 hours of work placement
occurs, its purpose, where the placements will occur, and how the process is managed.
In order to become compliant, the organisation is required to:
BSB51107 Diploma of Management
 Provide a training and assessment strategy that reflects the actual target groups for whom this
qualification is delivered, and which reflect the intended vocational outcomes (and current job
context) of this target group in terms of the electives selected. The strategy should also reflect
the purpose, timing and overall management of any work placement component that is
included
 Provide evidence of effective industry consultation, along with evidence of how this has
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impacted the development of the training and assessment strategy
UEE30811 Certificate III in Electrotechnology Electrician
 Provide a training and assessment strategy that reflects delivery of the gap 100-hour program
 Provide one example of an individualised, tailored program for a student who is undertaking
the qualification via RPL and gap training
 Provide an assessment strategy that reflects organisational capacity for assessment of specific
units of competency, and which outlines the gap training options for those not able to gain the
full qualification
 Provide evidence of effective industry consultation and how it has impacted the assessment
strategy
 Provide a training and assessment strategy that reflects the needs of the family day care
worker target group, and which outlines the purpose, timing and management of the workplacement component. Latter should describe the units that will be delivered/practiced and/or
assessed in the workplace
Analysis of rectification evidence:
 The RTO has since withdrawn this qualification from scope.
 Previous non-compliances pertaining to this qualification are therefore no longer applicable
 The RTO has since withdrawn this qualification from scope.

The RTO submitted:
o A revised training and assessment strategy for those seeking RPL, which also includes
program of delivery for unit UEENEEG105A Verify compliance and functionality of low
voltage general electric installations, also referred to by the organisation as the “Capstone”
unit, as this unit cannot be RPLd and must be completed following completion of all other
units
o Participant Training Plan for gap training for student CA

The evidence has addressed the non-compliances for this qualification

The RTO provided the following:
o Revised Training and Assessment strategy
o Delivery Framework document
o Work Placement Record document
 Rationale for inclusion of the specific elective units is included in the revised TAS
 Pattern of delivery amended, with evening classes and Saturday classes programmed, such
that it is suitable for the target group of family day care workers
 Information on work placement is also included in the TAS

The evidence has not addressed the non-compliances for this qualification
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Reasons for outstanding non-compliance:
 TAS and/or delivery framework for this qualification do not identify the required equipment and
facilities for delivery of all the units of competency/all clusters
 The revised delivery time of 26 weeks (up from 24 weeks) does not meet AQF volume of
learning for a certificate III qualification, or the needs of the identified target group who are
likely to have significant language and literacy needs. It is noted that, in addition to the face-toface delivery hours and work placement hours, the TAS states that students are required to
undertake personal study and research. However the TAS has not identified the indicative
number of hours of study outside of formal class time, or what this study and research
constitute.
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.
 The RTO provided details of the staff and training and assessment materials it uses.
 Facilities and equipment were sighted at audit, both at Regents Park, NSW premises (for
delivery and assessment of electrotechnology and children’s services qualifications) and at
Underwood in Queensland (for delivery and assessment of children’s services qualifications).
 The evidence provided/sighted does not support compliance with the requirements of SNR
15.3.
Equipment and facilities
 Resources and equipment sighted for delivery of both the UEE30811 Certificate III in
Electrotechnology Electrician and CHC30113 Certificate III in Early Childhood Education and
Care are inadequate. For example:
o For CHC30113 there were no resources available in the Sydney premises, and in
Queensland the resources were limited both in variety and numbers. For example, first aid
resources consisted of 2 adult manikins, two infant manikins and around 3 defibrillators.
The care and educational resources did not include for example kitchen or cooking
facilities, suitable age-related toys, suitable books and musical instruments, consumables
such as nappies etc. The RTO could not provide a list of available resources and
equipment at both sites, or evidence of purchase of resources and equipment.
o Equipment and resources for UEE30811 were not seen or were not in sufficient
numbers/varieties. For example, the resources did not include single and three phase
motors and controllers/starters, switchboards and control panels, programmable controllers,
test panels for fault-finding, testing equipment etc. The RTO could not identify how it had
determined that the resources and equipment were consistent with the requirements of the
relevant training package, as well as current industry requirements
 There is no evidence that there has been industry consultation regarding equipment and
facilities for delivery of UEE30811 Certificate III in Electrotechnology Electrician and
CHC30113 Certificate III in Early Childhood Education and Care, such that it is evident that
these meet current industry requirements.
Staff
 The RTO did not demonstrate that all trainers/assessors meet the requirements of SNR 15.4
as detailed in this audit report.
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Assessment material
 The RTO did not demonstrate that its assessment materials are consistent with the
requirements of the relevant training package as detailed in SNR 15.5 of this audit report.
Learning material
BSB51107 Diploma of Management and CHC30113 Certificate III in Early Childhood Education
and Care
 The RTO specified that it uses SmallPrint Learner Guides for both these qualifications. Other
than one completed summary review form of children’s services material, which stated that
resources were “OK”, no other evidence could be sighted of how the RTO had ensured the
material met training package requirements, and the needs of the target groups.
 Address the non-compliances with SNR 15.4 and 15.5 below.
 Provide evidence of relevant and sufficient industry consultation regarding equipment and
facilities, as well as evidence of availability or access to such facilities and equipment in
sufficient numbers, such that it is evident that current resources meet industry and training
package requirements for delivery of UEE30811 Certificate III in Electrotechnology Electrician
and CHC30113 Certificate III in Early Childhood Education and Care.
 Provide evidence that demonstrates that learning resources for CHC30113 Certificate III in
Early Childhood Education and Care and BSB51107 Diploma of Management meet training
package requirements and target group needs.
Equipment and facilities
 The RTO submitted:
o Statement that its delivery in NSW is via an agreement with another RTO, Empower
Options Pty Ltd (RTO no. 91792). It is noted that Empowerment Options Pty Ltd is an RTO.
It is noted that the RTO has removed all states delivery location and is now only delivering
this qualification in Qld.
o Hire agreement with YMCA Springfield Lakes Community Centre playgroup room
o Training & Assessment strategy for CHC30113 showing pictures of YMCA Playgroup room
and resources therein
o Delivery Framework for CHC30113 showing a sample lesson plan for one cluster. Plan
includes teaching resources to be used, including online and YouTube resources, along
with required equipment to support delivery
 The evidence provided does not demonstrate that facilities and equipment meet training
package requirements and that they are consistent with the RTO’s training and assessment
strategies for this qualification.

The RTO submitted:
o Letter from NECA Training dated 20/11/2014 regarding resources for delivery of the
“capstone” unit at Regent’s Park premises. (NB: The letter expressly states that no
implication is being made regarding there being sufficient resources for delivery of all units
within the qualification)
o Revised TAS showing that all gap training (other than “capstone” unit) would be conducted
at the student’s workplace
 The evidence provided demonstrates that the RTO has appropriate facilities and equipment to
support delivery of this qualification
Page 8 of 23
Staff
 The RTO provided further evidence regarding staff qualifications, experience and PD.
 The evidence demonstrates that trainer/assessors meet the requirements of SNR 15.4.
 See at 15.4 below for further detail
Assessment material
 The RTO submitted additional evidence in relation to non-compliances identified with SNR
15.5.
 The evidence provided has not addressed non-compliance with SNR 15.5, in relation to
Learning material
 The RTO has withdrawn this qualification from scope
o Statement that it had engaged the services of a highly qualified early childhood
trainer/assessor to assist in the development of customised learning materials and lesson
plans
o Delivery Framework document, which includes sample lesson plans for cluster 3 of the
program. Lesson plans include details of online and other resources required/suggested for
delivery of each lesson.
 This evidence supports compliance with this standard in relation to training material
 The RTO has not demonstrated that it has suitable equipment and facilities for delivery of the
CHC30113 Certificate III in Early Childhood Education and Care because:
o TAS and/or delivery framework for this qualification do not identify the required equipment
and facilities for delivery of all the units of competency/all clusters.
o While the TAS includes pictures of the YMCA playgroup room and the toys/books included
therein, this evidence is insufficient to demonstrate that all required resources, including
resources outlined in sample lesson plans for cluster 3, are available at all training venues.
o It is also not clear how the playgroup resources would support evening and Saturday faceto-face delivery, as indicated in the TAS.
 The RTO has not demonstrated that its assessments for this qualification meet the
requirements of SNR 15.5
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.
Following rectification: Compliant
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 The RTO did not demonstrate that all its training and assessment is delivered by trainers and
assessors who meet the requirements of this standard. Specifically:
Hicham Razak (HR)
Delivering and assessing BSB51107 Diploma of Management and HLTAID004 Provide first aid in
an education and care setting (within the CHC30113 Certificate III in Early Childhood Education
and Care)
 While evidence was sighted of testamur for BSB60407 Advanced Diploma of Management,
the RTO did not provide evidence that HR had relevant vocational competency for delivery and
assessment of BSB51107 Diploma of Management as the units therein are not the same as
those in BSB60407
 No evidence was sighted of development of VET knowledge and skills and development of
trainer/assessor competence
Charlie Charbel Baynie (CCB)
Assessing CPC40912 Certificate IV in Plumbing and Services
 Evidence provided includes:
o 90181 NSW Certificate III in Plumbing, TAFE NSW 8/7/2009
o BCP40106 Cert IV in Plumbing and services (operations), TAFE NSW 15/12/2010
o SoA in TAELLN411, Management Institute of Australia, 7/7/2014
o Resume showing experience as a plumber from 1997-1999
 Evidence does not demonstrate that CCB has relevant vocational competency or current
industry skills for assessment of CPC40912 and the specific units within each stream
(management and operational), nor that he meets the additional assessor requirements
specified in the training package (relevant professional or para-professional qualifications)
 No evidence was sighted of development of industry currency and VET knowledge and skills
Paul Cooper (PC)
Delivering and assessing UEE30811 Certificate III in Electrotechnology Electrician
 No evidence could be sighted of development of VET knowledge and skills and
Tim Shanahan (TS)
Delivering and assessing UEE30811 Certificate III in Electrotechnology Electrician
 No evidence could be sighted of development of VET knowledge and skills and
Elizabeth Seo (ES) and Zohrah Ahmed (ZA)
Delivering and Assessing CHC30113 Certificate III in Early Childhood Education and Care
 Evidence provided for ES includes:
o CHC30708 Certificate II in Children’s Services, Future Academy 15/10/2013
o Course in Emergency Management of Asthma in the Workplace Allens Training 15/10/2013
o Course in First Aid Management of Anaphylaxis, Allens Training 15/10/2013
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o Resume citing experience as educator at pre-schools and family day care from 2010current.
 Evidence provided for ZA includes:
o CHC30402, Satellite College and English Language Central, 8/7/2009.
o HLTFA311B Apply First Aid, First Aid International, 29/3/2009
o Resume citing current experience as a group leader at Little Stars Early Learning Centre,
and assistant at another childcare centre
 The RTO did not provide evidence that ES and ZA have relevant vocational competency for
delivery and assessment of CHC30113 as the children’s services qualifications they have are
superseded qualifications.
 The evidence sighted does not demonstrate that ES has continued to develop industry
currency and VET knowledge and skills, as well as trainer/assessor competence
 No evidence could be sighted that demonstrates that ZA continues to develop VET knowledge
and skills as well as trainer/assessor competence
 Provide evidence to demonstrate that Hicham Razak, Charlie Charbel Baynie, Elizabeth Seo
and Zohrah Ahmed have relevant vocational competence for the qualifications they are
delivering/assessing
 Provide evidence that Charlie Charbel Baynie meets assessor requirements as identified in the
training package, and continues to develop industry currency as relevant to the Certificate IV in
Plumbing and Services
 Provide evidence of development of VET knowledge and skills for Hicham Razak, Charlie
Charbel Baynie, Paul Cooper, Tim Shanahan, Elizabeth Seo and Zohrah Ahmed
 Provide evidence that Elizabeth Seo has continued to develop industry currency
 The RTO has:
o Withdrawn CPC40912 Certificate IV in Plumbing and Services and BSB60407 Advanced
Diploma of Management from its scope of registration.
o It has also provided a revised TAS for CHC30113 Certificate III in Early Childhood
Education and Care which shows that the unit HLTAID004 Provide first aid in an education
and care setting is delivered externally.
o Advised that CHC30113 Certificate III in Early Childhood Education and Care is no longer
delivered in Sydney and that therefore Elizabeth Seo is no longer employed by AITT
o Provided a Trainer/Assessor matrix for Zohra Ahmed
o Provided Trainer/Assessor matrix and qualifications for an additional trainer, Manoja
Mudannayake, for delivery of CHC30113 Certificate III in Early Childhood Education and
Care in Queensland
o PD policy
o Snapshot of subscriptions to various organisations for trainers Paul Cooper, Tim Shanahan
and Manoja Mudannayake
o Meeting minutes of PD meetings 8/1/2015 and 9/2/2015
 Non-compliances pertaining to Hicham Razak, Charlie Charbel Baynie and Elizabeth Seo are
no longer relevant
 Evidence provided demonstrates that Paul Cooper, Tim Shanahan, and Zohrah Ahmed (will)
continue to develop VET knowledge and skills, as well as trainer/assessor competence
 Evidence provided demonstrates that Zohrah Ahmed has relevant vocational competence for
the qualification she is delivering/assessing
 The RTO has demonstrated compliance with this standard
Page 11 of 23
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.
BSBMGT502B Manage people performance
 Assessment tools consist of:
o Assessment Mapping
o Assessment Resource Summary, including Assessor Instructions and assessor checklists
o Student information
 Assessment tasks consist of:
o 2000-word written report describing processes for managing people performance
o Observation of an activity/task
o Written review of an existing performance management system
o Written responses to scenarios
 The assessments do not meet training package requirements, reliability or validity principles
because:
o Tasks to be undertaken in Assessment 3 are not defined. That is, it is not evident what the
candidate has to do, and in what context.
o The assessments do not require demonstration of skills such as coaching, design of a
performance management system, training of participants, writing of a performance
improvement and development plan. They do not address critical aspects of evidence such
as knowledge of relevant rewards and agreements, demonstration of techniques in
providing feedback and coaching for improvement of performance.
o The assessments also require use of skills that are beyond the scope of the unit. For
example the unit does not require report-writing skills such as those required to complete
the 2000-word report
o Task 2 (according to assessor instructions) requires the candidate to rotate through a
number of roles while engaged in activities to do with conceptualising and developing a
small business. The observation task is not sufficiently detailed to describe how, or in what
context, the candidates are observed performing all of the skills described in this unit’s
performance criteria. Also, the task description has no instructions in relation to people
performance. Instead the focus is on other skills beyond the scope of the unit, such as
conduct of a feasibility study, creation of a marketing plan, creation of a business plan,
budget management, production of financial statements etc.
o Additionally the assessor instructions are of a generic nature and describe the conditions
that must be present for simulation, without addressing what the task/s is/are, the context of
the assessment for the specific target group and mode of delivery, the resources required,
and the specific simulation conditions for the particular task to which these instructions are
attached.
 Assessments are not reliable and do not meet workplace requirements because:
o The assessor checklists contain statements about completion of task components, rather
than providing guidance on how to judge performance in each of the sub-tasks, and how to
establish that the task/s has been completed to a level consitent with workplace
requirements
Page 12 of 23
BSBMGT515A Manage operational plan
o Assessment Mapping
o Assessment Resource Summary, including Assessor Instructions and assessor checklists
o Student information
o Observation of an activity/task – for the same task as per unit BSBMGT502B Manage
people performance
o Written evaluation report of an operational plan
o Preparation of a 1-year budget
o Financial variance analysis report
 The assessments do not meet training package requirements, reliability or validity principles
because:
o There is no apparent relationship between the assessment tasks to be undertaken and the
unit requirements
o Skills such as (but not limited to) the development of an operational plan (as distinct from a
business or marketing plan), management of human and physical resource acquisition,
development and implementation of contingency plans, coaching skills are not addressed
o Knowledge requirements such as models and methods for operational plans are not
addressed
 As with unit BSBMGT502B Manage people performance, assessments are not reliable and do
not meet workplace requirements because:
o The assessor checklists contain statements about completion of task components, rather
than providing guidance on how to judge performance in each of the sub-tasks, and how to
establish that the task/s has been completed to a level consitent with workplace
requirements
UEENEEA110A Assesmble, mount and connect control gear and switch gear
o RPL Assessor Kit
o RPL Candidate Kit
 Other evidence sighted includes:
o RPL evidence for student JM
 The assessments do not meet training package requirements, reliability, validity or sufficiency
principles because:
o There are no assessment tools for those undertaking gap training
o The RPL Assessor Kit references inclusion of one or more practical task demonstrations
where gaps in RPL evidence are identified. However, no task descriptions, assessor and
candidate instructions, as well as marking guide could be sighted for these practical tasks
o The RPL Kit includes reference of a “Competency Conversation”. In the case of sampled
student file this “conversation” was limited to the candidate providing evidence of having
undertaken two installation or service jobs. The candidate’s evidence (some invoices) had
not been verified.
o It is also not evident how required knowledge had been ascertained. While the RPL kit
contains questions to guide the Competency Conversation, there is no record of candidate
responses to these nor assessor comments on response. The material cites that
competency conversations would be recorded. However, no such record could be sighted
at audit.
o RPL Kit for Assessors does not contain guidance for assessors on expected responses to
the questions or other guidance to ensure all assessors judge performance in a similar way
Page 13 of 23
CPC40912 Certificate IV in Plumbing and Services
CPCPCM4012A Estimate and cost work
o RPL Kit – “Record of Conversation”
o RPL- Candidate Kit
 Other evidence sighted includes:
o RPL evidence for student AE, who was deemed to be competent in this unit. This evidence
included:

Reference letter from a licenced plumber

Quote for one job

Referee testimonial from Director of a plumbing and maintenance solutions company

Photographs of jobs that the candidate specifies they were engaged in performing.
These are signed by a contractor.
 While the RPL Kit includes sufficient questions and guidance on types and forms of evidence
that should be collected, the evidence sighted on sampled student file does not support
demonstration that the RTO’s assessments are conducted in accordance with validity principle
of assessment and sufficiency rule of evidence, or that they meet training package
requirements because:
o It is not evident from the evidence collected that the candidate has all required knowledge
and skills, including estimation skills (of materials, labour, time and cost), observation of
sustainability principles, communication skills, knowledge of job safety analysis and safe
work method statements. Insufficient evidence as outlined in the unit’s critical evidence
requirements has been collected.
CPCPDR4013B Design and size domestic treatment plant disposal
o RPL Kit – “Record of Conversation”
o RPL- Candidate Kit
 The RPL assessment tools do not meet reliability or sufficiency principles because:
o There is insufficient assessor instruction on the types of evidence to be collected from the
candidate, and minimum quantities of such evidence, to demonstrate compliance with all
unit requirements, including critical evidence requirements.
HLTAID004 Provide first aid in an education and care setting
o Assessor Guide
o Candidate Assessment Guide
o Written question/answer and scenario response assessments
o Demonstration task
o Project
o Third party report
 The assessments do not meet training package requirements because:
o The assessments do not address all the performance evidence outlined in the unit’s
assessment requirements. This includes, but is not limited to, responding to regurgitation or
vomiting, managing an unconscious breathing casualty, following single rescuer procedure,
including rotation of operators, using an Automated External Defibrillator, responding to at
least 3 simulated first aid scenarios involving children and infants of varying ages,
Page 14 of 23
demonstrating safe manual handling techniques, providing written reports of the incident,
conducting hazard assessments, and applying first aid for the stated range of emergencies,
defrief skills etc.
 The assessments do not meet validity principles of assessment because:
o The assessments focus on written respones to questions rather than demonstration of skills
and knowledge
o The literacy requirements of the written assessments are inconsistent with the literacy skills
required by the unit.
o The third party report is not an appropriate assessment method for this unit as it requires a
workplace supervisor to comment on a candidate’s workplace performance in relation to the
elements and performance criteria. It is unlikely in a normal childcare environment, and
within the short work placement periods in the course, that opportunities for demonstration
of first aid responses present themselves, such as to enable a supervisor to make a
judgement on the candidate’s performance.
 The assessments do not meet reliability principles because:
o There are insufficient assessor instructions in relation to the demonstration task to ensure
consistency amongst assessors. For example, there is no guidance to the scenarios for
which the candidate has to perform CPR, there is no information on resources required,
other than stating “provide any associated equipment if possible”. There are no instructions
on how to set up the simulation.
o The instructions for the project task are unclear in terms of what the task/s is/are, and in
what context it/they are to be undertaken.
o Given there are numerous and extensive written questions, there are no instructions to
assessors on how to synthesise the evidence. That is, how to make a judgement on overall
performance taking into account there may be satisfactory reponses to some questions and
not others.
 Provide revised assessment tools for the following units that meet training package and
workplace requirements, and which demonstrate that they are valid and reliable
o BSBMGT502B Manage people performance
o BSBMGT515A Manage operational plan
 Provide assessment tools for those undertaking gap training for the following unit:
o UEENEEA110A Assesmble, mount and connect control gear and switch gear
 Provide RPL assessment tools that include task descriptions, assessor and candidate
instructions and a marking guide for all practical tasks required to be completed in absence of
sufficent RPL evidence
 Provide evidence of appropriate corrective action to address the absence of sufficient evidence
to support competency judgement for student JM, as well as for future assessments.
 Provide revised RPL assessment tools for the following units that demosntrate how sufficent
evidence will be collected to ensure training package requirements are met, that reliability
principle is met, and that sufficient valid evidence is gathered to support a judgement of
competency:
o CPCPCM4012A Estimate and cost work
o CPCPDR4013B Design and size domestic treatment plant disposal
 Provide evidence of appropriate corrective action to address the absence of sufficient evidence
to support competency judgement for student AE
Page 15 of 23
 Provide revised assessment tools for the following unit that meet training package and
requirements, and which demonstrate that they meet validity and reliability principles of
assessment:
o HLTAID004 Provide first aid in an education and care setting
 The RTO has withdrawn this qualification from its scope of registration.
 Non-compliances pertaining to this qualification are no longer relevant.
 The RTO has withdrawn this qualification from its scope of registration.
 Non-compliances pertaining to this qualification are no longer relevant.
o Gap Training Assessment booklet for UEENEEA110A Assemble, mount and connect
control gear and switch gear , also referred to as the “capstone” unit
o Workplace Logbook
o Assessor RPL Kit for same unit
o Candidate RPL Kit for same unit
o Third Party Evidence booklet for same unit
o Evidence of review of RPL assessment for student JM
 The RTO also outlined its corrective and preventive action measures in relation to competency
result for student JM. These actions included:
o Review of evidence on JM’s file
o Independent evaluation of evidence by an alternate assessor
o Further competency conversation questions and recording of evidence with student JM
o Detailed recording of evidence provided against units of competency for which a competent
result was given
o Redevelopment of RPL kits with much clearer instructions to assessors
o Assessor attendance at a mandatory workshop on RPL
o Introduction of quality control measures, including review of RPL records by CEO prior to
issuance of qualifications
o Quarterly review of a sample of RPL files
 The RTO has advised that it expects students to provide a copy of their First Aid certificate on
enrolment, or undertake first aid training with a specialised RTO who will issue the Statement
of Attainment in this unit
 It has also advised that it has undertaken a review of its assessment material across the
qualification, and provided sample assessment material for cluster 3.
 Non-compliances in relation to unit HLTAID004 Provide first aid in an education and care
setting are no longer relevant.
Auditor Note:
 Whilst not requested, assessment material for cluster 3 (which includes CHCECE002,
CHCECE003, CHCECE004 and CHCECE005) was provided. Material addresses training
package requirements and demonstrates that non-compliances pertaining to validity in relation
to the HLTAID004 Provide first aid in an education and care setting have been considered in
Page 16 of 23
development of the revised tools for cluster 3. It is suggested, however, that the RTO review its
third party checkbox instrument, as in its current form it does not demonstrate reliability.
 The RTO has not demonstrated that its assessments are valid or reliable, or that they meet
training package requirements because:
o it did not provide RPL assessment tools for all units as requested, including tools that
include task descriptions, assessor and candidate instructions and a marking guide for all
practical tasks required to be completed in absence of sufficient RPL evidence
SNR 16
16.1
The NVR registered training organisation adheres to principles of access and equity and
maximises outcome for its clients, as follows:
The NVR registered training organisation establishes the needs of clients, and delivers
services to meet these needs.
16.2
The NVR registered training organisation continuously improves client services by
collecting, analysing and acting on relevant data.
This element was not audited.
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.
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.
16.5
Learners receive training, assessment and support services that meet their individual
needs.
16.6
Learners have timely access to current and accurate records of their participation and
progress.
16.7
The NVR registered training organisation provides appropriate mechanisms and services
for learners to have complaints and appeals addressed efficiently and effectively.
Page 17 of 23
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.
17.2
The NVR registered training organisation uses a systematic and continuous improvement
approach to the management of operations.
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 audited
17.4
SNR 18
18.1
The NVR registered training organisation manages records to ensure their accuracy and
integrity.
The NVR registered training organisation has governance arrangements in place as
follows:
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.
 Non-compliances have been identified at SNR 15.2, 15.3, 15.4, 15.5, 22.2, 23.1, 24.1, and
25.1.
 Address all outstanding non-compliances identified in this report.
 The RTO submitted a Rectification Summary document, as well as additional evidence to
address the non-compliances with SNR 15.2, 15.3, 15.4, 15.5, 22.2, 23.1, 24.1, and 25.1.
Page 18 of 23
 The RTO has not demonstrated that it complies with the VET Quality Framework. Noncompliances remain at SNR 15.2, 15.3, 15.5 and 24.1
18.2
SNR 19
19.1
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.
Interactions with the National VET Regulator
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.
This element was not audited
SNR 20
20.1
Compliance with legislation
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.
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.
SNR 21
21.1
Insurance
The NVR registered training organisation must hold public liability insurance throughout its
registration period.
SNR 22
22.1
Financial management
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.
Page 19 of 23
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.
Information sighted included:
 Student Handbook
 Website
Information on fees does not meet the requirements of this standard because:
 Course fees are not consistently included for all courses advertised on the website
 Where course fees are advertised on the website, information does not include what the fee
inclusions are.
 While the Student Handbook outlines these inclusions, it only references this information as
being applicable to fee-for-service students, not funded students. It is therefore unclear what
fees and inclusions apply to those who are not fee-for-service students
 Information on payment terms, the nature of the guarantee given and fees and charges for all
additional services was not sighted
 Revise and submit student information on fees which addresses the non-compliances
identified above.
o Revised Student Information Handbook V4_50215
o Revised refund policy V220115
o Schedule of Course Fees
 Evidence has addressed the non-compliances
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
Page 20 of 23
approved Tuition Assurance Scheme;
(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.
SNR 23
23.1
Certification, issuing and recognition of qualifications & statements of attainment
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.
23.2
The NVR registered training organisation must recognise the AQF and VET qualifications
and VET statements of attainment issued by any other RTO.
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.
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]
23.5
The NVR registered training organisation must meet the requirements for implementation
Page 21 of 23
of a national unique student identifier. [no requirements currently exist]
SNR 24
24.1
Accuracy and integrity of marketing
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.
 Current marketing material, including website is not consistent with the RTO’s scope of
registration. Information references delivery of automotive, engineering, data and voice
communication and building and construction courses, which the RTO advised are delivered
on behalf of another RTO. However the other RTO who is in partnership with Switch on
Learning is not evident, nor is there information about this arrangement, so that it is clear to
students who they are enrolling with.
 Revise all marketing material, including website, so that it is clear which qualifications and/or
courses are on Switch on Learning’s scope, and which ones are being delivered via
arrangements with other RTO’s, or are not nationally recognised qualifications
 The RTO cited that it had reviewed its website and ensured that it now contained only
information pertaining to scope items
 Website reviewed on 10.3.2015 at www.aitt.edu.au shows that, while training products
advertised are on scope, inaccuracies remain. These include:
o “Capstone” unit advertised as “Electrical Capstone Training”. The correct unit code and unit
title are not included, nor referred to in the outcomes section of that page
o The information on the capstone unit does not identify the states within which this unit is
required for licencing purposes
o Pictures depicting the premises in the “About Us” tab of the website show indoor and
outdoor spaces akin to a large modern office building, and automotive, construction and
plumbing workshops that misrepresent the RTO facilities. No workshops were sighted at
the Regents Park, Sydney and Underwood Queensland sites, and the indoor and outdoor
spaces sighted at audit were not large modern office spaces.
o In addition, the client testimonies include references to the organisation being a “an
amazing university” (John Marrison), and having “”the most outstanding engineering team”
(Louiz Ben). These statements imply the RTO is also an accredited university and that it
has engineering qualifications on its scope.
24.2
The NVR registered training organisation must use the NRT logo only in accordance with
its conditions of use.
Page 22 of 23
SNR 25
25.1
Transition to Training Packages/expiry of VET accredited courses
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.
 While a Transition and Teach-out Policy was sighted, it is generic in nature and does not
describe the process/procedure by which the RTO will manage transition from superseded
training packages
 Provide evidence such as a process or procedure to describe how the RTO will manage
transition and teach-out
 The RTO provided:
o Transition Policy V2_080215
 Evidence demonstrates compliance with this standard
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.
Page 23 of 23

Audit report – VET Quality Framework

Transcription

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