AQTF Essential Conditions and Standards for Continuing ... · 1.1 – Strategic Plan and Business Plan 1.2 – Financial Viability 1.3 – Management Systems 1.4 – Organisational

AQTF Essential Conditions and Standards for

Continuing Registration & VRQA Guidelines for VET Providers - Audit Report

Audit Date: 17th and 18th March 2014 RTO: Northern College of the Arts and Technology

Continuing Registration Audit Report Northern College of the Arts and Technology Page 1 of 82

Applicant Details

Applicant Name Northern College of the Arts and

Technology TOID 6736

Address 62 Murray Road, Preson Vic 3072

Website http://ncat.vic.edu.au

Registration

Contact Ms Louise Terranova

Phone Number 03 9478 1333 Email [email protected]

Audit Team

Audit Firm Moore Stephens Auditor/s Anna-Louise Allen

Auditor/s Other

Attendees

Registering Body Details

Contact Person Emma Hickingbotham

Phone Number 9032 1562 Email [email protected]

Audit Details

Type of Audit Re-registration Audit

Conditions Audited 1, 3, 6, 7, 8, 9

Standards Audited 1.1, 1.2, 1.3, 1.4,

1.5

2.1, 2.2, 2.3, 2.4, 2.5, 2.6,

2.7 3.1, 3.2, 3.3, 3.4

VRQA Guidelines

Audited 1,2,3,4,5

Audit Date/s 17th and 18th March 2014

RTO Background

Northern College of the Arts and Technology provides VET qualifications to Years 10 – 12 and post Year 12.

They offer a number of VCE extension programs as well as the Diploma of Photographic Imaging.

NCAT also provides VET programs to over 400 external students from 41 state & private schools within the North

Eastern area of Melbourne.

The Principal is heavily involved in the management of the RTO attending VET meetings and engaging with a

Technology Reference Group and School Council in the governance and direction of the RTO.





Qualifications/Units Audited1

QUALIFICATION/UNIT OF COMPETENCE/ACCREDITED COURSE

TGA Code Qualification/Unit of Competence/Accredited

Course (as per TGA) Delivery Site

LMF20309 Certificate II in Furniture Making Vic

UEE22011 Certificate II in Electro technology

(Career Start) Vic

CUV50411 Diploma of Photo Imaging Vic

CUV40111 Certificate IV in Visual Arts Vic

LMF40308

Certificate IV in Musical Instrument

Making and Repair Vic

Interviewee(s) – Staff name and position; employer name and position

Louise Terranova RTO/VET Manager

Ms Raffaela Galati-Brown Principal

Marcus Newman Photo Imagining Trainer

Tracey Paterson Visual Arts/ Design Trainer

Michael Stewart Electro technology Trainer

Bon Nardella Guitar making and repairs Trainer

Nick Frewan Furniture Trainer

Mark Russell Guitar making and repairs Trainer

Permanent Delivery Sites –

Do the RTO’s permanent delivery sites match the information provided by the VRQA?

Yes No

X

If ‘ No’ , please provided amended details below:

1 Samples have been selected in accordance with the VRQA VET Audit Sampling Methodology





Audit Summary - AQTF Conditions of Registration

AQTF Conditions Compliant

Non -

Compliant

Not

audited

1 Governance ☐ ☐ ☒

2 Interactions with the Registering Body ☐ ☐ ☒

3 Compliance with Legislation ☒ ☐ ☐

4 Insurance ☐ ☐ ☒

5 Financial Management ☐ ☐ ☒

6 Certification & Issuing of Qualifications &

Statements of Attainment

☐ ☒ ☐

7 Recognition of Qualifications Issued by other

RTOs

☒ ☐ ☐

8 Accuracy and Integrity of Marketing ☒ ☐ ☐

9 Transition to Training Packages/Expiry of

Accredited Courses

☒ ☐ ☐

Summary of Non-Compliance2

CF 6.1

Certificates and Statements of Attainment do not meet the AQF requirements.

Strengths

The RTO has demonstrated a strong commitment to VET in the school curriculum. It is very encouraging to see

the Principal so involved in the RTO. There are also some strong connections with industry.

2 CF = Condition Finding. Finding references are aligned to the Detailed Findings section of this report.





Audit Summary - AQTF Standards

AQTF Standards/Elements Compliant

Non -

Compliant

Not

audited

Standard 1 ☐ � ☐

1.1 – Continuous Improvement Strategy ☒ ☐ ☐

1.2 – Training and Assessment Strategies ☒ ☐ ☐

1.3 – Training and Assessment Resources ☒ ☐ ☐

1.4 – Trainer and Assessor Competency ☒ ☐ ☐

1.5 – Assessment Strategies ☐ ☒ ☐

Standard 2 � ☐ ☐

2.1 – Meeting the Needs of Clients ☒ ☐ ☐

2.2 – Continuous Improvement of Client Services ☒ ☐ ☐

2.3 – Provision of Information to Clients ☒ ☐ ☐

2.4 – Third-Party Engagement in Training and

Assessment

☒ ☐ ☐

2.5 – Provision of Support Services to Clients ☒ ☐ ☐

2.6 – Learner Access to Records of Participation ☒ ☐ ☐

2.7 – Complaints and Appeals Strategy ☒ ☐ ☐

Standard 3 � ☐ ☐

3.1 – Operations Management ☒ ☐ ☐

3.2 – Continuous Improvement of Operations ☒ ☐ ☐

3.3 – Third-Party Training and/ or Assessment Services ☒ ☐ ☐

3.4 – Records Management ☒ ☐ ☐


SF1.5.1

Assessment does not meet some of the principles of assessment or rules of evidence.

SF1.5.2

Correct unit codes and versions of the units for the relevant Training Package are not being used consistently in the Certificate IV in Instrument Making and Repair.

3 SF = Standard Finding. Finding references are aligned to the Detailed Findings section of this report.





Audit Summary – VRQA Guidelines for VET Providers

VRQA Guidelines Compliant

Non -

Compliant

Not

audited

1. Governance, Probity and Compliance ☐ ☐ ☒

1.1 – Strategic Plan and Business Plan ☐ ☐ ☒

1.2 – Financial Viability ☐ ☐ ☒

1.3 – Management Systems ☐ ☐ ☒

1.4 – Organisational Governance ☐ ☐ ☒

1.5 – Academic/Educational Governance ☐ ☐ ☒

1.6 – Change Reporting ☐ ☐ ☒

2. Quality Assurance, Review and Evaluation

Processes

☐ ☒ ☐

2.1 – Course Quality ☒ ☐ ☐

2.2 – Cheating and Plagiarism ☒ ☐ ☐

2.3 – Quality Education and Training ☐ ☒ ☐

3. Student Enrolment Records and Certification ☐ ☐ ☒

3.4 – Provision of Courses to Domestic Students ☐ ☐ ☒

4. Student Learning Outcomes and Welfare

Services

☒ ☐ ☐

4.1 – Maximum Daily Hours of Attendance ☒ ☐ ☐

4.2 – Out of Hours Attendance ☒ ☐ ☐

4.4 – Student Safety ☒ ☐ ☐

5. Teaching, Learning and Assessment ☐ ☒ ☐

5.1 – Capacity to Deliver Scope of Registration ☐ ☒ ☐


GF2.3

The RTO is not consistently retaining training and assessment materials for a minimum period of 1 years post completion of the unit, including retention of master copies of student assessment and training resources

4 GF = Guideline Finding. Finding references are aligned to the Detailed Findings section of this report.





to demonstrate that quality education and training has occurred.

GF5.1.1

Mapping to the employability skills were not in place for:

• Diploma of Photo Imaging

• Certificate II in Furniture Making

• Certificate IV in Instrument Making and Repair

GF5.1.2

Assessment processes do not ensure reliability of assessment.





Detailed Findings - AQTF Conditions of Registration

CONDITION 3 - Compliance with Legislation Compliant

Finding Evidence/Documentation Reviewed Required Rectification(s)

The RTO is compliant with Condition 3.

Staff Hand book 2014

• Staff code of conduct

• Student wellbeing

• Student discipline

• Behaviour code

• Access and equity

• Safety

• OH&S policy and procedures

• Safety procedures

• Smoke free college policy

• Emergency evacuation procedure

• Staff procedures for responding to student sexual assault

• Prevention of workplace bullying policy

• Privacy policy

• Social media usage policy

• Acceptable use policy

• Assessment and reporting policy

• RTO operating manual

• Annual audit and review

The RTO is compliant with Condition 3.





• Student handbook

• NCAT policies and procedures 2014

• Governance

• Strategy and business plan

• VET organisational Structure

• Position Descriptions

• Continuous improvement and information flow

• Interactions with the registering body

• Compliance with legislation

• Insurance

• Financial management

• Issuing of qualifications and Statements of Attainment

• Recognition of qualifications issued by another RTOs

• Accuracy and integrity of marketing

• Transition to training package

• Quality training and assessment

• Learning and assessment strategies

• Resources for training and assessment

• Trainer/Assessor qualifications and records

• Trainer/Assessor induction

• Assessment mapping

• Assessment guide

• Assessment validation and moderation





• Assessment records

• RPL

• Cheating and plagiarism definitions and procedures

• Client services

• Access equity and anti-discrimination

• Establishing individual needs

• Employer engagement

• Client Services Agreement

• Credit transfer procedures

• Student course brochure and enrolment procedure

• Attendance, participation and progress

• Student access to results

• OH&S policy, student welfare and safety procedures

• Complaints and appeals policy

• Privacy Procedures

• Management systems

• Quality focus and continuous improvement

• Information flow and continuous improvement meetings

• Quality indicator procedures

• Record and administrative security

• Procedures





• File content and retention

• Retention of records for training and assessment

• Back-up of electronic data / version control

• Partnership arrangements

Interviews:

• Principal

• VET manager

• Trainers – Visual Arts, Photo imaging, Guitar making and repairs, Electro technology, Furniture Making.





CONDITION 6 - Certification & Issuing of Qualifications & Statements of Attainment Non-Compliant

CF.6.1 Finding Evidence/Documentation Reviewed Required Rectification(s)

The RTO is not compliant with Condition 3.

Qualifications and Statements of Attainment do not

meet the Australian Qualifications Framework (AQF)

requirements

Issuing of Qualifications and Statements of Attainment policy and procedure

VET Trak

VASS

RTO enrolment form – AVETMISS compliant

Certificates audited

Student 1 -CUS20109 Certificate II in Music

Student 2 – 22209VIC Certificate II in Engineering Studies

Student 3 – 22209VIC Certificate II in Engineering Studies

Statement of Attainment

Student 4– competencies from 22138VIC Certificate II in Plumbing (Pre-apprenticeship)

Student 5 – 22015VIC Certificate II in Automotive Studies (Pre-vocational)

Statements of Attainment are compliant

Actions:

• The RTO should add either the statement or the logo to all Certificates/Testamurs.

• The RTO rectified this at the time of the audit by adding the statement to their Certificates.










The RTO retains client records of attainment of units of competency and qualifications for a period of 30 years.

Issuing of Qualifications and Statements of Attainment policy and procedure VET Trak VASS Policies and Procedures – Management systems

• Record and administrative security procedures



• Back-up of electronic data / version control RTO enrolment form – AVETMISS compliant Certificates audited Student 1 -CUS20109 Certificate II in Music Student 2 – 22209VIC Certificate II in Engineering Studies Student 3 – 22209VIC Certificate II in Engineering Studies Statement of Attainment Student 4– competencies from 22138VIC Certificate II in Plumbing (Pre-apprenticeship) Student 5 – 22015VIC Certificate II in Automotive Studies (Pre-vocational) Statements of Attainment are compliant.

No rectification required





CONDITION 7 - Recognition of Qualifications Issued by other RTOs Compliant


The RTO is compliant with the requirements of Condition 7.



• Privacy policy


• RTO operating manual Student Handbook NCAT Policies and Procedures 2014







• RPL

• Client services











• Privacy procedures





• Back-up of electronic data / version control Student records

• HLTFA201B

• HLTFA201B

Interviews:

• Principal

• VET manager

• Trainers – Visual Arts, Photo imaging, Guitar making and repairs, Electro technology, Furniture Making





CONDITION 8 - Accuracy and Integrity of Marketing Compliant


The RTO is compliant with the requirements of condition 8 .

Website Staff Hand book 2014




• Privacy policy Student Handbook NCAT Policies and Procedures 2014

• Governance







• Client services




• Student assess to results











• Version control

CONDITION 9 - Transition to Training Packages/Expiry of Accredited Courses Compliant


The RTO is compliant with Condition 9





• Student handbook NCAT Policies and Procedures 2014








• Trainer/assessor qualifications and records

No rectification required.





• Trainer/assessor induction



• Assessment validation & moderation


• Client services



• Client services agreement








• Records and administrative security

• Procedures



• Back-up of electronic data / version control Interviews:





• Principal

• VET manager






Detailed Findings - AQTF Standards

ELEMENT 1.1 - The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment. Compliant


The RTO is compliant with Element 1.1

Continuous Improvement Register – Training and assessment





Student Handbook

NCAT Policies and Procedures 2014



















• Client services











• Continuous improvement register

Surveys:

• QI Surveys

• On Line VET cluster survey

• DEECD survey – Attitude to school

• Attitude to school survey results 2013

• Parent Opinion Survey

• Parent Opinion Survey results 2013

• Student Course Feedback Survey





Interviews:

• Principal

• VET manager


Improvement Opportunities

The internal Course feedback survey duplicates many of the questions in the QI surveys





ELEMENT 1.2 - Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry.

Compliant



Learning and Assessment strategies for:


• Certificate IV in Visual Arts

• Certificate IV in Guitar Making and Repair


• Certificate II in Electro technology Training Plans for:





• Certificate II in Electro technology Quality Training and Assessment Policies and procedures:


• Resources for Training and Assessment




• Assessment Guide







• Assessment Records Industry Consultation Records for:





• Certificate II in Electro technology


Training and assessment strategies meet the requirements of the training package/accredited course.







Training Plans for:






Quality Training and Assessment Policies and

procedures:













• Assessment Records

Industry Consultation Records for:










ELEMENT 1.3 - Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the Training Package or accredited course and the RTO’s own training and assessment strategies.

Compliant



School Timetable







Training Plans for:






Quality Training and Assessment Policies and procedures:



No rectifications required.










• Assessment Records

Validation Records for:






Units audited:

Certificate II in Furniture making:

LMFFM3002B Construct furniture using leg and rail method

First aid – Premium Health – Credit Transfer

Certificate IV in Visual Arts

CUVPHI527A Make illustrative images for publication and Display

CUVPHI518A Explore the descriptive and emotive nature of photo lighting





Also delivered and assessed with CUVPHI521A

Certificate IV in Guitar Making and Repair

CUVACD303A Produce Technical drawings

Wrong unit for MSAFM4001

Hand Carve wood to custom design

Should be 08 version A

Certificate II in Electro technology

UEENEEE104A Solve Problems in D.C. Circuits

CPCCOHS1001A Work safely in the construction industry

Diploma of Photo Imaging

CUVPHI518A Explore the descriptive and emotive nature of photo lighting



The RTO has access to adequate resources to effectively deliver training and assessment. .

Tour of facilities for:
















• Certificate II in Electro technology Training Plans for:










ELEMENT 1.4 - Training and assessment is delivered by trainers and assessors who:

a) have the necessary training and assessment competencies as determined by the National Quality 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.

Compliant


The RTO is compliant with element 1.4

Position Descriptions are located on Page 20 of policies and procedures manual. Position Descriptions audited:

• Principal Responsibilities and Authorities – dated 3/2/14 – legislative and regulatory requirements

• VET Manager Responsibilities and Authorities – dated 3/2/14 – assist principal with legislative and regulatory requirements

• Folio Prep & Arts Manager VET Responsibilities and Authorities dated 6/3/14

• Music HOD VET Responsibilities and Authorities – plan, organise and participate in Assessment Validation

• Technology Programs Manager VET Responsibilities and Authorities – Dated 6/3/14

• PIC Manager VET Responsibilities and Authorities






Policies and Procedures reviewed:

• Staff Handbook 2014




• Behaviour code

• Access and equity Staff Files audited:

• Mick Sirianni

• Tracey Patterson

• Ian Mckey

• Bon Nardella

• Nick Frewan

• Mark Russell

• Michael Stewart VET Meeting minutes Performance and Development Plan Process Performance and Development Plans Interviews

• Principal

• VET Manager

• Trainers







Position Descriptions are located on Page 20 of policies and procedures manual. Position Descriptions audited:

• Principal Responsibilities and Authorities – dated 3/2/14 – legislative and regulatory requirements

• VET Manager Responsibilities and Authorities – dated 3/2/14 – assist principal with legislative and regulatory requirements

• Folio Prep & Arts Manager VET Responsibilities and Authorities dated 6/3/14

• Music HOD VET Responsibilities and Authorities – plan, organise and participate in Assessment Validation

• Technology Programs Manager VET Responsibilities and Authorities – Dated 6/3/14

• PIC Manager VET Responsibilities and Authorities

Policies and Procedures reviewed:

• Staff Handbook 2014




• Behaviour code

• Access and equity Staff Files audited:






• Mick Sirianni

• Tracey Patterson

• Ian Mckey

• Bon Nardella

• Nick Frewan

• Mark Russell

• Michael Stewart

VET Meeting minutes Performance and Development Plan Process Performance and Development Plans


Professional development records for trainer/assessors varies greatly across subject areas. Some CVs include PD, the Staff also are required to maintain records for VIT registration. The RTO is scheduling regular VET meetings which include PD activities around developing Training and assessing competencies and knowledge of the VET sector, however these records are not reflected in the individual trainer files. The RTO should centralise the recording of PD in the three areas required by this standard, so that this is systematically recorded and able to be recalled and monitored easily. The individual Performance and Development Plan could be used to include all VET related PD.





ELEMENT 1.5 - Assessment including Recognition of Prior Learning (RPL):

a) meets the requirements of the relevant Training Package or accredited course

b) is conducted in accordance with the principles of assessment and the rules of evidence

c) meets workplace and, where relevant, regulatory requirements

d) is systematically validated.

Non-Compliant

SF.1.5.1 Finding Evidence/Documentation Reviewed Required Rectification(s)

The RTO is not compliant with Element 1.5

Assessment tools do not comply with the principles of

assessment and rules of evidence.

A clear set of assessment criteria/model answers for each assessment task was not in place for Photo imaging. In all qualifications a ruling of competency is being made at the element and task level – this should be satisfactory or not satisfactory. The assessment record sheet for each assessment task in place is making a ruling competency.

Competency can only be deemed at the unit level.

An information guide for assessors on the process of assessment used by the RTO with details specific to the qualification has not been consistently applied across the RTO’s scope. An assessor guide was not in place for Diploma of Photo imaging.

RPL application from Craig Illman – skill set from Certificate IV in Musical Instrument Making and Repair

Statement of attainment for the four units:

• LMFDN4002B

• LMFDN4003B

• LMFDN5001B

• LMFFT4010B

• MSAENV272B

• MSAPMOHS200A

• LMFFT4011B

RPL Process Template – generic

Tour of facilities for:





Actions:

• An information guide for assessors on the process of assessment used by the RTO specific to each qualification and containing model answers and marking guides should be in place for all qualifications on the RTO scope.

• The assessment record sheet for each assessment task which is in place requires modification.

• Competency can only be deemed at the unit level.

• Satisfactory or not satisfactory is the ruling usually used at the task or element level.

• The overall record sheet should then show satisfactory/ not satisfactory outcomes for each task and an overall ruling of competency or not.












Training Plans for:






SF.1.5.2 Finding Evidence/Documentation Reviewed Required Rectification(s)

Correct unit codes and versions of the units for the relevant Training Package are not being used consistently in the Certificate IV in Instrument Making and Repair. LMFFM4005A Hand carve wood to custom design is the

correct unit for the qualification currently being

delivered. This is the unit listed in the training plan.

However the assessment tools and processes in place


procedures:







Actions:

• The RTO should ensure that the assessment tools in place are for the correct unit consistent with the Training Plan and current version of the training package being delivered. These tools should then be mapped to the critical assessment requirements as outlined in the unit of competency, or in the Assessment Requirements for units that have been revised





are for MSAFM4001.

MSAFM4001 Hand Carve wood to custom design – is from the new training package which the RTO has not transitioned to yet. Given change of format of the unit of competency mapping documents to the skills and knowledge and critical aspects of evidence and employability skills against assessment tasks have not been developed and are not in place.









Units audited:

Certificate II in Furniture making: LMFFM3002B Construct furniture using leg and rail method – discussions around requirement to build a chair. The students are currently building a stool with a back and the RTO has capacity to use a CNC machine to build a chair. First aid – Premium Health – Credit Transfer


CUVPHI527A Make illustrative images for publication

and Display

CUVPHI518A Explore the descriptive and emotive

nature of photo lighting

in line with the new training package format.













CPCCOHS1001A Work safely in the construction

industry






The auditor suggests that the RTO needs to make contact with the ISC with a case supported by industry for a reconsideration of the changes resulting from the move of the Certificate IV in Instrument Making and Repair to the LMF training package and the deletion of the Instrument repair unit, given its need in the music performance and teaching





sector.

Further to the discussions around the construction of a chair for the Certificate II in Furniture making, it is suggested that the RTO pursue the options discussed at audit, as the unit does state a chair.





2.1 - The RTO establishes the needs of clients and delivers services to meet these needs. Compliant



RTO Enrolment form – AVETMISS compliant



• Student Wellbeing

• Student Discipline

• Behaviour Code

• Access and Equity


Student Handbook






Quality Training and Assessment

Client services

• Access equity & anti-discrimination









• Student course brochure and enrolment

procedure


Management systems



• Continuous improvement register



Interviews:

• Principal

• VET manager






2.2 - The RTO continuously improves client services by collecting, analysing and acting upon relevant data. Compliant







• Behaviour Code

• Staff Procedures for responding to student sexual assault


• Privacy policy

Student Handbook



• Client services













• OH & S policy, student welfare and safety procedure







Surveys:

• QI Surveys

• On Line VET cluster survey

• DEECD survey – Attitude to school

• Attitude to school survey results 2013

• Parent Opinion Survey

• Parent Opinion Survey results 2013

• Student Course Feedback Survey

Interviews:

• Principal

• VET manager







There is duplication across the surveys being administered by the school.





2.3 - Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations.

Compliant



Website





• Behaviour code


• Safety



• Smoke free college policy

• Emergency evacuation procedure

• Staff procedures for responding to student sexual assault


• Privacy policy





No rectifications required.





Student Handbook


• Governance

• Strategies and business plan










• Client services





















• Back-up of electronic data / version control


Interviews:

• Principal

• VET manager






2.4 - 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.

Compliant


The RTO is compliant with element 2.4.

Student Handbook 2014

• Structure workplace learning

• Industry engagement and continuous improvement

Structured workplace learning form (DEECD form)

Structured workplace learning travel form

Travel Document (DEECD form)


• Safety




• Quality Training and Assessment



• Client services




No Rectification required.









NCAT Technology Reference Group

• Minutes of Reference Group Meetings

Interviews:

• Principal

• VET manager






2.5 - Learners receive training, assessment and support services that meet their individual needs. Compliant


The RTO is compliant with Standard 2.5

Student Handbook 2014

Structured workplace learning form (DEECD form)

Structured workplace learning travel form

Travel Document (DEECD form)




• Behaviour Code

• Student Discipline procedures

• Access & Equity

• Safety

• OH&S policy and Procedures






• Client services













Student Wellbeing Manager, Youth Worker

Interviews:

• Principal

• VET manager






Element 2.6 - Learners have timely access to current and accurate records of their participation and progress. Compliant


Element 2.6 was Compliant Staff Hand book 2014




• Behaviour Code


• Safety



• Smoke Free College Policy

• Emergency Evacuation Procedure



• Privacy policy






Student Handbook







• Governance

• Issuing of Qualifications and Statements of Attainment


• Accuracy and integrity of Marketing



• Client services









Interviews:

• Principal

• VET manager

• Trainers – Visual Arts, Photo imaging, Guitar

•





making and repairs, Electro technology, Furniture Making

School Reporting Procedure

• Student files – Photo Imaging, Visual Arts, Guitar making and repairs, Electro technology, Furniture Making





Element 2.7 - The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively.

Compliant


The RTO is compliant with Element 2.7 Staff Hand book 2014




• Behaviour Code


• Safety







• Privacy policy











Student Handbook


• Governance


• Interactions with the registering body


• Insurance















• RPL






• Client services



















• Back-up of electronic data/version control






Interviews:

• Principal

• VET manager



Record of informal issues and concerns that are raised could be documented in the Continuous improvement register. Currently records of the resolution of these issues are not maintained





3.1 - The RTO’s management of its operations ensures clients receive the services detailed in their agreement with the RTO. Compliant


The RTO is compliant with Element 3.1 Staff Hand book 2014




• Behaviour Code


• Safety







• Privacy policy






Student Handbook







• Governance





• Interactions with the Registering body


• Insurance



















• RPL


• Client services

























Interviews:

• Principal

• VET manager



The RTO could consider seeking feedback from students about their enrolment process and the sufficiency of information provided.





Element 3.2 - The RTO uses a systematic and continuous improvement approach to the management of operations. Compliant







• Behaviour Code


• Safety







• Privacy policy






Student Handbook

No rectifications required






• Governance





• Interactions with the Registering body


• Insurance



















• RPL


• Client services

























Interviews:

• Principal

• VET manager






Element 3.3 - The RTO monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the AQTF Essential Conditions and Standards for Continuing Registration.

Compliant


The RTO is compliant with element 3.3 NCAT Policies and Procedures 2014

• Strategies and Business Plan



• Transition to Training Package




• Client services

• Access equity & anti-discrimination









Partnership Agreement with Premium Health for delivery

No required rectification relating to Element 3.4





of:

HLTAID002 Provide basic emergency life support

HLTCPR211A Perform CPR

Dated 12/3/14

Interviews:

• Principal

• VET manager


HLTCPR211A Perform CPR has also been superseded and the agreement should be amended to include the new unit HLTAID001 Provide cardiopulmonary resuscitation,

given that it is the HLTAID002 Provide basic emergency life support that is being delivered.

The RTO will also need to document their process for recording credit for the HLTAID002 Provide basic emergency life support against superseded first aid units that appear

on VASS in the training packages on their scope of registration.





Element 3.4 - The RTO manages records to ensure their accuracy and integrity. Compliant


The RTO is compliant with element 3.4 Interview with RTO Manager

VASS Entry Policy

Electronic records of qualifications and statements of attainment issued

VASS Entry Policy

Issuing of Qualifications Policy

Register of qualifications and statements of attainment issued

Code of Practice

Version Control Policy

RTO Manager Duty statement

Mount Lilydale Mercy College VET Student Handbook

RTO Staff induction Manual

2 hard copy student files (Media and Outdoor Recreation)

2 Electronic Statement of Attainments (Hospitality and Media )

2 Electronic Certificates (Media and Outdoor Recreation)

Back up and Retrieval – Policy and Procedure

Request for access of confidential student records form

No required rectification relating to Element 3.4





Archive records from 2013 – Assessment schedule for Outdoor Recreation

Validation and Industry Consultation records

Detailed Findings – VRQA Guidelines for VET Providers

GUIDELINE 2.1 - The provider must demonstrate that it is able to monitor course quality, externally moderate student performance and drive continuous improvement in course delivery.

Compliant


The RTO is compliant with Guideline 2.1 Quality Training and Assessment Policies and

procedures:













No Rectification required







Annual validation meeting with Industry contacts and

TAFE/University representatives

Industry consultation record

Facilities and equipment is listed in the LAS – tour of

facility confirmed this

Moderation assessment of individual work briefs by 2

assessors and a full panel of assessors

Interview checklist ( folio demonstrated; Technical photo

knowledge and skills, vocational experience in photo

imaging field

Units audited:

Certificate II in Furniture making: LMFFM3002B Construct furniture using leg and rail method First aid – Premium Health – Credit Transfer



and Display
















industry









GUIDELINE 2.2 - The provider must demonstrate that it has measures in place to prevent and detect cheating and plagiarism amongst its students and to deal appropriately with any instances of these practices.

Compliant

The RTO is compliant with Guideline 2.2 Staff Hand book 2014




• Behaviour Code


• Safety

Student Handbook






Interviews:

• Principal

• VET manager

• Trainers – Visual Arts, Photo imaging, Guitar making and repairs, Electro technology,

No rectifications required





Furniture Making


No improvement opportunities relating to guideline 2.2

GUIDELINE 2.3 - The provider must demonstrate that they can provide quality education and training to students Not -Compliant

GF.2.3.1 Finding Evidence/Documentation Reviewed Required Rectification(s)

The RTO is not compliant with Guideline 2.3

The Guideline requires policies and procedures

and processes for the retention unit of competency training and assessment information *for a minimum period of 1years post completion of the unit, including


procedures:












Actions:

The RTO should ensure that the assessment tools are retained for a minimum period of 1 ear post completion of the unit, this includes master copies of assessments and training resources which supports the assessment processes for that student.








Units audited:

Certificate II in Furniture making: LMFFM3002B Construct furniture using leg and rail method First aid – Premium Health – Credit Transfer



and Display
















industry









GUIDELINE 4.1 - A provider must not require or permit students to attend scheduled classes (including time allocated for self-paced or online studies) for more than eight hours in any one day (other than in courses where the VRQA has issued the provider a specific written exemption for a course‐‐‐‐related reason, specifying different maximum hours for that course).

Compliant


The RTO is compliant with Guideline 4.1 School Timetable

Letter from VRQA dated 11th March 2014 providing an exemption for out of hours productions


procedures:


• Resources for Training and assessment







Training Plans for:











GUIDELINE 4.2 - A provider must not require or permit full time students to attend scheduled classes (including time allocated for self-paced or online studies) outside of 0800hrs to 2200 hrs on any day (other than in courses where the VRQA has issued the provider a specific written exemption for a course‐‐‐‐related reason, approving a different schedule for that course and with the written agreement of the student).

Compliant





procedures:









Training Plans for:















GUIDELINE 4.4 - Providers must indicate the measures they intend to take to address matters of student safety. Compliant





procedures:









Training Plans for:











GUIDELINE 5.1 - The provider must demonstrate that they have the capacity to deliver and assess ALL the courses requested/on the scope of registration.

Non-Compliant

GF.5.1.1 Finding Evidence/Documentation Reviewed Required Rectification(s)


The RTO did not have a mapping to the employability

skills were not in place for:



• Certificate IV in Instrument Making and Repair

.







Training Plans for:







procedures:






Actions:

The RTO should follow the model set by the other areas and map the final projects to the employability skills at the qualification level.














School Time table


The RTO processes in place to ensure reliability of

assessment are not consistently applied across the

scope of registration.

Competency is being deemed for each required

assessment task. This should be satisfactory/not

satisfactory.

An information guide for assessors on the process of assessment used by the RTO specific to each qualification and containing model answers and marking guides should be in place for all qualifications.







Training Plans for:






Actions:

Put in place an information guide for assessors on the process of assessment used by the RTO and containing model answers and marking guides should be in place for Diploma of Photo Imaging. The assessment record sheet for each assessment task requires modification to satisfactory or not satisfactory





Post audit the RTO presented an Observation checklist

which included a mapping of skills to the projects. This

took is confusing as it is not a mapping document for the

purpose of demonstrating employability skills. As an

Observation checklist it is also not appropriate, as an

observation checklist contains criteria for assessment of

a task


procedures:















School Time table

Documents

AQTF Essential Conditions and Standards for Continuing ... · 1.1 – Strategic Plan and Business Plan 1.2 – Financial Viability 1.3 – Management Systems 1.4 – Organisational