florence.julie.eedumail.vicmov.au · Heidelberg Training and Resource Centre Inc., trading ... 2.2 — Continuous ... Course delivery durations were not consistent with nominal duration

TOld: 3854 VRQA-2014-182 File ref 96/00975

PORCErVED

C AUG 2714

BY

Mr George Giuliani Chief Executive Officer Heidelberg Training and Resources Centre Inc PO Box 547 HEIDELBERG VIC 3084

T 61 3 9637 2806 F 61 3 9032 1579 [email protected]

www.vrqa.vic.gov.au

Victorian Registration & Qualifications Authority

GPO Box 2317 Melbourne VIC 3001

Dear Mr Giuliani

Re: Rectification Matters

Thank you for your response regarding the rectification of non-compliance matters identified at the audit held on 3 and 4 June 2014.

Please be advised that the Victorian Registration and Qualifications Authority (VRQA) is satisfied that your organisation, Heidelberg Training and Resources Centre Inc has taken the appropriate measures to meet the minimum requirements for compliance with the Australian Quality Training Framework Essential Conditions and Standards for Continuing Registration (AQTF) and the VRQA Guidelines for VET Providers (VRQA Guidelines).

If you have any queries in relation to these matters, please contact Ms Julie Florence Registration Officer on (03) 9032 1560 or florence.julie.eedumail.vicmov.au .

Yours sincerely

LYNN GLOVER Director, VRQA

August 2014

~~,

Victorian Registration & Qualifications Authority AQTF Essential Conditions and Standards for

Continuing Registration & VRQA Guidelines for VET Providers - Audit Report

Audit Date: 3 and 4 June 2014 Applicant: 3854 Heidelberg Training and Resources Centre Inc.

APPlicantDetails

Applicant Name Heidelberg Training and Resources Centre Inc. trading as E-Focus

TOID 3854

Address 73 Burgundy Street, Heidelberg VIC 3084

Website www.e-focus.org.au

Registration Contact Ms Rhonda Hawke

Phone Number 03 9450 5700 Email [email protected]

Audit Team

Audit Firm Moore Stephens Auditor/s John Molenaar

Auditor/s John Molenaar Other Attendees Rhonda Hawke, Operations Manager Carly Quinlan, Training Manager Glenda Broadway, Administration Manager

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, 2, 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, 2.6, 2.7 3.1, 3.2, 3.3, 3.4

VRQA Guidelines Audited 1, 2, 4, 5

Audit Date/s

RTO Background

Heidelberg Training and Resource Centre Inc., trading as E-focus, was founded in 1976 as a community based not-for-profit organisation that delivered a range of services to alleviate disadvantage and to enrich the lives of individuals and local communities. E-focus delivered nationally recognised training, employment assistance and community development projects. E-focus worked with employers to recruit and train new and existing workers as apprentices or trainees and was the lead agency in the consortium that operated the Australian Apprenticeship Centre — Apprenticeships Melbourne.

E-focus registered as an RTO in June 1995 and over time had extended its scope of registration to include business, management, community services, aged care, disability, hospitality, retail and training and assessment qualifications and the Certificate I in Vocational Preparation.

In 2013 E-focus enrolled 330 students in qualification training, 120 students in the course Certificate I in Vocational Preparation and 650 students in units from the Certificate I in Vocational Preparation.

To date in 2014 150 students had been enrolled in qualifications, 29 in the course Certificate I in Vocational Preparation and 320 students in selected units from the Certificate I in Vocational Preparation.

The majority of students were eligible to access the Skills for Growth funding made available through the Higher Education and Skills Group. Fee for service enrollments were mainly in the TAE Certificate IV in Training and Assessment.

E-focus was a lead agent in Apprenticeships Melbourne and many students were referred and enrolled through this source.

Continuing Registration Audit - Report Template — v1.2 - 18 Feb 2014

Page 1 of 43

Victorian Registration & Qualifications Authority AQTF Essential Conditions and Standards for

Continuing Registration & VRQA Guidelines for VET Providers - Audit Report


TGA Code

iiiiiikatiaUjiiti*dii,- 1

it1i r Delivery Site Qualification/Unit of Competence/Accredited

T VC

(as per TGA) Course

BSB51107 BSB51107 Diploma of Management E-focus Heidelberg

TAE40110 TAE40110 Certificate IV in Training and Assessment E-focus Heidelberg

CHC40312 CHC40312 Certificate IV in Disability E-focus Heidelberg

CHC30312 CHC30312 Certificate III in Home and Community Care E-focus Heidelberg

22012VIC 22012VIC Certificate I in Vocational Preparation E-focus Heidelberg

Interviewees) — Staff name and poSition: employer name and position Rhonda Hawke Lydia Najjar

Trainer/assessor. TAE40110 Certificate IV in Training and Assessment

Carol Langley Trainer/assessor: CHC30312 Certificate III in Home and Community Care

Gail Abbot Trainer/assessor: CHC40312 Certificate IV in Disability

Class of 12 students Enrolled in four units from the Certificate I in Vocational Preparation

Permanent Delivery Sites - Do the RIO's permanent delivery sites match the information provided by the VR

X

If' No' , please provided amended details below:

Documentation was provided from appropriate authorities to identify communications entered into to obtain certification that all educational facilities met the appropriate building, fire safety, OH&S and other codes for educational premises. A relevant Class 9B Certificate was not available.

The correspondence is attached to this report.

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

Continuing Registration Audit - Report Template — vl.2 - 18 Feb 2014 Page 2 of 43

# Victorian Registration & )00 Qualifications Authority

AQTF Standards/Elements ,

AQTF Essential Conditions and Standards for Initial Registration & VRQA Guidelines for VET

Providers - Audit Report


Audit Summary - AQTF Conditions of Registration

AQTF Conditions Compliant Compliant audited

1 Governance

2 Interactions with the Registering Body

3 Compliance with Legislation X

4 Insurance X 5 Financial Management \ X 6 Certification & Issuing of Qualifications & Statements of Attainment X 7 Recognition of Qualifications Issued by other RTOs X 8 Accuracy and Integrity of Marketing X 9 Transition to Training Packages/Expiry of Accredited Courses

Summa f Non Compl'ance

CF.1.1 Though the RTO's Chief Executive had established delegations to ensure that the RTO complied with the AQTF Essential Conditions and Standards for Continuing Registration, the re-registration audit identified a number of areas of non-compliance that confirmed that the arrangements for ensuring ongoing compliance had not been effectively implemented.

CF.7.1 The Application Form for National Recognition identified a process for identifying equivalency which was not consistent with the process for identifying National Recognition.

CF.8.1 E-focus had used NRT Logo on its marketing materials and website, which was not in accordance with its conditions of use.

CF.9.1 Procedures for managing the transition from superseded Training Packages did not identify procedures for teach out and circumstances under which students would not be transitioned within the transition period.

Audit Summary - AQTF Standards

1.1 — Continuous Improvement Strategy

X

1.2 — Training and Assessment Strategies

X

Continuing Registration Audit - Report Template — v1.0 - 30 Jan 2014 Page 3 of 43





1.3 — Training and Assessment Resources X

1.4 — Trainer and Assessor Competency X

1.5 — Assessment Strategies X

X

X 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 X

2.5 — Provision of Support Services to Clients X

2.6 — Learner Access to Records of Participation X

2.7 — Complaints and Appeals Strategy

a a 3.1 — Operations Management

X

X

3.2 — Continuous Improvement of Operations X

3.3 — Third-Party Training and/ or Assessment Services

3.4 — Records Management

Summary of NonCompliance SF.1.1.1 A systematic procedure for the continuous improvement of learning and assessment strategies had been identified but had not been implemented and incorrectly referred to NVR RTO organisations.

SF.1.2.1 BSB51107 Diploma of Management Course delivery durations were not consistent with nominal duration and no rationale was provided. Industry consultation had not been effectively carried out.

TAE40110 Certificate IV in Training and Assessment Course delivery duration was not clearly defined. Industry consultation had not been effectively carried out.

CHC40312 Certificate IV in Disability Industry consultation had not been effectively carried out.

CHC30312 Certificate III in Home and Community Care Industry consultation had not been effectively carried out.

SF.1.5.1 5851107 Diploma of Management Units sampled: BSBMGT5028 Manage people performance Assessment tasks had been inconsistently identified across documentation. The student assessments had been inconsistently marked and not according to the marking criteria.

Continuing Registration Audit - Report Template — v1.0 - 30 Jan 2014

Page 4 of 43





TAE40110 Certificate IV in Training and Assessment Units sampled: TAEDES401A Design and develop learning programs TAEASS402A Assess competence Student files had not been consistently maintained to retain all completed student assessments. Insufficient evidence was retained on file to confirm that students had satisfactorily completed all required assessments.

CHC40312 Certificate IV in Disability Units sampled: CHCCS411C Work effectively in the community sector CHCICS402B Facilitate individualised plans Information about the assessment requirements for each unit was not available for learners. Insufficient evidence was retained on file to confirm that students had satisfactorily completed all required assessments.

CHC30312 Certificate III in Home and Community Care The assessment tasks identified in the Assessment Matrix were inconsistent with the master set of assessments. Student files had been inconsistently maintained and did not include all required assessment tasks.

SF.2.1.1 Though E-focus was able to describe the student support services provided to students, this information was not included in student information or marketing materials to establish the needs of clients and deliver services to meet those needs.

CHC30312 Certificate III in Home and Community Care The assessment tasks identified in the Assessment Matrix were inconsistent with the master set of assessments. Student files had been inconsistently maintained and did not include all required assessment tasks.

SF.2.2.1 E-focus had identified strategies for obtaining feedback on the effectiveness of 'student services, however these had not been implemented as yet to ensure the continuous improvement of client services.

SF.2.3.1 E-focus had developed and provided learners with information to inform them about the training and assessment services and about their rights and obligations, before clients enrolled or entered into an agreement however information about support services to be provided was not clearly identified.

SF.2.4.1 The template Practical Placement Agreement was not consistent with the requirements identified in the Amended Guidelines for Registered Training Organisations and Employers in relation to students of technical and further education undertaking Practical Placement (the amended Practical Placement Guidelines).

SF.2.7.1 The Complaints and Appeals Procedure had not identified an independent external arbitrator, for hearing an unresolved complaint.

Student Handbook identified Grievances and Academic Appeals Procedures that was inconsistent with the Complaints and Appeals Procedures. The Trainer/assessor Handbook did not provide information about the students' complaints and appeals procedures.


el Victorian Registration & Qualifications Authority




SF.3.1.1 The E-focus management of its operations had not ensured that clients received the services detailed in their agreement with E-focus.

SF.3.2.1 E-focus had not used a systematic and consistent continuous improvement approach to the management of operations.






Audit Summary — VRQA Guidelines for VET Providers

VRQA Guidelines

0 Pro, I

ti - Strategic Plan and ,m I an ..,

Business Plan

m hap

x Compliant audited

1.2 — Financial Viability X 1.3 — Management Systems X 1.4 — Organisational Governance X 1.5 — Academic/Educational Governance X 1.6 — Change Reporting

x (41P ssu ndei euiew nc 11 a , s 2.1 — Course Quality 2.2 — Cheating and Plagiarism X 2.3 — Quality Education

- ''g 11.1WE, 3.4 — Provision of Courses

and Training

't cords fn ;G fti oa m

to Domestic Students u1d6 e a

of Attendance

x X

X 4, e ng, 4.1 — Maximum Daily Hours 4.2 — Out of Hours Attendance X 4.4 — Student

thin 5.1 — Capacity

Safety X 'in anI As e

to Deliver Scope of Registration

Summary of Non-Compliance GF.2.1.1 Procedures for monitoring courses quality and externally moderating/validating student performance, for implementation in 2014, had not been identified.

GF.2.2.1 Though E-focus had identified in the Student Handbook 2014 what plagiarism and cheating was and related consequences, the RTO had not identified strategies for minimising plagiarism and cheating and how to detect plagiarism. Staff had not been adequately informed of their responsibilities for managing plagiarism and cheating.

GF.2.3.1 E-focus had maintained records to confirm that quality training and assessment had been conducted and the records to be maintained to confirm this, however the Records Management Procedures had identified that completed assessments were to be retained for six months following the completion of the assessments (as per ASQA requirements) rather than 12 months as per VRQA requirements.

Continuing Registration Audit - Report Template - v1.0 - 30 Jan 2014 Page 7 of 43

# Victorian Registration & #1 Qualifications Authority




TAE40110 Certificate IV in Training and Assessment Units sampled: TAEDES401A Design and develop learning programs TAEASS402A Assess competence Though all the identified assessment instruments and tools met the unit assessment requirements, student files had not been consistently maintained to retain all completed student assessments. No evidence was retained on file to confirm that students had satisfactorily completed all required assessments.

CHC40312 Certificate IV in Disability Assessment coversheets to confirm the required assessments and that they had been satisfactorily completed were not available for assessment.



CONDITION 'I - Governance

it) Otto

Audit Date: 3 and 4 June 2014

AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Audit Report

Applicant: 3854 Heidelberg Training and Resources Centre Inc.

Detailed Findings - AQTF Conditions of Registration

Though the RTO's Chief Executive had established delegations to ensure that the RTO complied with the AQTF Essential Conditions and Standards for Continuing Registration, the re-registration audit identified a number of areas of non-compliance that confirmed that the arrangements for ensuring ongoing compliance had not been effectively implemented.

E-Focus had ensured the Committee of Management members and Senior Management members had completed a Fit and Proper Person Declaration and maintained a current Police Check to ensure that they satisfied fit and proper person requirements.

E-focus had demonstrated that it ensured that the decision making of senior management was informed by the experiences of its trainers and assessors, through a structure of staff/management meetings and reports to the Board of Management.

• Position descriptions of senior management members.

• Implementation of policies and procedures for ensuring compliance with the AQTF Essential Conditions and Standards for Continuing Registration.

• Fit and Proper Person Declarations and current National Police Checks for members of the Committee of Management and Senior Management.

• Sample of staff meeting agendas and related minutes.

• Sample of reports from the Training Manager to the Committee of Management.

E-focus is required to review its procedures for ensuring compliance with AQTF Essential Conditions and Standards for Continuing Registration and any national guidelines approved by the National Quality Council or its successors and ensure that they are effectively implemented and address the non-compliances identified in the Re-registration Audit Report June 2014.

N/A

N/A



IDITIONx2 ItrteractlonsVvlth the1130140001.L.044




Through the audit it was identified that E-focus had cooperated with the VRQA in the provision of reports as required and requested.

• AVETMISS Data Report submitted monthly • Q1 Outcome Data Report submitted June 30 2013

N/A



E-focus had identified legislation relevant to its operations and informed staff of their responsibilities for implementation and students were informed of legislation that impacted on their enrolment.

• Compliance with VET Quality Framework and Legislative Requirements Policy.

• Student Handbook 2014 Trainer/assessor Handbook 2014

N/A




N/A

N/A

N/A

E-focus had issued qualifications and Statements of Attainment that met the Australian Qualifications Framework (AQF) requirements and identified E-focus by its national provider number from the TGA. The Nationally Recognised Training (NRT) logo was used in accordance with the Guidelines.

E-Focus has identified and implemented procedures for retaining client records of completion of units of competency and qualifications for a period of 30 years.

• AQF Qualifications and Statements of Attainment Policy and Procedures.

• Sample of Certificates and Statements of Attainment.

• Records Management Policy and Procedures — Electronic Records.

• AQF Qualifications and Statements of Attainment Policy and Procedures

E-Focus had submitted returns of its client records of attainment of units of competency and qualifications to VRQA and did so on an annual basis.

• Copy of report of client records of attainment of units of competency and qualifications submitted to the VRQA 30 June 2013.

Of, Victorian Registration &

/00 Qualifications Authority




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ii/q .46011.60660 09:`of,90glitioatiopt &State -616E114 '0f AttailfM8n

CI.6.1 E-Focus would benefit from including in the AQF Qualifications and Statements of Attainment Policy and Procedures that E-Focus will retain client records of attainment of

Continuing Registration Audit - Report Template — v1.0 -30 Jan 2014 Page 12 of 43

el Victorian Registration &

#10 Qualifications Authority




units of competency and qualifications for a period of 30 years.


ZONDITIO ecogrubon of ,Qualificabens Issued by otherRTO

Of, Victorian Registration & )00 Qualifications Authority




E-focus had identified that it would recognise the AQF Qualifications and Statements of Attainment issued by any other RTOs, however the Application Form to be used for National Recognition identified a process for identifying equivalency which was not consistent with the process for identifying National Recognition. A procedure for other forms of credit transfer was not identified.

• Credit Transfer Policy and Procedures. • Student Handbook. • Sample of student requests for National

Recognition and confirmation of granting National Recognition.

E-focus is required to: • Review its Credit Transfer Policy and Procedures

and ensure that it identifies National Recognition and other forms of Credit Transfer.

• Modify the Credit Transfer Application and ensure that it has provision for National Recognition as well as other forms of Credit Transfer.


Page 14 of 43





ZONDITI ccUraqA11016W0f1Warketing%

E-focus had developed and implemented procedures to ensure that its marketing and advertising of AQF qualifications to prospective clients was ethical, accurate and consistent with its scope of registration, however the NRT logo was not used in accordance with its conditions of use The general marketing brochure — We focus on you and your future — training and Assessment Program (no version identifier), included the Nationally Recognised Training (NRT) logo on the rear page, which was inconsistent with the current conditions of use. The logo included a black and white colour, inconsistent with samples of logo use guidelines. The website used the NRT Logo on the Flexible Learning Centre page. This was inappropriate as it was used in association with non-nationally endorsed/accredited qualificafions and courses.

• Marketing and Promotions Material Policy and Procedure.

• Sample of course brochures. • General marketing brochure 'We focus on you and

your future - training and assessment program' (no version identifier).

• The website page for the Flexible Learning Centre.

E-focus is required to review its procedures for the use of the NRT logo and modify marketing brochures and website pages to ensure that the logo image is only used in accordance with its conditions of use and only in association with nationally endorsed or accredited qualifications, courses and units.


Applicant: 3854 Heidelberg Training and Resources Centre Inc. Audit Date: 3 and 4 June 2014

ICOND TJO ranaltinif 0 TrainingPaPkagasickgnY ccradialligntiran

MO Victorian Registration & /00 Qualifications Authority

AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers, - Audit Report

E-focus had identified and implemented procedures for managing the transition from superseded Training Packages within 12 months of their publication on the TGA, however procedures for teach out and circumstances under which students would not be transitioned within the transition period were not identified. Procedures for managing the transition from superseded accredited courses were not identified.

• Training Package Transition Policy and Procedures • Current Scope of Registration • Transition arrangements for superseded

qualifications.

E-focus is required to: • Modify its Training Package Transition Policy and

Procedures to include the transition arrangements for nationally accredited courses.

• Include the procedures for teach out and circumstances under which students will not be transitioned within the transition period.



ELEMENT RTO collects analyses and acts o

SF.1.1.1 n rel avant data tor contintlaus irnProvernent at training anctasseasillent.




Detailed Findings - AQTF Standards

• Quality Management Policy and Procedures. E-focus is required to: • AQTF Risk Identification and Management Policy

and Procedures • Review it's Quality Management Policy and

Procedures and ensure that they refer to VRQA • Template student surveys registered RTO rather than NVR RTO organisation. • Completed Olsurveys. • Implement the newly developed Quality • Staff meeting agendas Management Policy and Procedures and AQTF Risk • RTO/Management meeting agenda template Identification and Management Policy and

Procedures. • Schedule continuous improvement activities for

2014, including the scheduling and conduct of the AQTF internal audit as identified in the procedures.

E-focus has recently developed new procedures for collection, analysis and acting on relevant data for continuous improvement of training and assessment; however these were at various stages of implementation. The procedures incorrectly referred to NVR RTO organisations. A systematic procedure for the continuous improvement of learning and assessment strategies had been identified but had not been implemented to date.


ralcgies for training and assessment meet the requirements of I he relevant Training Packagiieiaiiiii*,00t‘4" t1IEMENTI • aredevelopedfit ebnsultatioir *itif

4/ Victorian Registration & 0 Qualifications Authority AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines

for VET Providers - Audit Report



• Training and Assessment Strategies for each qualification.

BSB51107 Diploma of Management Course delivery duration was identified as one day a week over 21 weeks. This duration was considerably less than the identified nominal hours of 490 hours. A rationale for the reduced duration was not provided. Industry consultation was identified as a consultant that had worked with E-focus to prepare documentation. Specific employers that may employ the learners enrolled were not consulted. Inadequate industry consultation had been conducted.

TAE40110 Certificate IV in Training and Assessment Duration was identified as delivered over 12 weeks - classes of eight hours a week to maintain a minimum of 112 student contact hours. Some reading and written work outside scheduled classroom delivery was required. The actual duration of the course, including out of class reading, assignment and assessment requirements, was not identified. Industry consultation identified two people; one was the trainer and the other a staff member of E-focus. External employer consultations had not been conducted. No records were maintained of consultations conducted.

E-focus is required to:

BSB51107 Diploma of Management TAE40110 Certificate IV in Training and Assessment • Review the durations for the delivery of each

qualification and identify the specific learning and assessment requirements to complete the course and include in student information for each course the required time effort to complete the qualifications. Provide a rationale why duration for each course is significantly less than the nominal duration for each course.

BSB51107 Diploma of Management TAE40110 Certificate IV in Training and Assessment CHC40312 Certificate IV in Disability CHC30312 Certificate III in Home and Community Care • Conduct external industry consultations for each

qualification to assist in the development of the TAS and identify the input provided by employers and how this impacts on the development of the TAS.

Continuing Registration Audit - Report Template — y1.0 - 30 Jan 2014 Page 18 of 43

010 Victorian Registration &

.#0 Qualifications Authority




CHC40312 Certificate IV in Disability Industry consultation identified two people; one was the trainer and the other a staff member of E-focus. External employer consultations had not been conducted. No records were maintained of consultations conducted.

CHC30312 Certificate 111 in Home and Community Care Industry consultation identified two people; one was the trainer and the other a staff member of E-focus. External employer consultations had not been conducted. No records were maintained of consultations conducted.


•, EEENIE e

N/A

e

f, Victorian Registration & Qualifications Authority




"0,0401 training and assessment materials use course 70;*01#01"0:0*-74-Segille**Se

E-focus had identified and made available appropriately qualified and experienced trainers/assessors, facilities, equipment and training and assessment materials. These were consistent with the requirements of the Training Package and accredited course and the RTO's own training and assessment strategies.

Training and Assessment Strategies Learning and resources for units sampled Training facilities at E-focus, Heidelberg



N/A

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; Councilor its successors, b)have the relevant vocational competencies. at least tothe~level being; delivered or assessed, and c)can; demonstrate current industryskills 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 an trainer/assessor competence „ ,- `

E-focus had employed trainers and assessors who had the necessary training and assessment competencies and the relevant vocational competencies at least to the level being delivered or assessed and who could demonstrate current industry skills directly relevant to the training/assessment being undertaken. Evidence was provided that trainers/assessors continued to develop their Vocational Education and Training (VET) knowledge and skills as well as their industry currency and trainer/assessor competency.

• Trainer/assessor personnel files • Interviews with trainers






Non-Compliant



EL.EMENTl'-ins. .a rilents, of the relevant li7nciipliens of assessment and es of evidence

the requirements, including Recognition of Prior Learning:d(iRteFid17)c:nurse Training ;Package a) meets -ccordance with ti•IP Pr kage the rul

accredited b) conducted

I ce and, where-relevant, regulatorycisuireMeOfs d) Is ; systematicallyvalidat-- ̀ SF.1.5.1


• Master assessments for units sampled • Assessment Matrix • Completed student assessments • Information for learners — unit delivery and

assessment requirements.

SB51107 Diploma of Management Units sampled: BSBMGT5028 Manage people performance The required assessment tasks for the unit were identified in information for students, master set of assessment tasks and completed student assessments. In each case the assessment tasks identified were inconsistent. The student files of completed assessments showed that assessments had been inconsistently marked and the sample example of a completed task had not been used by the assessor as the criteria for marking all student assessments.

TAE40110 Certificate IV in Training and Assessment Units sampled: TAEDES401A Design and develop learning programs TAEASS402A Assess competence Though all the identified assessment instruments and tools met the unit assessment requirements, student files had not been consistently maintained to retain all

E-focus is required to: SB51107 Diploma of Management CHC30312 Certificate Ill in Home and Community Care • Review the unit assessment requirements identified

in learner guides, assessment mapping documents, unit coversheets, Assessment Matrix and master assessment files and ensure that the assessment tasks identified in each are consistent and meet the unit assessment requirements.

CHC40312 Certificate IV in Disability • Review information provided to learners on required

assessments and ensure that students are provided with clear and accurate information about required assessments.

TAE40110 Certificate IV in Training and Assessment CHC40312 Certificate IV in Disability SB51107 Diploma of Management CHC30312 Certificate III in Home and Community






completed student assessments. Insufficient evidence was retained on file to confirm that students had satisfactorily completed all required assessments.

CHC40312 Certificate IV in Disability Units sampled: CHCCS411C Work effectively in the community sector CHCICS402B Facilitate individualised plans Information about the assessment requirements for each unit was not available for learners. Student files had been inconsistently maintained and did not include all required assessment tasks. Assessment coversheets to confirm the required assessments and that they had been satisfactorily completed were not available.

CHC30312 Certificate III in Home and Community Care The required assessment tasks for the unit were identified in a master set of assessment tasks and completed student assessments. The assessment tasks identified in the Assessment Matrix were inconsistent with these. Student files had been inconsistently maintained and did not include all required assessment tasks.

Care • Review strategies for maintaining student files and

ensure that student files include all the required completed assessments and that they provide confirmation by the assessor that the assessments have been satisfactorily or unsatisfactorily completed.



e neetls of clients ate del isHes

vi Victorian Registration & Qualifications Authority


E-focus had implemented strategies to establish the needs of clients. Many students were referred from other agencies that provided information about student learner needs. Though E-focus was able to describe the student support services provided to students, this information was not included in student information or marketing materials to establish the needs of clients and deliver services to meet those needs.


• Course information E-focus is required to identify the client support services • Website information that it provides to clients and ensure that this is included • Student Handbook 2014 in student information.

SI.2.1.1 E-focus would benefit by including information about the support services it has available to clients in its marketing materials.

SI.2.1.2 E-focus would benefit from considering LLN assessments most appropriate and aligned to the ACSF.


sing and acting upon relevant data. cop muoua Tif10:64&01‘4146:;*16.9if°11cct"41141.

Of, /40 Victorian Registration &





• Mid-course student survey E-focus is required to implement its identified • Marketing materials procedures for continuously improving client services by • Course information collecting, analysing and acting upon relevant data. • Student Handbook 2014

E-focus had identified strategies for obtaining feedback on the effectiveness of student services, however these had not been implemented as yet to ensure the continuous improvement of client services.


.'eRIOAnfontist port services to, the training assessment

E-focus had developed and provided learners with information to inform them about the training and assessment services and about their rights and obligations, before clients enrolled or entered into an agreement however information about support services to be provided was not clearly identified.

• Marketing materials E-focus is required to identify the client support services • Course information that it provides to clients and ensure that this is included • Student Handbook 2014 in student information.



Victorian Registration &

1/0 Qualifications Authority






4 i gn'IPIPY,O lisiail4 Other PartiOS*hOtoritriti00:,Ifreac earner's rung .,:monitntingitifteninitsanditsettineht-H.E . ,,:". •


. and assessment are engaged in th e development, delivery and

• Template Work Placement Agreement. E-focus is required to modify its Work Placement Agreement to ensure that it includes: • the relevant skills required as part of that course to

be developed, reinforced and/or assessed during the practical placement

• the signature of the student as required by the Amended Guidelines for Registered Training Organisations and Employers in relation to students of technical and further education undertaking Practical Placement (the amended Practical Placement Guidelines) (http://www.education.vic.qov.au/traininq/providers/rto/P aqes/workplaceleam.aspx)

Work Placement was identified as a required part of completing the qualifications CHC30212 Certificate Ill in Aged Care and CHC30312 Certificate Ill in Home and Community Care. Work Placement Agreements were entered into between E-focus and the Host Employer. The template Practical Placement Agreement did not identify: • the relevant skills required as part of that course to

be developed, reinforced and/or assessed during the practical placement, and

• did not include the signature of the student as required by the Amended Guidelines for Registered Training Organisations and Employers in relation to students of technical and further education undertaking Practical Placement (the amended Practical Placement Guidelines).

81.2.4 E-focus would benefit from reviewing the draft Employer Handbook 2014 and include information about employer responsibilities and student responsibilities in the Handbook where it is easily accessed by employers.


Page 27 of 43

nee, itetkijOtictriIp ing; as*siliOrt'aild suPPO frindividkial rt serviceslhat meetie






E-focus had ensured that learners received training, assessment and support services that met their individual needs. This was confirmed by the students interviewed at audit.

• Student files maintaining records of completed learning and assessment and notes on support provided.

• Interview with a class of students (four units from the CHC30312 Certificate Ill in Home and Community Care).

N/A


earriCrs ave timely actOsipsyr(elitnd a999rafe'records of eurparticipatiorrandprogress

porp Victorian Registration & Qualifications Authority




E-focus had provided learners with timely access to • Privacy Policy and Procedures N/A current and accurate records of their participation and • Student Handbook 2014 progress. Students were informed of their right to access information and how to access information.


ropriate mechanisms and services or learners eats ad




• Complaints and Appeals Procedures E-focus is required to: • Student Handbook - Grievances and Academic • Review and modify its Complaints and Appeals

Appeals Procedures. Procedures to include information about an independent external arbitrator for hearing an unresolved complaint and provide contact details.

• Modify Student Handbook to accurately identify the modified E-focus Complaints and Appeals Procedures.

• Ensure that staff are provided with accurate information about the modified Complaints and Appeals Procedures.

E-focus had developed a Complaints and Appeals Procedure that identified an informal procedure, formal procedure and appeals procedure for appealing a complaints decision. An independent extemal arbitrator, for hearing an unresolved complaint, was not identified.

Student Handbook identified Grievances and Academic Appeals Procedures that was inconsistent with the Complaints and Appeals Procedures. A procedure for appealing a complaints decision was not included. Students were inappropriately informed that if still dissatisfied with the RTO decision they could contact the VRQA, rather than an appropriate independent external arbitrator, for hearing an unresolved complaint.

The Trainer/assessor Handbook did not provide information about the students' complaints and appeals procedures. The Staff Induction Checklist identified access policies and procedures in general without reference to the Student Complaints and Appeals Procedures.







es Plients retell/44Si detailed)nlkeir agreement4'11th:the R s managetnent- of di operations ensur

The E-focus management of its operations had not ensured that clients received the services detailed in their agreement with E-focus. E-focus had recently reviewed its Quality Management System and related policies and procedures, however these had not been fully and consistently implemented at the time of audit. The procedures had incorrectly referred to the NRV Standards and retention procedures consistent with ASQA but not the VRQA. In a number of areas (Complaints and Appeals Procedures) the Student Handbook and staff information was not consistent with the revised policies and procedures.

• Quality Management System — revised policies and procedures.

• Student Handbook 2014

E-focus is required to address the non-compliances identified in the Re-registration Audit Report June 2014.

Continuing Registration Audit - Report Template — y1.0 - 30 Jan 2014 Page 31 of 43

roach to t enanagement 9 ;opera ions.,

)110 Victorian Registration & 00 Qualifications Authority




E-focus had not used a systematic and consistent continuous improvement approach to the management of operations. The annual internal audit was to be conducted as identified in the Quality Management Policy and Procedures however evidence of implementation was not available at audit. Compliance with VRQA Guidelines was to be reviewed quarterly; though a template report had been prepared evidence of implementation was not provided at audit.

The Re-registration Audit June 2014 identified a number of non-compliances with the AQTF Conditions and Standards, confirming the strategies to review the Quality Management System had not been effectively implemented.

• Quality Management System — Policies and • Quality Management System — Policies and Procedures. Procedures.

• Template VRQA Guidelines Quarterly Review • Template VRQA Guidelines Quarterly Review Report. Report.

• Staff feedback of systems as identified in • Staff feedback of systems as identified in RTO/Management meetings. RTO/Management meetings.


ettecordsbensurelheiraccurawanduitegrit

• oa •

to Victorian Registration &

400 Qualifications Authority




E-focus had reviewed and modified its Records Management Policy and Procedures however these had not been fully implemented at the time of audit. The Version Control Register included no entries and the standard version identifiers had not been consistently applied to all records and documents.

• Records Management Policy and Procedures and related Version Control Procedures, Retention Procedures, Backup and Archiving Procedures.

E-focus is required to implement its records management procedures across all data sources and documentation.



w.provider must, provide m orMatiOttaboutittmanagementsystemL.,:, jittliDELi



Detailed Findings — VRQA Guidelines for VET Providers

E-focus had provided information about its management • Completed Fit and Proper Person Declarations N/A systems as required. • Current National Police Checks

• Samples in the VETrak Student Management System

• AVETMISS data Reports • Student enrolment and outcomes reports.


GUIDELINE airieiiiance:dtraii

governance-arran eiienti ; the provider must hve • demicleducatiorial overa

IS Victorian Registration & Qualifications Authority




E-focus had structured a Committee of Management and staffing structure to ensure appropriate academic/educational governance arrangements.

• Skill sets required for the E-focus RTO operations • Academic and Educational Governance consistent

with industry and education expectations • Profile of Committee of Management members • Skill sets of E-focus staff • Position descriptions of senior management.

N/A


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Procedures for monitoring courses quality and extemally moderating/validating student performance, for implementation in 2014, had not been identified.

• Course and assessment validation and moderation procedure.

E-focus is required to identify the strategies and schedule for 2014, for monitoring course quality, externally moderating student performance and driving continuous improvement in course delivery.


E-focus is required to: • Have measures in place to prevent and detect

cheating and plagiarism amongst its students and to deal appropriately with any instances of these practices.

• Inform staff of their responsibilities for managing plagiarism and cheating.

• Student Handbook

Chas measures in place to prevent and detect' Cheating Of these- praetices:

ndpiaglorism4monotitil-..

010 AO Victorian Registration &

Qualifications Authority




OtilDELINE-Li ents an

provider must demenstratethat eal ,appropriately with any instances

Though E-focus had identified in the Student Handbook 2014 what plagiarism and cheating was and related consequences, the RTO had not identified strategies for minimising plagiarism and cheating and how to detect plagiarism. Staff had not been adequately informed of their responsibilities for managing plagiarism and cheating.


GUIDELINE2. ro8ndermusttlemotittrate:thatt can provide quality

0 Victorian Registration & OA.Qualifications Authority




CHC40312 Certificate IV in Disability Assessment coversheets to confirm the required assessments and that they had been satisfactorily completed were not available for assessment.

E-focus had maintained records to confirm that quality training and assessment had been conducted and the records to be maintained to confirm this, however the Records Management Procedures had identified that completed assessments were to be retained for six months following the completion of the assessments (as per ASQA requirements) rather than 12 months as per VRQA requirements.

TAE40110 Certificate IV in Training and Assessment Units sampled: TAEDES401A Design and develop learning programs TAEASS402A Assess competence Though all the identified assessment instruments and tools met the unit assessment requirements, student files had not been consistently maintained to retain all completed student assessments. No evidence was retained on file to confirm that students had satisfactorily completed all required assessments.

• Records Management Procedures — Retention. E-focus is required to: • Correctly identify the retention period for completed

student assessments. • Review procedures for maintaining assessment

evidence on student files and ensure that files include coversheets for all assessment tasks to identify the required assessments to be completed and provide for assessor confirmation that the assessment tasks have been satisfactorily completed.


Of/ A/ Victorian Registration &





GUIDELINE 34 For provision ofxoursPt9./OPPIPstic students (students who do not hold Student under:the; roviSinneiPlfnnY.Min iStertal PirentoopOrder,Regulatien ,orAct must:

OnAssUrance,SOhen4for domestic students dr"' • obtain appropriate tuitionleemsUrance or bank guarantee sufficient to meet r fu d of fees,paid

Tonly accept ent tuition payments in arrears n advance

E-focus had identified and implemented appropriate student fee arrangements.


N/A

0/A Victorian Registration & Qualifications Authority




GUIDELINE royi er must not require or permit students to attend sche duled cla ' (inc udmg time allocatediorsS14ace 6044 ()suture;than am ,hours,in anyone day (other:aninxoursesw ere t e VRQ t preivider eitettilittp

ue

E-focus had not required or permitted students to attend scheduled classes (including time allocated for self- paced or online studies) for more than eight hours in any one day.

• Student Handbook • Class schedules



N/A




GUIDELIN paced of

AciOsr, myslp0-r,quimpr permit full til4-:s(kidgni* :tp igtt0110$altednled classeslii*lud tiglin*'alloc404feitsle porle:,Siegyotoisol,Q8cIptitittoOpo. his the',Prciiiderr

en °exemption.for a course_related reason; approving a different'sched`ule for that courseand with the written agteemen

E-focus had not required or permitted full time students to attend scheduled classes (including time allocated for self-paced or online studies) outside of 0800hrs to 2200 hours on any day.

• Student Handbook • Class schedules


OW ersitiOs indreatel eitiesurek intendin`tendtotaketo O: ressmattero stu enfsafe

1014

1.9 pp Victorian Registration &

Qualifications Authority




E-focus had identified measures it intended to take to address matters of student safety.

• Student Handbook. N/A


Victorian Registration & )01 Qualifications Authority


N/A

rEovidet niuetAeritOnatrate that 'have thetaPacity to deliver and assess ALL .thetoutses. retwostedion The'Scope

E-focus had demonstrated that the RTO had the capacity to deliver and assess all the courses on the scope of registration.

• Review of compliance with Standards 1.3, 1.4, 2.4

1.5,

.E.,QUIDE111 of re istrat




Documents

florence.julie.eedumail.vicmov.au · Heidelberg Training and Resource Centre Inc., trading ... 2.2 — Continuous ... Course delivery durations were not consistent with nominal duration