Complete Audit Report
AUDIT NAME:
Extension to Scope and Monitoring
AUDIT DATE:
7 / 8 December 2011
Qualifications Audited:
CHC30108 Certificate III in Community Services Work
CHC30408 Certificate III in Disability
CHC40108 Certificate IV in Aged Care
CHC51708 Diploma of Counselling
TAE40110 Certificate IV in Training and Assessment
Audit outcome on day of audit:
Minor non-compliance (no, or minor, adverse impact on learners with no serious breakdown of provision of quality training and assessment)
Acceptance of rectifications and finalisation of audit process:
15/2/2012
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, 3.4, (Monitoring)
1.2, 1.3, 1.4, 1.5, 2.3, (Extension)
STANDARDS/ELEMENTS
STANDARD/ELEMENT1:
The RTO provides quality training and assessment across all of its operations
All elements audited for this standard.
Compliant/Not Compliant:
Not Compliant
Brief Summary:
Evidence evaluated at the audit site visit demonstrated that the RTO has a systematic approach to the validation of its assessment tools and that actions are recorded on a ‘CAR’ and entered into the improvement register.
The improvement register also identifies when the required action has been closed out.
Until recently, the training coordinator has been evaluating all completed assessments. A review of this process indicated that insufficient issues were being identified; therefore, not all assessments needed to be evaluated. A new process is currently being implemented where, through a random selection process, the assessments are reviewed on a quarterly basis.
Training and assessment strategies:
Strategies provided were mostly the latest version V3, dated 23 November 2011. Each strategy is clearly defined and developed from information collected on industry requirements. Each strategy is monitored and improved as required and in the format of one document rather than a series of documents. Employers are given a RTO’s ‘training and assessment industry feedback’ form to complete. The RTO’s industry representative signs off the evaluation in consultation with the employer. A validation meeting took place in April 2011. The most recent validation meeting evidence was provided which took place on 26 November 2011.
CHC40108 Certificate IV in Aged Care [six skill sets]
The RTO has developed six separate strategies for the delivery of the skill sets.
Training resources:
The resources used by the RTO across all its operations are consistent with current industry standards and Training Package requirements. The resources specified in each training and assessment strategy and training program for the relevant qualification are used across all of the RTO’s operations by staff and learners. The currency, sufficiency and effectiveness of the staff, facilities, equipment and training and assessment materials are systematically reviewed and improvements are demonstrated.
Trainers/assessors:
The RTO evaluates its qualifications across its operations to see if students are able to gain a dual qualification. If gaps are identified within a unit of competency where a student may be able to attain a credit transfer into another unit/qualification, in some instances, the RTO has developed additional assessments within the relevant unit to enable students to transition between qualifications. The RTO uses purchased resources from Aspire and SmallPrint. The products are evaluated and additional resources and assessments are developed by the RTO where required. Some gaps were identified within some qualifications evaluated at the audit site visit.
Non-compliances:
Training and assessment strategies:
The strategies do not comment on credit transfer, learning needs of the students or sufficiently address the required resources.
The strategies reference resources to be sourced at the ‘benchmark booklet’ which identifies the basics such as computers, policies and procedures etc; however, no specific resource lists have been developed at this stage
CHC40108 Certificate IV in Aged Care [six skill sets]
The strategy for the delivery of the skill set Medication Assistance, does not identify the unit of competency HLTAP301B Recognise healthy body systems in a health care context as a pre requisite unit for CHCCS305B Assist clients with medication and the pre-requisite unit CHCCS305B Assist clients with medication – Medication Assistance [Skill Set] is listed on the strategy after the unit of competency CHCPA301B Deliver care services using a palliative approach – Palliative Approach [Skill Set].
Training and Assessment:
CHC40108 Certificate IV in Aged Care
CHCICS306B Provide basic foot skin and nail care – Basic Foot Care [Skill Set]
CHCAC416A Facilitate Support Responsive to the Specific Nature of Dementia – Dementia Support [Skill Set]
CHCCS305B Assist clients with medication – Medication Assistance [Skill Set]
CHCPA301B Deliver care services using a palliative approach – Palliative Approach [Skill Set] –pre-requisite
CHC30108 Certificate III in Community Services Work
CHCYTH301E Work Effectively with Young People
CHCMH301B Work Effectively in Mental Health
CHC30408 Certificate III in Disability
CHCDIS322A Support Community Participation and Inclusion
CHCDIS301B Work Effectively with People with a Disability
Due to a lack of specific practical exercises developed along with assessment gathering instruments, there is insufficient evidence gathered to demonstrate competence against the required skills and knowledge for each of the above units of competency.
CHC40108 Certificate IV in Aged Care
CHCAC416A Facilitate Support Responsive to the Specific Nature of Dementia – Dementia Support [Skill Set]
The assessments in some instances are not at the appropriate AQF level.
CHC30108 Certificate III in Community Services Work
CHCMH301B Work Effectively in Mental Health
Criteria defining acceptable performance are not (in all instances) aligned to an acceptable model answer to ensure consistency amongst assessors.
RECTIFICATION REQUIRED (Overview):
Training and assessment strategies:
The RTO is required to provide its amended strategy template which comments on credit transfer availability and process and the learning needs a student may require. Further, the RTO is to provide evidence of how it will identify resources required to be held by the employer to ensure the student gains access to resources that meet the training package requirements and, with regards to lifting equipment, are in a safe working condition.
CHC40108 Certificate IV in Aged Care [six skill sets]
The RTO is required to provide its amended strategies which identify the following:
HLTAP301B Recognise healthy body systems in a health care as a pre-requisite unit for CHCCS305B Assist clients with medication
The pre-requisite unit CHCCS305B Assist clients with medication – Medication Assistance [Skill Set] to be delivered prior to CHCPA301B Deliver care services using a palliative approach – Palliative Approach [Skill Set].
Training and assessment:
CHC40108 Certificate IV in Aged Care
CHCICS306B Provide basic foot skin and nail care – Basic Foot Care [Skill Set]
CHCAC416A Facilitate Support Responsive to the Specific Nature of Dementia – Dementia Support [Skill Set]
CHCCS305B Assist clients with medication – Medication Assistance [Skill Set
CHCPA301B Deliver care services using a palliative approach – Palliative Approach [Skill Set
To ensure the relevant gathering of the required knowledge and skills, the RTO is required to provide its practical observation instruments to be used for the above units of competency.
CHCAC416A Facilitate Support Responsive to the Specific Nature of Dementia – Dementia Support [Skill Set]
The RTO is required to provide evidence of strengthening its theory questions to ensure the students address assessments at the appropriate AQF level.
CHC30108 Certificate III in Community Services Work
CHCMH301B Work Effectively in Mental Health
The RTO is required to provide amended model answers for those aspects of assessment where the current guidelines are not acceptable to ensure consistency amongst assessors.
STANDARD/ELEMENT2:
The RTO adheres to principles of access and equity and maximises outcomes for its clients. All elements audited for this standard
Compliant/Not Compliant:
Not Compliant
Brief Summary:
The RTO is able to demonstrate that it meets the needs of its clients, services are in place to address identified needs and it monitors the provision of its services to ensure its continuous improvement in servicing its client needs.
The RTO staff liaise with relevant government agencies and employers, and provide information sessions for prospective students. Corporate client needs are established and the responsibilities of each party are outlined within MOU’s which are signed off by all parties.
For individual students, the RTO has an expression of interest form where the students identify any personal issues such as a disability to be taken into account. On some occasions, the RTO has determined that it is unable to assist a prospective client with the completion of the qualification. For example, if a student has a major back injury they would not be able to complete the heavy lifting of the aged care qualifications. However, the RTO has enrolled students with hearing and mental issues.
Where the RTO has determined a student is not going to be able to successfully complete a qualification due to literacy issues (usually due to English as a second language), the RTO has stopped the training and liaised with a learning facility in Nambour where, for a small fee, the students have been assisted with English and the studies have been resumed at the appropriate time. In these cases, the RTO has placed the student’s Vocational Placement at the end of the course. The RTO’s training coordinator has a hearing impairment and is therefore more cognisant of students who need assistance.
The RTO has, on occasion, due to socially disadvantaged issues, assisted students with the purchase of clothes.
The RTO offers one-on-one sessions for some specific students with learning or other personal needs.
The RTO is able to demonstrate its continuous improvement approach is systematic, data on the effectiveness of services provided to clients is collected and analysed, data is relevant and sufficient to allow judgements to be made about the quality of client services across the RTO’s scope of registration and operations and that improvements to client services are demonstrated. Students are given a feedback form mid and end of course. The administration officer collects the forms and the training coordinator addresses any issues which are placed on the continuous improvement register. The assessment tools have a feedback section for the students to address and give to the assessor. Students are given the QI data forms at the completion of the course. Feedback forms are also given to the Vocational Placement Officer at the respective workplace facility.
With the exception of CHC40108 Certificate IV in Aged Care skill sets, information provided to clients is clear, accurate and sufficient to assist them to make an informed choice. The agreement (enrolment form) between the RTO and the client is clearly defined and accurate and improvements to client information services are demonstrated. The RTO also provides a course program flyer to prospective students at its information sessions which clearly list qualifications, units of competency, upfront costs, location, and course commencing dates, payment plans and contact details.
Workplace personnel are consulted in the development of workplace training and assessment processes and kept informed of their training and assessment roles and responsibilities relevant to the Vocational Placement training and assessment program.
The RTO monitors the contribution of workplace personnel in supporting each learner’s training and assessment and the learner’s progress. Evidence was provided to demonstrate that the RTO gathers information from workplace personnel which is used to continuously improve training and assessment. Vocational Placement host employers are appropriately engaged in accordance with VETE Act requirements. Where possible, the Vocational Placement officer contacts the employer and student every two weeks. A record of all visits is kept on an excel data sheet. The RTO has just recently started entering student data into its ‘Jobready’ data system.
The RTO is able to demonstrate that learners receive training, assessment and support services that meet their individual needs. The RTO has an expression of interest form where the students identify any personal issues, such as a disability, to be taken into account.
Learners are informed about how to gain access to their records via the RTO’s Student Handbook. Records of learners’ participation and progress through their training program are systematically collected, recorded and stored. Records management practices are monitored and improvements are demonstrated.
Student assessment task activity books are collected at the completion of the unit. The trainer has a unit record log, the completed units are validated and recorded (scanned) and stored in a facility at Cooroy. The RTO holds all hard copies of student assessments and as time permits, scans all completed student assessments and saves to ‘Jobready’ database.
The RTO has a policy and procedure to effectively manage complaints and appeals. The RTO has had a couple of complaints which have been addressed though mediation. The complaints and appeals process and policy has recently been updated.
The RTO, to date, has not had to go beyond the mediation process. One complaint was based around an RPL process where the client did not believe he needed to pay additional money for gap training that had to take place. The client apologised and agreed that he had not read the information correctly.
Non-compliances:
Certificate IV in Aged Care Skill sets
The student information brochure correctly lists the skill sets applied for plus an additional five skill sets the RTO intends applying to add to its scope of registration in the future. The flyer noted the incorrect unit version in some cases for example, the flyer stated a ‘B’ version when the unit is now a ‘C’ version.
RECTIFICATION REQUIRED (Overview):
Certificate IV in Aged Care Skill sets
The RTO is to provide its amended information brochure which correctly lists the skill sets on its application to extend its scope of registration or, include a very clear statement for the prospective clients that it is the intention of the RTO to apply for these additional skill sets to be added to its scope of registration during 2012.
STANDARD/ELEMENT3:
Management systems are responsive to the needs of clients, staff and stakeholders and the environment in which the RTO operates.
All elements audited for this standard
Compliant/Not Compliant:
Not Compliant
Brief Summary:
The RTO has agreements in place with each client (including an MOU with each employer for the disability and aged care qualifications) and ensures that clients’ rights as consumers are protected. Its systems are sufficient to support the provision of quality training, assessment and client services. The RTO monitors and reviews the provision of services to clients and demonstrates improvements.
The management systems are appropriate for the size and scope of the RTO’s operations and are focused on providing quality training. Assessment and support services are consistently implemented across all of the RTO’s operations and are systematically monitored and improved.
The RTO was using an excel spreadsheet system and a database which did not cope with the growth in student numbers. The RTO has, during 2011, purchased ‘JobReady’ software.
Records are systematically managed by the RTO and demonstrate compliance with the requirements under the AQTF for records management.
The management of records is monitored and reviewed and retained in accordance with the TERC’s Retention of Student Results and Assessment Records Policy for RTOs. Qualifications and statements of attainment are issued in compliance with the requirements of the AQF Qualifications Issuance Policy.
Non-compliances:
Student files were missing some assessment instruments; however, the RTO’s representative stated that the assessment instruments were there when the final assessments were validated and that they must have been stored in the incorrect archive box. Further, incorrect assessor qualifications, student vocational placement and blue card notice were found on incorrect files.
The RTO’s representative stated that it was identified a casual staff member was not filing correctly. This employee has since been retrenched and the management of its student records has been reviewed with new processes currently being implemented.
RECTIFICATION REQUIRED (Overview):
The RTO is required to provide a statement outlining how it will ensure staff maintain its correct filing of student records.
STRENGTHS:
The RTO staff demonstrate the professionalism required to ensure a quality outcome for the learner. Further, it is apparent that experiences taken away from each audit have been seriously considered and the RTO systematically evaluates feedback from all stakeholders, giving it an educative set of data to improve its business. Based on this feedback, the RTO systematically makes amendments to its processes and assessment instruments.
OPPORTUNITIES FOR IMPROVEMENT:
CHC30408 Certificate III in Disability
CHC0HS312B Follow safety procedures for direct care work is noted on the strategy as a core. This is a typing error and should be identified as an elective.
CHC40108 Certificate IV in Aged Care [six skill sets]
The training and assessment strategies name the skill sets and the qualification for example, Cert. IV in Aged Care. It is recommended that whenever a qualification or a unit of competency is referenced, the RTO includes the full title including the code and name of qualification or unit.
RPL/Credit Transfer
It is highly recommended that the RTO provide training to its staff highlighting the difference between RPL and credit transfers and how each of these are to be assessed.
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