Extension to Scope - Audit Report · Extension to Scope - Audit Report Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd Intelligent Training Solutions Pty

Extension to Scope - Audit Report

Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd

Intelligent Training Solutions Pty Ltd-Audit Report-4/13/2015 Page 1 of 19

Applicant Details

Applicant Name Intelligent Training Solutions Pty Ltd TOID 22570

Address

Website

Registration Contact Alexander Mueller

Phone Number 03 9351 1068 Email [email protected]

Audit Team

Audit Firm RTO Advice Group Pty. Ltd.

Auditor/s Jacqui Hodge

Auditor/s Other Attendees

Registering Body Details

Contact Person Emma Hickingbotham

Phone Number 9032 1562 Email [email protected]

Audit Details

Type of Audit Extension to Scope Audit

Condition Audited 3, 8

Standards Audited 1.1, 1.2, 1.3, 1.4, 1.5 2.3, 2.4 (if applicable) 3.3 (if applicable)

VRQA Guidelines Audited

1.3, 4.1, 4.2, 4.4, 5.1

Audit Date/s 24/06/2015

RTO Background

Intelligent Training Solutions Pty Ltd has been training as an RTO since 2013. However both the CEO and the Training Manager have worked in the VET sector for some time and have had extensive experience and managing and delivering courses for a number of RTO’s including some TAFES. They continue do to some work with the Melbourne Polytechnic as Program Managers for some government funded training programs with their clients. The RTO delivers a reasonable number of first aid courses in Victorian about 180 a year. It has enrolments this year in both:

Certificate IV in Transport and Logistics (Road Transport - Car Driving Instruction) Certificate IV in Transport and Logistics (Road Transport - Heavy Vehicle Driving Instruction)

It is not managing to attracted participants to its CERT IV in Training and Assessment so there have been no recent enrolments in this qualification. Intelligent Training Solutions Pty Ltd also delivering some driver education programs. This includes a number of non- accredited Driver Education programs for high school students in schools across Victoria. The Training Manager reported that this application to extend its scope of registration has been driven by direct requests from a number of key clients. Training and assessment will largely be in client work sites. The preparation and attention to detail applied to the materials presented during the audit process was of a high standard.




Qualifications/Units Audited1

QUALIFICATION/UNIT OF COMPETENCE/ACCREDITED COURSE

TGA Code Qualification/Unit of Competence/Accredited

Course (as per TGA) Delivery Site

RIIWHS202D Enter and work in confined spaces Work sites

RIIWHS204D Work safely at heights Work sites

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

Mr Alexander Mueller CEO

Mr Cameron Gutterson Training Manager

Permanent Delivery Sites – Do the RTO’s permanent delivery sites match the information provided by the VRQA?

Yes No

X

Note: There are no permanent delivery sites. Training is conducted in client’s workplaces or sites. The Audit was conducted at the

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 X

2 Interactions with the Registering Body X

3 Compliance with Legislation √

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 √

9 Transition to Training Packages/Expiry of Accredited Courses X

Summary of Non-Compliance2

None Identified

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 Compliant

1.1 – Continuous Improvement Strategy X

1.2 – Training and Assessment Strategies √

1.3 – Training and Assessment Resources √

1.4 – Trainer and Assessor Competency √

1.5 – Assessment Strategies √


2.1 – Meeting the Needs of Clients X

2.2 – Continuous Improvement of Client Services X

2.3 – Provision of Information to Clients √

2.4 – Third-Party Engagement in Training and Assessment √ - NA

2.5 – Provision of Support Services to Clients X

2.6 – Learner Access to Records of Participation X

2.7 – Complaints and Appeals Strategy X


3.1 – Operations Management X

3.2 – Continuous Improvement of Operations X

3.3 – Third-Party Training and/ or Assessment Services √ - NA

3.4 – Records Management X

Summary of Non-Compliance3

None Identified

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 Compliant

1.1 – Strategic Plan and Business Plan X

1.2 – Financial Viability X

1.3 – Management Systems √

1.4 – Organisational Governance X

1.5 – Academic/Educational Governance X

1.6 – Change Reporting X

2. Quality Assurance, Review and Evaluation Processes Compliant

2.1 – Course Quality √

2.2 – Cheating and Plagiarism X

2.3 – Quality Education and Training X

3. Student Enrolment Records and Certification Not audited

3.4 – Provision of Courses to Domestic Students X

4. Student Learning Outcomes and Welfare Services Compliant

4.1 – Maximum Daily Hours of Attendance √

4.2 – Out of Hours Attendance √ - Not applicable

4.4 – Student Safety √

5. Teaching, Learning and Assessment Non -Compliant

5.1 – Capacity to Deliver Scope of Registration √ Summary of Non-Compliance4

5.1.1 – The Units assessment conditions are not included in the assessment mapping.

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




Detailed Findings - AQTF Conditions of Registration CONDITION 3 - Compliance with Legislation Compliant

Finding Evidence/Documentation Reviewed Required Rectification(s)

Compliant CEO processes Procedures and Policies Manual - 2015.1

Continuous Improvement Register ITS Information Handbook V 2015 .1 USI Examples – student information and enrolment

form Recent staff PD examples Staff Inductions checklist PD register - Sexual abuse reporting USI PD for all staff Enrolment form with USI

None required




CONDITION 8 - Accuracy and Integrity of Marketing Compliant


Compliant Website – not yet public – very detailed student information for both units

Marketing Policy Course information

None Required




Detailed Findings - AQTF Standards ELEMENT 1.2 - Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and have been developed in consultation with industry.

Compliant

SF.1.2.1 Finding Evidence/Documentation Reviewed Required Rectification(s)

Compliant TAS for RIIWHS202D and RIIWHS204D Industry Consultation Forms for both units Learner guides sent to student before Review questions and responses for self-study Delivery and assessment plans - very detailed

None required




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

Compliant


Compliant Site checklist for both units - worksite - class room inspection - Equipment

All align with follows clients OHS and site instructions RIIWHS202D TAS - Enter and Work in Confined

Spaces - 2015.3 RIIWHS204D TAS - Work Safely at Heights -

2015.2 Delivery plans for both units – detailed Agreement with AITAC – RTO who has a confine

space tailor in case of issue with work site equipment

Photos of the tailor RIIWHS202D Learner Guide - 2015.1 RIIWHS204D Learner Guide - 2015.1 RIIWHS202D - Enter and Work in Confined Spaces

- Master Assessment - 201... RIIWHS204D - Work Safely at Heights - Master

Assessment - 2015.1.1

None required




ELEMENT 1.4 - The applicant has a defined strategy, procedures and measures to ensure that training and assessment are conducted 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


Compliant Staff file for Martin Klein trainer for both units Vocational Competency Record ( VRC) for Martin

Klein 2015.2 Resume for Martin Klein - Last Updated 20th May

2015 signed include recent PD entries Verified Qualifications to match VCR PD shown on resume and VCR PD plan template to be developed for Martin once

units are on scope PD Records show monitoring and reviewing for

sufficiency Procedures and Policies Manual - 2015.1

- Staff recruitment, induction, review and development

- Initial Staffing Profile - Recruitment - Induction - Professional development

None required




ELEMENT 1.5 - The applicant has a defined strategy and procedures in place to ensure that assessment, including Recognition of Prior Learning (RPL):

a) will meet the requirements of the relevant Training Package or accredited course b) will be conducted in accordance with the principles of assessment and the rules of evidence c) will meet workplace and, where relevant, regulatory requirements d) is systematically validated.

Compliant


Compliant RIIWHS202D TAS - Enter and Work in Confined Spaces - 2015.3

Delivery and Assessment Plan for RIIWHS202D -2015.2

RIIWHS202D - Enter and Work in Confined Spaces - Master Assessment – 2015 1.1

RIIWHS202D Audit Mapping Document RIIWHS204D TAS - Work Safely at Heights -

2015.2 Delivery and Assessment Plan for RIIWHS204D -

2015.1 RIIWHS204D - Work Safely at Heights - Master

Assessment - 2015.1.1 RIIWHS204D Audit Mapping Document Procedures and Policies Manual - 2015.1 – RPL

and Validation Moderation

None required




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

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

Compliant Website not yet live http://www.its.vic.edu.au/riiwhs202d

Enrolment form RIIWHS202D-Student-Unit-Outline-2015.2 RIIWHS204D-Student-Unit-Outline-2015.2 ITS Information Handbook - Version 2015.1 Complaints and appeals information FAQ Fees Information Course content Student Support TAS for both – matches with above

None required




2.4 - Where identified in the learning and assessment strategy, the applicant has engaged or has a defined strategy in place to engage with employers or other parties who contribute to each learner’s training and assessment on the development, delivery and monitoring of training and assessment.

Compliant


Compliant- Not applicable Training and assessment strategies and assessment resources for both units

None Required




3.3 - Where applicable, the applicant has a defined process and mechanism to monitor 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 Initial Registration.

Compliant


Compliant- Not applicable Training and assessment strategies and assessment resources for both units

None Required




Detailed Findings – VRQA Guidelines for VET Providers GUIDELINE 1.3 - The provider must provide information about its management systems. Compliant


Compliant Staff File as at AQTF 1.4 Procedures and Policies Manual - 2015.1 RIIWHS202D TAS - Enter and Work in Confined

Spaces - 2015.3 Industry Consultation records for both units

None required

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


Compliant Procedures and Policies Manual - 2015.1 RIIWHS204D TAS - Work Safely at Heights -

2015.2

None required




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


Compliant Delivery and assessment plans Student information

None Required




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


Not applicable as student are not fulltime Delivery and assessment plans Student information

None Required




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


Compliant Delivery and assessment plans Site and equipment checklist Assessors instructions Student information

None required




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)

Not compliant The RTO does not have mapping of proposed assessment tasks against both units’ assessment conditions. Note: The proposed assessments addressed the requirements shown in the training package. The units’ performance and knowledge evidence were mapped.

RIIWHS202D Audit Mapping Document RIIWHS202D - Enter and Work in Confined Spaces

- Master Assessment - 2015 RIIWHS204D Audit Mapping Document RIIWHS204D - Work Safely at Heights - Master

Assessment - 2015.1.1

The RTO needs to provide mapping for both units or against the unit’s assessment conditions.

Improvement Opportunities

Small changes to assessment recording tools were made on the day i.e. removing the recording of competency at task level

RTO: Intelligent Training Solutions Pty Ltd

RTO Name: Intelligent Training Solutions Pty Ltd RTO Contact: Alexander Mueller Audit Type: Extension to Scope Auditor's Name: Jacqui Hodge

• ·~ Victorian Registration & Qualifications Authority

Audit Date: 24/06/2015

Acceptance Form TOlD: 22570 Contact Phone Number: 03 9351 1 068 Audit Date: 24/06/2015

Does the RTO accept the findings of the AQTF Essential Conditions and Standards for Continuing Registration audit in full?

~s D No*

Does the RTO accept the findings of the VRQA Guidelines for VET Providers audit in full?

~ rwu\~1 CO\'rx~t<, oopp~ . D No*

*Where the RTO disputes the audit findings, the reasons should be detailed in the "Provider Comments" document attached. This page together with any comments on the audit findings should be faxed ore-mailed back to the auditor within~ f or business days of receipt of the draft audit report.

Name of CEO .... P.\~~( .. ffi~.~(. .... ...... .... CEO's Signature: .... . ~ffi~ . . ..... ...... ...... Date ... ~.to~ \?-o 15 (or authorised representative)

Name of Auditor: Jacqui Hodge Auditor's tJ' ~ llc.f&-<-- - ..... Signature: Date 25the June 2015 I

Intelligent Training Solutions Pty Ltd-Acceptance Form-6/19/2015

Victorian Registration & Qualifications Authority

RTO: Intelligent Training Solutions Pty Ltd Audit Date: 24/06/2015

Provider Comments RTO Name: Intelligent Training Solutions Pty Ltd

Audit Date(s): 24/06/2015

AQTF /Guideline

Reference 5.1.1

Comments

Intelligent Training Solutions has taken the recommendations of the auditor and rectified the issue by mapping the assessment conditions for both units in the ITS Audit Mapping Document against the assessment tools presented at audit.

Intelligent Training Solutions Pty Ltd-Acceptance Form-6/19/2015

V ictorian Registration & Q ·ualiflcations A uthority

RTO: Intelligent Training Solutions Pty Ltd

Registered Training Organisation Name: Intelligent Training Solutions Pty Ltd TOlD: 22570 Survey Completed by: U \l(_x._Qf{)Qj N\VQ.UQJ Position/Title: ~() Name of Auditor: Jacqui Hodge Date of Audit: 24/06/2015 Type of Audit: Extension to Scope Audit Site/s: 22 Cheriton Drive, RIDDELLS CREEK VIC 3431 Duration of Audit(hours): 4 hours

1. Did the auditor contact you to confirm the audit date a minimum of 14 days prior to the audit visit?

2. Was the auditor punctual on the audit day/s?

3. Was an entry meeting (minimum 30mins) held at the commencement of the audit to discuss your organisation's business operations, the purpose of the audit and the processes involved?

4. Was an exit interview held at the conclusion of the audit visit?

5. Were the draft audit findings discussed at the exit interview?

6. Did the audit process assist you to identify areas for continuous improvement of your training operations?

7. In your opinion, did the auditor perform the audit in a thorough and professional manner? If "No", would you please state the reason(s) for your response

8. Have you any other comments relating to any aspects of the audit?

Signature.~ ffiV. ~\lrt. J .......... .. ....................... Date .... ~ 0. .\ 0.~ .I. .l S .. Please return to:

OR fax to:

Emma Hickingbotham VET Audit Services Victorian Registration & Qualifications Authority GPO Box 2317 Melbourne VIC 3001 (03) 90321579

Intelligent Training Solutions Pty Ltd-RTO-Satisfaction Survey-6/19/2015

Audit Date: 24/06/2015

E; No

~ No

~ No

€v No

~ No

6 No

®; No

Documents

Extension to Scope - Audit Report · Extension to Scope - Audit Report Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd Intelligent Training Solutions Pty