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.
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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.
Extension to Scope - Audit Report
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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 √
Standard 2 Compliant
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
Standard 3 Compliant
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.
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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.
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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CONDITION 8 - Accuracy and Integrity of Marketing Compliant
Finding Evidence/Documentation Reviewed Required Rectification(s)
Compliant Website – not yet public – very detailed student information for both units
Marketing Policy Course information
None Required
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Finding Evidence/Documentation Reviewed Required Rectification(s)
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
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Finding Evidence/Documentation Reviewed Required Rectification(s)
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
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Finding Evidence/Documentation Reviewed Required Rectification(s)
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
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Finding Evidence/Documentation Reviewed Required Rectification(s)
Compliant- Not applicable Training and assessment strategies and assessment resources for both units
None Required
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Finding Evidence/Documentation Reviewed Required Rectification(s)
Compliant- Not applicable Training and assessment strategies and assessment resources for both units
None Required
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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Detailed Findings – VRQA Guidelines for VET Providers GUIDELINE 1.3 - The provider must provide information about its management systems. Compliant
Finding Evidence/Documentation Reviewed Required Rectification(s)
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
Finding Evidence/Documentation Reviewed Required Rectification(s)
Compliant Procedures and Policies Manual - 2015.1 RIIWHS204D TAS - Work Safely at Heights -
2015.2
None required
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Finding Evidence/Documentation Reviewed Required Rectification(s)
Compliant Delivery and assessment plans Student information
None Required
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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
Finding Evidence/Documentation Reviewed Required Rectification(s)
Not applicable as student are not fulltime Delivery and assessment plans Student information
None Required
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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GUIDELINE 4.4 - Providers must indicate the measures they intend to take to address matters of student safety. Compliant
Finding Evidence/Documentation Reviewed Required Rectification(s)
Compliant Delivery and assessment plans Site and equipment checklist Assessors instructions Student information
None required
Extension to Scope - Audit Report
Audit Date: 24/06/2015 Applicant: Intelligent Training Solutions Pty Ltd
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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