Audit Rectification Table ASQA Audit – 9‐10 April 2013 BSB51312 Diploma of Work Health & Safety & BSB41412 Certificate IV in Work Health & Safety SNR15 The NVR registered training organisation provides quality training and assessment across all of its operations, as follows: Elements Compliant Non‐
Compliant 15.1 The NV registered training organisation collects, analyses, and acts on relevant data for continuous improvement of training and assessment. 15.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed through effective consultation with industry 15.3 Staff, facilities and equipment and training and assessment materials used by the NVR registered training organisation are consistent with the requirements of the training package or VET accredited course and the NVR registered training organisation’s own training and assessment strategies and are developed through effective consultation with industry 15.4 Training and assessment is delivered by trainers and assessors who:
a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors; and b) have the relevant vocational competencies at least to the level being delivered or assessed; and c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken; and d) continue to develop their vocational education and training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence 15.5 Assessment including Recognition of Prior Learning (RPL):
a) meets the requirements of the relevant Training Package or VET accredited course; and b) is conducted in accordance with the principles of assessment and the rules of evidence; and c) meets workplace and where relevant, regulatory requirements; and d) is systematically validated 15.2 Non‐compliances Rectification Required YES YES YES CAEI Response Assessments Evidence audited: Training and Assessment Strategy for: 1. BSB51312 Diploma of Work Health and Safety 2. BSB41412 Certificate IV in Work Health and Safety The organisation has not demonstrated compliance with SNR 15.2 because:  There were no details listed in any evidence presented of the resources required for the delivery of training and conduct of assessment June 2013 Compliant following rectification Training & Assessment Strategy
Point (i) The training and assessment strategy for each qualification has been updated with a table listed as Appendix Two that identifies: a. Staff Resource b. Facilities c. Delivery Sites d. Equipment for delivering the qualification 1. BSB51312 Diploma of Work Health and Safety – refer to Appendix 1, page 7 i.
Revise Training and Assessment Strategy to identify all resources including trainers/assessors and the delivery site at which training and assessment will be conducted for this unit will be trained and assessed for the above unit of competency Page 1 Audit Rectification Table  There was no guidance to assessors on how to determine that a student is deemed Competent or Not Yet Competent BSB41412 Certificate IV in Work Health and Safety – refer to Appendix 2, Page 7 Point (ii) Careers Australia has now updated all Student Assessment Tool cover sheet to include Assessor Instructions. In conjunction with these instructions, Assessors are required to use benchmarks for assessments (which are provided) to enable assessors to make consistent judgements based on Benchmarks developed for each unit of competency. Assessor Instruction – please refer to Appendices 5, 6, 8 & 9 ‐ Exam Question page 1 ‐ Assignment Written Report Student Instruction – page 1 Point (iii) Careers Australia’s Admission, Submission and Resubmission process provides instructions to both Assessors and Administration on the process of when the Assessments is distributed to students; Student requesting for extension; Assessment due date; re‐
assessment schedule, completed assessment marked and feedback provided to student, competency outcome recorded in the student management system and documentary evidence filed in student file. Admission, Submission and Resubmission Process ‐ Refer to Appendix 3 Point (iv) Reasonable adjustments Careers Australia have now included the Reasonable Adjustment section in the Training and Assessment Strategy to guide Assessors on the circumstances where Reasonable Adjustment need to be applied and recommended adjustments to meet student requirement 1. BSB51312 Diploma of Work Health and Safety – refer to Appendix 1, page 5 2. BSB41412 Certificate IV in Work Health and Safety – refer to Appendix 2, Page 4 & 5 Reasonable Adjustments is also included in all Student 2.
ii.
Develop instructions to assist assessors to make consistent judgements about how a student will be deemed Competent or Net Yet Competent  There were no instructions to assessors on the recording and reporting of the assessment process to ensure accuracy and integrity of the assessment  There was no strategy for guidance to the assessor on reasonable adjustments, and how they will be applied during training and assessment June 2013 iii.
Develop instructions for the assessor on the recording and reporting of the assessment process to ensure accuracy and integrity of the assessment iv.
Develop a strategy for managing reasonable adjustments, and how they will be applied during training and assessment Page 2 Audit Rectification Table Assessment Tool cover sheet where the Assessor recommends the type of Reasonable Adjustment that will be applied for each unit of competency. ‐ Exam Question page 1 – refer to Appendices ‐ Assignment Written Report Student Instruction page 1 – refer to Appendices 5, 6, 8 & 9 15.4 Evidence audited: Qualifications for trainer Lloyd Currin: 1. BSB51307 Diploma of Occupational Health and Safety, issued by HBA Learning Centre on the 16 March 2011 2. TAE40110 Certificate IV in Training and Assessment, issued by Careers Australia Education Institute Pty. Ltd. 25 February 2013 3. TAA404 Certificate IV in Training and Assessment, issued by the Australian Industry Group, 4 October 2010 4. 30596QLD Course in functioning as a workplace health and safety officer The following reasons are why the organisation had not demonstrated compliance with SNR 15.4: The trainer and assessor was not able to demonstrate recent strategies to develop their: a. VET knowledge and skills, b. Trainer and assessor competence, and c. Industry currency June 2013 The organisation is to ensure that: The trainer and assessor demonstrates recent strategies to develop their: a. VET knowledge and skills b. Trainer and assessor competence, and c. Industry currency Careers Australia has developed a Performance Management Plan for Lloyd Currin with proposed learning and development activities on industry knowledge and practice and trainer and assessor competence. Refer to Appendix 10 Page 3 Audit Rectification Table 15.5 The following qualification and Unit of Competency (UoC) assessment tools were found non compliant in regards to SNR 15.5 because: 1. BSB51312 Diploma of Work Health and Safety had no RPL assessment tool 2. BSBMGT401A Show leadership in the workplace had no assessment tools developed for this Unit of Competency (Elective UoC for BSB41412 Certificate IV in Work Health and Safety) 3. BSBWHS506A Contribute to developing, implementing, and maintaining WHS management. Had no assessment tool developed for this Unit of Competency (Core UoC for BSB51312 Diploma of Work Health and Safety) Evidence audited: a. BSBWHS505A Investigate WHS incidents exam questions assessment b. BSBWHS402A Assist with compliance with WHS laws theory assessment tool guide c. BSBWHS402A Assist with compliance with WHS laws theory assessment tool guide June 2013 Careers Australia has developed the following documents which was not made available during the audit: 1. BSB51312 Diploma of Work Health and Safety RPL Information Guide & RPL Skills Assessment Kit. Refer to Appendix 4 2. BSBMGT401A Show leadership in the workplace. Refer to Appendix 5 for the following documents ‐ Exam Question ‐ Exam Question & Answers ‐ Assignment Case Study & Written Report Student Instruction ‐ Assignment Case Study & Written Report Benchmarks Trainer Copy ‐ Case Study ‐ Record of Assessment Form ‐ Mapping Guide ‐ Unit Outline ‐ Session Plan 3. BSBWHS506A Contribute to developing, implementing and maintaining WHS management. Refer to Appendix 6 for the following documents ‐ Exam Question ‐ Exam Question & Answers ‐ Assignment Written Report Student Instruction ‐ Assignment Written Report Benchmarks Trainer Copy ‐ Assignment Task 8 Presentation Benchmarks ‐ Record of Assessment Form ‐ Mapping Guide ‐ Unit Outline ‐ Session Plan Page 4 Audit Rectification Table The following Unit of Competency assessment tools were found non compliant in regards to SNR15.5 because: Assessments for the above units of competency do not meet the principles of assessment and the rules of evidence in that they did not demonstrate against all knowledge and practical assessment instruments: Criteria defining acceptable performance i.
ii.
Clear information about assessment requirements for assessors and students iii.
The organisation’s representative provided various forms of assessment; however, it was not clear to the reader which assessment constituted an activity/assessment to inform the assessor on the learner progress and what activity/assessment is actually a final assessment (referred to in the relevant training package as formative and summative assessment). ‐ The assessment sign off sheet does not allow for objective feedback from the assessor or the candidate ‐ The assessors and students are not given instructions regarding the standards and conditions for conducting an assessment. E.g. no time frame for the candidate to complete the assessment, whether the assessment is open book or closed book, how many questions to answer correctly to be deemed competent June 2013 The organisation is: i.
To ensure validity of an outcome of satisfactory against an assessment and competent against a unit of competency, the organisation is to provide assessment instruments which provide clear instructions to assessors and students in the they clearly define the criteria for acceptable performance with clear instruction about the assessment requirements for example (but not limited to) the time allowed to complete the practical assessment, conditions, contingencies, PPE and other resources for the specific assessment to be conducted. ii.
To provide clear instructions to the assessor and student regarding what constitutes an activity/assessment (formative assessment) compared to what constitutes a final assessment (summative assessment) iii.
To develop instructions for assessors and students that are clear regarding the requirements for conducting an assessment. E.g. time frame for the candidate to complete the assessment identified. iv.
The assessment sign off sheet is to allow for objective feedback from the assessor and the candidate. Careers Australia has reviewed and amended all Student Assessment Tools for the units BSBWHS505A Investigate WHS incidents and BSBWHS402A Assist with compliance with WHS laws as follows: Points (i) , (iii) and (iv) Careers Australia has now updated all Student Assessment Tool cover sheet to include Assessor Instructions. In conjunction with these instructions, Assessors are required to use benchmarks for assessments (which are provided) to enable assessors to make consistent judgements based on Benchmarks developed for each unit of competency. Student Exam Question (refer to Appendices 5, 6, 8 & 9) now include clear instructions to both Assessor and Student on assessment requirements for conducting and completing assessments: ‐ Assessor Instructions– refer to page 1 ‐ Assessor Only table allows assessor to provide feedback to the candidate on completion of assessment and competency outcome – refer to page 1 ‐ Table with instructions on conditions to conduct the Exam including perusal and exam time and conditions of assessment (if open or closed book). – Refer to page 2 Assignment Written Report Student Instructions (refer to Appendices 5, 6, 8 & 9) now include clear instructions to both Assessor and Student on assessment requirements for conducting and completing assessments ‐ Assessor Instructions– refer to page 1 ‐ Assessor Only table allows assessor to provide feedback to the candidate on completion of assessment and competency outcome– refer to page 1 ‐ WHS units – page 2 has additional information to assist with completion of assigned tasks including links to websites and assessment due Page 5 Audit Rectification Table ‐
June 2013 Learning and assessment guides for the BSBWHS505A Investigate WHS incidents exam questions and the BSBWHS402A Assist with compliance with WHS laws theory assessment referenced the candidate to undertake the knowledge exam on the Western Australia Safety Line web site. The knowledge assessments for the Western Australian Workplace Safety do not assess the Victorian Occupational Health and Safety legislation of 2004, and the Victorian Occupational Health and Safety Regulations 2007, which are the prescribed references by WorkSafe Victoria that a Work, Health, and Safety worker must know. v.
To develop Learning and assessment guides for exam questions and theory assessments which are referenced against WorkSafe Victoria’s Occupational Health and Safety legislation of 2004, and the Victorian Occupational Health and Safety Regulations 2007. date.
Point (ii) Careers Australia has now updated all Student Assessment Tool cover sheet to identify the assessments to students as Summative assessments. It is our practice to conduct Summative Assessments to enable Assessors to make a judgement on competency outcome for all assessments undertaken by the student.. Student Exam Question – (refer to Appendices 5, 6, 8 & 9) – page 2 Assignment Written Report Student Instruction ((refer to Appendices 5, 6, 8 & 9) – Type of Assessment on page 1 Point (v) Students are provided with Safetyline Learner Guide as well as Student Handout that covers WHS Laws versus Victoria Legislation to assist students with WorkSafe Victoria’s Occupational Health & Safety legislation of 2004 and Victorian OH & S Regulations 2007 – refer to Appendix 7 BSBWHS505A Investigate WHS incidents exam questions assessment. Refer to Appendix 8 for the following documents Student Exam Question now include clear instructions to both Assessor and Student on assessment requirements for conducting and completing assessments: ‐ Assessor Instructions– refer to page 1 ‐ Assessor Only table allows assessor to provide feedback to the candidate on completion of assessment and competency outcome – refer to page 1 ‐ Table with instructions on conditions to conduct the Exam including perusal and exam time and conditions of assessment (if open or closed book). – Refer to page 2 Assignment Written Report Student Instructions now Page 6 Audit Rectification Table include clear instructions to both Assessor and Student on assessment requirements for conducting and completing assessments ‐ Assessor Instructions– refer to page 1 ‐ Assessor Only table allows assessor to provide feedback to the candidate on completion of assessment and competency outcome– refer to page 1 ‐ Page 2 has additional information to assist with completion of assigned tasks including links to websites and assessment due date. Assignment Task 7 Presentation Benchmarks – Assessor use this to make judgement on student’s Oral Presentation Record of Assessment Form – is used to record results for each assessment completed by the student and the overall result when all assessments for the unit have been completed. BSBWHS402A Assist with compliance with WHS laws Refer to Appendix 9 for the following documents Student Exam Question now include clear instructions to both Assessor and Student on assessment requirements for conducting and completing assessments: ‐ Assessor Instructions– refer to page 1 ‐ Assessor Only table allows assessor to provide feedback to the candidate on completion of assessment and competency outcome – refer to page 1 ‐ Table with instructions on conditions to conduct the Exam including perusal and exam time and conditions of assessment (if open or closed book). – Refer to page 2 Assignment Written Report Student Instructions now include clear instructions to both Assessor and Student June 2013 Page 7 Audit Rectification Table vi.
on assessment requirements for conducting and completing assessments ‐ Assessor Instructions– refer to page 1 ‐ Assessor Only table allows assessor to provide feedback to the candidate on completion of assessment and competency outcome– refer to page 1 ‐ Page 2 has additional information to assist with completion of assigned tasks including links to websites and assessment due date. Assignment Task 5 Presentation Benchmarks – Assessor use this to make judgement on student’s Oral Presentation Record of Assessment Form – is used to record results for To provide a process to ensure the non‐compliance each assessment completed by the student and the overall result when all assessments for the unit have issues are systematically conducted against all assessments against all qualifications and individual been completed. units of competency on its application Careers Australia uses internal and external audits as an opportunity for improvement. Careers Australia has already implemented the actions identified in this audit within the organisation. BSB51312 Diploma of Work Health & Safety & BSB41412 Certificate IV in Work Health & Safety SNR18 The NVR registered training organisation has governance arrangements in place, as follows: Elements Compliant 18.1 The NVR registered training organisation’s Chief Executive must ensure that the NVR registered training organisation complies with the VET Quality Framework. This applies to all of the operations within the NVR registered training organisation’s scope of registration, as listed on the National Register. 18.2 The NVR registered training organisation must also explicitly demonstrate how it ensures the decision making of senior management is informed by the experiences of its trainers and assessors 18.1 Non‐compliances Rectification Required Non‐
Compliant CAEI Response Assessments June 2013 Page 8 Audit Rectification Table 
The organisation is not compliant with SNRS 15.2, 15.4, & 15.5 
Rectify non compliant SNR’s in the audit report Please refer to the responses provided for SNRS 15.2, 15.4 & 15.5. June 2013 Page 9