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(Carly Simpson) This video considers some of the
most common non-compliances ASQA has identified
when auditing training organisations and providers.
One of the regulatory tools ASQA uses to
assess an RTO’s or applicant organisation’s
compliance with the VET Quality Framework, is audit.
Information on ASQA’s audit processes is covered in the video tutorial
“ASQA audits – what to expect and how to prepare,”
which you may like to view first.
Sue Hepperlin is one of ASQA’s Regional Compliance Managers
and is with me now to look at the standards
where common non-compliances are occurring.
Sue, based on audits of hundreds of providers,
ASQA has identified the standards that are most commonly
found to be non-compliant. Which standards are these?
(Sue Hepperlin) Organisations applying for initial registration
are often found to be non-compliant with Standard 4.
Standard 4 requires the applicant to have strategies in place
to provide quality training and assessment
across all of its operations.
Many applicants are found non-compliant with this standard
because they are unable to provide evidence that they have all the
required resources in place before making an application to ASQA.
An applicant organisation must have all
the required resources in place to deliver
and assess the qualifications it is applying to have on its
scope of registration before applying to ASQA for initial registration.
(Carly Simpson) Is this also important for RTOs
and providers with continuing registration?
(Sue Hepperlin) Yes. This is equally important for
RTOs and providers with continuing registration.
RTOs and providers who are applying to add to their scope of registration
must have all the required resources in place before applying.
If RTOs and providers are applying to
renew their registration they must also
have all the required resources in place to deliver and assess
the qualifications they have on scope.
This includes staff, facilities, equipment,
and training and assessment materials.
ASQA has also identified frequent non-compliance with Standard 15
when auditing training organisations and providers.
Standard 15 requires the NVR registered
training organisation to provide quality training
and assessment across all of its operations.
(Carly Simpson) What are the main reasons
for non-compliances within this standard?
(Sue Hepperlin) There are three common reasons for
non-compliances within Standard 15.
Firstly, the organisation’s Training and Assessment Strategies
do not match how the RTO actually conducts training and assessment.
That is – training and assessment - does not meet the requirements of
the Training Package or requirements of individual units of competency.
Secondly, insufficient evidence is provided to
demonstrate the vocational competence,
and training and assessment competence, of trainers and assessors
to deliver training and assessment in the qualifications
on the scope of an RTO’s registration.
And the third most common reason for non-compliance with Standard 15
is that the training and assessment materials are not appropriate
for the particular group of learners or do not represent the depth,
breadth and complexity of skills and knowledge that learners
are expected to demonstrate at the level of the qualification.
(Carly Simpson) Can you elaborate on the non-compliance
commonly found with respect to trainer/assessor competence?
(Sue Hepperlin) This is the VET sector.
It’s all about enhancing the skills of Australia’s
current and future workforce.
It is critical that people training others have current
vocational skills and competencies that meet current
industry standards.
What is important is that the provider can demonstrate
that its trainers and assessors have current vocational competence,
as well as training and assessment competencies.
It is not unusual that evidence is not provided to demonstrate
that trainers and assessors hold industry currency
and competency relevant to the content of a unit of competency
and the level of a qualification.
Trainer and assessors who do not hold the required competencies
can continue to train and assess students
as long as they are supervised by someone at the
RTO who does hold the required competencies.
However, often evidence of a direct supervision
arrangement is not provided.
(Carly Simpson) What are some other common reasons
for finding non-compliance with Standard 15?
(Sue Hepperlin) Other common reasons for finding non-compliance
with the requirements of Standard 15
include: Not providing evidence
of the systematic validation of assessment materials.
Not providing evidence to demonstrate how they have
managed the transition to new qualifications
and Training Packages within 12 months of their release
or that there is a process in place that meets the requirements of ASQA’s
General direction – Transition & teach-out.
Information for students not being consistent
with other course documentation.
Providers relying on third parties who do not
hold the necessary assessment competencies
to make judgments about the competence of a learner.
Records of assessment not substantiating competency judgments
and the basis for those judgments,
and assessment materials not meeting the requirements of
the Training Package or assessment not being conducted
in accordance with the principles of evidence and the rules of evidence.
(Carly Simpson) What are the standards most commonly found
to be non-compliant for CRICOS providers?
(Sue Hepperlin) ASQA auditors have also identified a number of
non-compliances with the standards as prescribed in
the National Code of Practice for Registration Authorities
and Providers of Education and Training to Overseas Students 2007.
These standards set out the obligations on registered providers
in delivering education and training to overseas students.
Most non-compliances that have been identified
relate to: Marketing information and practices.
Student engagement before enrolment.
Formalisation of enrolment.
Student support services,
and Staff capability, educational resources and premises
(Carly Simpson) What are some common reasons for
finding non-compliance with these standards?
(Sue Hepperlin) Non-compliance is commonly identified
because: student records don’t match student letters of offer
changes to courses are not reflected in the evidence provided at audit.
Records do not align with course details
all support staff are not able to demonstrate an understanding
of the ESOS Act and the National Code
as they relate to their positions, and teaching staff
and trainers and assessor qualifications and experience
do not meet the benchmarks set by the NVR standards,
the Training Package requirements or the ELICOS standards.
It is also important to remember that all providers must keep ASQA
informed of any material changes to their operations and/or legal status.
The 'Notification of material change or event' form
on the ASQA website should be used to do this.
(Carly Simpson) Further information about frequent non-compliances
is available on ASQA’s website asqa.gov.au.