Continuing Registration
Australian College of Training and Employment, EVOCCA FM-PMA-34A
TRIM No: 09/182321
College NTIS #31455 Version 11.1 29 July 2011
Training and International Quality
Organisation details
Registration expiry 22 December 2011
Principal address Unit 20, 8 Riverland Drive, Loganholme
RTO contact Mrs Jenny Field Phone number 07 3827 5321
The organisation operates under two separate trading names: Australian College of Training and
Employment (ACTE) and EVOCCA College.
ACTE: Core clients are fee for service trainees, or non-traineeship learners. Delivery is mixed
mode comprising of one-on-one (workplace) delivery and distance delivery.
EVOCCA College: Core clients are fee for service enrolled under VET Fee-Help. Delivery is face
to face at the college locations, or distance delivery.
The organisation has a partnering arrangement with a Tasmanian based organisation.
The organisation is approved for User Choice, and has accessed minimal funding to date.
The organisation has had the following approximate number of current enrolments and
Operations completions for the following qualifications respectively:
FNS20110 Certificate II in Financial Services 0&0
FNS40210 Certificate IV in Financial Services (Bookkeeping) 0&0
BSB41407 Certificate IV in Occupational Health and Safety 519 & 421
BSB51407 Diploma of Project Management 127 & 2
BSB60207 Advanced Diploma of Business 1&1
CHC30708 Certificate III in Childrens Services 50 & 25
CHC50908 Diploma of Childrens Services (Early childhood education and care) 45 & 5
HLT52007 Diploma of Practice Management 2&1
TAA50104 Diploma of Training and Assessment 51 & 14
TAE40110 Certificate IV in Training and Assessment 442 & 118
Audit team
Audit details
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The qualifications FNS20104 Certificate II in Financial Services and FNS40207 Certificate IV in
Financial Services (Bookkeeping) were initially included in the audit scope, as delivery had
occurred in these qualifications. Following discussions with the organisation, it was agreed prior
to audit to review the strategies, resources and assessment tools of FNS20110 Certificate II in
Other audit notes
Financial Services and FNS40210 Certificate IV in Financial Services (Bookkeeping).
Assessment records would still be reviewed against the superseded qualifications.
Condition 8 was added to the audit scope during audit, following evidence sighted which
indicated the NRT logo had not been employed in accordance with its conditions of use.
Focus of audit
Code Qualification / Course / Unit title Regulated Delivery venues
FNS20110 Certificate II in Financial Services ACTE:
FNS40210 Certificate IV in Financial Services (Bookkeeping) Face to face
SE Qld and
BSB41407 Certificate IV in Occupational Health and Safety Sydney
Distance
BSB51407 Diploma of Project Management throughout
BSB60207 Advanced Diploma of Business Australia
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Standard 1: The RTO provides quality training and assessment across all of its operations
Elements Examined
1.1 The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment.
1.2 Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are
developed in consultation with industry stakeholders.
1.3 Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the
Training Package or accredited course and the RTOs own training and assessment strategies.
1.4 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
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.
1.5 Assessment, including Recognition of Prior Learning (RPL):
a) meets the requirements of the relevant Training Package or accredited course
b) is conducted in accordance with the principles of assessment and the rules of evidence
c) meets workplace and, where relevant, regulatory requirements
d) is systematically validated.
Audit findings
At time of audit: Following rectification received 01 December 2011:
Compliant Compliant
Not Compliant Not Compliant
Findings:
The organisation was not compliant with Standard One.
The organisations continuous improvement approach is systematic, involving staff, clients and other stakeholders, and uses
qualitative data to determine the need for improvements to training and assessment. The organisation has employed a
compliance officer responsible for managing continuous improvement in its collection, analysis, and improvements. Pre-
determined continuous improvement activities, such as validation of assessment tools, are planned throughout the year. Other
continuous improvement opportunities are obtained from reviews of student and employer feedback forms, industry skills
council consultation, other industry consultation, and direct from trainers. These opportunities, once identified, are recorded in
the organisations total management system (known as SMART system) which are reviewed and reported to senior
management on a weekly basis. Communication is provided to all staff as the analysis and actions are developed.
RESOURCES:
The resources used by the organisation across all of its operations for all qualifications except HLT52007 Diploma of Practice
Management are consistent with current industry standards and Training Package requirements. The organisation
demonstrated the process undertaken, using the SMART system, to ensure the resources are used by all staff and learners.
Where commercially developed resources are used, the organisation demonstrated the validation process undertaken to
ensure they meet Training Package requirements and industry standards.
HUMAN RESOURCES:
The organisation provided evidence to demonstrate the following nominated trainers and assessors provided for audit have the
necessary training and assessment competencies, have relevant vocational competencies at least to the level being delivered
or assessed, have current industry skills directly relevant to the training and assessment being undertaken, and have
undertaken sufficient ongoing development of their VET knowledge and skills, industry currency and trainer and assessor
competencies:
Mr John Meyers (BSB41407 Certificate IV in Occupational Health and Safety)
Ms Liz Mazza (BSB41407 Certificate IV in Occupational Health and Safety)
Mr Graeme Cain (BSB41407 Certificate IV in Occupational Health and Safety and BSB51407 Diploma of
Project Management)
Mrs Jenny Field (BSB60207 Advanced Diploma of Business)
Mr Rahul Kulkarni (BSB60207 Advanced Diploma of Business)
Ms Leanne George (CHC30708 Certificate III in Childrens Services and 50908 Diploma of Childrens
Services (Early childhood education and care))
Ms Debbie Ambridge (FNS20110 Certificate II in Financial Services and FNS40210 Certificate IV in
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Financial Services (Bookkeeping))
Ms Nicole Grundy (HLT52007 Diploma of Practice Management)
Ms Pam Damon (TAA50104 Diploma of Training and Assessment)
Ms Anne Scott-Hunter (TAA50104 Diploma of Training and Assessment)
Ms Christine Lennon (TAE40110 Certificate IV in Training and Assessment)
Ms Lisa Lawrence (TAE40110 Certificate IV in Training and Assessment)
ASSESSMENT:
BSB60207 Advanced Diploma of Business
BSBADV602B Develop an advertising campaign
BSBHRM602B Manage human resources strategic planning
FNS40210 Certificate IV in Financial Services (Bookkeeping)
FNSBKG404A Carry out business activity and instalment activity statement tasks
TAA50104 Diploma of Training and Assessment
TAACMQ503B Lead and conduct training and/or assessment evaluations
TAADES504B Develop and evaluate e-learning resources
TAE40110 Certificate IV in Training and Assessment
TAEDEL401A Plan, organise and deliver group-based learning
TAEASS502B Design and develop assessment tools
For the above listed qualifications and relevant units of competency, the organisation provided assessment tools that met all
requirements of the Training Package, including all required knowledge and skills, and critical aspects of evidence, necessary
to achieve the performance criteria. The evidence provided included all evidence criteria necessary to ensure that assessment
met the principles of competency based assessment and the rules of evidence; and demonstrated the organisation had
systematically validated the tools and assessment process.
Non-compliances:
STRATEGIES:
The information provided in the training and assessment strategies for all qualifications had been written from a template, with
many sections of the document not contextualised for the qualification to which they refer; this did not demonstrate the strategy
had been clearly defined to meet the requirements of the Training Package, nor would it guide trainers and assessors to ensure
learners receive training and assessment that meets their needs. For example, generic statements were provided regarding
industry consultation, delivery and assessment arrangements, and assessment and evaluation strategies. These statements
were not reflective of the specific industry consulted, resources used or validation processes that was being utilised for the
qualification. Additional qualification-specific non-compliances relating to strategies are identified immediately below.
The organisation provided evidence to demonstrate there were two delivery programs for BSB60207 Advanced Diploma of
Business, however were unable to provide a training and assessment strategy that covered both delivery programs. The
organisation advised the separate delivery programs were developed based on the industry requirements and client needs;
those enrolled through ACTE studied a different program to those enrolled through EVOCCA. The strategy did not identify the
differences between the two programs, including the physical resources required.
The training and assessment strategies for CHC30708 Certificate III in Childrens Services and CHC50908 Diploma of
Childrens Services (Early childhood education and care) did not identify the physical resources used to meet the
requirements of the Training Package. Units of competency identified in the delivery program require specific resources for
assessment which have not been included. In addition, the training and assessment strategy for CHC50908 Diploma of
Childrens Services (Early childhood education and care) specified a pre-requisite qualification to be completed prior to
enrolling, which did not meet the requirements of the Training Package. An entry requirement for the qualification is the
demonstration of competence in 12 units of competency.
The training and assessment strategy for FNS20110 Certificate II in Financial Services did not specify a delivery program
that met all requirements of the Training Package. Units of competency identified on the strategy did not meet packaging rule
requirements.
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The training and assessment strategy for HLT52007 Diploma of Practice Management identified resource requirements that
were referenced and specific to a different qualification. Subsequently the physical resource requirements did not meet the
requirements of the Training Package.
RESOURCES:
The organisation advised at audit they did not have access to all required training and assessment materials for HLT52007
Diploma of Practice Management. The organisation provided a resources list to demonstrate that both commercially
developed and self-developed materials will be used, dependent on the unit of competency. The organisation could not
demonstrate that all self-developed materials had been developed. Consequently the organisation could not demonstrate the
materials were consistent with industry standards and Training Package requirements, or that they were used across all
operations.
HUMAN RESOURCES:
The organisation could not provide evidence of current industry skills directly relevant to the training and assessment being
undertaken for Mr William Phillips, its nominated trainer and assessor for FNS20110 Certificate II in Financial Services and
FNS40210 Certificate IV in Financial Services (Bookkeeping). The organisation advised they have sighted a resume of Mr
Phillips which demonstrated these skills. This was unavailable at the time of audit.
ASSESSMENTS:
BSB41407 Certificate IV in Occupational Health and Safety
BSBOHS403B Identify hazards and assess OHS risks
BSBOHS405B Contribute to the implementation of emergency procedures
For both units of competency listed above, assessment tools provided did not sufficiently address unit required skills. The
organisation identified the qualification was being assessed in a holistic manner and advised a committee had been formed to
validate the tools and develop the criteria defining acceptable performance. This process had not been completed at the time of
audit.
CHCRF511A Work in a partnership with families to provide appropriate care for children
The organisation provided commercially developed assessment tools, including marking and mapping guides, however could
not provide evidence to demonstrate how the assessment tools had been validated and improved upon. The third party
observation checklist was a direct copy of the performance criteria and required skills, which did not identify the tasks to be
administered to the student.
Rectification required:
STRATEGIES:
The organisation is required to provide evidence to demonstrate that documented training and assessment strategies, for all
qualifications audited are clearly defined to meet the requirements of the Training Package, and are reflective of the actual
activities undertaken. Additional qualification-specific rectification requirements relating to strategies are identified immediately
below.
The organisation is required to provide one or more training and assessment strategies for BSB60207 Advanced Diploma of
Business which describes all delivery programs offered, identifies how that delivery programs were informed by information
collected on industry requirements, and includes all resources specific to that delivery program.
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The organisation is required to provide evidence to demonstrate the training and assessment strategies for CHC30708
Certificate III in Childrens Services and CHC50908 Diploma of Childrens Services (Early childhood education and
care) specify the physical resources required, to the level of resources for assessment for each unit of competency. In
addition, the organisation is required to provide evidence to demonstrate the training and assessment strategy for CHC50908
Diploma of Childrens Services (Early childhood education and care) describes a delivery program that includes pre-
requisites to meet the requirements of the Training Package.
The organisation is required to provide evidence to demonstrate the training and assessment strategy for FNS20110
Certificate II in Financial Services describes a delivery program that meets all requirements of the Training Package.
The organisation is required to provide evidence to demonstrate the physical resources listed in the training and assessment
strategy for HLT52007 Diploma of Practice Management are reflective of the qualification and meet Training Package
requirements.
RESOURCES:
The organisation is required to provide evidence to demonstrate that it has training and assessment materials for HLT52007
Diploma of Practice Management appropriate to current industry standards and Training Package requirements.
HUMAN RESOURCES:
The organisation is required to provide evidence to demonstrate Mr William Phillips has current industry skills directly relevant
to the training and assessment being undertaken for FNS20110 Certificate II in Financial Services and FNS40210
Certificate IV in Financial Services (Bookkeeping).
ASSESSMENTS:
BSB41407 Certificate IV in Occupational Health and Safety
BSBOHS403B Identify hazards and assess OHS risks
BSBOHS405B Contribute to the implementation of emergency procedures
The organisation is required to provide evidence to demonstrate holistic assessment tools meet the requirements of the units of
competency, specifically relating to all required skills. The organisation is required to provide evidence to demonstrate the tools
have been validated for use, and is further required to provide evidence to demonstrate the criteria defining acceptable
performance has been outlined.
CHCRF511A Work in a partnership with families to provide appropriate care for children
The organisation is required to provide evidence to demonstrate assessment tools have been validated. Where observation
checklists are utilised, the organisation is required to provide evidence to demonstrate these identify the tasks to be
administered to the candidate.
The organisation provided training and assessment strategies for BSB60207 Advanced Diploma of Business which
describes two separate delivery programs, identifies how the delivery programs were informed by information collected on
industry requirements, and includes all resources specific to that delivery program.
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The organisation provided evidence to demonstrate the training and assessment strategies for CHC30708 Certificate III in
Childrens Services and CHC50908 Diploma of Childrens Services (Early childhood education and care) specify the
physical resources required, to the level of resources for assessment for each unit of competency. Evidence included a
physical resources checklist, which is referenced in the training and assessment strategy. In addition, the organisation
provided evidence to demonstrate the training and assessment strategy for CHC50908 Diploma of Childrens Services
(Early childhood education and care) describes a delivery program that includes pre-requisites to meet the requirements of
the Training Package.
The organisation provided evidence to demonstrate the training and assessment strategy for FNS20110 Certificate II in
Financial Services describes a delivery program that meets all requirements of the Training Package.
The organisation provided evidence to demonstrate the physical resources listed in the training and assessment strategy for
HLT52007 Diploma of Practice Management are reflective of the qualification and meet Training Package requirements.
RESOURCES:
The organisation provided evidence to demonstrate that it has training and assessment materials for HLT52007 Diploma of
Practice Management appropriate to current industry standards and Training Package requirements. Evidence included a
learning resource checklist, example materials for two units of competence, and a validation schedule to be completed by
January 2012.
HUMAN RESOURCES:
The organisation provided evidence to demonstrate Mr William Phillips has current industry skills directly relevant to the training
and assessment being undertaken for FNS20110 Certificate II in Financial Services and FNS40210 Certificate IV in
Financial Services (Bookkeeping). Evidence was included in a resume and identified that Mr Phillips is currently employed
as an Accounts Assistance (including MYOB bookkeeping), and was previously employed as a tax consultant.
ASSESSMENTS:
BSB41407 Certificate IV in Occupational Health and Safety
BSBOHS403B Identify hazards and assess OHS risks
BSBOHS405B Contribute to the implementation of emergency procedures
The organisation provided evidence to demonstrate that, although training will be conducted in a holistic manner, assessment
will be individually conducted against each unit of competency. Assessment tools met the requirements of the units of
competency. The organisation demonstrated the tools had been validated for use and included the criteria defining acceptable
performance.
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Standard 2: The RTO adheres to principles of access and equity and maximises outcomes
for its clients
Elements Examined
2.1 The RTO establishes the needs of clients, and delivers services to meet these needs.
2.2 The RTO continuously improves client services by collecting, analysing and acting on relevant data.
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.
2.4 Employers and other parties who contribute to each learners training and assessment are engaged in the development, delivery and
monitoring of training and assessment.
2.5 Learners receive training, assessment and support services that meet their individual needs.
2.6 Learners have timely access to current and accurate records of their participation and progress.
2.7 The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and
effectively.
Audit findings
At time of audit: Following rectification received 01 December 2011:
Compliant Compliant
Not compliant Not compliant
Findings:
The organisation was not compliant with all aspects of Standard Two.
Client services are continuously improved by the organisation, in accordance with data collected about their effectiveness. The
organisation collects feedback from students, employers and trainers and assessors with regards to meeting client needs. All
data relating to clients is recorded in the SMART system, with the compliance officer and academic manager using the
information to meet individual and group needs. Examples of improvements made include providing documented evidence to
employers and students regarding face to face delivery, and developing and updating employer questionnaires to ascertain
employer needs on student enrolment.
Information provided to students and employers for FNS20110 Certificate II in Financial Services, FNS40210 Certificate IV
in Financial Services (Bookkeeping), BSB60207 Advanced Diploma of Business, CHC30708 Certificate III in Childrens
Services, HLT52007 Diploma of Practice Management, TAA50104 Diploma of Training and Assessment, and TAE40110
Certificate IV in Training and Assessment is clear, accurate and sufficient to assist them to make an informed choice.
Information is developed from automatic actions created in the SMART system, which instructs administration, trainers and
assessors, and a printing company to complete required actions to develop and provide a student kit. The trainer and
assessor will explain the information to both the student and employer to ensure all parties understand the content prior to
enrolling and beginning training.
Non-compliances:
BSB41407 Certificate IV in Occupational Health and Safety
BSB51407 Diploma of Project Management
The organisation provided course information sheets for both qualifications which did not advice clients prior to enrolling of the
organisations holistic approach to training and assessment. The information provided did not supply the client with an
opportunity to understand the full training and assessment process. Specifically, clients were not made aware that they would
not be provided with a statement of attainment for the partial completion of the qualification, should they exit the training
program early.
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Rectification required:
BSB41407 Certificate IV in Occupational Health and Safety
BSB51407 Diploma of Project Management
The organisation is required to provide evidence to demonstrate clients will be advised prior to enrolling of the training and
assessment process. This includes providing information that, due to the holistic nature of the assessment process, the client
will not be provided with a statement of attainment if they exit the training program early.
Standard 3: Management systems are responsive to the needs of clients, staff and
stakeholders, and the environment in which the RTO operates
Elements Examined
3.1 The RTOs management of its operations ensures clients receive the services detailed in their agreement with the RTO.
3.2 The RTO uses a systematic and continuous improvement approach to the management of operations.
3.3 The RTO monitors 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 Continuing Registration.
3.4 The RTO manages records to ensure their accuracy and integrity.
Audit findings
At time of audit:
Compliant
Not Compliant
Findings:
The organisation is compliant with Standard 3.
The organisation has comprehensive management systems which are appropriate for the size and scope of its operations,
allows it to be focused on providing quality training and assessment, are consistently implemented, and are monitored and
improved upon. The organisation has developed its own total management system (SMART system) which automatically
updates, and is automatically updated by, AVETMISS compliant software. All staff are allocated permission levels and are
appropriately trained in the use of the systems. The systems have been developed to respond to changing needs of clients,
trainers and assessors, and management. The systems allow for snap-shot information to be provided to trainers and
assessors to manage their clients, and for detailed reports to be developed for managers to conduct full analysis of the
organisation.
The organisation manages training and assessment provided on its behalf by documenting agreements that cover the
responsibilities of both parties, and monitoring the implementation of these agreements. Partnership organisations are required
to use the same training and assessment materials as the organisation, and also to use the same SMART system to ensure
transparent communication. All hard-copy student records are forwarded to the organisation to be retained.
Strengths
The organisation has developed a total management system which allows it to manage training and assessment, client
services, and operational requirements in a comprehensive manner. The system is supported by an in-house IT
department to continuously improve the system as operations develop.
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Conditions of registration
Conditions Examined
1 Governance
2 Interactions with the registering body
3 Compliance with legislation
4 Insurance
5 Financial management
6 Certification and issuing of qualifications and statements of attainment
7 Recognition of qualifications issued by other RTOs
8 Accuracy and integrity of marketing
9 Transition to training packages/expiry of accredited courses
Audit findings
At time of audit: Following rectification received 01 December 2011:
Compliant Compliant
Not Compliant Not Compliant
The conditions of registration listed above were reviewed for this audit as:
On review of the training resources provided to students, it was identified that the NRT logo had not been employed in
accordance with its conditions of use.
Non-compliances:
The organisation provided evidence of a training resource pack provided to students studying TAE40110 Certificate IV in
Training and Assessment which included a mouse pad printed with the NRT logo on it. As part of the conditions of use, the
NRT logo must not be used on products such as mouse pads.
Rectification required:
The organisation required to provide evidence to demonstrate the NRT logo has been employed only in accordance with its
conditions of use.
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