Audit History

Organisation Details

Audit Team

Audit Details

Kevin David (Dave) Rock - Chief Executive Officer

crt@westnet.com.au

(08) 9948 3344 / 0427 341 430

Background

• Coastal and Rural Training Pty Ltd has been a registered training organisation since July 2001.

• The organisation submitted a renewal of registration application on 26 June 2014.

• The organisation’s scope consists of ten qualifications ranging from certificate II to certificate IV from the AHC10 Agriculture, Horticulture and Conservation and Land Management Training Package, however it has opted not to renew the following three qualifications:
  • AHC30610 Certificate III in Production Horticulture
  • AHC30910 Certificate III in Landscape Construction
  • AHC40510 Certificated IV in Parks and Gardens

• The organisation is a family run business and currently consists of Chief Executive Officer and Trainer and Assessor Kevin David Rock (Dave), Office Manager Kylie Eastough, a further two full-time Trainer and Assessors, a recently appointed full-time training co-ordinator and a part-time administrative assistant. Turnover of staff has been low, and the organisation has recently identified two further proposed trainers and assessors, as it seeks to increase its operations in the wake of an in depth review of the organisation which was undertaken during the period June 2013 to February 2014 by business advisor Matthew Baker.

• The organisation was established following a suggestion by a contact at the WA Department of Training during a period when Dave was involved with access funding at the Geraldton Chamber of Commerce in regional WA. Dave’s business and rural family background was considered to place him in an ideal position to offer the competency and flexibility necessary to train and assess specific skills required in rural and remote cattle stations.

• The organisation’s new clients are typically found through ‘word of mouth’ and referrals from long standing clients with training delivery covering the remote regions of North WA (Pilbara and Kimberley), NT and Qld. The organisation has ‘user choice’ contracts in place with state government funding bodies in WA, NT and Qld from which it receives funding e.g. there are currently 8 School-based apprenticeships and traineeships Qld and 40 trainees enrolled in WA. The organisation does not deliver fee for service and does not accept fees in advance from students.

• Other sources of potential government funding currently being investigated are the Certificate 3 Guarantee in Qld and Indigenous Pre-Employment Funding in WA and NT.

• In July 2014 the CEO issued a ‘Continual Improvement Statement’ in which he identified a number of areas for improvement e.g. a renewed emphasis on staff moderation and validation activities and a tightening of onsite assessment processes. As the organisation moves towards its plans to deliver online delivery it is also aware of the advantages to be gained in utilising internet technology to assist and strengthen its operation, especially within the environment it operates in, and is currently undertaking a review of purchasing tablets and stylus to be used to aid the authenticity and reliability of assessments.

• The organisation has been approached by The Food, Fibre & Timber Industries Training Council (WA) Inc. to promote its services in the Perth and surrounding districts. Thus future plans include the likelihood of relocation from Kununurra to Perth for the CEO, in order to facilitate him to develop the organisation as it takes advantage of this opportunity for future growth, which may also result in increases to the organisation’s scope of registration.

• Total number of current enrolments in RTO as at audit date: 102

Original Audit Finding At Time of Audit

Audit finding as at 04/09/2014: Compliant

• The level of non-compliance considers the potential for an adverse impact on the quality of training and assessment outcomes for students.
• If non-compliance has been identified, this audit report describes evidence of the non-compliance.
• Refer to notification of non-compliance for information on providing further evidence of compliance.

Audit Finding Following Analysis of Rectification Evidence

SNR 15

The NVR registered training organisation provides quality training and assessment across all of its operations, as follows:

15.1

The NVR 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 VET accredited course and have been developed through effective consultation with industry.

15.3

Staff, facilities, 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:

1. have the necessary training and assessment competencies as determined by the National Skills Standards Council or its successors; and

2. have the relevant vocational competencies at least to the level being delivered or assessed; and

3. can demonstrate current industry skills directly relevant to the training/assessment being undertaken; and

4. 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):

1. meets the requirements of the relevant Training Package or VET accredited course; and

2. is conducted in accordance with the principles of assessment and the rules of evidence; and

3. meets workplace and, where relevant, regulatory requirements; and

4. is systematically validated

SNR 16

The NVR registered training organisation adheres to principles of access and equity and maximises outcome for its clients, as follows:

16.1

The NVR registered training organisation establishes the needs of clients, and delivers services to meet these needs.

16.2

The NVR registered training organisation continuously improves client services by collecting, analysing and acting on relevant data.

16.3

Before clients enrol or enter into an agreement, the NVR registered training organisation informs them about the training, assessment and support services to be provided, and about their rights and obligations.

16.4

Employers and other parties who contribute to each learner’s training and assessment are engaged in the development, delivery and monitoring of training and assessment.

16.5

Learners receive training, assessment and support services that meet their individual needs.

16.6

Learners have timely access to current and accurate records of their participation and progress.

16.7

The NVR registered training organisation provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively.

SNR 17

Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the NVR registered training organisation operates, as follows:

17.1

The NVR registered training organisation’s management of its operations ensures clients receive the services detailed in their agreement with the NVR registered training organisation.

17.2

The NVR registered training organisation uses a systematic and continuous improvement approach to the management of operations.

17.3

The NVR registered training organisation monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the VET Quality Framework.

17.4

The NVR registered training organisation manages records to ensure their accuracy and integrity.

SNR 18

The NVR registered training organisation has governance arrangements in place as follows:

 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.

SNR 19

 Interactions with the National VET Regulator

19.1

The NVR registered training organisation must co-operate with the National VET Regulator:

1. in the conduct of audits and the monitoring of its operations;

2. by providing accurate and timely data relevant to measures of its performance;

3. by providing information about significant changes by its operations;

4. by providing information about significant changes to its ownership; and

5. in the retention, archiving, retrieval and transfer of records consistent with National VET Regulator’s requirements.

SNR 20

Compliance with legislation

20.1

The NVR registered training organisation must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements relevant to its operations and its scope of registration.

20.2

The NVR registered training organisation must ensure that its staff and clients are fully informed of legislative and regulatory requirements that affect their duties or participation in vocational education and training.

SNR 21

Insurance

21.1

The NVR registered training organisation must hold public liability insurance throughout its registration period.

SNR 22

Financial management

22.1

The NVR registered training organisation must be able to demonstrate to the National VET Regulator, on request, that it is financially viable at all times during the period of its registration.

22.2

The NVR registered training organisation must provide the following fee information to each client:

1. the total amount of all fees including course fees, administration fees, materials fees and any other charges;

2. payment terms, including the timing and amount of fees to be paid and any non-refundable deposit/administration fee;

3. the nature of the guarantee given by the NVR registered training organisation to complete the training and/or assessment once the student has commenced study in their chosen qualification or course;

4. the fees and charges for additional services, including such items as issuance of a replacement qualification testamur and the options available to students who are deemed not yet competent on completion of training and assessment; and

5. the organisation’s refund policy.

22.3

Where the NVR registered training organisation collects student fees in advance it must ensure it complies with one of the following acceptable options:

1. (Option 1) the NVR registered training organisation is administered by a State, Territory or Commonwealth government agency;

2. (Option 2) the NVR registered training organisation holds current membership of an approved Tuition Assurance Scheme;

3. (Option 3) the NVR registered training organisation may accept payment of no more than $1000 from each individual student prior to the commencement of the course. Following course commencement, the NVR registered training organisation may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed $1,500;

4. (Option 4) the NVR registered training organisation holds an unconditional financial guarantee from a bank operating in Australia for no less than the full amount of funds held by the NVR registered training organisation which are prepayments from students (or future students) for tuition to be provided by the NVR registered training organisation to those students; or

5. (Option 5) the NVR registered training organisation has alternative fee protection measures of equal rigour approved by the National VET Regulator.

SNR 23

Certification, issuing and recognition of qualifications & statements of attainment

23.1

The NVR registered training organisation must issue to persons whom it has assessed as competent in accordance with the requirements of the Training Package or VET accredited course, a VET qualification or VET statement of attainment (as appropriate) that:

1. meets the Australian Qualifications Framework (AQF) requirements;

2. identifies the NVR registered training organisation by its national provider number from the National Register and

3. includes the NRT logo in accordance with its current conditions of use.

23.2

The NVR registered training organisation must recognise the AQF and VET qualifications and VET statements of attainment issued by any other RTO.

23.3

The NVR registered training organisation must retain client records of attainment of units of competency and qualifications for a period of 30 years.

23.4

The NVR registered training organisation must provide returns of its client records of attainment of units of competency and VET qualifications to the National VET Regulator on a regular basis, as determined by the National VET Regulator. [no requirements currently exist]

23.5

The NVR registered training organisation must meet the requirements for implementation of a national unique student identifier. [no requirements currently exist]

SNR 24

Accuracy and integrity of marketing

24.1

The NVR registered training organisation must ensure its marketing and advertising of AQF and VET qualifications to prospective clients is ethical, accurate and consistent with its scope of registration.

24.2

The NVR registered training organisation must use the NRT logo only in accordance with its conditions of use.

SNR 25

Transition to Training Packages/expiry of VET accredited courses

25.1

The NVR registered training organisation must manage the transition from superseded Training Packages within 12 months of their publication on the National Register so that it delivers only currently endorsed Training Packages.

25.2

The NVR registered training organisation must manage the transition from superseded VET accredited courses so that it delivers only currently endorsed Training Packages or currently VET accredited courses.