The VET Sector - Edition 10 by Sukh Sandhu

The VET Sector

THE OFFICIAL MAGAZINE FROM COMPLIANCE AND QUALITY ASSURANCE (CAQA)

ISSUE 10

The VET Sector

Welcome to our first newsletter for 2019! We have been extremely busy with consultancy work and writing quality resources for you. This month’s edition of the newsletter includes the following: Different phases of assessment and learner validation processes (Part 4 of 4, if you have missed our previous newsletters on this topic go to: www.CAQA.com.au/blogs Internal audits and why they are important (Part 2 of 5) Upgrading to the TAE40116 Regulatory decisions update from the VET Regulator CEO annual declaration on compliance is due on 31 March, 2019 VET Industry News

As always, we welcome your feedback. Write to us at info@caqa.com.au or call 1800 266 160.

The VET Sector I CAQA Publications

The VET Sector Different phases of assessment and learner validation processes (Part 4 of 4) This is Part 4 of the article, where we are discussing the different phases of the validation processes an RTO should be following to ensure they meet regulatory requirements and industry expectations. In the previous articles, we discussed the following regarding the validation of assessment resources: Explanation of assessment validation Typical benchmarks used during the validation processes Stages of validation (before, during and after the assessment judgements) Regulatory requirements for conducting validation Assessment systems Who conducts validation? How is validation different from moderation? How external consultants can help you with validation of assessment and learner resources? The regulatory requirements around validation of learner resources. In this month’s article, we will explore the following: Why do you need to keep validators information Why validation of assessment and learner resources should be systematic and ongoing How you can schedule validation What is statistically valid sampling Validation outcomes

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The VET Sector I CAQA Publications

The VET Sector Different phases of assessment and learner validation processes (Part 4 of 4) Why do you need to keep validators information? You need to keep for validators information for the following reasons: To demonstrate that the RTO’s assessment system can consistently produce valid assessment judgements. Validation is undertaken by one person or by a team of people. The RTO must ensure the review process is completed by people who collectively hold: vocational competencies and current industry skills relevant to the assessment being validated current knowledge and skills in vocational teaching and learning, and the TAE40110 Certificate IV in Training and Assessment (or its successor) or the TAESS00001 Assessor Skills Set (or its successor). A regulatory body such as Australian Skills Quality Authority (ASQA) may request evidence of it during audit activity. Reasons why validation of assessment and learner resources should be systematic and ongoing. A unit of competency needs to be regularly reviewed to ensure that it meets current industry and regulatory requirements, therefore, you must have a systematic and ongoing mechanism to track any changes and to ensure all your resources are up-todate and current.

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The VET Sector I CAQA Publications

The VET Sector Different phases of assessment and learner validation processes (Part 4 of 4) How to schedule validation The first step is to develop a “validation schedule” used to validate each training product (AQF qualification, skill set, unit of competency, accredited short course and module) on your scope of registration. A validation schedule is a five year plan and each training product must be reviewed at least once in that five-year period, and at least 50% of your training products must be validated in the first three years of the schedule. Your RTO might choose to validate its training products more often, for example, if risk indicators demonstrate that more frequent validation is required. Indicators of risk might include: the use of new assessment tools delivery of training products where safety is a concern the level and experience of the assessor, or changes in technology, workplace processes, legislation, and licensing requirements. Once you have your validation schedule you need to complete a validation plan with dates and timelines. The more detailed your plan is with regards to the who (needs to be included), when (what date and for how long), and what (which units is being validate, what information will be needed, from where are we getting it) the better your outcomes for your validation will be.

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The VET Sector I CAQA Publications

The VET Sector Different phases of assessment and learner validation processes (Part 4 of 4) What is statistically valid sampling? A statistically valid sample is one that is: large enough that the validation outcomes of the sample can be applied to the entire set of judgements, and taken randomly from the set of assessment judgements being considered. Use ASQA’s validation sample size calculator for more information. It can be found here: https://www.asqa.gov.au/news-publications/publications/fact-sheets/conductingvalidation#validation-sample-size-calculator Validation outcomes You must keep all records as a soft-copy/scanned format or in hard-copy. The records must include all the tools used to conduct validation such as assessment resources, validation forms and checklists, profiles of validators etc. The validation outcomes should identify recommendations for improvement to the assessment tool, assessment process or assessment outcome. Sometimes the validation outcome can identify critical issues in the collection of valid evidence.

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The VET Sector I CAQA Publications

The VET Sector Different phases of assessment and learner validation processes (Part 4 of 4) When this occurs, you may: increase the validation sample size to assist in identifying patterns of issue validate completed assessments from other units of competency to see if the issue is spread across the whole of the qualification, and look for patterns of error (for example, consider if it is one assessor making invalid judgements—this could indicate the assessor requires further training in competency-based assessment). Your validation plan must clarify how you will document and act on validation outcomes. For example, an assessment validation checklist addressing the principles of assessment and rules of evidence may be utilised to document the validation outcomes. Outcomes of validation may be acted upon through your RTO’s continuous improvement processes. Your RTO must have a records management process to retain the evidence of the validation. You should retain evidence of: the person/people leading and participating in the validation activities (including their qualifications, skills and knowledge) the sample pool the validation tools used all assessment samples considered, and the validation outcomes. If the validation outcomes recommend improvements to the assessment tool, you should implement these recommendations across all training products, not only those included in the sample. If you make changes to the assessment tool, complete quality checks and review the revised tool prior to implementation.

The VET Sector I CAQA Publications

The VET Sector Internal audits and why they are important (Part 2 of 5) In the first part of this series we discussed the following: What are internal audits? What are the benefits of conducting internal audits? What is an audit scope? What is usually included in an RTO internal audit? Who can be an internal auditor? In this part, we will cover the following areas: Compliance costs and risks in terms of “risk management” Effective internal audit function Compliance costs and risks in terms of “risk management” Compliance costs for an RTO can be quite high. RTO managers are finding that cooperation across the three areas of risk management can achieve an integrated risk management solution that is beneficial to the RTO. In risk management, control is the first line of defence; risk and control monitoring is the second line of defence and the third line of defence is self-assurance through the internal audit function. Working on all three defence lines is not new, but the concept has not been widely incorporated into standard risk management practices. In an environment that perceives risks to be increasing and resources to be limited, many managers find that aligning the efforts of the three defence lines can contribute to a systematic and effective risk management process. Effective internal audit function To be effective, the internal audit must identify a methodology for assessing other defence lines and alleviating common challenges. Barriers to the ability of the internal audit to rely on others include lack of understanding of the first and second lines of defence by the RTO personnel. Without management that is interested to identify and resolve the risks and by not having compliance controls and checklists in place, your RTO cannot assure compliance across all its operations. Continue reading at next page >

The VET Sector I CAQA Publications

The VET Sector Internal audits and why they are important (Part 2 of 5) Internal audits should be a blended program

Just relying on consultants for an internal audit is neither a “practical” nor “sensible” solution. You must participate in audit activities. You must understand all the in’s and out’s of the RTO system. You must ask questions and ask for explanations (where is that written, where is that information coming from) and seek to understand how everything is linked back to the regulatory guidelines. Blended internal audit program To develop and maintain a self-assessment internal audit program, you need to provide training to your RTO staff on internal controls and risk assessment. If you are unsure about anything read the regulatory guidelines, interpret (what does that look like?) and if unsure seek expert advice. To ensure you develop a blended internal audit program involve a professional compliance business and use their experts to develop the internal audit activities that will be performed in order to achieve overall compliance status for your RTO and an enhanced risk-control environment.

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The VET Sector I CAQA Publications

The VET Sector Do I need to upgrade to TAE40116 Certificate IV in Training and Assessment before 1 April 2019? A number of questions trainers and assessors are at the moment asking if they need to upgrade to the latest TAE40116 Certificate IV in Training and Assessment on or before 31 March 2019. You might find this article helpful if you also have questions regarding this matter. Q1: What are the legislative and regulatory requirements around TAE40116 Certificate IV in Training and Assessment? The requirements state that on or after the 1 April 2019, trainers and assessors must meet the following requirements: Clause 1.14 (From Standards for Registered Training Organisations (RTOs) 2015) If they are training and assessing, they must hold one of the following credentials: TAE40116 Certificate IV in Training and Assessment Or TAE40110 Certificate IV in Training and Assessment, and one of the following: 1. TAELLN411 Address adult language, literacy and numeracy skills or its successor or 2. TAELLN401A Address adult language, literacy and numeracy skills and one of the following: 1. TAEASS502 Design and develop assessment tools or its successor or 2. TAEASS502A Design and develop assessment tools or 3. TAEASS502B Design and develop assessment tools. Or A Diploma or higher level qualification in adult education. Clause 1.15 (From Standards for Registered Training Organisations (RTOs) 2015)

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The VET Sector I CAQA Publications

The VET Sector Do I need to upgrade to TAE40116 Certificate IV in Training and Assessment before 1 April 2019? Where a person conducts assessments only, the RTO must ensure that, they hold one of the following credentials:

TAESS00001 Assessor Skill Set or its successor Or TAESS00001 Assessor Skill Set, and one of the following: TAEASS502 Design and develop assessment tools or its successor or TAEASS502A Design and develop assessment tools or TAEASS502B Design and develop assessment tools. Or The requirements specified in Clause 1.14 above. For more information, please visit here. Q2: Is the TAE40110 – Certificate IV in Training and Assessment qualification equivalent to TAE40116 Certificate IV in Training and Assessment or do I have to upgrade? Answer: The TAE40110 – Certificate IV in Training and Assessment qualification is not equivalent to TAE40116 Certificate IV in Training and Assessment. It is however possible to upgrade to the TAE40116 Certificate IV Training and Assessment via a combination of recognition/equivalence and gap training from a registered training organisation.

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The VET Sector I CAQA Publications

The VET Sector Do I need to upgrade to TAE40116 Certificate IV in Training and Assessment before 1 April 2019? You will be required to complete gap training for:

TAEASS401 – Plan assessment activities and processes that supersedes TAEASS401B – Plan assessment activities and processes and in assessment validation from TAE40110. TAEASS403 – Participate in assessment validation that supersedes TAEASS403B – Participate Both of these units are deemed not equivalent to the superseded units. You will also be required to complete two new units of competency: TAEASS502 Design and develop assessment (new core unit) TAELLN411 Address adult language, literacy and numeracy skills (new core unit) Q3: I have TAE40110 – Certificate IV in Training and Assessment qualification so do I still need to upgrade to TAE40116 Certificate IV in Training and Assessment Answer: Before you upgrade your qualification from TAE40110, look at the transcript and find out if you have completed any of the following units: TAEASS502A Design and develop assessment TAEASS502B Design and develop assessment TAEASS502 Design and develop assessment Also, find out if your transcript has either of the following LLN units: TAELLN401A Address adult language, literacy and numeracy skills TAELLN411 Address adult language, literacy and numeracy skills If, and only if, you have these units on your transcript then you have met the requirements of Standards for Registered Training Organisations (RTOs) 2015 and you do not need to upgrade/update to the TAE40116 Certificate IV in Training and Assessment.

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The VET Sector I CAQA Publications

The VET Sector Do I need to upgrade to TAE40116 Certificate IV in Training and Assessment before 1 April 2019?

Q4: What is the process of upgrading your qualification from TAE40110 – Certificate IV in Training and Assessment qualification to TAE40116 Certificate IV in Training and Assessment? Answer: Answer: If you are upgrading your qualification from TAE40110, look at the transcript and find out if you have completed any of the following units: TAEASS502A Design and develop assessment TAEASS502B Design and develop assessment TAEASS502 Design and develop assessment Also, find out if your transcript has either of the following LLN units: TAELLN401A Address adult language, literacy and numeracy skills TAELLN411 Address adult language, literacy and numeracy skills Wherever you identify any gaps, you must fill them through gap-training or recognition of prior learning or through both. Speak with an RTO wherever you have any questions regarding upgrading your qualification from TAE40110 – Certificate IV in Training and Assessment qualification to TAE40116 Certificate IV in Training and Assessment. Q5: What options do RTOs provide to upgrade to TAE40116 Certificate IV in Training and Assessment? Answer: The options advertised by the RTOs are the following and you may select the one that will meet the TAE40116 update requirements. Option A: Full upgrade from TAE40110 to TAE40116

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The VET Sector I CAQA Publications

The VET Sector Do I need to upgrade to TAE40116 Certificate IV in Training and Assessment before 1 April 2019?

two non-equivalent units. Completion of two full units and gap assessment on TAEASS502 Design and develop assessment (new core unit) TAELLN411 Address adult language, literacy and numeracy skills (new core unit) TAEASS401 Plan assessment activities and processes (non-equivalent core unit) TAEASS403 Participate in assessment validation (non-equivalent core unit) Option B: Update TAE40110 with new required units Completion of two full units. TAEASS502 Design and develop assessment (new core unit) TAELLN411 Address adult language, literacy and numeracy skills (new core unit) Note: this does not provide you with TAE40116 – you will need your TAE40110 certification along with the statements of attainment from the above units. You can take your TAE40110 and Statements of Attainment to an RTO down the track to undertake gap assessment to upgrade your full qualification to the TAE40116. Option C: Completion of individual units If you already hold one of the below units (or the other units listed earlier in this article) then you would only need to complete the unit you do not already hold. TAEASS502 Design and develop assessment (new core unit) TAELLN411 Address adult language, literacy and numeracy skills (new core unit) Note: this does not provide you with TAE40116 – you will need your TAE40110 certification along with the statements of attainment from the above units. Note: the information above does not include the requirements for those who fit into ‘assessors only’ category. The assessors can obtain Assessor Skill Set by completing the TAEASS502 unit of competency (unless a previous version is already held) or updating the full requirements as discussed above.

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The VET Sector I CAQA Publications

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ASQA News

Annual declaration on compliance open until 31 March 2019

Each year, the Standards for Registered Training Organisations (RTOs) 2015 (the Standards) require all ASQA RTOs to submit an annual declaration on compliance. ASQA sent invitations to each RTO’s Chief Executive Officer on Friday 15 February 2019. Each invitation contains a unique URL to your survey. The annual declaration online form is available until midnight on Sunday 31 March 2019. For more information, please visit here.

DISCLAIMER The information in this newsletter is for general informational purposes only, it is generalist in its approach. The information presented in this newsletter is not legal advice or a legal opinion, and it is not intended to be tailored to the specific circumstances of any particular case and should not be relied upon as such. Persons should seek professional legal advice before acting upon any of the information in this newsletter.

The VET Sector I CAQA Publications