ACPET health check services for RTOs

Transcription

1 Introducing: ACPET health check services for RTOs March 2013 Page 1 of 7

2 Introduction The Australian Council for Private Education and Training (ACPET) is the peak body for private education and training providers in Australia. Australia s private education and training sector offers quality, diversity and choice to students from Australia and around the world. ACPET s core purpose is to enhance and promote the role of tertiary education in order to achieve educational outcomes of the highest quality for individuals, their employers and communities. In line with this purpose, ACPET is pleased to offer a new national service to members operating Registered Training Organisations (RTOs). ACPET s health check services provide a high-quality, lowcost opportunity for members to review their evidence of compliance with the Standards for NVR Registered Training Organisations. 1 RTOs with CRICOS-approval can choose an additional check against the requirements of the ESOS Act 2000 and the National Code. Health check services What is an RTO health check and what does it involve? ACPET health check services for RTOs are available exclusively to ACPET members, who can select from two options. These are: 1. RTO health check, and 2. RTO health check plus+, which includes the complete RTO health check, plus members may select from a review of: ESOS and National Code requirements, and/or additional VET units or qualifications and/or additional sites. All health check options are conducted by experienced ACPET team members and contractors from the ACPET health check team (HCT) with auditor qualifications and/or equivalent expertise in RTO operations and/or regulation. Option 1 is conducted over a 6-8 week period from the date of the site visit and involves a service fee, as well as a commitment of time and human resources by the RTO member to ensure the organisation s readiness for audit. ACPET is committed to supporting members to gather and present evidence of their organisation s quality training and assessment services and compliance with regulatory requirements, and expects members registering for the health check service to demonstrate an equal commitment to improving and/or enhancing quality across their RTO s operations. Option 2 is conducted over an agreed timeframe between both parties. 1 If the RTO is not regulated by the Australian Skills Quality Authority (ASQA) and is registered by the Victorian Registration and Qualifications Authority (VRQA) or the Training Accreditation Commission (TAC), the RTO health check service will be conducted in line with the requirements of the AQTF Essential Conditions and Standards for Continuing Registration and state-specific guidelines and legislation. Page 2 of 7

3 RTO health check stages RTO health check has five key stages which are outlined in the snapshot overleaf. The format of site visits will vary according to the size and scope of the member s RTO, but will involve a holistic approach to the health check, ie seeking evidence of compliance through the lens of the RTO s business operations. RTO health check will focus on how the RTO member operates their business, and involve the consideration and presentation of evidence that demonstrates compliance with the requirements of the VET Quality Framework, with Standards 15, 16 and 17 and with Standards and of the Standards for NVR Registered Training Organisations Essential Standards for Continuing Registration. RTO health check will review an RTO s evidence of compliance with Standard 22.2 and 22.3 (in relation to information about fees and collection of fees in advance) but will not consider the sufficiency of evidence of financial viability (Standard 22.1). Standards 15, 16 and 17 are the core elements of an RTO s business. Standard 15 focuses on the provision of quality training and assessment across all of an RTO s operations, Standard 16 requires an RTO to have strategies in places to adhere to the principles of access and equity and to maximise outcomes for clients, and Standard 17 requires RTOs to have management systems that are responsive to the needs of clients, staff and stakeholders and the environment in which the RTO operates. RTO health check will include a review of learning and assessment materials for two units of competence from two qualifications nominated by the RTO, or selected by the health check team. RTO health check plus+ will be based on additional business areas which the member would like reviewed and will involve additional costs. It may include a review of additional evidence of a CRICOS-registered RTO s compliance with the specific requirements of the ESOS Act and National Code. Members can also choose a review of additional units, qualifications and/or a review of additional sites. This service will only be available to RTOs that have provided evidence of good business operation through the initial RTO health check. What will participating RTOs receive? Members choosing any or all of the options will receive an exception report detailing areas (if any) where the health check team member has not seen or reviewed sufficient evidence of compliance with specific standards. The health check team is unable to assist the member with producing evidence of compliance, but will, if requested by the RTO, provide a referral to an ACPET-approved consultant to assist the member in gathering or presenting evidence. The ACPET health check team will conduct a follow-up visit 6-8 weeks following the initial site visit to review any areas identified for follow-up at the health check. The health check team will then amend their report and provide a copy to the member and ACPET s Deputy CEO. If all gaps have been addressed, the office of ACPET s CEO will confirm this in writing to the RTO. Should the need arise, ACPET will support and represent the RTO in any dispute over audit findings with the regulator which do not correlate with the RTO health check findings. If, alternatively, RTOs have taken no action to address issues identified at the health check, a letter confirming that no action has been taken and that ACPET cannot attest to a sufficiency of evidence of compliance will be provided to the RTO member. In this case, ACPET will be unable to provide support and representation in disputes with the regulator. Page 3 of 7

4 ACPET RTO health checks: fee and inclusions Option Stages Time involved Cost of package RTO health check Preliminary Site visit Interim report preparation Follow-up visit Final confirmation of health check status day $5,500 (GST excl) and travel and accommodation expenses (if required) RTO health check plus+ All of the above plus: Review of evidence against ESOS Act and National Code (prelim; reporting and follow-up) 2.5 days $5,500 (and travel expenses if required) $1,500 $7,000 (GST excl) Review of additional units Review of additional sites 2 hours (2 units) 2 hours (per site) $500 ($250 per hour) $500 ($250 per hour) and travel expenses if required. Page 4 of 7

5 Snapshot: ACPET health check services RTO Health check stages Key activities /phone/ face-to-face Timeframe Stage 1: Preliminary ACPET member registers interest in health check service with health check team (HCT). (to health check team) 6-9 months (rec) prior to registration expiry date ACPET HCT contacts member to discuss scope of check and any timing constraints or special requirements. Phone Within 10 working days of contact w HCT. ACPET HCT and member agree on date for site visit Member contracts ACPET to conduct health check ACPET HCT confirms site visit date*, issues invoice** and requests pre-site visit documentation (due 10 working days prior to site visit). Phone and Within 5 working days of initial scoping phone/video call. *site visit date should be approx. 5-6 months prior to registration expiry date ** The health check will be postponed should the RTO not provide payment within the expected timeframe. RTO submits documents to ACPET HCT for scoping of site visit, including: - most recent regulatory audit report(s) - up to date scope of registration, student and staff numbers - partnership agreements (if relevant) - selected sample qualifications and units. at least 10 working days prior to site visit. Once documents are received*, ACPET HCT books travel (cheapest available) and accommodation, with estimate of costs provided to member. *The health check will be postponed should the RTO not provide the required documentation within the expected timeframe. ACPET HCT member confirms receipt of documents as well as arrangements for site visit with member and outline of site visit. 2-3 working days prior to site visit Page 5 of 7

6 Stage 2: Site visit Introduction: HCT member outlines purpose of health check and confirms RTO scope and delivery details reviewed pre-site visit. RTO overview of business and RTO operations Concurrent confirmation of RTO evidence of compliance and assessment of sufficiency with relevant aspects of the VET Quality Framework. Specific focus on sampled units and evidence that training and assessment materials meet training package requirements. Verbal report at completion of site visit on any gaps found in sufficiency of evidence. Face to face Day of site visit. Stage 3: Post-site visit ACPET HCT provides interim health check report (by exception) to the member against aspects of the VET Quality Framework*, identifying overall performance and any issues identified and recommendations for addressing them.. Within 7 working days of site visit. ACPET HCT and RTO agree on follow-up site visit date. *excluding evidence of financial viability, Standard 22.1 RTO seeks referral to ACPET-approved consultant from ACPET HCT OR confirms any issues or gaps identified will be addressed by the RTO s internal compliance team. (with report) Visit date to be set for 6-8 weeks following initial site visit. Within 5 working days of interim report and advice by RTO. RTO member works with consultant or compliance team to address any gaps identified in the health check report. During 6-8 week period prior to follow-up visit. ACPET HCT confirms time and arrangements for follow-up site visit with RTO member. Phone and 3-5 working days prior to site visit Stage 4: Follow-up site visit Follow-up site visit by ACPET with review of new evidence against issues identified at the initial health check visit and verbal advice to RTO confirming health check outcome. Face to face Day of site visit. Stage 5: Final health check report ACPET CEO provides final health check report to RTO member and letter confirming positive health check outcome OR ACPET CEO provides final health check report to RTO member and letter noting outstanding gaps or issues remain in relation to health check outcomes. Within 7 working days of follow-up visit. Page 6 of 7

7 Stage 6: RTO ready for audit On completion of the health check the RTO should be confident of the sufficiency of evidence of compliance and lodge their application for re-registration with the regulator. Subject to the nature of the interim health check report and/or time constraints, the RTO may choose or need to lodge their application before the final health check report is issued. n/a 90 days prior to registration expiry date. Stage 7: postaudit RTO health check has been designed to ensure that RTO members are able to present sufficient evidence of their compliance with the VET Quality Framework. If a member has acted on recommendations made as a result of an ACPET health check and the HCT has confirmed the sufficiency of evidence of compliance (Stage 6) and the RTO is found to be non-compliant by the regulator, ACPET will support the member in responding to a regulator s request for further evidence or in seeking a reconsideration of a regulatory decision. /phone/face to face As required. If, however, the ACPET HCT has noted the RTO s failure to address outstanding gaps at the follow-up site visit, ACPET will be unable to support the member in responding to a finding of non-compliance at audit. Page 7 of 7