AQTF Essential Conditions and Standards for Continuing Registration & VRQA Guidelines for VET Providers - Audit Report

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1 RTO Details RTO Name Address Registration Contact Sunbury College of Hair and Beauty Pty Ltd Unit 3, Horne Street Mr. Rodney Coppinger TOID Website Phone Number (03) Audit Team Audit Firm Auditor/s Registering Body Details Contact Person Quorum QA Australia Emma Hickingbotham Auditor/s Other Attendees Chloe Dyson Phone Number Audit Details Type of Audit Compliance Audit Conditions Audited 1, 2, 3, 6, 7, 8, 9 Standards Audited VRQA Guidelines Audited 1.1, 1.2, 1.3, 1.4, 1.5 1, 2, 3, 4, 5 Audit Date/s 3 4 March, 2014 RTO Background 2.1, 2.2, 2.3, 2.4, 2.5, 2.6, , 3.2, 3.3, 3.4 Sunbury College of Hair and Beauty was registered in It has one facility that provides a range of hair and beauty programs in Sunbury. Workplace-based training applies to 20 Certificate IV in Beauty and Diploma of Beauty students, who participate in 5 hours work placement per week and spend two days per week at the RTO. The RTO had an agreement with Sechi Hair Academy, 1st floor/81 Watton St, Werribee, VIC All students subject to this agreement are government funded. The agreement was halted on 26/2/14 due to what the RTO CEO cited as ongoing inactivity on the part of the partner to provide evidence of compliance. Students under the agreement have been offered places at Sunbury at the RTO, but no students had taken up this offer at the time of audit. No other arrangements have been made by the RTO to facilitate the completion of the programs in which these students enrolled. A recent change of ownership was made, with Mr Nelson Lopera, who is the CEO of Auss-one Education and 11 other companies, purchasing 20% of the business. Mr Lopera s role will provide business mentoring, but will not have an operational function. The CEO stated that he intends to expand the scope of the organisation in 2014 to include the TAE40110 Certificate IV in Training and Education and First Aid qualifications, which he believes will complement the current scope of registration. Continuing Registration Audit Page 1 of 50

2 Qualifications/Units Audited 1 SIB50110 TGA Code QUALIFICATION/UNIT OF COMPETENCE/ACCREDITED COURSE Qualification/Unit of Competence/Accredited Course (as per TGA) Diploma of Beauty Therapy Delivery Site Horne Street, Sunbury; RTO-based combined with work placement; and, Werribee (1 student) SIH40111 Certificate IV in Hairdressing Horne Street, Sunbury SIH30111 Certificate III Hairdressing Horne Street, Sunbury; Werribee (9 students) Interviewee(s) Staff name and position; employer name and position Mr. Rodney Coppinger- Director and CEO Ms Elizabeth York Trainer, Certificate III in Hairdressing Ms Kellie Goodyer Business Administrator and Trainer in Hairdressing (Certificates III and IV) Ms Tsari Thapa Trainer, Certificates III and IV in Hairdressing Permanent Delivery Sites Do the RTO s permanent delivery sites match the information provided by the VRQA? If No please provide amended details below: Yes No 1 Samples have been selected in accordance with the VRQA VET Audit Sampling Methodology Continuing Registration Audit Page 2 of 50

3 Audit Summary - AQTF Conditions of Registration AQTF Conditions Compliant Non - Compliant Not audited 1 Governance 2 Interactions with the Registering Body 3 Compliance with Legislation 4 Insurance 5 Financial Management 6 Certification & Issuing of Qualifications & 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 Summary of Non-Compliance 2 CF.1.1 The RTO did not provide evidence that a Director satisfied the fit and proper person requirements. CF.2.1 The RTO did not provide evidence that it had processes in place to provide accurate and timely information about significant changes in ownership CF.6.1 The RTO did not provide evidence that Statements of Attainments met the requirements of the Australian Qualifications Framework. 2 CF = Condition Finding. Finding references are aligned to the Detailed Findings section of this report. Continuing Registration Audit Page 3 of 50

4 Audit Summary - AQTF Standards AQTF Standards/Elements Compliant Non - Compliant Standard Continuous Improvement Strategy 1.2 Training and Assessment Strategies 1.3 Training and Assessment Resources 1.4 Trainer and Assessor Competency 1.5 Assessment Strategies Standard Meeting the Needs of Clients 2.2 Continuous Improvement of Client Services 2.3 Provision of Information to Clients 2.4 Third-Party Engagement in Training and Assessment 2.5 Provision of Support Services to Clients 2.6 Learner Access to Records of Participation 2.7 Complaints and Appeals Strategy Standard Operations Management 3.2 Continuous Improvement of Operations 3.3 Third-Party Training and/ or Assessment Services 3.4 Records Management Summary of Non-Compliance 3 Not audited SF Strategies for training and assessment were not developed through effective consultation with industry. SF1.2.2 Strategies for training and assessment were not effectively reviewed. SF Strategies for training and assessment were not accurate or complete. SF A suitably simulated environment as described in the relevant Training Packages was not in place. SF Complete assessment tools that met the requirements of the units of competency were not in place. 3 SF = Standard Finding. Finding references are aligned to the Detailed Findings section of this report. Continuing Registration Audit Page 4 of 50

5 SF Assessment validation was not effective. SF Complete RPL assessment tools that satisfied the principles of assessment and the rules of evidence and which were contextualised to the RTO s operations were not in place. SF2.3.1 and SF2.3.2 Pre-engagement materials for prospective students were not accurate and complete. SF2.4.1 The practical placement agreement was not accurate. SF2.4.2 Placement arrangements for Diploma of Beauty Services were not organised in such a way that the RTO confirms that the placement is suitable to attain training outcomes. SF2.4.3 The RTO was not monitoring workplace-based training for the Diploma of Beauty Therapy. SF2.4.4 Records of practical placement agreements were not adequately controlled by the RTO. SF3.1.1 The Student Acceptance Agreement did not accurately and completely describe the fees and charges to be paid by students. SF3.1.2 Fees paid did not align with fees outlined in the Agreement (student under partnering arrangement). SF3.1.3 There was no information provided to students in their Agreement about the nature of the guarantee given by the RTO to complete the training and/or assessment SF3.2.1 Policies and procedures had not been effectively reviewed as part of the RTO s continuous improvement processes. SF The suitability of the proposed partnering organisation to conduct training and assessment was not confirmed before students commenced training and students commenced training before an agreement was in place with the partnering organisation. SF3.3.2 The agreement, which did not include sufficient information regarding responsibilities under the AQTF, was not signed by both parties. SF3.4.1 The RTO did not have a systematic and effective strategy in place for the back-up of student records. Continuing Registration Audit Page 5 of 50

6 Audit Summary VRQA Guidelines for VET Providers VRQA Guidelines Compliant Non - Compliant 1. Governance, Probity and Compliance 1.1 Strategic Plan and Business Plan 1.2 Financial Viability 1.3 Management Systems 1.4 Organisational Governance 1.5 Academic/Educational Governance 1.6 Change Reporting 2. Quality Assurance, Review and Evaluation Processes 2.1 Course Quality 2.2 Cheating and Plagiarism 2.3 Quality Education and Training Not audited (audited in Condition 2) 3. Student Enrolment Records and Certification 3.4 Provision of Courses to Domestic Students 4. Student Learning Outcomes and Welfare Services 4.1 Maximum Daily Hours of Attendance 4.2 Out of Hours Attendance 4.4 Student Safety 5. Teaching, Learning and Assessment 5.1 Capacity to Deliver Scope of Registration Summary of Non-Compliance 4 GF There was no evidence that a Director had a working with children check and a National Police check. GF The RTO did not have in place a procedure that explained how moderation/validation of student performance is undertaken with parties external to the operation of the RTO. GF The RTO did not provide evidence that it had in place an accurate provider facility utilisation schedule. 4 GF = Guideline Finding. Finding references are aligned to the Detailed Findings section of this report. Continuing Registration Audit Page 6 of 50

7 GF5.1.2 Delivery and assessment materials and supporting documents did not address the requirements of Guideline 5.1. GF5.1.3 Agreements as required by this Guideline with appropriate workplaces were not in place. Strengths Continuing Registration Audit Page 7 of 50