How to become a trainer and assessor in Australia.

There is currently a high demand for qualified trainers and assessors in Australia, so if you have the relevant skills and qualifications, you should be able to find work in this field.

Becoming a trainer and assessor can be a rewarding career choice, allowing you to share your knowledge and expertise with others. It can also be a great way to further your own professional development.

To become a trainer and assessor in Australia, there are certain requirements that must be met.

Legislative and regulatory requirements:

Trainers and assessors must comply with the following SRTOs 2015 requirements:

Clauses 1.13 – 1.16

Trainers and assessors who deliver any Australian Qualifications Framework (AQF) qualification or skill set from the Training and Education Training Package (TAE10, TAE or its successor) are also required to meet additional requirements, outlined in Clauses 1.21 – 1.24.

Understand the role and responsibilities

A Trainer is someone who develops and delivers training to individuals or groups. Trainers are responsible to deliver training programs that meet the needs of individual learners. Trainers are required to have strong communication and presentation skills, expert knowledge in the subject area, as well as the ability to customised training programs.

An assessor is someone who is responsible for assessing a learner’s competence against set standards and expectations. This involves conducting observations, interviews and written tests. Good assessors need to be able to give constructive feedback and identify areas for improvement.

They seek to guarantee that the credentials earned by individuals meet regulatory and compliance standards for acquiring those credentials, which are sometimes governed by a governmental framework.

As a trainer and assessor, you will be responsible for identifying the various needs of students and creating effective learning options to meet these needs. This will involve liaising with individuals, industry and education sectors to ensure the provision of relevant programs and services, planning, designing and delivering course curriculum and method of instruction, ensuring that they are engaging for students. This includes advising students on courses and related matters, as well as teaching students using teaching aids including presentation of lesson materials, discussions, workshops, laboratory sessions, multimedia aids and computer tutorials.

You will also need to develop and implement individual training plans for students who need it, and conduct assessments. Additionally, you will need to support students who need reasonable adjustments, and complete and maintain training records and assessment documentation. Finally, you will need to stay up to date with current training and qualifications, as well as regulations.

Having training and assessment credentials

Firstly, individuals must have a TAE40116 Certificate IV in Training and Assessment, or its successor, or a diploma or higher level qualification in adult education, which can be completed at any registered training organisation (RTO).

Vocational competencies at least to the level being delivered and assessed

Vocational competency in a particular industry consists of broad industry knowledge and experience, usually combined with a relevant industry qualification. A person who has vocational competency will be familiar with the content of the vocation and will have relevant current experience in the industry. Vocational competencies must be considered on an industry-by-industry basis and with reference to the guidance provided in the assessment guidelines of the relevant training package. (Reference: NCVER)

A clear and verified relationship between the trainer’s and assessor’s formal and informal training and experience and the qualifications/units they deliver and assess must be established. Training Packages include specific industry advice related to the vocational competencies of assessors. This may include advice on relevant industry qualifications and experience required for assessing against the Training Package. The Training Package will also provide specific industry advice outlining what it sees as acceptable forms of evidence to demonstrate the maintenance of currency of vocational competency.

ASQA Guidelines on “vocational competence”:

To provide training that reflects current industry practice and valid assessment, your RTO’s trainers and assessors must maintain the currency of their skills and knowledge in both:

  • their industry area and,
  • vocational education and training.

It is also acceptable for an appropriately qualified trainer and assessor to work with an industry expert to conduct assessment together.

The three C’s of Vocational competency related to demonstrating skills and knowledge in an “industry area”

Vocational competence and currency = Broad industry knowledge + experience + relevant industry qualification in terms of:

  1. Content: How have you determined that you know how to do the job of the qualifications you deliver and assess?
  2. Context: Does this information clearly show the relationship between what you are delivering and what you have experience in?
  3. Currency: How up-to-date are you with current work practices in your industry and how do you find out if something is changing or has changed?

Skills and knowledge in an “industry area”

In many situations, trainers and assessors will hold the qualification and/or units of competency that they deliver or assess. Where this is not the case equivalence needs to be established.

Formal vocational education and training qualification/units of competency you deliver and assess

Participate in documented mapping activities to demonstrate you have at least the required level of knowledge and skills.

Current knowledge and skills in vocational training and learning that informs their training and assessment.

Additionally, your RTO must ensure that all trainers and assessors undergo professional development in the areas of vocational training knowledge and practise, as well as learning and assessment, including competency-based training and assessment.

The definition of vocational education and training currency

VET currency refers to the competence of an individual to work in the vocational education and training sector.

Current VET trainers/assessors must:

  • Develop knowledge and practice of vocational training and assessment, including competency based training and assessment competencies through continual professional development.
  • Undertake professional development that contributes to the demonstration of vocational training and learning requirements

How to stay up-to-date in terms of “VET currency”

  • Subscribing to VET and RTO newsletters and magazines. Make sure you keep a PD log of what you read, where you read it, what you learned and how you implemented the learning.
  • Participation in VET forums and discussions such as LinkedIn.
  • Participation in VET seminars, conferences and workshops (particularly the ones delivered by the regulatory bodies)
  • Enrolling in PD courses and workshops for RTO staff
  • Participation in resource writing and validation

Having relevant industry experience

Trainers and assessors must also possess relevant industry experience in the field that they wish to train and assess in.

The definition of industry currency

Industry currency and professional knowledge refers to the competence of an individual to perform their job role. The knowledge required in an occupation does not remain static, so employees need to continuously update their skills. As vocational education and training (VET) practitioners train the individuals entering these occupations, it is important for them to ensure that their industry knowledge and skills are current.

A clear and verified relationship between the trainer’s and assessor’s current industry skills and knowledge and the qualifications/units they deliver and assess must be established. This is to ensure the trainer and assessor has “current” knowledge and skills in terms of emerging technological innovations, regulatory and legislative changes and shifts in client demands. The industry usually does not use the term “Industry currency”. For them it is either “professional competence” to encompass the concepts of currency, updating and upskilling or “industry relevance”, defining it as a solid grounding in the industry gained from being trained and employed in the industry.

ASQA Guidelines on “industry currency”:

To provide training that reflects current industry practice and valid assessment, your RTO’s trainers and assessors must maintain the currency of their skills and knowledge in both:

  • their industry area and,
  • vocational education and training.

It is also acceptable for an appropriately qualified trainer and assessor to work with an industry expert to conduct assessment together.

How to stay up-to-date in terms of “industry currency”

In many situations, trainers and assessors may be working in the industry sector and this can be used as evidence for industry currency. Where this is not the case, currency needs to be established through different mediums such as:

  • Attending trade events, workshops, conferences, technical seminars and other industrial events
  • Reading industry magazines and journals (subscription and notes taken)
  • Undertaking online research (and have documented logs of these activities)
  • Engaging in industry networks
  • Participating in LinkedIn groups
  • Product manufacturer/vendor training

Factors that influence “Industry currency”

  • Technology innovation
  • Changing legislation and regulatory requirements
  • Changes to industry practice
  • New and emerging skills and specialisations as work practices change
  • Technical skills being outdated through periods of non-use

What is “industry current or currency period”

Each RTO has to consider the relevant factors, ideally in consultation with industry, to determine an appropriate currency period. A lot will depend on how static the industry is or how fast it is developing and changing. In general anything that is 2 years old, or more will not be considered current.

Licensing requirements for trainers and assessors

If licensing requirements vary from the training package requirements, RTOs must ensure that all aspects of the training package are met. License requirements should be considered in addition to the requirements for the training package. For example, a white card is a mandatory work card required in Australia to be able to train and assess students working on a construction site.

Applying for jobs

You can now apply for jobs as a trainer and assessor with registered training organisations (RTOs), to deliver nationally accredited training.

These can include the following:

  • Organisations that are publicly registered to provide training (aka TAFE)
  • Privately owned and operated training institutions (like Career Calling Education)
  • Registered Training Organisations that are operated by non-profit organisations

If you have these skills and qualifications, you can apply for jobs with registered training organisations (RTOs), which deliver accredited courses and conduct assessments.

For more information, please refer to Clauses 1.13 to 1.16—Employ skilled trainers and assessors | Australian Skills Quality Authority (ASQA)

Top 10 common AVETMISS issues and how to resolve them

All RTOs must collect a range of data from their students and report all their delivery activity (known as Total VET activity) to the National Centre for Vocational Education Research (NCVER), at least annually.

This data is used to improve education and training outcomes for students, industry, and the community.

Below are some of the most common AVETMISS issues one can experience and the methods to fix them one by one.

Issue 1: No USI or invalid USI format error

Explanation:

This error will be displayed to you if you do not follow the guidelines provided by NCVER https://www.ncver.edu.au/rto-hub/avetmiss-support-for-rtos and https://www.ncver.edu.au/rto-hub/rto-fact-sheets

Solution:

When the USI being reported is incorrect, the Invalid format error is triggered and displayed. Prior to reporting, all USIs must be confirmed via the USI Office’s verification service. All USI letters must be in upper case in order to pass validation in AVS error free (lower case letters will trigger errors). For further information on USI formatting criteria, please visit the AVETMISS Data Element Definitions: edition 2.3 document.

Note: Clients from outside the Country are not required to have a USI. In order to pass validation, you will need to enter the code “INTOFF” in the USI field, which cannot be left blank. The following conditions must be met in order for the code INTOFF to be validated successfully:

  • the client’s address has the code ‘OSPC’ (overseas postcode) entered in the postal code field
  • the state code ’99’ entered in the state field
  • their training activity has the Funding Source national code -32 International offshore client

Additional information can be found in the fact sheet titled “Unique Student Identifier.”

Issue 2: Funding source — national: Unable to submit error free data

Explanation:

NCVER does not accept enrolment data with state-specific Funding source national codes 11 (Commonwealth or state general-purpose recurrent) or 15 (state-specific funding programs).

Solution:

If your training organisation offers state-funded training courses either you will be required to submit the training activity data to your state or territory training authority (STA) or you will need to amend the incorrect funding source national codes in the student management system before uploading and validating your data again.

Issue 3: Data entry is not correct

Explanation:

The data is not being entered into the student management system in accordance with NCVER norms and protocols.

Solution:

Since NCVER will accept any data as long as it conforms to the guidelines and protocols they’ve established, you need to check that the data you’re submitting is accurate and meets their standards before submitting it.

Issue 4: Mandatory field Training organisation identifier must not be blank

Explanation:

This indicates that you have not yet put your RTO ID into the appropriate system settings.

Solution:

You will need to go into your RTO/VET Settings and add your Training Organization Identifier so that this problem can be fixed.

Issue 5: Qualification identifier (__________) exceeds the maximum length 10

Explanation:

The most likely reason for this to happen is because you have a qualification set up that is designed for Unit Only enrolments and, as a result, the Qualification code should not be reported.

Solution:

If this is the case, you will need to make sure that you update the qualification and choose the option that indicates “Unit Enrollment Only.”

If the information shown above does not apply to your situation, you may be required to validate your recorded qualification code with the information found on training.gov.au. You will need to get in touch with NCVER if you discover that the information you have recorded is accurate.

Issue 6: Mandatory field Nominal Hours must not be blank

Explanation:

When you have not documented any notional hours towards a qualification, this error will appear.

Solution:

Please contact NCVER so they can identify the nominal hours associated with your qualification (if this information is not already available), and then update your qualification so it reflects these changes.

Issue 7: End date for continuing students

Explanation:

If a student has a CA (continuing activity (70)) outcome for a unit and that unit’s end date falls within the end-of-year collecting period, then this error message will be displayed to the student.
Solution:

You will need to either modify the unit outcome to a final outcome or extend the unit end date to be in the next year corresponding to the student’s enrolment in order to fix this problem.

Issue 8: Address street name or Address postal delivery box must be populated

Explanation:

This error will occur if the student’s contact profile does not have a street name associated with their address or a postal delivery box associated with their address listed.

Solution:

You will need to modify the contact profile so that it includes this information (Address street name or Address postal delivery box) in order to fix this issue.

Issue 9: Error 3251: Activity End Date is after the Collection Year End Date therefore Outcome Identifier -National must not be a final outcome

Explanation:

If the activity end date is after the collection year end date, this error will appear.

Solution:

Choose the Outcome Identifier that is labelled “National,” which is denoted by the number 70, so that you can fix this problem. You must ensure the activity end date is reflected correctly in the student management system.

Issue 10: Disability flag is ‘Y’ and disability type not supplied

Explanation:

If you have selected the disability flag, but the type has not been selected.

Solution:

You must ensure the correct information is entered into the student management system. You must select the correct option before validating and submitting the data.

Quality Management Systems for Registered Training Organisations

Registered training organisations (RTOs) operate in a highly regulated environment. To be registered, RTOs must comply with the Standards for Registered Training Organisations (RTOs) 2015. These Standards require RTOs to develop and implement a quality management system (QMS).

A quality management system (QMS) is a formalised system that documents processes, procedures, and responsibilities for achieving quality policies and objectives. A QMS helps coordinate and direct an organisation’s activities to fulfil these objectives.

There are a number of elements that should be included in an RTO’s QMS, including:

Policies and procedures: RTOs must develop policies and procedures for all aspects of their operations, from student recruitment and enrolment to training delivery and assessment. These policies and procedures must be regularly reviewed and updated to ensure they remain relevant and effective.

Systems and processes: RTOs must put in place systems and processes to support the delivery of high-quality training and assessment. These may include quality assurance processes, student support systems and data management systems.

Practices: RTOs should develop best practices for all aspects of their operations, from customer service to training delivery. These practices should be regularly reviewed and updated to ensure they remain relevant and effective.

RTOs that have well-developed QMS are more likely to be able to meet their regulatory obligations, improve their operations and enhance their reputation.

An effective QMS will help an RTO to:

  • plan and organise its operations;
  • control and monitor its activities;
  • communicate with its customers;
  • continually improve its performance.

There are many benefits to having a QMS in place, including:

  • Improved training and assessment quality
  • Greater transparency and accountability
  • Enhanced customer satisfaction
  • Increased efficiency and effectiveness
  • Reduced costs associated with waste and rework.

To be effective, a QMS must be tailored to the specific needs of the RTO and its customers. It should be regularly reviewed and updated to ensure that it remains relevant and fit for purpose.

RTOs that are unable to demonstrate compliance with the requirements of the Standards may have their registration suspended or cancelled.

Verification of trainer credentials

As an RTO business owner or manager, you understand the importance of having qualified and experienced staff. This is especially true when it comes to trainers, who play a vital role in ensuring your students are properly educated and trained.

However, verifying the credentials and experience of trainers can be a time-consuming and difficult process. Additionally, if trainer documents are not properly verified, it could lead to legal issues down the road.

Why trainer documents must be verified

There are several reasons why you need to verify the documents and experience of your trainers.

First and foremost, you need to ensure that the trainers you’re working with are qualified to do the job, their credentials are up to date and that they have the necessary experience to train effectively. This means that they have the necessary credentials and experience to provide quality training.

You need to verify trainer documents in order to protect your organisation from liability. If a trainer is found to be unqualified or doesn’t have the requisite experience, your organisation could be held liable for any damages that occur as a result of their training.

Verifying trainer documents helps to ensure the quality of training that your learners receive. If trainers aren’t properly qualified, they may not be able to deliver effective training which could impact negatively on learner outcomes.

Verifying trainer documents can help you to avoid potential reputational damage. If it’s discovered that trainers working for your organisation are unqualified or don’t have the required experience, it could damage your organisation’s reputation and make it difficult to attract new learners.

Finally, you want to be sure that they will be able to provide the required documentation if requested by an auditor.

How to verify trainer documents

There are a few different ways that you can verify the documents and work experience of your trainers.

One way is to contact the relevant qualification issuers directly and request confirmation.

Another way is to ask the trainer for copies of their qualifications and work experience documentation and then verify these yourself.

Finally, you can ask a represnentaive (depending on your role as in HR or RTO Manager) in your training provider to verify the documents and work experience of your trainers on your behalf.

Whichever method you choose, it’s important that you keep a record of the verification process and the results. This will be helpful if you are ever asked to provide evidence of trainer verification to an auditor.

You must also ensure your policies and procedures refer to exactly the same RTO practices for verifying the trainer credentials.

Who Should Verify Trainer Documents?

The responsibility for verifying trainer documents typically falls to the person responsible for managing the training function within an organisation. In some cases, this may be the head of HR or Learning and Development. However, it’s also common for organisations to appoint a dedicated Training Manager who takes on this responsibility.

If you’re unsure who is responsible for verifying trainer documents within your organisation, you should contact your HR department or Learning and Development team for clarification.

Compliance is not one person’s responsibility in a training organisation

In a training organisation, compliance is not just one person’s job. Compliance is the responsibility of everyone in the organisation, from the CEO down to the entry-level staff member. Sure, there may be someone whose job it is to oversee compliance related matters, but that doesn’t mean that they are the only one responsible for ensuring that the organisation complies with all applicable laws and regulations. Everyone has a role to play in ensuring compliance. Everyone in the organisation must ensure that the organisation complies with all relevant laws and regulations.

There are many compliance risks associated with running a training organisation. These include risks related to health and safety, financial reporting, data protection and equal opportunity laws.

Training organisations need to have systems and processes in place to manage these risks. But more importantly, they need to ensure that all employees are aware of their responsibilities and are held accountable for complying with the organisation’s policies and procedures. RTO Management need to provide adequate training to staff on their obligations under the law. The compliance function should be overseen by a board or senior management team, and there should be clear lines of communication between the compliance team and other parts of the organisation. The compliance team should have the authority to carry out investigations and take disciplinary action where necessary.

Compliance is a complex issue, and organisations need to make sure that they have adequate resources in place to deal with it. Compliance officers can play an important role in helping to ensure that organisations meet their obligations, but they cannot do everything themselves. Everyone in the organisation needs to be aware of their responsibilities and play their part in ensuring compliance.

There are a number of compliance risks associated with training organisations, and it is important that these are identified and managed effectively. Some of the most common risks include:

Not complying with mandatory training requirements – This can lead to serious consequences such as fines or even closure of the organisation.

Delivering training that is not up to standard – This can result in complaints from clients or customers, and can damage the reputation of the organisation.

Failing to keep accurate records of training – This can make it difficult to prove that training has been delivered, and can lead to problems with regulator audits.

There are a number of steps that training organisations can take to ensure compliance.

Firstly, they should establish clear policies and procedures relating to compliance. These should be regularly reviewed and updated as necessary.

Secondly, training organisations should appoint a designated compliance officer. This person should be responsible for monitoring compliance and for investigating any breaches.

Thirdly, training organisations should ensure that all staff are aware of their compliance obligations. This can be done through regular training and communication.

Finally, training organisations should have systems in place to deal with complaints or concerns about compliance. These should be dealt with promptly and appropriately. The following are some key elements of an effective compliance management system:

Policies and procedures – There should be clear policies and procedures in place that cover all aspects of compliance. These should be communicated to all employees, and regularly reviewed and updated.

Training – Employees should receive regular training on compliance related topics. This will help them to understand their responsibilities, and ensure that they are up-to-date with the latest requirements.

Monitoring – Compliance should be monitored on an ongoing basis, and any problems should be promptly addressed.

Reporting – There should be a system in place for reporting compliance issues, so that they can be quickly rectified.

Hacing a compliance strategy in place – Organisations need to have a compliance strategy in place to ensure that all employees receive the training they need to stay compliant with company policy and legal requirements. This strategy should be designed to meet the specific needs of the organisation and its employees. It is important to note that compliance is not one person’s job in a training organisation; rather, it should be seen as an ongoing process that involves everyone in the organisation.

When designing a compliance strategy, organisations should consider the following factors:

  • The type of training required (e.g. online, classroom-based, on-the-job)
  • The frequency of training (e.g. annual, biennial, quarterly)
  • The delivery method (e.g. e-learning, instructor-led training)
  • The target audience (e.g. all employees, certain departments or job roles)
  • The budget available for compliance training

Organisations should also put in place a system for monitoring and evaluating the effectiveness of their compliance strategy. This will help to ensure that employees are receiving the training they need and that the organisation is meeting its compliance obligations.

Compliance is an important part of running a successful training organisation. By taking steps to ensure that the organisation complies with all relevant laws and regulations, organisations can minimise their exposure to risk and protect their reputation.

The RTO complies with all relevant Commonwealth, state, and territorial laws and regulations

Your training organisation must comply with all relevant Commonwealth, state, and territorial laws and regulations. This includes (but is not limited to):

The National Vocational Education and Training Regulator Act 2011

The NVR Act also establishes the National Quality Framework (NQF). The NQF promotes high quality, nationally consistent training and assessment services. It does this by setting minimum standards for registered training organisations (RTOs), and requires RTOs to be monitored against these standards. The Standards for Registered Training Organisations (RTOs) 2015 are made under subsection 185(1) and subsection 186(1) of the National Vocational Education and Training Regulator Act 2011 (the Act). For more information, see the Australian Skills Quality Authority website.

The Education Services for Overseas Students Act 2000

The ESOS Act sets out the legislative framework for the regulation of the provision of education and training to overseas students on student visas and contains standards for providers in relation to courses of study, marketing, admissions, recruitments, orientation, manage changes to courses, academic progress, complaints and appeals among other requirements.

The Competition and Consumer Act 2010

The law covers many aspects of the relationship between businesses and consumers, including issues such as unfair contract terms, misleading or deceptive conduct, and unconscionable conduct. The law also contains specific provisions relating to the provision of services by businesses to consumers.

The Work Health and Safety act

The RTO will take all reasonable steps to ensure the health and safety of its employees, students, contractors, and visitors.

The RTO has in place a range of policies and procedures to ensure compliance with relevant laws and regulations, including but not limited to:

  • Work Health and Safety Policy
  • OHS/WHS Risk Management Procedure
  • Emergency Evacuation Procedure.

In the event that an incident does occur, the RTO will investigate and take corrective action as required. This may include implementing new or revised policies and procedures, providing training to employees, or taking disciplinary action against those involved. The RTO is committed to the continual improvement of its compliance with all relevant laws and regulations.

The Discrimination Act

The RTO is committed to providing a discrimination-free environment for all employees, students, contractors, and other individuals who interact with the RTO. The RTO will not tolerate any form of discrimination or harassment on the basis of race, ethnicity, national origin, religion, sex, gender identity or expression, sexual orientation, age, disability, or any other protected characteristic. Anyone who experiences or witnesses discrimination or harassment at the RTO is encouraged to report it to a supervisor or HR representative. The RTO will investigate all reports of discrimination and take appropriate corrective action if necessary.

The Equal Opportunity Act 2010

RTO must value diversity and inclusion in their workforce and welcome applications from people of all backgrounds, experiences, and abilities. They should remain committed to creating a safe and supportive environment for all members of the community.

The Racial and Religious Tolerance Act 2001

The RTO also complies with international human rights instruments to which Australia is a party, including the International Covenant on Civil and Political Rights, the International Covenant on Economic, Social and Cultural Rights, and the Convention on the Elimination of All Forms of Racial Discrimination.

The Working with Children Act 2005

The RTO is committed to providing a safe and welcoming environment for all members of the community, including children. Staff members undergo regular training on their obligations under the Working with Children Act 2005 and are required to adhere to strict guidelines when working with or around children. The safety of all stakeholders including children should always remain the organisation’s number one priority, and the organisation should always take any necessary measures to protect them from harm.

National Police Check

The NPC is an important part of RTO’s commitment to providing a safe and secure environment for students. It helps organisations identify any potential risks associated with individuals who may have access to the students.

Privacy Act 1988 (Cth)

The RTO is committed to protecting the privacy of all individuals with whom it deals. The RTO has in place policies and procedures to ensure that all personal information is collected, stored, used and disclosed in accordance with the Privacy Act 1988 (Cth). The RTO also takes reasonable steps to protect all personal information from misuse, interference and loss, and from unauthorised access, modification or disclosure. Individuals have a right to access their personal information held by the RTO, and to request that their personal information be corrected if it is inaccurate, incomplete or out-of-date.

The Copyright Act 1968

RTOs are required to comply with the Copyright Act 1968 and all relevant Commonwealth, state and territory laws and regulations. The purpose of this compliance is to ensure that RTOs can continue to provide quality training and education services to their students.

Some of the key requirements that RTOs must comply with include:

  • ensuring that all material used in the delivery of training and education services is copyright compliant
  • obtaining the appropriate licences or permissions for the use of any copyrighted material
  • ensuring that all staff involved in the delivery of training and education services are aware of their obligations under the Copyright Act 1968.

RTOs should also have in place procedures for dealing with any complaints or inquiries relating to copyright compliance.

It is your responsibility to ensure that you are familiar with all relevant laws and regulations and that your training organisation complies with them. Your RTO will be regularly audited to ensure compliance. Compliance with legislation is essential to maintaining your registration.

The RTO also has a range of policies and procedures in place to ensure compliance with these laws and regulations. These include policies on equal opportunity and non-discrimination, child safety, work health and safety, privacy, copyright, and public records.

The RTO is committed to providing a safe and inclusive environment for all members of the community. We encourage everyone to familiarise themselves with our policies and procedures and ensure they cover all aspects of RTO registration, administration, governance and management.

If you have any questions about your obligations, please seek legal advice or contact RTO consultants.

How ASQA assess the RTO registration renewal

ASQA is responsible for the assessment and registration of RTOs. ASQA must be satisfied that an RTO is meeting the requirements of the Standards for Registered Training Organisations (RTOs 2015) for its registration to be renewed. ASQA takes a risk-management approach when they evaluate registration renewal applications. They use a structured process to assess applications and ensure they meet all the requirements for continued registration before approving. As part of its regulatory role, ASQA assesses RTO registration renewals to ensure that they continue to meet the RTO Standards. This includes a review of an RTO’s:

compliance history – An RTO’s compliance history is one factor that ASQA considers when assessing an application for renewal of registration. ASQA also considers the RTO’s current compliance status and any changes to the RTO’s operations since its last registration renewal. ASQA will consider any non-compliance issues that have been raised against the RTO, as well as the steps the RTO has taken to address these issues.

current operations and resources – your RTO’s policies and procedures, training and assessment materials, practices and resources, a schedule of training delivery for each course, trainers and assessors credentials, industry engagement and consultation, training and assessment strategies, RPL kits, LLN kits, student support and welfare, validation, transitioning from superseded to current training product, the results of recent audits, governance and administration processes and practices and marketing material are few of the things those can be considered for compliance purposes. ASQA also assesses the RTO’s financial viability and its capability to deliver high-quality training. The assessment process takes into account the RTO’s resources, including its staff, teaching and assessment practices, and facilities.

plans for future development – Future development plans refer to how a training organisation is preparing for its next steps, including but not limited to expanding into new markets or learner cohorts such as offshore markets, applying for CRICOS or funding contracts, and so forth.

To ensure you meet the requirements for renewal, you should review the following, but not limited to:

  • The Standards for Registered Training Organisations (RTOs) 2015
  • The National VET Regulator’s guidance material
  • Your RTO’s scope of registration
  • Any changes that have occurred since your RTO registered
  • Compliant training and assessment resources
  • Industry engagement and consultation
  • Validation plan, processes and evidence
  • Marketing and advertising materials
  • Training and assessment strategies and practices (The quality of the training and assessment delivered by the RTO)
  • Student support and welfare
  • Quality management system (QMS) and risk management processes
  • Student and staff records
  • Policies and procedures manual
  • Transitioning practices and documentation
  • The competence of trainers and assessors employed by the RTO
  • The resources and facilities available to the RTO
  • The student engagement and satisfaction levels with the RTO’s courses and services
  • Any complaints or breaches of ASQA’s standards by the RTO

ASQA conducts regular audits of registered training organisations (RTOs) to ensure they are meeting the Standards for Registered Training Organisations (SRTOs). These audits can be either announced or unannounced, and can cover any or all of the aspects mentioned above.

If an RTO does not meet all the requirements, ASQA may take enforcement action. However, ASQA recognise that some RTOs may have made mistakes in the past but have since taken steps to improve their operations. In these cases, they may consider granting a conditional approval to allow the RTO time to continue meeting all the requirements. ASQA’s risk-management approach ensures that all registered RTOs are continuing to meet the high standards they expect. If ASQA is not satisfied that an RTO meets the requirements of the Standards, the RTO’s registration may not be renewed.

It is therefore important for RTOs to maintain high levels of compliance at all times, and to rectify any issues that are identified during an audit. This helps ensure that students receive quality training and assessment that meets the required standards.

For more information, please refer to asqa.gov.au/rto/renew-rto-registration

How to ensure your training organisation is compliant with government regulations

If you’re running a vocational education and training organisation in Australia, you need to ensure that your organisation is compliant with government regulations. This article will outline some of the regulations that you need to be aware of, and provide tips on how to ensure compliance.

The Australian Skills Quality Authority (ASQA)

The Australian Skills Quality Authority (ASQA) is the national regulatory body for vocational education and training (VET) in Australia. They work according to set regulatory standards for quality education and training and their role is to ensure training organisations meet these standards. ASQA is the regulatory body for vocational education and training in the following states and territories:

  • Australian Capital Territory
  • New South Wales
  • Northern Territory
  • Queensland
  • South Australia
  • Tasmania

These jurisdictions are referred to as referring states and territories since they delegated their regulatory authority to the Australian Skills Quality Authority (ASQA) in 2011-12. Victoria and Western Australia are referred to as non-referring states because they have not yet delegated their regulatory authority to the federal government. ASQA is also in charge of regulating all Registered Training Organisations (RTOs) that provide courses to international students studying in Australia on student visas, regardless of where the RTO is based.

ASQA is responsible for regulating the quality of vocational education and training. ASQA audits training organisations to ensure they are complying with the VET Quality Framework and can take enforcement action if they find any non-compliance.

It governs RTOs in accordance with the Standards for Registered Training Organisations (RTOs) 2015 and approved courses in accordance with the Standards for VET Accredited Courses 2012.

For more information, please visit About us | Australian Skills Quality Authority (ASQA)

Victorian Registration and Qualifications Authority (VRQA)

In Victoria, the Victorian Registration & Qualifications Authority (VRQA) is the regulatory body for vocational education and training (VET), and it is in charge of the following:

  • Training organisations that only provide training to domestic students in victoria.
  • Accrediting courses, but only if the course is operated by the Victorian government or if the course owner is a Registered Training Organisation (RTO) that has been registered with VRQA.

VRQA regulates RTOs in accordance with The Australian Quality Training Framework (AQTF) – Essential Conditions and Standards for Continuing Registration and the VRQA Guidelines for VET Providers, and it regulates courses in accordance with The Australian Quality Training Framework AQTF 2007 Standards for Accredited Courses.

For more information, please visit VRQA

Training Accreditation Council – Western Australia

In Western Australia, the Training Accreditation Council (TAC) is the regulatory body for vocational education and training (VET), and it is in charge of the following:

  • Training organisations that only provide training to domestic students in Western Australia.
  • Accrediting courses, but only if the course is operated by the Western Australian government or if the course owner is a Registered Training Organisation (RTO) that has been registered with TAC.

TAC regulates RTOs in accordance with Standards for Registered Training Organisations (RTOs) 2015, and it regulates courses in accordance with The Australian Quality Training Framework AQTF 2007 Standards for Accredited Courses.

For more information, please visit Training Accreditation Council

Non-compliance with the regulatory standards and guidelines

If your organisation is non- compliant with the applicable standards and regulations, you could face penalties, such as fines or being shut down. Here are some important tips on how to stay compliant:

1. Make sure you’re registered with the appropriate regulatory body

The first step is to make sure your organisation is registered with the appropriate regulatory body. This means your organisation has met the minimum standards required to be registered and can offer courses that are nationally recognised.

If you’re not registered, you won’t be able to offer any nationally recognised courses and you will also face penalties if you are caught doing this.

2. Follow the General Directions, fact sheets, guides and tools

The regulatory bodies release a set of guidelines that organisations must follow in order to stay compliant. The General Directions, fact sheets, guides and tools cover everything from governance and management to teaching and assessment practices.

Make sure you’re familiar with the General Directions, fact sheets, guides and tools and are following their instructions and guidelines closely. This will help ensure your organisation meets the standards set by the regulatory bodies.

For more information, please visit Resources for providers | Australian Skills Quality Authority (ASQA)

3. Keep your records up to date

One of the most important things you can do to stay compliant is to keep your records up to date. This includes keeping track of your student’s progress, as well as your organisation’s administration, reporting, finances and governance.

The regulatory body may request to see your records at any time, so it’s important that they’re accurate and up to date. Failing to provide requested records or providing inaccurate records can lead to penalties.

4. Meet all quality assurance requirements

To make sure your organisation is delivering quality education and training, you need to meet all quality assurance requirements. This includes having systems in place to monitor and improve the quality of your courses.

You should also conduct regular reviews of your courses and make sure they’re being delivered effectively. If the regulatory body finds that your organisation isn’t meeting quality assurance requirements, you could face penalties or adverse consequences.

You must have structured audit and compliance processes in place to ensure you stay compliant with all regulatory requirements and guidelines. Having access to an independent auditor is always beneficial from a compliance perspective.

For more information, please visit Registered Training Organisation | TEQSA Standard Resources | CAQA

5. Respond to the audits

The regulatory body may audit your organisation at any time to make sure your orgnisation is compliant with all applicable guidelines and regulations. During an audit, they’ll request to see your records and talk to your staff. They may also observe your training and assessment practices and resources.

It’s important to cooperate with the regulatory body during an audit and provide them with everything they need. Failing to do so could lead to penalties.

For quality training and assessment resources, please visit CAQA Resources

6. Compliance calendars and registers

Keep compliance calendars and registers that provide you information related to:

  • When to conduct training and administration activities
  • Meeting ongoing auditing and regulatory compliance
  • Information related to meetings with different team members and departments such as enrollment, marketing, training and so on.

7. Understand the quality framework that you operate under

Familiarise yourself with the VET Quality Framework and other applicable standards and guidelines to make sure your organisation meets all the standards.

Note: Your RTO must comply with all legislation and regulations it operates under such as (but not limited to):

  • The Work Health and Safety act
  • The Discrimination Act
  • The Equal Opportunity Act 2010
  • The Racial and Religious Tolerance Act 2001
  • The Working with Children Act 2005
  • National Police Check
  • The Privacy and Data Protection Act 2014
  • The Student Identifiers Act 2014
  • The Copyright Act 1968
  • The Public Records Act 1973

For more information, please visit Complying with legislation | Australian Skills Quality Authority (ASQA)

8. Focus on personal and professional development

Focussing on personal and professional development is key to keeping your organisation compliant. Employees need to be able to constantly update their skillset, and be confident in their ability to carry out their roles. Training is a vital part of this process and should be tailored specifically to your workforce.

9. Follow what you say you are doing or going to do

Once you have a good understanding of the National Standards, you need to develop policies and procedures that ensure your organisation meets these standards. Your policies and procedures should be tailored to your specific organisation and should be reviewed and updated regularly. It is also important to keep up to date with any changes to the legislation. ASQA’s website is a great resource for information on any changes to the National Standards. By staying informed of any changes, you can ensure that your policies and procedures are always up to date and compliant.

10. Communicate the requirements to all staff members

It is critical that all staff members are aware of the requirements set by the government. This includes understanding what is required of them in terms of their behaviour and responsibilities.
If staff members are not adequately informed about the requirements, it can lead to your organisation being non-compliant. This can have serious consequences, such as heavy fines or even the loss of your licence to operate.

Communicate the requirements to all staff members on a regular basis and make sure that new staff members are given this information as soon as they start working for your organisation.
Following these strategies will help to ensure that your training organisation is compliant.

The CEO Declaration of Compliance

Have you ever stopped to wonder why, when you return to Australia, border officials ask you “Do you have anything to declare?” There are a few reasons for this.

Australia imposes taxes on goods entering the country, and in order to protect those tariffs, we restrict the things that can be imported duty-free. Australia, like many other countries, also has biosecurity rules in place, and the country is not especially keen on someone accidentally introducing the guinea worm to the country.

In a similar manner, the CEO declaration of compliance confirms that the organisation complies with regulatory standards and guidelines, as well as the steps it is taking to demonstrate that it remains compliant at all times during the course of its operations.

An annual declaration of compliance

The annual declaration on compliance is a statement by your organisation confirming that it is compliant with all requirements of the Standards.

Providing an annual declaration:

  • confirms that you have systematically monitored your RTO’s compliance with the Standards, and
  • informs ASQA of whether any issues identified have been corrected.

All Australian Registered Training Organisations (RTOs) are required to file an annual declaration of compliance with the RTO Standards applicable to their organisation by the 31st March of each year.

It is a requirement that one must complete and sign if they are the Chief Executive Officer (CEO). This form confirms that they are the following:

  • Taking full responsibility for ensuring that the organisation adheres to the National Vocational Qualifications Framework (VQF)
  • All other applicable criteria of registration, as well as ensuring that your organisation cooperates with ASQA in all audits and monitoring efforts.

The annual declaration provides a chance for providers to conduct a self-assessment and to ensure that all information held by ASQA regarding their activities is accurate.

The yearly declaration, according to ASQA, aids in the identification of emergent systemic issues in the VET sector.

We at CAQA recognise that the CEO has a plethora of obligations; thus, let us relieve you of the burden and confusion by identifying important areas of compliance and scrutinising the RTO’s procedures in order to determine whether or not there are any noncompliances.

Topics of discussion include, but are not be limited to, the following:

  • Findings of internal audit/s
  • Strategies, practices and methods for training and assessment
  • Validation activities
  • Industry engagement
  • Pre-enrolment and admission processes
  • Quality training and assessment system
  • Third-party services
  • Language, literacy and numeracy requirements
  • Training and assessment materials
  • Transition planning
  • Controlling the flow of information
  • Improvement on a continuous basis
  • Complaints and appeals processes
  • Issuance of qualifications and statements
  • Trainers and assessors
  • AVETMISS compliant database
  • Regulatory reporting and quality indicators

So what is it?

It is a basic web form survey which is distributed by an email marketing and communications business called Vision6. It requires no sign-in or authentication. It relies only on information that is already publicly available to identify the RTO about which the declaration is being made.

Click here for ASQA’s Self-assessment tool if you need help getting started.

How do I submit an annual declaration of compliance? (Clause 8.4)

In February of each year, ASQA invites the Chief Executive Officers of RTOs, by email, to complete the Annual Declaration on Compliance. This must be completed by 31 March that year.

While others may contribute, the final declaration must be completed by the person who is legally responsible for the registration of the RTO (the Chief Executive Officer).

If your RTO has not received the email from ASQA, you should take the following steps:

  • Check your spam/junk mail folder.
  • Check that the email address for your CEO contact is correctly listed on training.gov.au. If the address is incorrect, you should update the contact details in asqanet, and then contact the ASQA Info Line to request that ASQA re-send the email.
  • If your RTO has previously unsubscribed from ASQA emails, you should contact web.feedback@asqa.gov.au and ASQA will reactivate the subscription to ASQA emails.
  • If none of the above apply, you should contact InfoLine by emailing enquiries@asqa.gov.au and advise that your RTO has not received the email.

What happens if non-compliances are discovered and documented?

All non-compliance must be documented and a rectification plan must be put in place to ensure your organisation is compliant with all regulatory requirements and guidelines.

Our RTO consultants can assist you in crafting a proper response as you are filling out your CEO declaration of compliance.

Failure to submit the declaration with full and accurate data can result in ASQA taking regulatory action.

Please use the following link for further information and support: FAQs about the annual declaration process.

For more information, please refer to Annual declaration on compliance for 2022 – submit by 31 March 2022 | Australian Skills Quality Authority (ASQA)

Transition planning and requirements

The training packages are updated on a regular basis to ensure that they continue to meet industry and regulatory requirements. Training organisations are expected to perform a significant amount of maintenance work when there is a transition to a new package. The failure to manage transition planning can have negative consequences for your training organisation, students, and regulatory status.

VET stakeholders benefit when learners are trained, assessed, and awarded AQF certification documentation in the currently endorsed or accredited training product unless extraordinary circumstances exist.

When planning the transition from a superseded training product to a current one, you will need information such as:

  • The person/s responsible for managing the transition.
  • Is the scope updated automatically or does the new training product need to be added to scope.
  • Dates to make internal/version changes to updated/new training products and resources.
  • The teach-out period for students in the current training product.
  • Date for moving/transitioning current students to the new training product and the last date for enrolling students in the superseded training product.
  • The last date for issuing a qualification or statement of attainment for the superseded product.
  • When to stop marketing the superseded, deleted and removed training products.

Always remember the responsibility for compliance sits with the training organisation at all times.

Compliance requirements

The compliance requirements according to SRTOs 2015 – Clauses 1.26 to 1.27—Manage transition from superseded training products state that:

Clause 1.26

Subject to clause 1.27 and unless otherwise approved by the VET Regulator, the RTO ensures that:

where a training product on its scope of registration is superseded, all learners’ training and assessment is completed and the relevant AQF certification documentation is issued or learners are transferred into its replacement, within a period of one year from the date the replacement training product was released on the national register

where an AQF qualification is no longer current and has not been superseded, all learners’ training and assessment is completed and the relevant AQF certification documentation issued within a period of two years from the date the AQF qualification was removed or deleted from the national register

where a skill set, unit of competency, accredited short course or module is no longer current and has not been superseded, all learners’ training and assessment is completed and the relevant AQF certification documentation issued within a period of one year from the date the skill set, unit of competency, accredited short course or module was removed or deleted from the national register
a new learner does not commence training and assessment in a training product that has been removed or deleted from the national register.

Clause 1.27

The requirements specified in clause 1.26 (a) do not apply where a training package requires the delivery of a superseded unit of competency.

Interpretation:

The interpretation of the compliance requirements are:

  • The learners (best interests) and regulatory requirements should be the main focus when planning the transition from one training product to another.
  • Within 12 months all learners’ training and assessment should be completed and the relevant AQF certification documentation issued where a training product on RTO’s scope gets superseded.
  • Or learners should be transferred into its replacement within the same time period.
  • In certain extraordinary circumstances or at the regulatory body’s decision, the time period of 12 months can be extended.
  • This requirement does not apply where the training product is required to be delivered and assessed as part of a training package.
  • Where the AQF qualification is removed or deleted from the national register, the training organisations have two years to complete and the relevant AQF certification documentation to be issued.
  • Where the skill set, unit of competency, accredited short course or module is removed or deleted from the national register, the training organisations have one year to complete and the relevant AQF certification documentation to be issued.
  • A new learner should not commence training and assessment in the training product that has been removed or deleted.

Terms and definitions

You should know the terminology and definitions used in transition management. Some of these terms are:

Release date/date endorsed: The date when a training product is released and/or updated on the training register.

Replaced/Expired/Deleted: Where a training product has been removed from the national register.

Superseded: When a new training product replaces an existing training product the existing training product is referred to as superseded.

Training Product: AQF qualification, skill set, unit of competency, accredited short course and module.

Transition: When a training product is superseded, removed, or deleted from the National Register, the allowable time frame within which the student’s training, assessment, and AQF certification issuance must be completed, or, in the case of a superseded training product, the allowable time frame within which the student is transitioned into the replacement training product.

Teach out: Describes the timeframe in which a learner’s training, assessment, and AQF certification documentation issuance must be completed once a training product has been superseded, removed, or deleted from the National Register and any transition period has elapsed.

Transition management

You must follow the guidelines and general directions published by the regulatory body when managing the transition.

The first criteria you must consider is – Do you need to apply the training product to your scope or not. If the training product has been deemed equivalent and superseded they are usually added to your scope without separate application. Where a training product is deemed not equivalent the training organisation is required to apply to add the training product to their scope.

You must know that the process for accredited courses is different as they are not automatically updated on RTO’s scope.

You will be now required to:

  • Download the new training product – Download information from the national register related to the training product.
  • Review qualification packaging rules – Understand the changes being made in the new training product, packaging rules for core and elective units and how they can be selected or grouped together.
  • Mapping of units of competency – Analyse the changes being made and how the changes will affect your learner cohorts.
  • Have gaps assessment completed – You must conduct gap analysis and gap assessments if you are transitioning students from superseded training product to the current one.
  • Have a comprehensive planning tool available to plan the transitioning
  • Create an action plan – This can be part of the comprehensive planning tool. You should include scope and teach out decisions, training and assessment document changes, trainer and assessor requirements and changes, operational changes, budget allocation, student management changes, learning management changes, communication and management issues
  • Do professional development – It is important for all staff members including administration to know the changes and how they may affect the systems, processes and students.
  • Update the policies and procedures – The policy framework and RTO documentation should be updated to reflect the changes.
  • When transiting students, analyse the student data and make decisions based on what is in the best interest of your students.
  • Analyse how you are going to fill gaps in the assessments and learner resources or invest in compliant RTO training and assessment resources from organisations such as CAQA Resources.
  • Update the training and assessment strategies against the new qualifications, taking into account the qualification packaging rules, learner cohort, delivery mode, industry needs and requirements and regulatory standards and guidelines.
  • Ensure the training organisation has revised and updated trainer and assessor matrixes and validated the currency of trainers and assessors to train and assess the new training products.
  • Wherever required, trainers and assessors to provide documentation of how they can fill the gaps in terms of TAE qualification, VET currency/qualifications that trainers are assessing and training, industry currency and professional development in competency-based systems and practices.
  • Understand and ensure your organisation has all the equipment, resources and facilities available according to the training package requirements
  • Identify the date when transition will be communicated to the students and other stakeholders
  • All third-party documentation must be updated to reflect the changes
  • Maintain documentation in safe place as the regulatory body can request you to demonstrate compliance

Learning and assessment resources

You must review your existing learning and assessment resources to understand how the content matches the requirements of the new training product. Wherever you identify gaps you are required to fill them with gap assessments, new training and assessment resources if transiting the students to the new course. If you decide that it is in the best interests for enrolled students to complete their studies in the superseded course, and regulatory requirements allow you, you will not be required to make these changes.

You should customise the content to the needs and requirements of your learner cohort and delivery mode and must also pre-validate the training and assessment resources before you implement them in practice.

Hypothetical scenarios

Let’s go through some of the hypothetical scenarios now to understand what should be done or not in certain circumstances.

Scenario 1

An organisation would like to become an RTO and deliver a few training products that have been recently superseded. The organisational representatives have been preparing the application over the last two years and can not wait any longer.

Outcome:

The regulatory body, in our experience, has always asked for the current training products as the organisations can not register as an RTO to deliver superseded, removed or deleted training products.

Scenario 2

A unit of competency has been superseded by a new unit. The RTO has noticed the change but when they check training.gov.au they realise that the unit has not been updated in the qualification they are delivering and have decided not to replace the superseded unit of competency with the new unit.

Outcome:

The regulatory body has in writing suggested that RTOs should follow the qualification package rules and training package guidelines (Clause 1.27) at all times. If a unit of competency is part of a training package then the RTO cannot change it when it gets superseded.

You can read more information regarding the training products with current transition extensions at Training products with current transition extensions | Australian Skills Quality Authority (ASQA).

Some helpful strategies related to transition management

  • Register and get updates from the national register. https://training.gov.au/Account/SignIn?returnUrl=/Home/Tga
  • Always include transition management as a set meeting agenda item
  • Conduct audits at regular intervals to assess how you are performing.
  • Update/prepare marketing materials (including website and social media) and pre-enrolment and admission documents to reflect any changes
  • Ensure certificates and all other print materials have the current and correct information.
  • Ensure the organisation follows credit and RPL processes when transiting students
  • Prepare and/or update validation plans and schedules to reflect the changes
  • Ensure your trainers and assessors have currency in their TAE qualification, the VET qualifications they are assessing and training, industry currency and professional development in competency-based systems and practices.

If you need help with transition planning and management, do not hesitate to approach us at info@caqa.com.au.

Requirements to enrol learners in your courses

There are specific prerequisites that must be met prior to student enrolment or the beginning of training and assessment, whichever occurs first. In addition, the RTO should advise the prospective learner on the training product that will best meet his or her needs while taking into consideration the individual’s existing skills and competencies.

So what are the compliance requirements related to enrolling learners to the courses on your RTO’s scope:

Compliance requirements

Clause 5.1

Prior to enrolment or the commencement of training and assessment, whichever comes first, the RTO provides advice to the prospective learner about the training product appropriate to meeting the learner’s needs, taking into account the individual’s existing skills and competencies.

Clause 5.2

Prior to enrolment or the commencement of training and assessment, whichever comes first, the RTO provides, in print or through referral to an electronic copy, current and accurate information that enables the learner to make informed decisions about undertaking training with the RTO and at a minimum includes the following content:

  • the code, title and currency of the training product to which the learner is to be enrolled, as published on the national register
  • the training and assessment, and related educational and support services the RTO will provide to the learner including the:
    • estimated duration
    • expected locations at which it will be provided
    • expected modes of delivery
    • name and contact details of any third party that will provide training and/or assessment, and related educational and support services to the learner on the RTO’s behalf
    • any work placement arrangements.
  • the RTO’s obligations to the learner, including that the RTO is responsible for the quality of the training and assessment in compliance with these Standards, and for the issuance of the AQF [Australian Qualifications Framework] certification documentation
  • the learner’s rights, including:
    • details of the RTO’s complaints and appeals process required by Standard 6
    • if the RTO, or a third party delivering training and assessment on its behalf, closes or ceases to deliver any part of the training product that the learner is enrolled in.
  • the learner’s obligations:
    • in relation to the repayment of any debt to be incurred under the VET [Vocational Education and Training] FEE-HELP scheme arising from the provision of services
    • any requirements the RTO requires the learner to meet to enter and successfully complete their chosen training product
    • any materials and equipment that the learner must provide
    • information on the implications for the learner of government training entitlements and subsidy arrangements in relation to the delivery of the services.

Interpretation:

The interpretation of the compliance requirements are:

  • The training organisation should always provide relevant and correct information to all students prior to they enrol to make informed decisions and choices.
  • The training organisation must always provide the following information to all prospective learners related to the course they are enrolling:
    • Code, title and currency of the training product
    • Training and assessment and related educational and support services including:
      • Duration of the training
      • Expected locations where the training will take place
      • Expected delivery mode
      • Name and contact details of any third-party that is involved in training, assessment or providing support services
      • Work placement arrangements, as applicable
      • Holidays, as applicable
  • The training organisation’s obligations to learners including but are not limited to responsibility for the quality of the training and assessment in compliance with SRTOs 2015 and for the issuance of the AQF certification documentation.
  • The rights of the learners including:
    • Complaints and appeals processes
    • If the training organisation or third-party ceases or closes to deliver any part of the training product
  • The learner’s obligations:
    • Requirements and conditions for enrolment and completion of the training product such as:
      • Minimum English language requirements
      • Minimum educational qualification requirements
      • Minimum work experience requirements
      • Course credits and RPL requirements
      • Compulsory online and/or work-based training, placements, other community-based learning requirements
      • Reasonable adjustments
    • Any materials and equipment learners must provide and
    • Information on the implications for the learner of government training entitlements and subsidy arrangements
    • Cooling off period, if one applies
  • Information related to all fees and charges including:
    • Fees paid to the training organisation
    • Non-tuition fees
    • Terms and conditions
    • Refunds
  • For international students, training organisations are also required to, but not limited to:
    • Grounds on which enrolment may be deferred, suspended or cancelled
    • The ESOS framework, including appropriate official Australian Government material or links
    • Accommodation, support and general welfare arrangements
  • Information about the unique student identifier (USI)

RTO compliance guide to buy compliant assessment resources

According to almost all ASQA reports, getting an assessment right is one of an RTO’s most difficult compliance issues, with a substantial number of RTOs, audited being found to be non-compliant with clause 1.8 (ASQA’s 2017 report showed around 72% RTOs failed audit on assessment resources). This is what we notice as well whenever we have conducted any internal audits through CAQA.

It is a wise decision to get your training and assessment strategies and resources validated by independent industry experts to get honest feedback and an unbiased opinion.

The purpose of the assessment tool

The main purpose of an assessment tool, student assessment, or assessment pack is to ensure that trainers and assessors can effectively establish whether a learner is competent or not yet competent in a training product. There are three ways a trainer/assessor can establish competence:

  • Tell me what you can do (Demonstration of knowledge)
  • Show me what you can do (Demonstration of skills)
  • Make me something (Application of knowledge and skills)

Let’s look into some of the most important aspects in detail now:

Understand how the assessment materials meet the training package requirements

This step necessitates you concentrating on how the assessment materials fit the requirements of the training package. This is the step when you understand what competence in this particular unit of competency will look like.

Focus points include understanding of:

  • What is the AQF level where the unit of competency will be used?
  • What is the unit descriptor/application of the unit saying about work activities included in the unit of competency?
  • What are the prerequisite or corequisite requirements related to the unit of competency?
  • What level of skill is required for this unit according to where (which qualification) the unit of competency will be used
  • What are the elements, performance criteria, range of conditions, foundation skills, knowledge evidence, performance evidence, assessment conditions
  • Read the assessment conditions and foundation skills: What are the conditions under which this work activity should be conducted
  • Are there any other specific requirements applicable to this unit of competency?

Before moving on to practical task activities, the learner must first demonstrate that he or she understands the subject through demonstration of knowledge.

KNOWLEDGE – you need to have knowledge before you can perform

Look over the requirements for the training package and have a close look at the knowledge evidence to see if it says once is sufficient. If it does not state that, it implies that you must address each of the knowledge evidence criteria at least twice. We can address the knowledge evidence requirements using a variety of activities such as questions and answers, case studies, report writing, and other knowledge-based assessment methods.

PERFORMANCE – means that you have to do something

Then it’s time to look at performance criteria and performance evidence, and once again, pay attention to whether or not there are instructions on how many times this should be addressed. If this is not the case, each performance criteria and the performance evidence must be addressed in the assessment tasks and activities at least twice, if not more, utilising a variety of assessment methods and activities such as projects, portfolios, practical task activities, workplace tasks and observations and so on.

Focus on the action verbs and action keywords

Focus on all action verbs and action keywords included in the training package when developing your assessment resources. Each and every action verb and keyword must be addressed through the assessment resources.

Bloom’s taxonomy of measurable verbs is a good starting point to understand more about the action verbs.

Ensure if something is plural you have addressed them more than once.

If there is anything mentioned as plural such as strategies, you must ensure the assessment resources have at least two (2) or more strategies mentioned in them.

You must establish if each component of the training package requires evidence in the form of knowledge, skill or product.

Comprehensive mapping to training package requirements

A comprehensive mapping document is required to ensure all training package criteria has been addressed appropriately and comprehensively. Mapping is a cross-referencing activity where each component of the unit of competency is cross-referenced to one or more assessment criteria or questions in the assessment activities and tasks. Mapping is more a content validity process and not a process validity process.

Refer to the following articles for more information

Mapping document of assessment resources – do you need one? https://caqa.com.au/2021/10/04/mapping-document-of-assessment-resources-do-you-need-one/

Focus on evidence collection and assessment methods

Focus on evidence collection and assessment methods after ensuring that the assessment resources meet the training package requirements. The focus points should include:

  • What are the assessment methods selected for evidence collection?
  • Are these suitable and appropriate for evidence collection?
  • What are the other methods that may be used for evidence collection?
  • Where and how should evidence be collected?
  • What resources are required for evidence collection?

Foundation skills, assessment conditions, performance evidence, performance criteria and knowledge evidence should be taken into consideration when designing the evidence collection and assessment methods.

The evidence collection and assessment methods should change according to the AQF level where the units of competency will be used. For example, for a Certificate II, III level true or false, match the following statements with, multiple-choice questions, fill in the blanks might be appropriate but for Certificate IV and Diploma short answer questions, closed book, time-limited exams, contrast and separate, and other assessment methods could be used. We have included an AQF summary for you to understand how each AQF level requires a different set of requirements.

AQF Level Summary Qualifications Purpose of this Qualification
1 Graduates at this level will have knowledge and skills for initial work,

community involvement

and/or further learning

Certificate I basic functional knowledge and skills to undertake work, further learning and community involvement.
2 Graduates at this level will have knowledge and skills for work in a

defined context and/or

further learning

Certificate II qualify individuals to undertake mainly routine work and as a pathway to further learning.
3 Graduates at this level will have theoretical and practical knowledge and

skills for work and/or

further learning

Certificate III to qualify individuals who apply a broad range of knowledge and skills in varied contexts to undertake skilled work and as a pathway for further learning.
4 Graduates at this level will have theoretical and practical knowledge and

skills for specialised

and/or skilled work

and/or further learning

Certificate IV to qualify individuals who apply a broad range of specialised knowledge and skills in varied contexts to undertake skilled work and as a pathway for further learning.
5 Graduates at this level will have specialised knowledge and skills for

skilled/paraprofessional

work and/or further

learning

Diploma to qualify individuals who apply integrated technical and theoretical concepts in a broad range of contexts to undertake advanced skilled or paraprofessional work and as a pathway for further learning.
6 Graduates at this level will have broad knowledge and skills for

paraprofessional/highly

skilled work and/or

further learning

Advanced Diploma Associate Degree to qualify individuals who apply specialised knowledge in a range of contexts to undertake advanced skilled or paraprofessional work and as a pathway for further learning.
7 Graduates at this level will have broad and coherent knowledge and

skills for professional

work and/or further

learning

Bachelor Degree to qualify individuals who apply a broad and coherent body of knowledge in a range of contexts to undertake professional work and as a pathway for further learning.
8 Graduates at this level will have advanced knowledge and skills for

professional highly skilled

work and/or further

learning

Bachelor Honours Degree Graduate and

Vocational Graduate

Certificate

Graduate and

Vocational Graduate

Diploma

to qualify individuals who apply a body of knowledge in a specific context or range of contexts to undertake professional or highly skilled work and as a pathway for research and further learning.
9 Graduates at this level will have specialised knowledge and skills for

research, and/or

professional practice

and/or further learning

Masters Degree to qualify individuals who apply an advanced body of knowledge in a range of contexts for professional practice and as a pathway for further learning.
10 Graduates at this level will have a systematic and critical understanding of

a complex field of

learning and specialised

research skills for the

advancement of learning

and/or for professional

practice

Doctoral Degree to qualify individuals who apply a substantial body of knowledge to research, investigate and develop new knowledge, in one or more fields of investigation, scholarship or professional practice.

You must look if the assessment methods accurately and properly describe how many questions students must do correctly to be deemed satisfactory in the assessment task or activity and then check mapping to ensure your recommendation does not compromise the integrity of the assessment.

Always remember that each of the evidence collection and assessment methods must flesh out the details related to the assessment activities and tasks such as what, why, where, how, when something must occur.

Check the content for validity and reliability

Ensure all content is complete, error-free, plagiarism and copyright issues free, you also need to ensure that:

  • Assessment resources have sufficient and clear information regarding what, when, how, where, why for your assessment template and all assessment tasks and activities.
  • Assessment resources have robust benchmarking and/or trainers’ guidance.
  • Assessment resources are allowing the trainer/assessor to assess the skills and knowledge of students through different assessment tasks over a period of time to ensure consistency and sufficiency.
  • Each and every question and assessment task has very clear guidelines around what is expected from the students in terms of both quantity and quality.
  • You have customised the off-the-shelf resources according to your RTO needs and requirements and not using them as-is.
  • Your assessment resources are written by industry experts with subject matter experts and are industry-relevant and current.
  • Your assessment resources address all requirements of the training packaging rules
  • Your assessment resources have detailed and valid performance checklists/observation checklists for assessing and observing the students before, during and after any skill assessment activity or workplace task
  • Your trainers and assessors gather sufficient, valid evidence for competency assessment
  • Your organisation offers appropriate simulated environments for conducting assessments
  • The authenticity of assessment, particularly in distance and online delivery is established and maintained
  • The context and conditions of assessment. For example, an assessment tool is developed to cater for a particular language, literacy and numeracy requirements, the learner’s workplace experience or other learner needs that require reasonable adjustment.
  • The context of the assessment may also take into account assessments already completed, and the competencies demonstrated in these assessments. By looking at the context, you can consider the conditions under which evidence for assessment must be gathered.
  • All activities are conducted adequately using the required:
    • equipment or material requirements
    • contingencies
    • specifications
    • physical conditions
    • relationships with team members and supervisors
    • relationships with clients/customers
    • timeframes for completion.
  • Assessment methods or tasks are suitable to the requirements of the units of competency and students are assessed on the tasks and activities according to the requirements of the training package.
  • The language used is simple English
  • The evidence required to make a decision of competency is clearly outlined
  • The types of activities and tasks students need to perform are clearly outlined
  • The level of performance required for each assessment activity is clearly outlined
  • Adequate exposure to workplace conditions, including appropriate simulated environments, is provided
  • Sufficient knowledge-based assessment tasks and activities such as written questions and case studies etc.
  • Sufficient practical based assessment tasks and activities such as projects, role plays, workplace tasks and observations etc.
  • Assessment resources are error-free and free from any grammar, copyright or plagiarism issues

Assessment resources meet principles of assessments and rules of evidence

When constructing or reviewing the assessment tools, RTO compliance experts such as compliance managers, RTO management and trainers and assessors must ensure that the principles of assessment and rules of evidence are strictly followed.

The regulatory requirements specify that this is not only good practice but also a requirement for RTO registration. Validity, reliability, flexibility, and fairness are all requirements of the assessment evaluation process.

Validity

The validity of an assessment outcome refers to the extent to which the interpretation and use of the outcome can be supported by evidence. When the assessment methods and assessment materials used reflect all the training package requirements such as elements, performance criteria, etc. the assessment is considered valid. The assessment outcome is also considered valid when the evidence gathered fully supports the assessment outcome.

Reliability

The degree to which the assessment outcomes are consistent and accurate is referred to as reliability; that is, the extent to which the assessment will produce similar outcomes for students with equal competence at different times or places, regardless of the trainer who is conducting the assessment.

Flexibility

When students have the chance to negotiate specific components or aspects of their assessment (for example, timing) with their trainers and assessors, this is referred to as flexibility. All students should be thoroughly informed (for example, through an assessment plan) of the purpose of the assessment, the assessment criteria, the methods and tools that will be used, as well as the context and timing of the assessment, prior to taking part in it.

Fairness

A fair assessment does not favour or disadvantage any particular learners or groups of students in a discriminatory manner. Depending on the situation, this may imply that assessment procedures be tailored to specific learners (such as those with disabilities or those from diverse cultural backgrounds) in order to guarantee that they are not disadvantaged as a result of their circumstances. An evaluation should not set too high demands on students, as this may hinder them from demonstrating competency in the subject matter (for example, an assessment should not demand a higher level of English language or literacy than that required to perform to the workplace standard outlined in the competencies being assessed).

Evidence is governed by a set of rules.

A well-designed assessment tool will aid in ensuring that the evidence gathered is of the following types:

  • Valid – there is a clear relationship between the evidence criteria of the unit of competency and the evidence on the basis of which the assessment judgement is made;
  • Sufficient – the performance criteria and evidence guide is addressed; competence is demonstrated over a period of time; all dimensions of competency are addressed; competence is demonstrated in a variety of settings;
  • Current – the evidence reveals that the student possesses current knowledge and skills, and
  • Authentic – the evidence may be confirmed to show that it is the student’s own original effort.

In conjunction with industry, assessment evaluation strategies, methodologies and tools should be developed, and they should be evaluated on an appropriate sample of students before being implemented.

Easy to contextualise to your learner cohorts

Contextualising assessments and learner materials are one of the most thought-provoking tasks that RTOs face. Many RTOs are deemed non-compliant due to their contextualisation methods.

Regardless of whether you have developed the assessment resources in-house or you have purchased them as off-the-shelf resources, you must customise and contextualise each training product.

The customisation and contextualisation should occur in terms of

  • training context,
  • learner characteristics,
  • delivery modes,
  • cultural context,
  • technology requirements,
  • AQF level,
  • intent if the unit of competency is not addressed appropriately,
  • formatting,
  • grammar,
  • Your RTO’s templates and style guides

For more information, please read the following articles

https://caqa.com.au/2021/10/04/contextualisation-why-you-must-contextualise-the-training-and-assessment-resources/

https://caqa.com.au/2018/06/08/contextualising-assessment-resources-part-2/

How to make a reasonable adjustment in summative assessments

https://caqa.com.au/2021/07/14/how-to-make-reasonable-adjustment-in-summative-assessments/

Easy to modify to different delivery modes

Assessment resources should be adaptable to a variety of delivery modes, including online, offline, distance learning, workplace, and blended learning.

Clear guidance to the assessor

Assessment resources should provide clear instructions to assessors in terms of what they should look for.

  • what was expected from the learners
  • what they (trainers and assessors) should observe
    • have clear assessment (evidence-gathering) methods based on training package requirements
    • have clear assessment (evidence-gathering) tools
  • how they (trainers and assessors) should assess
    • have clear benchmarks and standards against which a student’s work is assessed
    • have clear evidence requirements to assess sufficiency and competency
    • have clear guidelines related to when assessments should occur and how they should occur
  • who should collect the evidence and when?
    • When determining who can collect evidence, the guidelines for training package assessment may be of use to you. It is critical that the instrument and instructions for your assessment tools clearly state what is expected of the students, the trainer/assessor, workplace supervisor or a third-party evidence gatherer. It is also critical that the instrument and instructions for your assessment tools provide a clear structure for the evidence gatherers to follow.
  • where they (trainers and assessors) should record
    • Focus on the requirements of the training package – is there any specific conditions, requirements and guidelines?
    • If workplace assessment is not possible or suitable, your alternative is to choose settings and procedures that allow students to demonstrate their competence to the level of performance indicated.
    • In a simulation, students should complete or deal with a task, activity, or problem in an off-the-job situation that is designed to mirror the workplace environment.
  • how they (trainers and assessors) should record
    • What are the RTO requirements and documentation?
  • who they (trainers and assessors) should report
    • Where do the assessors and trainers report the outcome of the assessment?
    • What is the procedure?
    • How students are informed about the assessment outcome?

Clear instructions to the learner

All assessment materials should provide very clear instructions to the learners in terms of:

  • What
  • When
  • Where
  • How
  • Why
  • Reasonable adjustments required

Observation checklists and benchmarking

All assessment resources should have comprehensive observation checklists and benchmarking to ensure

  • Learners know what is expected of them
  • Assessors know the scope of assessment in terms of what they should observe and assess, resources required and what should be considered when assessing
  • Clear guidelines and information related to how to use the observation checklists

All equipment, resources and facilities are available to conduct the assessment

Assessment conditions should be followed strictly and the training organisation should ensure that all equipment, resources and facilities are available to conduct the assessment.

Language, Literacy and numeracy requirements of the unit

The assessment tool must reflect the language, literacy and numeracy requirements related to the work task and work activities required to be assessed. Your focus points should include:

  • Reading
  • Writing
  • Numeracy
  • Oral communication
  • Learning

Ensure students are ready for the summative assessment

You must ensure that all students are ready for the summative assessment before you assess them.

For more information, please refer to

Formative vs Summative Assessment: A Comparison https://caqa.com.au/2022/01/31/formative-vs-summative-assessment-a-comparison/

Conduct pre and post validation checks

You must pre and post validate all assessment resources before and after you use them for your learners.

For more information, please refer to:

Different phases of assessment and learner validation processes (Part 1), Click here.

Different phases of assessment and learner validation processes (Part 2), Click here.

Different phases of assessment and learner validation processes (Part 3 of 4), Click here.

Different phases of assessment and learner validation processes (Part 4 of 4), Click here.

fact sheet, Click here.

Having a license of purchase

Training organisations should double-check that they have an authorised copy of the training and assessment resources from the publisher of the resource before using them for training purposes.

In a number of audits, the regulatory body has requested proof of purchase because a number of stakeholders are aware that there are some offenders in the sector who do not purchase the actual copies of the resources, resell when they do not have authority, or obtain materials in other illegal ways.

For more information, please click here.

How to protect the copyright of your training and assessment materials Margaret Ryan (lawyer and trade marks attorney), for more information click here.

References:

Guide – developing assessment tools https://www.asqa.gov.au/resources/guides/guide-developing-assessment-tools

Edu Learning – Your door to professional development opportunities

We would love to have you join our professional development retainer agreement services or individual professional development opportunities through Edu Learning. Our organisation works with the aim to help you grow your skills in a fun and interactive way. The benefits of joining our organisation are numerous, from getting tips from VET experts and industry leaders to building a network of peers, who can help you move forward in your career.

Intellectually stimulating and engaging content is what we excel at. We offer training programs that will provide your staff with the practical skills and strategies that they need to be successful in their careers in this competitive market – whether it’s in marketing, finance or RTO operations.

The benefits of being part of our professional development group include:

– Developing a better understanding of the role of a VET professional
– Getting in-depth training in different RTO sector skill sets that meet your and your organisation’s needs and requirements.


In partnership with Edu Learning and CAQA Skills, CAQA provides a variety of professional and personal development opportunities. We may also tailor the training to meet your specific requirements and skill level as well. For additional details, please contact us right away at info@caqa.com.au.


 

Interview with John Molenaar, Quality and Compliance Auditor

John Molenaar is an education professional who started his career in teaching with positions as a primary and secondary teacher. In the late 1980s/early 1990s, he held roles in education organisation management as Executive Director of the Gould League of Victoria and the John Gardiner Centre.

In the mid 1990’s John started his career in VET, initially as National Project Manager with the TCF Industry Training Board managing the development of the suite of TCF Training Packages and Exec Director of the Process Manufacturing Training Board, working with the plastics and chemical industries. During this time, he was also involved in community education as a Council Member and Chair of the ACFE – Eastern Region. He also was a lecturer in VET practice at one of Victoria’s Universities.

In 2007 John commenced quality and compliance auditing, as a contractor with the VRQA and also had a contract with ASQA during the initial four years of ASQA’s establishment. He has also audited Chemical and Petroleum training and assessment, overseas in Qatar for three years.

He is currently the Executive Director of Manufacturing Learning Victoria and continues to audit with the VRQA and works with individual RTOs to establish ‘good practice’ training and assessment approaches and to assist them to continue to meet compliance requirements. He has conducted professional develop for trainers/assessors, delivery the WELL program, and was involved in the development, review and implementation of the Australian Core Skills Framework (ACSF) and conducted a number of research projects funded through the NCVER, related to language, literacy and numeracy skill development.


Here is a copy of John Molenaar’s interview conducted by Sukh Sandhu.

Sukh Sandhu: You are one of the most experienced auditors and consultants in Australia, and it is a privilege for me to have the opportunity to speak with you today. So the questions prepared by The VET Sector experts for you are:

Q1: Why did you decide to work in the vocational education and training sector, and how has your overall experience been?

Work in VET came later in my career, after working in primary and secondary teaching, University lecturing and community education. I initially developed competencies and learning resources for the laundry and dry-cleaning industries nationally.

With the introduction of training packages, this progressed to the development of training packages for the broader textile, clothing, and footwear industries. I found the work with relevant enterprises across Australia and facilitation of industry focus groups challenging and rewarding through the development of accredited training for many industries who were not able to access industry qualifications previously by providing them with career pathways and work conditions commensurate with industry awards. This work led to managing industry training boards and providing advice to Government of the training priorities and needs of numerous VET industry sectors.

I found the work in VET very rewarding as compared to other education and training sectors. VET was the least developed in terms of arrangements, resources and recognition within education portfolios. It was great to be able to make a difference in supporting the development of coordinated approaches to skills development for many of our industry sectors where workers had not previously been able to access industry qualifications or have the many years of industry skill and experience recognised.

Recognising the importance of quality and compliance to developing and maintaining a rigorous VET system, commensurate with other education and training sectors, I commenced quality auditing with the VRQA. Initially this was as a Training Recognition Consultant, prior to taking on a tender with the VRQA in 2007 which largely involved the audit of CRICOS providers. I was successful in obtaining a tender with ASQA as a founding contract auditor with ASQA in 2011 when it came into being and continued to audit with ASQA for five years. I have been fortunate in obtaining tenders with the VRQA to continue to audit Victorian RTOs, as well as continuing to provide consultancy support to ASQA registered RTOs.

Q2: I have worked with you on a number of projects and have also witnessed a number of organisations go out of business within a few months or years, after having been registered. What do you believe are the primary causes for an organisation to become non-compliant or fail within VET?

Through my audit work I have witnessed many individuals identifying opportunities to start a business in training, particularly in international education. Though many have established RTOs with good intensions, many have also not understood the requirements associated with VET education and the rigorous outcomes required for learners to be truly competent in their areas of industry qualifications. I believe that many organisations who failed, did not intentionally operate in non-compliant ways, but did so in being naive of the compliance requirements. However naivety is not a defence for not effectively meeting the compliance requirements of the quality standards.

Though regulators may have been harsh in closing non-performing RTOs, it is the role of the regulator to address concerns where students are not able access sufficient rigorous outcomes for them to work safely and effectively within an industry.

Q3:What are the current issues affecting the training and education industry, and how can Registered Training Organisations (RTOs) overcome them?

Training organisations continue to be challenged by the ongoing changes in legislation, employer requirements, training products and client expectations. An RTO is required to invest adequate resources to remain current and effective and to maintain skilled working professionals who remain committed to quality outcomes.

The competitive nature of attracting learners in a diverse RTO market impacts the bottom line and fee structures of organisations. This financial pressure reduces their ability to remain viable and deliver quality services.

Training Providers can overcome these challenges by initially investing in the development of effective quality management systems and skilled professionals. A sound and effective quality management system provides a platform on which our VET professionals can work creatively and delivery quality training outcomes, allowing them to meet the organisations quality requirements through transparent processes, quality resources and effective record management.

Now many may say this sounds like good rhetoric but how can this be achieved? It is the responsibility of the RTO’s Management to do the research and invest the required resources to develop a sound understand of what an effective quality management system is and how to achieve this for their organisation.

A sustainable training organisation achieves its business through reputation – the reputation for delivering quality training to support industry skill needs, who supports its learners in flexible and focused ways.

Q4: What are your thoughts on regulations that are constantly being modified and updated?

Do you believe that the changes that have occurred in Vocational Education and Training, over the past century from a system based primarily on knowledge based rote learning to one based on competency outcomes and continuous improvement, with a key focus on compliance and governance and financial standards, have been positive and progressive?

Training packages and related qualifications have served industry well over the past few decades, providing for consistent and relevant skill development, and has been recognised internationally as a sound system across a range of industries. For example, textile and clothing industry skill development in South Africa and hydrocarbon and oil refining in the Middle East have adopted the Australian model.

Competency based training, in contrast to knowledge-based training, has contributed significantly to the skill acquisition of our workforces. The combination of both methods of learning (knowledge and skill development) is imperative to the worker understanding the ‘what how and why’ which aids their ability to perform work safely and to required quality standards.

The challenge has been to ensure that that training remains current and supports the changing needs of industry to provide the skills to address industry evolving skill needs. Training packages, over time, have been not responsive to the rapidly changing skill requirements of many industries. The timeliness in developing new qualifications, skill sets and microskills have been impacted by bureaucratic processes and lack of flexibility to address skill shortages in a timely way.

The pace of changes to technology, the requirements for just in time production, sustainable resource management and environment practices, global acquisition and related economics, invariable impacts on changes to regulations, standards and requirements, including changes to training packages. To support industries to address skills needs it is important that training providers have systems in place to accommodate the changes related to maintaining currency to address evolving skills skill needs.

Yes, maintaining currency and keeping up with regular changes is challenging but imperative to maintaining a dynamic system of training in response to industry needs.
The development and maintenance of a sound Quality Management System becomes even more essential for effectively managing this increasing change.

Q5: What types of services do you provide as part of your quality and compliance services?

Quality and compliance services include:

Auditing of Registered Training organisations and Group Training Organisations for the VRQA,

  • High Risk Work licence assessment of Registered Training Organisations delivering licencing units,
  • Quality reviews of learning and assessment resources for the Victorian Skills Commission and training organisations,
  • Professional development in the areas of quality and compliance for VET professionals.

Q6:What advice would you provide to those who are now employed in the sector, those who aspire to pursue a career in the field, and those who wish to establish their own RTO?

Put simply, I would advise all VET practitioners to consider what it takes to work as a professional in the VET sector including:

  • maintaining currency of industry and VET qualifications,
  • ongoing professional development to further develop educational practice and industry skills,
  • seek out critical professional friends who can assist you to reflect on you practice and
  • carefully scrutinise who you work for and ensure that your employer implements ethical practices and has sound Quality Management Systems.

Interview with Anna-Louise Allen, Quality and Compliance Auditor

Anna-Louise Allen has been a leader in education and a catalyst for change and innovation in teaching and learning throughout her career. Anna-Louise commenced as a technical school teacher in the western suburbs teaching Geography. She had held leadership positions in schools, run the Geography Teachers Association of Victoria and worked in a variety of government agencies.

Anna-Louise has published textbooks, industry articles and a wide range of training materials for use in both the school and vocational sectors. More recently Anna-Louise was well known for her fair and informative audit style, conducting audits for both the State and National Regulator and a range of funding bodies. She is a strong advocate for the Learn Local sector and has a passion for assisting some of the more vulnerable members of our community.


Here is a copy of Anna-Louise Allen’s interview conducted by Sukh Sandhu.

Q1: What led you to choose a career in the field of vocational education and training, and how has your entire experience been thus far?

I have always been a person who feels passionate about my career choices. This coupled with a touch of Happenstance theory has led me on my exciting and varied career in education and training.

As a technical school teacher, I have always forged strong connections with industry. I have seen myself as a conduit between education, industry and government which meant that working in the vocational education and training sector was a natural progression.

Q2: It has been a pleasure to attend a number of your professional development workshops, which you have been conducting since the early 2000s. Do you have a favourite topic that you prefer presenting and why?

Quality is a big driver in both business and education. In the VET sector this can sometimes be viewed as a dirty word particularly when it is called Compliance!

Quality is a habit which is inherent in everything we do. It drives ongoing continuous improvement, where small incremental improvements make a big impact on quality and your bottom line. It is about doing great work that inspires learners to engage and enjoy their learning. It is also about ensuring that they have the skills and knowledge to make valuable employees. I like working with trainers and teachers to come up with creative approaches to topics that encourage the application of knowledge and skills to do a great job.

Q3: How can RTOs maintain a balance between the quality of the services they provide and the number of clients to whom they can provide those services, based on your extensive knowledge and experience?

Satisfied customers can become raving fans for your business, which means they will not only come back to study with you again, but will also tell their friends. Quality is not the enemy but rather the strategy to ensure customers for life.

Think about the car you drive or your favourite pair of shoes or handbag. If it is quality, it was probably produced by a quality production system. Often that system involved extensive automation, coupled with innovation and creative thought. Education is no different. A quality system that is informed by industry and clients coupled with creative designers and trainers will produce engaging learning and satisfied students who excel and achieve.

Q4: What are the five most important characteristics of a successful CEO of an RTO?

The CEO must have:

  • Vision
  • Passion
  • High level communication skills
  • Leadership skills
  • A great listener.

Q5: What are the five most imminent risks to RTO businesses, and what should RTOs be doing to mitigate these threats?

  • Relationship management
  • Complaints management
  • Clear lines of communication
  • Strong brand
  • Policies, procedures and systems that are understood by all.

The five strengths are potentially the greatest risks. Without strong relationship management an RTO or any business can very soon be out of business. Relationship management is also critical when communicating with both the happy and dissatisfied client. Everyone in the RTO has a key role to play in relationship management.

How you manage and handle complaints is also critical to success. Aim to solve them before they escalate. Make sure that your marketing and branding clearly defines what a client can expect from your business and then make sure that you deliver.

Your systems and internal training will be critical in making sure that clients receive the service they expect. Empower all your staff to be proactive and aim to solve problems as they arise.

Q6: What improvements would you like to see made to our standards and regulatory frameworks in order to improve the overall quality of training and assessment?

I am not a fan of the big stick approach. Unfortunately, over the years I have seen a lot of bad behaviour that has required stern and often legal intervention. It will be a great day when we can provide education and training that supports the development of the individual while providing a safe and welcoming learning space for everyone.

The VET sector has often been characterised by a significant movement of talent in and out of training providers. The loss of skills and knowledge resulting from this churn has a large impact on the overall quality of training and assessment. It also means that we are continually re-skilling the workforce in the expectations of clients and government.

Regardless of the sector, there needs to be standards and modes of operations. I would like to change the way we view the regulatory framework, seeing it as a basis for supporting quality within the Vocational Education and Training sector.

Interview with Maciek Fibrich, Quality and Compliance Auditor

Maciek Fibrich is the Director of RTO Coaching and Consultancy Pty Ltd which provides amongst other services, coaching, mentoring and consultancy services as well as professional development and operational support to training organisations across Australia. Maciek has been working in the Vocational Training sector for 21 years and as a consultant for over 15 years focusing on the development of training within the Australian Vocational Education and Training industry.

Over the years, Maciek has mentored many business owners, company directors and CEO’s on developing internal systems to streamline their practices. Maciek has also employed over 25 staff, whilst managing a company with 8 business activities.

Maciek holds a Bachelor of Applied Science and various vocational qualifications including the Diploma of Quality Auditing, Diploma of Training and Assessment as well as a Certificate IV in Business Management; and Training and Assessment. Maciek holds his Lead Auditor Certification and has professional membership with the Australian Institute of Training and Development, the Institute of Learning Practitioners and the Institute of Learning and Development.

On a personal level, Maciek has been actively involved with the Polish community, participating in and leading a range of youth groups including the Polish Scouting Association of Australia, a number of Polish Folk dance groups and youth leadership programs, the sport of Volleyball, as a player, coach and national and International referee, officiating during both the 2000 Sydney Olympics and Paralympics.


Here is a copy of Maciek Fibrich’s interview conducted by Sukh Sandhu.

It is always a pleasure to speak with you as one of the most highly regarded and quality-conscious consultants in the RTO sector. So the questions prepared by The VET Sector experts for you are:

Q1: When it comes to quality consultants, what are the top five qualities that RTO clients should look for?

Everyone defines quality differently and what I regard as a quality consultant may be very different to someone else’s perspective. Five qualities I believe help make a quality consultant include honesty, integrity, the ability to interpret other people’s information, always looking for a better way and of course a solid understanding of the systems we are working with.

At the end of the day, you need to feel comfortable with the consultant you are working with. You need to be comfortable learning from them, comfortable asking all the perceived ‘silly’ questions as well as the tough questions and trusting them to do the right thing. But, remember that you also need to do your part of the process and not rely on the consultant to do everything for you as it’s not them answering the questions at audit.

Q2: You have been a fairly objective observer of regulatory activity in Australia, so how would you describe the regulatory climate in Australia right now? ‘

I believe we are in a good space with regards to ASQA. Is it perfect? Far from it! Is it costly, yes! Excessively? Possibly. Money aside, (said no one ever), I think the changes that have come this year have definitely helped mend many bridges, however, there is still a long way to go.

I believe we have taken some amazing steps, and the management team at ASQA should be congratulated for being proactive and hopefully things keep progressing. I have already observed and participated in some regulatory processes that have truly brought a smile to my face and hope these instances continue.

That said, providers must not get complacent! The current COVID relief packages will end soon, and the restrictions on movement will ease, and while it’s been easy to fly under the radar, this does not mean we have been exempt from being compliant and properly managing our businesses. If, like our personal COVID kilos, we’ve let ourselves go in the compliance and business area, it’s now time to start a solid routine and get the business pumping again. You don’t want the shock of an ASQA audit to be as bad as the first time you jumped on the scales in 12 months!

Q3: When it comes to RTOs, what are the top five characteristics that distinguish a good one from a bad one?

Like the first question, the perception people have about a good RTO will be dependent on their needs. Some people want a hassle-free ‘quick’ qualification, and others want the full service, 12 month-guided experience.

So that said, I believe a good RTO is one that listens to its customers, supports the industry it’s ‘feeding’, understands that business and compliance have to go hand in hand, and implements that critical systematic approach to its operations to ensure it can achieve, what I promote, profitability, scalability and sustainability. A good RTO will generally have an internal culture of education

A good RTO will ensure the outcomes of its students meet the needs of both students and the vocational area the student is studying. From a business perspective, a good RTO is one that understands the business that it’s in, understands what problems it’s solving and can implement the principles of transparency, autonomy and accountability within its processes.

A ‘bad’ RTO? I guess that would be the opposite of a good RTO, but I also want to differentiate a bad vs dishonest RTO. Any dishonest RTO would be a bad RTO. One that cheats the system for gain, ‘sells’ its qualifications, exploits students and funding etc. A bad RTO would be one that also doesn’t care about its students, doesn’t understand the business that it’s in and generally has a disregard for compliance and the needs of the industry. Bad RTO’s often have a cultural issue that comes from the top, or in ‘cells’ within the business. It’s not hard to turn bad RTOs into good RTOs, but it does take commitment from the top.

Q4: What kind of services do you provide to RTO clients through your consulting company?

The main service I now provide is education. One thing the 20+ years of consulting has taught me is that if we don’t educate our clients, we fail them. We also need the clients that want to be educated but that’s a whole other issue. Over the years, I have provided basically every type of service needed within an RTO, but now I like to focus on the coaching and mentoring side of my business. This gives me the greatest amount of satisfaction and joy as I see better results over the medium to long term.

While I still do the small bits of consultancy, they are not my focus area as I find that there is a level of dependency that is developed when you do everything for the client. If I teach my clients, and their teams, to understand the issue and help them implement the fix, this empowers the team and avoids statements like, ‘Oh he’ll do it’.

About two years ago, I launched my CMC program, which incorporates Coaching, Mentoring and Consultancy into a weekly solution for any CEO or manager who wants to understand their business at a much more intimate level. The program explores challenges and issues within the business and we work on solving those issues. We then educate the team on the issues and solutions, and once we have the foundations set, we can then build the solution. I find this a much more effective approach to simply ‘doing it for the client’.

Q5: You and your colleagues Tamara and David host a fantastic monthly meeting session that is completely free of charge. What inspired you to start this and how has your experience been so far?

Thank you for the kind words! Tamara is the brainchild behind the monthly sessions and she approached us to see if we wanted to be involved. For me, sharing knowledge and teaching others, and making the world and our industry as a whole, better, is what drives me, and I think that can be said for most people within our industry. If I could do it daily, for free, I honestly would. Thankfully, my business is doing just that, and I am fortunate enough to be paid to educate others so I truly feel like I don’t work. I love what I do and that passion drives me!

The experience so far has been great and the feedback has also been great. It’s a real honour and privilege to be able to share my learnings from the past 20+ years of working within the industry to help overs and hopefully, improve their businesses and the lives of their students and staff.

Q6: What are the most effective survival tactics for organisations working in the current environment?

  1. Know your business. If you are flying by the seat of your pants, and have survived, you’re lucky but business is not about luck. Know your numbers and review them. At the end of the day, for most, an RTO is a business and is designed to make money. Even those that are not out to make money, still need to know their numbers to ensure whatever funding source is feeding them doesn’t dry up one day.
    Questions you should be asking; What is your cost per lead? Cost of acquisition? Profit per student? Percentage spent on marketing? etc etc.
  2. Know the climate and environment. How does the regulatory approach align with your current business practices? Do you have a systematic mindset? Does your team have a whole of business attitude where compliance isn’t one person’s job? Is there a shared understanding of the clients and industries needs so that everyone within the organisation can effectively input into the growth and sustainability of the business? The more you understand your business, the documents and processes that exist within your business, the better prepared you will be for any challenges that arise.
  3. Focus on what you are doing, not what the others are doing. I’m not saying don’t look at your competitors, but it’s too easy to get caught up with the concept of following the herd. Until you understand where the herd is going, you are following blindly. Too often we see within this industry, a race to the bottom in terms of pricing and course duration and newcomers follow because they want a piece of the action, only to find they are not making money. Make sure you have a plan, focus on your plan and amend as required. Make sure your team is on board.
  4. Keep the passion, park the ego and emotion. Passion is key to the success of any business and job. Without passion, little things become problems, resentment sets in and issues fester a lot quicker. Passion is what drives up and when we lose that passion, we either need to take a break and find it again or pivot and change the way we do things. I have pivoted my business countless times as I grew. From focusing on straight admin management in the early days, to countless startups and now my coaching programs. As I got bored, and wanted more, I reinvented myself to ensure the passion kept burning.

CAQA FAQ Series – Industry consultation

What is industry consultation in the RTO context?

It is a process in which the training representatives of a training organisation consult with representatives from the industry to determine whether they are using the most appropriate facilities, equipment, and resources for delivering the training, whether their trainers and assessors have the most up to date qualifications and skills, whether their training and assessment strategies, methods, technology, and training and assessment resources meet the needs of industry. The goal is to get an understanding of the best practices and resources available in the sector, as well as to modify those resources to better match the needs of that industry.

What do Clause 1.5 and Clause 1.6 say? Why does it state that the RTO’s training and assessment practices should be relevant to the needs of the industry and informed by industry engagement/ participation?

The training organisation in the vocational education and training sector delivers and assesses any training product to ensure that the learners are prepared to work in the industry or are better able to operate effectively in the industry after completing the training course. The training organisation must ensure all of their training and assessment practises, including identifying compliant RTO learner and assessment resources, all assessments meeting the principles of assessments and rules of evidence, and other applicable requirements; delivering training and assessments in a compliant manner to learners, including the skills and competencies of the trainers and assessors delivering and assessing the training; and participating in validation, contextualisation, customisation and all other activities related to the training and assessment, are in line with current methods, technology, products and performance expectations for the workplace tasks specified in the training package or VET accredited course and standards of registered training organisations.

Clause 1.6 states ‘a range of strategies’, what are those?

A range of strategies refers to various approaches and methods that a training organisation must employ in order to conduct industry consultations. The RTO must collaborate with industry stakeholders to develop appropriate contexts, methods, resources, and engage trainers and assessors in the delivery and administration of training and assessment practises. Consultation strategies can include a variety of methods such as face-to-face meetings, surveys, interviews, advisory committees, workplace visits, email exchanges, workshops, and other forms of engagement.

What you should discuss when you engage with the industry.

The requirements of Clause 1.6 clearly states what you must discuss. We have added a few examples of what the content of these discussions may include based on our audit experiences and industry best practice.

Training and Assessment Strategy:

i. Training and assessment strategy (TAS) for each training product for each learner cohort
ii. Choice of electives
iii. Pre-requisites
iv. Corequisites
v. Appropriate contexts and methods
vi. Delivery modes such as face to face, online, on the job, distance learning, blended mode of delivery
vii. Delivery schedule/order in which units should be delivered and assessed
viii. The needs of groups or individual learners such as reasonable adjustment in training delivery or assessment
ix. Meeting the needs of the training package or accredited training product
x. Specific admission requirements especially where the entry requirements are not included within the training package or accredited training product
xi. Required trainer and assessor competencies
xii. Assessment guidelines and qualification packaging rules
xiii. Assessment evidence requirements specified in the training products such as units of competency

Training and Assessment Practices

xiv. Regulations or laws governing the industry and/or standard operating procedures, equipment and machinery used at the enterprise level
xv. Aspects of the work environment (for example, shifts or seasonal changes to schedules) that will affect delivery and assessment
xvi. Employer preferences about the way in which a program is delivered
xvii. Facilities, equipment and supervision that will be available for work placements
xviii. How simulated work environments should be set up to reflect workplaces
xix. Advice on contextualising or adapting purchased assessment materials to suit workplace contexts.
xx. Validation practices
xxi. The length of a unit of competency

Training and Assessment Resources

xxii. Assessment resources
xiii. Learner resources
xxiv. Support staff or resources
xxv. Facilities
xxvi. Equipment
xxvii. Technology
xxviii. Simulated work environments
xxix. Agreements for the use of resources and facilities

Currency of industry skills of trainers and assessors

What changes should be implemented as a result of engagement with industry and employers?

A number of changes can be implemented as a result of engagement with industry and employers, such as:

  1. changes to training and assessment practices and resources based on advice from industry regulators about new regulatory requirements
  2. implementation of workplace visits for trainers and assessors to ensure currency of understanding about workplace practices, based on advice from employers.

Who are suitable industry representatives for industry engagement and consultation purposes?

People who work in team leadership, supervisory, or management positions and who have the ability to recruit others are the most appropriate industry representatives for industry engagement and consultation because they can provide the best advice in terms of:

a. the skills and competencies they seek in the learners
b. the quality of resources they are considering for
c. the quality of training and assessments they would use at their workplace.

Can you give some specific examples of suitable industry representatives for industry engagement and consultation purposes?

Suitable industry representatives can include:

  • Team leaders
  • Managers
  • Directors
  • Members of industry advisory committees
  • Work-based training providers
  • Training advisory bodies
  • Other relevant industry bodies
  • Ongoing networking with industry organisations, peak bodies, or employers
  • Enterprise RTOs
  • Unions
  • Licensing and regulatory bodies
  • Networks of relevant employers and industry representatives to participate in assessment validation
  • Exchange of knowledge, staff and resources with employers, networks and industry bodies.

How often do I need to do industry consultations and industry engagements?

Although there are no set timeframes or frequency requirements specified in the regulatory standards and guidelines, we recommend that you perform this process at least once or twice a year.

Industry consultation and engagement should be planned, scheduled, and conducted on a regular basis. Industry participation should be a regular part of the validation process and should be scheduled as part of the validation schedule. Evidence of current industry engagement, on the other hand, is necessary for the purpose of renewing a registration. Ideally, “currency” should be available within 12 months of the registration period.

When is industry consultation compulsory?

Industry consultation and engagement is compulsory if:

  • Your training organisation is adding a new training product to its scope of registration
  • The legislative or regulatory standards, guidelines or requirements change
  • The training product is superseded
  • A new training and assessment strategy is developed for a new learner cohort
  • On a regular basis using a range of strategies to meet the requirements of standards for registered training organisations

Can I do my industry consultation and engagement with another RTO? For example, I do their consultation, and they do mine.

The short answer according to our experience is “no”. The regulatory body expects training organisations to genuinely involve industry representatives (outside the training organisations, wherever possible) to participate in the industry engagement and consultation processes.

What is the rationale behind conducting industry engagement and consultation?

In order to benefit from industry engagement, it is necessary to understand what the information collected from this engagement will be used for and how it can assist the RTO. It will;

  • Assist in the development of training and assessment strategies
  • Help choose the most appropriate training and assessment materials, equipment, facilities and resources
  • Provide feedback on the RTO’s delivery of training and assessment,
  • Ensure that the RTO’s trainers and assessors have current industry knowledge and expertise.

Industry engagement helps to ensure that graduates have industry-relevant skills and knowledge and are able to apply them in the workplace which means that the training and assessment programs are industry-relevant.

Is there any template prepared and published by the regulatory bodies for industry engagement and consultation?

A template has been prepared and published by the regulatory body for accredited course application https://www.asqa.gov.au/course-accreditation/renew-course/stage-2-course-review-and-redevelopment you may find it useful to include some of the particulars in this template.

What are the documents that I need to demonstrate compliance to Clause 1.5 and Clause 1.6?

There is no prescribed forms or evidence mentioned in the standards. We recommend that you have regular ongoing communication with the industry and implement a system that can demonstrate how you engage (using a variety of methods) in order to systematically monitor your training and assessment strategies, resources, facilities, equipment, and practises to ensure ongoing compliance, as well as how you systematically evaluate and use the feedback received from the industry.


For more information, please call CAQA or email us at info@caqa.com.au.

Fact Sheet: Validation of assessment resources

Compliance requirements and guidelines:

This Fact Sheet has been developed and produced to assist Registered Training Organisations (RTOs) in understanding the compliant validation practices as part of the learner resources to comply with a number of clauses of the Standards for Registered Training Organisations (RTOs) 2015.


Clause 1.9

The RTO implements a plan for ongoing systematic validation of assessment practices and judgements that includes for each training product on the RTO’s scope of registration:

  1. when assessment validation will occur
  2. which training products will be the focus of the validation
  3. who will lead and participate in validation activities
  4. how the outcomes of these activities will be documented and acted upon.

Clause 1.10

For the purposes of clause 1.9, each training product is validated at least once every five years, with at least 50 per cent of products validated within the first three years of each five year cycle, taking into account the relative risks of all of the training products on the RTO’s scope of registration, including those risks identified by the VET regulator.

Clause 1.11

For the purposes of clause 1.9, systematic validation of an RTO’s assessment practices and judgements is undertaken by one or more persons who are not directly involved in the particular instance of delivery and assessment of the training product being validated, and who collectively have:

1. on or prior to 31 March 2019:

  1. vocational competencies and current industry skills relevant to the assessment being validated
  2. current knowledge and skills in vocational teaching and learning
  3. the training and assessment credential specified in Item 1, or Item 2, or Item 4, or Item 5 of Schedule 1.

2. on or after 1 April 2019:

  1. vocational competencies and current industry skills relevant to the assessment being validated
  2. current knowledge and skills in vocational teaching and learning
  3. the training and assessment credential specified in Item 2 or Item 5 of Schedule 1.

Industry experts may be involved in validation to ensure there is the combination of expertise set out in a) or b) above.

Source: https://www.asqa.gov.au/standards/training-assessment/clauses-1.8-to-1.12


Interpretation of the regulatory requirements

This Fact Sheet outlines the requirements and responsibilities of registered training organisations (RTOs) for conducting compliant validation practices.

According to the Standards of Registered Training Organisations (RTOs) 2015, you are required to implement a quality review process (Clauses 1.8, 1.9, 1.10 and 1.11).

Clause 1.8a requires that the RTO’s assessment systems comply with the assessment requirements of the relevant training packages or VET accredited courses.

Clause 1.8b requires RTOs to ensure that the evidence gathered is valid (one of the Rules of Evidence) and that assessment processes and outcomes are valid (one of the Principles of Assessment).

These requirements must be met and demonstrated in all assessment policies, procedures, materials and tools of the RTO. Clause 1.8 primarily relates to the development (or purchase) of the RTO’s assessment resources.

Assessment validation has been strengthened in the Standards for RTOs and the requirement is to:

  • Develop and implement a comprehensive plan for ongoing systematic validation of assessment that includes all training products on the RTO’s scope of delivery (Clause 1.9)
  • Validate the assessment practices and judgements for each training product at least once every five years with at least 50% of products to be validated within the first three years of each five-year cycle (Clause 1.10)
  • Ensure that validation is conducted by one or more suitably qualified persons, who are not directly involved in the delivery and/or assessment of the training product being validated. (Clause 1.11).
  • These clauses relate primarily to the actual delivery and outcomes of the RTO’s assessment systems, including the performance of the RTO’s assessors.

Important bits of information

 

Criteria Explanation Comments
Validate the assessment practices and judgements for each training product

 

Note: In order to completely (100%) validate a training product, what is the validation time frame?

Five years after the training product is initially listed on the national register or included in the scope of the RTO. It is an ongoing process and will renew after every five years if a training package is not being updated/superseded, or removed/deleted from the national register.
Validate the assessment practices and judgements for each training product

 

Note: In order to partially (50%) validate a training product, what is the validation time frame?

Three years after the training product is initially listed on the national register or included in the scope of the RTO. It is an ongoing process and will renew after every five years if a training package is not being updated/superseded, or removed/deleted from the national register.
Why do you need to do validation more frequently? (Best industry practice) If you identified that risk indicators exist for validation to occur more frequently. The risk indicators may include:

 

  • The use of new assessment tools;
  • Delivery of training products where safety is a concern;
  • The level and experience of the assessor;
  • Changes in technology, workplace processes, legislation, and licensing requirements;
  • Qualifications identified by the regulator as ‘high-risk’;
  • Assessment conducted under a third-party agreement;
  • The number of locations where assessment is conducted;
  • The number of students;
  • The mode of assessment such as RPL or on-line;
  • Feedback from clients, trainers and assessors; and

Audit and validation history

How many people do you need to conduct the validation? One or more suitably qualified persons, who are not directly involved in the delivery and/or assessment of the training product being validated.

 

If a team approach is used, the assessors who are directly involved in the assessments being validated may participate in the process, however, they cannot contribute to meeting the team requirements of Clause 1.11.

 

If an individual approach is used, validation must be undertaken by a person who meets all the requirements of Clause 1.11.

 

Validation is a collaborative process. The team must hold collectively:

  • Vocational competencies and current industry skills relevant to the assessment being validated
  • Current knowledge and skills in vocational teaching and learning
  • The TAE40110 Certificate IV in Training and Assessment (or its successor) or the TAESS00001 Assessor Skills Set (or its successor).
  • Validators can be employees of your RTO, or you can seek external validators.

The trainer and assessor who delivered/assessed the training product being validated:

  • Can participate in the validation process as part of a team
  • Cannot conduct the validation on his/her own
  • Cannot determine the validation outcome for any assessment judgements they made
  • Cannot be the lead validator in the assessment team.
Do you need to keep the records of validation? It is important to keep the records of all validation activities and validators as auditors might ask for it during audit activities and for managing continuous improvement processes at an RTO. 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-to-date and current.
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 who (needs to be included), when (what date and for how long), and what (which units are being validated, what information will be needed, from where are we getting it) the better your outcomes for your validation will be.

It is important RTOs have a clear understanding of the terms being used before they commence developing assessment validation plans and schedules under Clauses 1.9 -1.11.

 

For example, in the context of the Standards for RTOs:

 

  1. What is a training product?

 

  1. What is the intent of assessment validation?

 

  1. What is a statistically valid sample?
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/conducting-validation#validation-sample-size-calculator

Validation outcomes You must keep all records in 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.

 

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.

During an audit, the auditors are looking for evidence that you have established a system that assures the quality of assessment in your RTO.

 

This will include:

 

  • having processes and tools that enable validation at all stages of the lifecycle of a training product in your organisation;
  • having a plan for validation that is implemented successfully in your organisation;
  • being able to demonstrate that you have managed who participates in the validation process;
  • being able to demonstrate that your assessors have made quality assessment decisions; and
  • your assessment practice has improved as a result of validation activities.

Description:

Validation is a process of checking the assessment tools, methods, judgements, evidence and processes to ensure that the training product meets:

  • ​Principles of Assessment – i.e. valid, reliable, flexible and fair
  • Rules of Evidence – i.e. valid, authentic, current and sufficient
  • The judgment made by the trainer/assessor is benchmarked with colleagues or industry experts
  • There is sufficient evidence to support the judgment of the trainer/assessor
  • Whether the requirements of the Training Package or accredited course have been met.

Typical benchmarks used during the validation process include:

  • National training packages which are developed by Skills Service Organisations (SSOs)/ Industry Reference Committees (IRCs) and can be found on the training.gov.au website.
  • Units of competency consist of competency standards and need to be unpacked so that those validating the assessments can compare the actual competency against the tools being validated.
  • Industry standards and consultation will vary, and these standards form the basis of the skills and knowledge required to perform work roles.
  • AQF Guidelines and Framework
  • Information provided to candidates, assessors and third parties
  • Legislation relevant to the assessment such as privacy, health and safety, anti-discrimination, copyright law and so on.

Assessment system

Documents required for conducting an effective validation session, in the RTO’s assessment system, includes but is not limited to:

Validation related documents:

  • Validation plan
  • Validation schedule
  • Validation record or validation form
  • Validation register
  • Validation report form
  • Continuous improvement form
  • Continuous improvement register
  • Pre-assessment validation documents

Assessment resources:

  • Unit assessment pack/student pack
  • Trainer assessment pack/assessor pack
  • Mapping document
  • Assessment evidence according to a sample size

Other documents:

  • Training and assessment strategy
  • Feedback forms
  • Unit of competency
  • Companion volume/implementation guide
  • AQF framework
  • ACSF framework

You will be required to evaluate if the assessment resources meet:

  • Training package requirements (application, elements and performance criteria, foundation skills, performance evidence, knowledge evidence, assessment conditions)
  • Principles of assessment; fairness, flexibility, validity and reliability
  • Rules of evidence; valid, sufficient, authentic and current
  • The appropriate level of difficulties (AQF Level)
  • Provide sufficient and clear instructions
  • Record any appropriate adjustments

What should you consider?

There are a number of things that you must consider when planning the validation, they are:

  • The responsibilities of who is accountable for what should be discussed in detail.
    • Awareness of when a training product gets superseded, deleted or removed and their implications
    • The validation requirements applicable to each training product
  • Requirements for documentation
    • Having a compliant validation plan/validation register and validation schedule
    • Processes and tools used for validation at all stages of the lifecycle of a training product
    • Evidence of the suitability of individuals part of validation panel
    • How the assessment practices have been improved as a result of the validation activities

Should RTO consultants be regulated through a Government or professional body?

Training and education is a complex and vast subject. It is only prudent that we regulate this field to make sure that individuals who are part of it are providing advice and are doing what they claim they can do.

Training and education consultants seem like a dime a dozen these days. However, with the large numbers, there is less regulation of the quality of service offered by such professionals. This leads to poor consultancy services as well as individuals using this as an opportunity for exploitation.

A common misconception among consumers is that they can find out if somebody they are seeking advice from has any kind of qualification or not by searching for them online. The truth is, most unregulated individuals will not show up in searches. So it becomes even more important for Governments to regulate this profession because it serves as an opportunity for unethical individuals to prey on unsuspecting consumers.

Lack of regulation in the training and education industry has led to the exploitation of a number of clients by these so-called training and education consultants, RTO consultants, VET consultants, RTO experts or Auditors.

There are many people who work as consultants, but not all of them should be classified as “RTO experts” or “RTO consultants”. There are many people who provide services that look like training compliance support or audit support who are not qualified or experienced enough to do so.

Almost all other similar types of occupations are regulated in Australia so why not RTO experts and RTO consultants?

Benefits to regulating consultancy

The benefits of regulation are many.

Firstly, it means that businesses won’t have to worry about staying compliant with legal requirements as there will be clear guidelines and quality charters.

Secondly, this would give customers peace of mind knowing that the services provided by their consultant is legitimate, factual and compliant with industry regulatory standards and best practices.

It should also promote continued professional development for the RTO consultants.

Detailed client assistance and support charter

Regulating consultancy will protect consumers from being taken advantage of and a professionally qualified consultant will be able to provide high-quality services. The regulation would also provide a clearer and more transparent system for both clients and providers to understand how these services should be delivered.

Either a government or professional body could be the regulator and validate qualifications and enforce standards of behaviour for the consultants.

Interview with David Jepsen, Founder and Principal of RTO Accountants

With over 25 years’ experience as a practicing CA, David is the Founder and Principal of RTO Accountants. David started his career at KPMG, moving onto mid tier accounting firms and commercial roles with Citigroup, Zurich, CBA and others in Sydney and London before setting up an accounting practice in 2001. Offering commercial and practical advice, David believes the foundation for business success is built upon strong, trusted and lasting client partnerships.

David is commercially minded and works collaboratively with clients to develop strategies and solutions for complex business challenges. Having worked in accounting firms as well as public and private businesses, David has a breadth of experience in accounting, taxation, business advisory, financial control/CFO roles, ensuring his clients receive top-level, expert advice.

Specialising in the VET/CRICOS/ELICOS sector since 2016, he has extensive experience working with RTO’s. Specific areas of experience include sales due diligence work, tax advice on sales and other, business group structuring, board reporting, financial viability risk assessment requirements (FVRAR) and business advice.

David loves his sport and played rugby for many years, he still follows the game at all levels from club to international closely. He now enjoys getting outdoors all year round to train and compete in kayak races.


Sukh Sandhu: How long have you been assisting RTOs with financial viability risk assessments, and what has your overall experience been like in this field?

David Jepsen: We have been working with RTO’s since 2014 and financial viabilities from 2018, which was just prior to the introduction of the version of the FVRA Tool we still work with now. The FVRA Requirements were very basic and the introduction of the new requirements in 2018, was like moving from 2 to 9 out of 10 in terms of financial reporting complexity. The sector was not accustomed to this level of financial reporting; I still see issues with that, though I think the sector is getting accustomed to this and the need for this.

The FVRAR and its Tool are complex; as qualified accountants it took us many hours and late nights to get our heads around it and learn its nuances, this is a process for us that never stops.

Sukh Sandhu: What are the five most common mistakes people make when completing the financial viability risk assessment packs, and how can they be avoided?

David Jepsen: I will start with saying we have an initial meeting with clients prior to them starting work on financials and we prepare the Tool for our clients to avoid these mistakes. The client owns and knows the RTO and its plan, though we address and guide our clients on our area of specialisation early to make the process effective and simple for the client.

1. Business Plan or other information available to ASQA contradicts the FVRA Tool.

Solution (S): Get your signing accountant to review the business plan and directors be mindful to understand if changes in the forecast affect other documents.

2. Over emphasis on the bank balance to prove viability.

Solution (S): Provide a financial guarantee and evidence of available liquid assets to fund the RTO; proving the RTO has access to funds. Funds can easily and quickly be deposited or withdrawn from an account.

3. Over optimistic forecasting; higher revenues and lower costs to make the RTO more profitable.

Solution (S): be realistic, even conservative and consider all costs and choose a mid range of student numbers and not the best scenario. Business start ups are rarely profitable and take time to grow and make a profit; accountants and auditors are aware of this.

4. Incorrect and incomplete Tools; the various sheets do not reconcile and/or are not completed correctly; leads to a Tool with a red light and automatic rejection.

Solution (S): We only see these issues when the tool is done by the director’s or another advisor and RTO Accountants are brought into review. Working with an accounting firm experienced with the Tool is the solution, alternatively spend a lot of time and hopefully get it correct.

There is a lot to consider including future, actual, historical financial and operational information that reconciles. Forecasting the balance sheet and cash flow in software and not excel. Accurate financial reporting of this complexity is difficult even for qualified accountants using specialised forecasting software.

5. Forecasting Accuracy

Solution (S): It is a forecast of the future, no matter what you do it will not be 100% correct; consider all the information currently available to you and find a comfortable balance in the level of detail, we can guide you.

Sukh Sandhu: We understand that you also assist organisations with the selling and purchase of RTOs; could you perhaps elaborate a little more for our subscribers?

David Jepsen: For sellers we can help to clarify or prove the value of your RTO via forecasting and a valuation of the RTO. We can provide a report on this that improves the sale process for you; attracting more buyers and a higher price as you are able to articulate the RTO value via this document and discussions. The report can be presented to brokers and potential buyers.

For buyers it is usually Due Diligence (DD) work on the RTO you are considering acquiring. The potential scope of Due Diligence work is very broad as its ultimate objective is to ensure the RTO financial position is as the seller’s state in their financials; the process is like a financial audit. We want to check that you are buying the RTO you think you are. The scope of work is discussed and decided with the client and can change through the process. Many buyers don’t undertake DD as it is a cost that may be large compared to the purchase price; the potential consequences and costs of not undertaking DD when you purchase a RTO can be much larger than the purchase value as the buyer inherits the past of the RTO including any compliance, legal and financial issues, and risks. Our DD findings have saved clients millions. There are many examples including:

  • A $200k RTO purchase we discovered that the RTO had not paid tax or GST for years and the new owners would be responsible for the $150k; the buyers purchase cost is doubled once penalties are included
  • In another DD the RTO was accounting for training revenue on a cash basis prior to training delivery and therefore it looked more profitable than it was. Once discovered the sale price was renegotiated from $1m to $750k; $250k savings.

DD work prior to the purchase is more effective than resolving via enforcement of the share sale contract post sale. Enforcement of the share agreement is difficult and includes directors time, court costs and an unknown outcome. Our due diligence work is focussed on the financials, and we work with other specialists on the DD. Engaging RTO specialist lawyers and consultants should be considered.

DD can also be done for sellers, though is less common. It is more likely to happen if the seller is relying on the new owner’s performance; for example, if the sale includes an ‘earn out’ whereby the sale proceeds will depend on the performance post change of ownership, you want to ensure the buyer will keep the RTO profitable.

Sukh Sandhu: What are the most significant financial risks that training organisations face in today’s environment?

David Jepsen: It depends on the RTO of course, though broadly speaking COVID still looms large for me as a risk to business and the economy for some time, I hope we have seen the worst of it. The last 18 months turned out better than many RTO’s envisaged as they cut costs, received Government support for their business and education became an economic priority and recovery plan that has led to funding of training. I know many colleges have not been so lucky, especially those exposed to international students.

General Government support of the economy, such as Jobkeeper, Jobsaver and disaster payments will be withdrawn and that may also pose risks to the economy and perhaps then student expenditure on courses.

From history we know that funding of training can be withdrawn quickly and that is a risk that directors should remain aware of and have plans in place for.

The regulator has been subdued in its compliance actions since January 2020 and I think that may change as they start to conduct monitoring reviews on inactive or suspected non-compliant RTO’s.

Management and understanding of the RTO operations and financial position, to ensure that you are making a profit and are cash flow positive in the medium to long term. There can be a race to the bottom in reducing student fees against competitors and you need to ensure the fees you are charging will cover your operations and provide the owners with a return on their investment.

Sukh Sandhu: When it comes to working with the national regulatory authority, how has your experience been?

David Jepsen: I have had meetings with the regulator on the FVRAR; that took a little time to organise though they were productive meetings.

Administrative Appeals Tribunal (AAT) attendance to defend a client’s financial viability against the regulators legal team and forensic accountants. The outcome for the client was favourable, though being questioned by a legal team is never too much fun, though it was challenging and satisfying to explain the financials in that environment.

Recently the regulator seems more communicative and proactive regarding its role and how they will undertake that role, hopefully we will see this in its actions going forward.

Sukh Sandhu: Are there any suggestions you would like to offer to people who are interested in getting into the RTO industry?

David Jepsen: It is a regulated sector as education is a matter of public interest and therefore there will be scrutiny on your affairs and how you intend to operate your business and maintain financial viability. This level of scrutiny will mean setup takes more time and costs more. Most sectors do not have this scrutiny; though writing a business plan and a financial forecast would help all start-up businesses and deter those not ready for the responsibilities of running a business.

Buyers of an RTO business need to get to know the sector and do your due diligence. Training is a happy and positive sector, the conferences are enjoyable, the people involved care about their students/clients.

As the accountant I have to say businesses have a responsibility to society, their clients, staff, suppliers, and other counterparts. For all the efforts and stress please ensure you make a decent return out of it. Understand your financials, risks and what you are making from the business, get regular reporting not just once a year.


For those who wish to connect with or follow David Jepsen, you can do so via his Linkedin, here – www.linkedin.com/in/david-jepsen