Interview with Peter Doukas – Managing Director, Denison Toyer Education Lawyers

Peter owns and operates Sydney based education law firm Denison Toyer.

Working in the field of Education Law and Corporate Governance since 2007 Peter has acted for over one hundred Registered Training Organisations and Higher Education Providers in various stages of the education management cycle. He routinely acts for colleges in the Administrative Appeals Tribunal and provides extensive advice to RTO Management, Higher Education providers, Educational Conglomerates and Universities. His professional practice also includes providing legal and governance advice to listed and unlisted company boards. He has acted in some of the largest cases involving ASQA in the AAT.

Peter is also active in the multicultural space and acts as a volunteer director on various boards. He is the current chair of the Ethnic Communities’ Council of NSW. He also works providing pro-bono legal assistance to new and emerging communities, particularly in the establishment of associations and governance structures within NSW.

Peter was awarded Honour of Member of the Order of Australia for services to Multiculturalism on Australia Day 2020.

Here is a copy of Peter Doukas’s interview with Sukh Sandhu:

Thank you, Sukh for the opportunity to be part of the publication. I think it is exceptional that you have maintained the publication throughout the COVID period and it is in my view has never been a more critical time in the history of VET to properly liaise with the sector in all its shapes and sizes and the publication does this.

What are the top five genuine reasons for a regulatory body to take strict action against a training provider?

This is an interesting question. The word ‘genuine’ is something that has troubled representatives in the profession and around the sector for the last 10 years. What constitutes a genuine problem or a genuine reason for a regulatory body (any regulatory body) to take strict action against the Training Provider. The unique example of VET is one which we should bear in mind moving forward as it is the current question before us. In my view, strict action including sanctions should be the last resort. By sanction I mean the sanction of either cancellation, suspension or any other form of sanction which directly affects the ability of the organisation to trade. In my view, there are a number of items where such strict action should be taken. These include but are not limited to:

  • Criminal conduct by the Provider
  • Conduct that is not criminal but unlawful such as breaching the provisions of the NVR Act. If it is proven however to a criminal standard.
  • The use of the VET framework to further commercial interests. It has occurred routinely that I have seen individuals (either Providers and non Providers) use the mere fact of the highly regulated VET environment to further their commercial interests when pursuing them against an RTO.
  • When there are examples of mistreatment of students. This is an extension to the student centred approach that ASQA has taken in the recent past in which in my view students and their experience while studying in our VET Sector should be prioritised above all else.

When should RTO representatives seek the advice of a legal professional?

The question of when a RTO representative should engage a legal professional has plagued me for some time. I have too often been brought into cases that have been run or attempted to be run by Providers without the involvement of a lawyer. This ends up costing Providers exponentially more and in some cases the problems are too large to fix before a sanction either takes effect or can possibly be unwound. In my view is prudent for an RTO to permanently retain (this does not need to be on a financial basis) a lawyer or law firm for the sole purpose of providing legal advice. If you have a lawyer ‘on the books’ it would make the function of dealing with sanctions or any inquiries from the regulator more easy. We must remember, the VET Sector is a highly regulated environment and a VET Provider particularly a CRICOS Provider operates in the framework of multiple interlocking contracts, agreements and regulatory requirements. The idea that RTOs could go along without having legal advice outside of leasing and other contracts on an Ad-hoc basis is not realistic. For larger Providers I strongly recommend the establishment of a Board of Directors of which a retained lawyer and compliance expert sit as advisors to this Board (not necessarily Directors) but provide routine advice on compliance and on structures of the business of VET delivery.

This question is an extension to the previous question, in what ways can a legal practitioner, such as yourself, assist an RTO who is experiencing a legal problem with the regulatory body?

To answer the question about how a lawyer can address the problem facing a regulatory body or facing a registered training organisation is not as appropriate in my view as to when to involve that person. We in this Sector operate in a very unique regulatory framework. ASQA as a regulator has to face Providers which for the most part try to do the right thing but often find themselves on the wrong side of regulation or audits. I have seen on many occasions legal practitioners in some cases from very large firms find themselves completely out of their depth with regards to the implementation of the NVR Act and audit reports as part of regulatory functions. I have noticed the impact of regulatory decisions that have been taken by the regulator not being properly addressed either due to fellow practitioners not fully understanding the way the NVR Act works nor the way that AAT matters should be run. AAT litigation in the RTO space is unique and is very rarely dealt with by legal practitioners operating outside of the RTO space. There are a number of lawyers in Australia who have experience in these matters and I would encourage RTO owners to seek out lawyers who actually have acted in the AAT and ideally brought a matter to final hearing. It is not enough to simply ask a lawyer when shopping around ‘have you taken an RTO to the AAT?’. The real questions that need to be asked is whether:

  • The lawyer has taken a matter to final hearing
  • They have run a contested stay application; and
  • They have conciliated an outcome to the benefit of the RTO.

As you would have noticed, there was a time when RTOs were being cancelled left, right, and centre for trivial reasons that had no or little influence on students. Do you still witness the same pattern, or have the processes been improved?

I think the Regulator’s processes have improved dramatically in the last 18 months. In my view, the Regulator has made a genuine attempt to engage with the Sector and have as an outcome a collaborative and collegiate system of compliance and regulation. Also, it must be said that there were quite a few more RTOs at the beginning of 2018 than there are today. This can partly be due to the cancellation of many in between 2018 and 2019 and also of course a result of the impacts of COVID-19. In 2018 and for most of 2019 I remember running at least one stay hearing each week. This was a time when RTOs were being shut or sanctioned as a result of audit reports that didn’t really hit the mark. There are a number of factors I believe that have changed this. Some of which include some significant wins for RTOs and in final hearing before the AAT,other factors involve the change in perspective from ASQA to a more collaborative model of compliance. I think it can be said generally that the RTO space we are going into in 2022 is fundamentally different from the RTO space that we had in 2019. I am excited at how the Sector will look because I think that we now have a Regulator who can see the value of a competitive, compliant but confident VET Sector that isn’t always looking over its shoulder.

What are the primary reasons for the departure of so many people from the vocational education and training industry?

The departure of people from the Vocational Industry I believe will be reflected as one of the most dramatic and problematic events in Australian commercial history. I have a colleague who is looking to conduct a PhD in Vocational Education and is unable to find a supervisor. It is the case that people have left the VET Sector and found opportunities elsewhere for many reasons, but central is the lack of focus that has been placed at the sector at a policy level. RTO owners shutting or selling their RTO’s tell me that they have lost faith or lost confidence in the Sector. I have worked tirelessly to try to convince people to remain within the Sector and either keep their colleges open or at least keep themselves in the space in some way. I believe that we are about to embark on a significant period of growth in VET and we need as many experienced operators as possible. This is due in part to the combination of a skills shortage in Australia and the gradual opening of our borders to international students.

Any legal advice you’d want to share with people who are interested in entering into the RTO industry or who are currently operating in the industry would be greatly appreciated.

My view is that VET is about to take off. Unfortunately, I am looking to the government to support the Sector and support the entrance of people into the Sector. When I say government, I do not mean the Regulator but education policymakers in Canberra. We need to remember that international education is either our second or third largest export market depending on the context. Could you imagine what would occur if mining in Australia had experienced the nearly 30 per cent decline in people working in the Industry? This is VET since 2019. I believe government should look both into the push and pull factors affecting how people engage with the Sector. They have certainly addressed the push factors by the reforms of the Regulator and I think that now finally ASQA has the framework of a forward-thinking and flexible Regulator in a competitive international market which can finally be compared to Regulators in other Anglosphere jurisdictions such as Canada, New Zealand or the United Kingdom.

As to the pull factors, I believe that we really need to focus on trainers and RTO owners. These are the people who dedicate huge chunks of their life to the training of VET Students and it is these people who need our support and credit in what I hope will be a re-emergence of our VET Sector.

For those who wish to connect with or follow Peter Doukas, you can do so via his Linkedin, here – www.linkedin.com/in/peter-doukas/

November 1, 2021 ASQA, Higher Education, RTO, VET Sector Comments Off on Interview with Peter Doukas – Managing Director, Denison Toyer Education Lawyers

Compliance and regulatory requirements to use video evidence

Video evidence can be used to support learning in a variety of contexts. It is becoming an essential tool for trainers/assessors and RTO administrators in order to achieve compliance with regulatory requirements.

The use of video evidence has been growing by leaps and bounds over the last few years. It is now being used in classrooms, practical assessments, institutional assessment, licensing, accreditation, assessment centres, distance education settings and more.

The three main benefits of using video are that it is able to capture all learning opportunities, provide evidence in a specific situation, and be time-efficient.

When assessing student achievement, video evidence is one of the types of proof that can be relied upon without question. RTOs can also benefit from video evidence in a number of other ways, including the following:

  1. One of the best ways to demonstrate competency: Video evidence is often used when the trainers/assessors need reliable evidence that students have achieved the skills they need to successfully complete a unit of competency. This allows trainers/assessors to focus on training rather than documenting what students have already learned through written assessments or formative tests.
  2. Demonstrates authenticity: It demonstrates that the student is in fact the student who is completing the assessment;
  3. Make the assessment process easier and effective: Videos may be simply uploaded into the LMS so that the examiner can see them at any time and from any location.
  4. Improve learner’s engagement: It can be used to improve learner’s engagement with the curriculum through creating content that fits their needs and interests. This is one of the best ways to provide evidence that the learner is engaged with the learning processes.
  5. A good teaching tool: It also enables students to see how they learn best and what areas need more practice. When learners watch their performance on videos repeatedly, they begin to understand what they are doing correctly and where they need to improve their skills. Trainers and assessors can provide a more appropriate resource for students with diverse learning styles through videos. Videos provide a way for trainers and assessors to show their learners what they did during class time and how they can improve on their learning. Learners also get to watch how other people successfully complete the course material or demonstrate their competency in a task or unit of competency.

Video can be challenging, but many online learning platforms offer tools like annotation to help learners produce high-quality content for their formative and summative assessments.

Are you aware of the compliance and regulatory requirements to use the Video Evidence?

The use of videos as evidence for compliance and regulatory requirements is rising with the increase in the adoption of online learning. In order to use videos as evidence, training organisations have to have a process in place and make sure that they comply with regulatory requirements.

There are a number of legal, regulatory and ethical requirements that you must know, including but not limited to the following:

  1. Privacy and confidentiality requirements – Privacy and confidentiality requirements are important when having video evidence from learners in the classroom or outside the classroom. Who else is part of the video, do learners and training organisations have permission to have these people in video in writing? Where is this video filmed? Is it breaching any privacy and confidentiality clauses?
  2. Permission to use the video material – You must seek permission from your learners before you use their photos or videos or anything related to them (including their personal details) on any of your marketing materials, materials that can be accessed by you or your trainers and assessors or any third party. One of the best ways to achieve this is through a question on your enrolment form, where if they have any objections, they can tick or untick a checkbox and you can have further discussions with them related to this matter.
  3. Data protection: In order to keep our learners safe, we should understand the importance of data protection and the compliance requirements that apply to video evidence from learners. Data protection requirements provide guidelines on how, where, why the learners’ personal data is stored, used and for how long?
  4. Unlawful surveillance: This includes not violating wiretap law, not infringing on any individual’s privacy rights, not being involved in any illegal activity while using video evidence and so on.
  5. Preventing misuse of the assessment materials: The training organisation must ensure that the purposes of using the assessment evidence are clearly mentioned and this evidence is not used for any other purposes.
  6. Ensuring the video has not been edited: One challenge with the use of video in training and education is accuracy in assessing learner performance. While this may be difficult because videos can be edited, many still think that videos are not reliable enough to assess learner progress accurately.
  7. Compliance with internal policies and procedures framework: It is important for training organisations to adopt a comprehensive approach to managing their video evidence, including policies, processes, governance models, and technology solutions that support compliance.
  8. Copyright and intellectual property rights: Who has these rights? What are the rights of learners for their assessment evidence? What are the rights of the training organisations for this assessment evidence?

So, what systems, processes, practices do you have in place to ensure you comply with all these requirements? If you need assistance setting up compliant evidence-gathering procedures and practices, please do not hesitate to contact CAQA today.

 

October 14, 2021 RTO Comments Off on Compliance and regulatory requirements to use video evidence

CAQA Online forums, CAQA Info for maintaining your compliance and regulatory knowledge

CAQA Online forums provide information for RTO professionals. The purpose of the forums is to support compliance and regulatory knowledge with the help of other professionals in the field.

Some of the benefits of subscribing to our online forums are that it provides access to knowledge sharing and networking opportunities among peers in the vocational education and training industry. You can also get information on what’s new in the industry through the online community.

The following is an example of how discussions in CAQA online forums can help:

When you are looking for answers to questions on topics like compliance, regulation, red tape etc., you can search for them on online forums or look at similar threads on different platforms. The best part is that all these discussions are available to a number of VET experts so you will get answers from real people rather than bots or system-generated answers!

The other benefits include:

-Receive timely notifications when important information is posted.
-Get access to exclusive content and offers from the sponsors and members of the forum.
-Post comments and create discussions with other members in order to build your knowledge base and stay current with current trends in the industry.

So, again, why not subscribe? Online forums provide an opportunity for you to stay up-to-date with the latest compliance and regulatory news. It also ensures that you make use of your knowledge by discussing different topics with other professionals in real-time.

To access CAQA Online Forums, please visit http://www.caqa.info

October 14, 2021 News, RTO, VET Sector Comments Off on CAQA Online forums, CAQA Info for maintaining your compliance and regulatory knowledge

Interview – Andrew Shea – CEO, Builders Academy Australia

Andrew is an educational and business professional and known intrapreneur who specialises in leading high performing teams, optimising business processes and quality assurance and compliance frameworks. He is a proven transformational leader and has successfully fulfilled managerial and leadership positions across a range of industries.

Areas of specialisation include:

♦ C-Suite executive across ASX and non-ASX businesses
♦ Experienced Chair
♦ Conference speaker
♦ Governance, audit and risk specialist
♦ Not for Profit Board member
♦ Business improvement and compliance advisor
♦ Tertiary Education digital marketing advisor

Over the last 15 years, Andrew has managed and/or consulted with a number some of Australia’s best known Registered Training Organisation’s. As a teacher by trade, he for has personally delivered training and coaching sessions to over 2000 individuals over this time.

In addition to his organisation development and leadership capabilities, Andrew is well recognised in relation to his instructional design and course development capabilities having developed high quality training and assessment materials in the fields of Hospitality, Security, OH&S, Construction, Training and Assessment, Business Management and Leadership.

Andrew has a thorough knowledge of both challenges experienced by training organisations and also industry best practice having led a number of award winning training providers.

1. When it comes to your work as the Chief Executive Officer of two Registered Training Organisation’s that have been recognised with multiple awards, what lessons are there for other providers in what you have learnt in your role?

I am really proud of the recognition that our team at Builders Academy Australia and CWBTS has received across a number of years including being recognised multiple times as the Victorian Training Provider of the Year, NSW finalist for Training Provider of the Year, and last year as the Australian Small Training Provider of the Year at the Australian Training Awards.
Despite our growth and recognition for innovation, quality and great outcomes, we have not necessarily focussed on building our business, but instead on building the capacity of our people, and in-turn, our fantastic team has then helped to grow our business and help more students across Australia through embedding innovative practice whilst maintaining quality outcomes.
We are pleased that we have been able to sustain quality outcomes for our students and employer partners for a number of years, despite the challenges from Covid-19 restrictions and these outcomes have been supported by maintaining a deep understanding of who our students are, the motivations they have towards completing their studies, and embedding industry engagement, and current and future industry skills into all content that we deliver. Through utilisation virtual reality and 3-d walkthroughs of actual building sites as part of our virtual classroom delivery model, we were able to continue to support students despite Covid-19 related limitations for periods.

My team has been proud to showcase that a focus on people, while being a for profit organisation, are not mutually exclusive measures of success in the training system. In 2020/2021, our agile business model, responsive staff and well-developed virtual learning platform has meant that not a single student has missed a training session due to COVID-19. Even the most kinaesthetic of learners has benefitted because of our real commitment to replicating on-site experience, student success and quality outcomes.

I think that maintaining a focus on what industry needs, and reverse engineering our learning and assessment strategies around how we can best support students to achieve those outcomes has had us well placed. We also deeply respect the impact we can have outside of the formal learning environment and dedicate much focus on initiatives such as diversity across the building and construction sector, supporting disengaged youth towards employment opportunities, men’s mental health awareness initiatives and reducing homeliness across our community.

We are as proud of our involvement in these areas as all other achievements and our genuineness in this focus, I believe, is respected and appreciated by both our fantastic staff, students and business partners.

2. You personally have also been recognised for your leadership in your organisation and across the sector with multiple awards such as the Professionals Services and Educational Executive of the Year at the CEO Awards. What lesson have you learnt about the importance of strong leadership in our sector?

In the 6 years I have been in my current role, and my previous senior executive roles, I have focussed on embedding a values-based culture that invests in student success – with enthusiastic staff, robust systems and innovative platforms.

I believe in a human-centric leadership approach and have attempted to build a culture of trust within my team, with a clear vision, and regular and open communication that drives greater empathy among employees and overall improves performance across the divisions of the business. This was particularly important during the uncertain periods that Covid-19 resulted in.

This focus flows through to the relationships we have with our students, as we ensure that we engage personally with people as individuals, utilise stories and marketing as tools for transformation, and engage actively in the macro-level conversations of our industry and the broader VET sector. This collectively shapes our delivery and development, which leads to outstanding outcomes and career pathways for a diverse range of students and staff.

I am a passionate ambassador for the VET sector and am proud to be part of a sector with such dedicated professionals who focus on helping students achieve their learning and career ambitions.

Over the previous 17 years, I have worked across public (TAFE), enterprise and independent training organisations, holding Senior Management and Executive level positions, delivering across diverse cohorts including to domestic students, onshore to international students and offshore to international students. This is a sector that I believe is integral to Australia being able to meet its current and future skilled labour requirements and maintain efficient and productive workplaces.

It is a sector that I look forward to continuing to take part in and positively impact for many years to come.

3. Could you briefly elaborate on your role and responsibilities at ITECA as well as how ITECA is assisting the RTO industry?

I have been actively involved with the Independent Tertiary Education Council Australia (ITECA) (previously the Australian Council for Private Education and Training (ACPET)) over the last 12 years, and I am pleased to have been able to play a role supporting the Peak body for independent tertiary education providers.

With ITECA, I am proud to be currently a Non-Executive Director and Board member, as well as Chair of the National VET Steering Group, Chair of the Governance Committee and Chair of the Victorian State Community. ITECA is supported by a strong executive team, highly respected Board members, and passionate VET professionals who represent strongly on State and National Committees.

With Independent tertiary education providers delivering the majority of training across Australia, ITECA plays such an important role as a strong voice representing the interests of its members, as well as the broader independent sector. This representation and the community of practice that ITECA has created has become even more important over the last 18 months where a range of providers have faced significant challenges aligned with Covid-19 restrictions.

The role of Peak Bodies such as ITECA is integral through the functions they complete including research, policy development, advice to government and sector advocacy and representation. ITECA plays an important role in championing the great outcomes being achieved by independent provides across Australia, and through research papers such as their ‘State of the Sector Report’, they help to ensure that government policy is, as much as possible, aligned with real outcomes and data rather than more ideological reasoning.

Whether it being with ITECA, other Peak Bodies or industry associations, I would recommend to all that they look to join and become active in helping to drive positive changes for our sector.

4. You are one of the very few recognised quality industry experts and leaders that we have in Australia, so how has your experience been working with the regulatory body ASQA to assist them in the transition process that they are currently undergoing?

I think that we have a range of quality representatives and consultants in Australia who add much value across the sector.

My pathway towards becoming a CEO is one that is potentially unconventional for our sector having followed a pathway from training delivery, into Training Management, into managing Resource Development and Curriculum Design, into Quality Assurance and Compliance Management and then as a VET Quality Consultant across public and independent providers.

I do remember speaking at a conference many years ago and being introduced as one of Australia’s first Compliance CEO’s which to me seemed a strange thing to be noted due to how highly regulated our sector is and the significant importance of a CEO being intrinsically involved in ensuring quality and compliance across their organisations.

I have always seen a strong focus on quality and compliance in our sector as a business enabler and to this stage of my career I believe the investment into understanding the VET landscape including all aspects of regulation and compliance has been highly beneficial in my role as CEO as well as someone who often speaks at industry events and conferences, with a focus on providing helpful guidance to others in our sector.

I believe that a short number of years ago, the disconnect between the National Regulator and the regulated community was something unhealthy for our sector and the uncertainty for RTO’s on what they could expect at audit and how to ensure their own operations where compliant with respect to each aspect of the Standards was to the detriment of our sectors reputation.

With significant changes to the Australian Skills Quality Authority (ASQA) to adapt its culture and relationship with the sector, including a move away from their previous audit model to a performance assessment framework, I think that genuine change has been occurring and across a number of areas the rubber has been genuinely hitting the road.

I was pleased to be appointed to the ASQA Stakeholder Liaison Group (SLG) and I have been impressed about ASQA’s openness to take on feedback from members of the SLG, using this feedback to update key documents including their Corporate Plan and Regulatory Model to reference areas such as the importance of education and consistency in audit activity and outcomes.

One of the significant changes that ASQA has implemented has been its launched educative function which I believe has added great value to RTO’s in understanding their obligations, as well as hearing from industry representatives on how they implement best practice in their own organisations.

I have been glad to be able to work with others to positively support ASQA’s launching of this educative function, and their initial content production, having taken part myself in 6 education sessions so far covering topics such as regulatory practice, audit expectations, online education quality and compliance expectations and trainer capability.

I look forward to further ASQA webinar sessions over the coming months where I will be presenting on teacher/trainer capability and the upcoming review of the TAE Training Package.
All involvement in these groups, working committees and conferences I speak at, I do unpaid, and volunteer my time in order to positively support the VET sector.

5. You are Chair of the Education Industry Reference Committee and the Foundation Skills Industry Reference Committee through PWC – Skills for Australia, what changes to Training Packages can we expect to see over the coming period.

I was humbled to be nominated by my peers as Chair of these IRC’s that have such high quality and respected VET sector representatives on them. I don’t take lightly the importance of getting Training Packages right for training providers, students and the industries which employ graduates, and this will be particularly the case for an upcoming new version of the Certificate IV in Training and Assessment.

The Industry Reference Committee has on three previous occasions requested to the Australian Industry and Skills Committee (AISC), that a review of the TAE Training Package take place to ensure that any disconnects with industry needs can be addressed. It has been the view of the IRC for an extended period that the Training Package does not fully address modern workforce needs including the Certificate IV’s insufficient flexibility regarding packaging rules.

Pleasingly, the AISC has now approved the review, and redevelopment can take place and the IRC is looking forward to receiving robust feedback from providers to ensure that improvements can be made.

The review itself will take part in two stages, with an initial e-learning and e-assessment development project to be completed by December in 2021, and a full review of all qualifications within the TAE Training Package to be completed by late November 2022.

One important point is that it will be the strong recommendation of the IRC, that any new version of the Certificate IV in Training and Assessment, be recognised as the successor to the current (under clause 1.14 / 1.15 in the Standards for RTO’s) so that the current workforce who hold the TAE40116 will not be required to upgrade their qualifications.

I have already delivered a number of webinars on these topics and for those who wish to take part in helping with the review and redevelopment I would encourage to go to the PWC – Skills for Australia website and sign up for their newsletter which will provide information on upcoming sessions and working groups. Readers are also welcome to follow me on Linkedin where I will be sharing updates on the project.

6. What are your opinions on all of the changes that will occur in the VET sector in the near future, including the new regulatory framework, the new TAE certificate, the new AQF framework, the cessation of ISCs and SSOs, the redesign of units of competency, and everything else that will occur?

In 2020, the National Centre for Vocational Education Research (NCVER) released a research paper identifying that the VET workforce includes some 246,000 representatives with another 177,000 who work in volunteer roles. I think the significance of our sector, and its importance in helping Australia meet its current and future labour needs can’t be understated.

There are a number of VET Quality Reforms underway at present, with a focus on ensuring that our sector is fit for purpose and is regulated and supported in a way that will help achieve the outcomes required.

In addition to a current review of the Standards for Registered Training Organisations that is underway, earlier this year, Skills Ministers agreed to establish new industry-based clusters (Industry Clusters) with broad roles and responsibilities for skills and workforce development by December 2022. Industry Clusters will replace Industry Reference Committees (IRCs), Skills Service Organisations (SSOs) and Skills Organisation Pilots (SOs).

The establishment of Industry Clusters is intended to enhance the role of industry in the national training system with a broader role and greater accountability to industry.

I am part of a number of consultations on this review activity through the different hats that I wear, and in each I do raise my concerns regarding the potential to not intrinsically involve Registered Training Organization’s as part of the process of Training Package design and implementation. I think to not do so, is not only disrespectful to a sector that employs or engages a workforce of over 400,000, but would also be counter-intuitive to achieving positive outcomes that draw on the knowledge from strong relationships that RTO’s have with the industries they help serve with graduates.

With the approved review of the TAE Training Package now underway, I was pleased that aligning with this a TAE Strategic Advisory Committee has been established with myself being an invited member. This Committee will act as a sounding board for the Education IRC throughout the TAE Training Package re-development project, with the key goal of ensuring appropriate linkages between the review and broader VET workforce policy and regulatory directions and settings.

This will allow for input on topics such as clauses 1.17 to 1.20 within the Standards for RTO’s to ensure that the Standards continue to allow for the provision of supervision of trainers where needed, even where the standards and training package may be updated, with an additional skill set that may be agreed to be recognised under this clause being developed.

7. I clearly remember that we first spoke in 2010 when you were the CEO of a different training organisation and I was a Director of Studies somewhere else; what do you believe has changed in the VET sector in the last 10-11 years and what do you believe we will see over the coming years?

I have enjoyed seeing your journey as a highly respected VET sector representative, and it does feel like a long time since then.

It is important to remember the significant role our sector plays in supporting Australian workforces with our VET sector made up of over 3500 registered training organisations (RTOs) delivering nationally recognised VET, and a number more delivering micro-credentials and non-accredited training. In 2020, 3.9 million students were enrolled in nationally recognised vocational education and training (VET) despite challenges faced over the period including a significant reduction in international students.

Increased and inconsistent regulatory activity; reduced and/or inconsistent State and Federal investment into the sector; changes to visa and related conditions for international students; and delivery impacts caused by Covid-19 restrictions have all challenged providers in their continued support of student learning outcomes and this has seen a significant reduction in training provider numbers over the last decade.

I think that our sector has also taken a number of years to recover from the reputational damage caused by a small number of unscrupulous providers related to the use of VET-FEE Help who took advantaged or a poorly structured and regulated scheme.

Despite this, the very large majority of training providers of all types, continue their focus on student centric, high quality delivery and student and employer satisfaction rates continue to show that largely positive outcomes continue to be achieved throughout the sector.

I think what we will see over the coming years is a much greater focus on collaboration, and organisations either working as part of a consortium or as a minimum as part of a strong community of practice. This will support the sharing of ideas, and quality practices across organisations, and make benchmarking easier for the betterment of all. Consultants also play an important role in conducting reviews across an RTO’s operations and giving insight into best practice and innovation they have seen in other areas of the sector.

I think that the importance of RTO’s being part of their Peak Bodies, or other quality and practitioner networks will continue to increase, and, in a post Covid-19 environment, the importance of the VET sector will be more so than ever. This will include the return of international students with Australia able to continue to build on its strong reputation in supporting students who wish to study both onshore and offshore.

Despite the challenges that Covid-19 created in limiting face to face delivery for periods, the online learning workforce capability this fast-tracked will be of great benefit to providers and the sector moving forward. From a recent paper released by ASQA, survey data from over 3000 participants at a webinar series that I was part of regarding online learning, showed that over 90 per cent had started or increased delivery via an online mode over the last 18 months. Although online learning is not suited to all student cohorts, or all qualifications, and rarely can it meet the needs of delivering full qualifications, this capability will better aid the sector in meeting student needs and expectations moving forward.

For those who wish to connect with or follow Andrew Shea, you can do so via his Linkedin, here – www.linkedin.com/in/andrewjshea

October 14, 2021 ASQA, RTO, VET Sector Comments Off on Interview – Andrew Shea – CEO, Builders Academy Australia

Interview – Matthew Dale – Director, Audit Express and Educonomy

With more than a decade experience working across the VET Sector, Matthew brings a wealth of skills, knowledge and experience to Audit Express & Educonomy. Matthew has had extensive experience in managing the quality & compliance of various state funding contracts and in leading RTOs through the complex process of re-registration. Matthew’s passion is with ensuring that training organisations can adapt to change and ensure the continuing quality of training while also ensuring compliance with the relevant contracts and standards.

Sukh Sandhu: What are the primary challenges and core issues of operating in the VET sector?

Matthew Dale: The VET sector is currently at a real crossroad and is facing numerous challenges and issues. The key challenges being faced by most RTOs is the volume and pace of changes to training packages, which is providing to costly and time consuming for RTOs to adapt to. The relevance and responsiveness of training packages to the needs of industry is also posing a real issue, this is particularly the case as we enter into the post-covid economic recovery. Many industries and sectors are unable to commit to enrolling their workforce into full qualifications to meet the training needs of their organisations, and many are shifting away from traditional accredited training solutions, opting for more innovative and agile non-accredited training solutions, including micro-credentials. For more information on micro-credentials, be sure to check out the educonomy micro-credential and digital badging virtual summit.

Sukh Sandhu: You are one of the very few quality RTO and VET consultants with extensive vocational education and training sector knowledge and skills, according to you, what are the five skills that a significant number of consultants in the VET sector lack and what RTO clients should be careful about?

Matthew Dale: That’s a big call and is very kind of you to say. In my experience, the RTO and VET consultants that I have encountered, each have their area of specialist knowledge and expertise. I’m not sure that I could narrow it down to five skills that RTO clients should be careful about, rather what I would note is that consultants should be clear on what their area of expertise is, and they should work to their strengths, rather than seeking to be a ‘jack of all trades, and master of none’, that they work to their strengths and that RTO clients are really clear when engaging the services of a consultant, that they are really clear on the scope of work they are wanting to be completed and that they recruit suitably qualified and experienced consultants accordingly. It is also a really good idea to always seek professional references before making the decision to engage a consultant.

Sukh Sandhu: You’re involved in a variety of activities in the online and training education space; so perhaps you could discuss a few of them for our subscribers?

Matthew Dale: For a number of years now, we have been supporting our clients to shift their traditional classroom and workplace-based training programs to blended and online delivery modes, which are supported by engaging online content. In 2018 we expanded our work in this space with the launch of Educonomy, a consultancy firm with a big vision of positioning Australia as a global EdTech leader by transforming the current economy of learning and ensuring that every learner is recognised for their skills, regardless of how or where learning takes place. Our team have spent the past 5 years researching global trends in education. We have observed a pattern and trends across the globe as institutions step away from traditional education systems & opt for newer, more innovative options for learning, including micro-learning & micro-credentials. At Educonomy, we drive the future of education by transforming the way we learn. Combining strategy, latest EdTech and expertise, we help education providers to shift into the future and meet the needs of tomorrow. For more information on creating engaging learning content, be sure to check out the educonomy digital learning virtual summit.

Sukh Sandhu: What, in your opinion, are the key distinctions between a quality training provider and a poor quality training provider?

Matthew Dale: Put simply, the key distinctions that set aside quality training providers from the rest are a genuine commitment to the following points:

  • Learner experience
  • Learner support
  • Maintaining a strong connection and links to industry
  • Establishing and maintaining strong governance processes and quality controls, that drive the quality of learning and assessment content
  • Continuously reviewing the products offered, seeking genuine feedback and input from learners, trainers, assessors, management and external stakeholders, including employers

Sukh Sandhu: What, in your opinion, is effective or ineffective in the current regulatory environment?

Matthew Dale: The VET regulators (ASQA, VRQA & TAC) seem to have turned a new page and all seem to be taking a more reasonable and consultative approach to the way in which they have regulated over the past five years, which is great! I tend to look on the positive side and do what I can to effect change where I can, rather than focussing on that which is outside of my control.

Sukh Sandhu: What message would you like to send to training providers who operate in a regulated environment?

Matthew Dale: Focus on what you are good at, know your niche and stick to it. Commit to improving the quality of your learning content and user experience in the areas that you specialise in, and stick to that. Rather than trying to be everything to everyone, just focus on the areas that you want to succeed in and focus on being the best in the market in that! 2022 is the year for refocussing and consolidation, make it a year worth remembering.

Matthew Dale can be contacted through the LinkedIn profile. https://www.linkedin.com/in/matthew-dale

 

October 14, 2021 RTO, VET Sector Comments Off on Interview – Matthew Dale – Director, Audit Express and Educonomy

Mapping document of assessment resources – do you need one?

A question that has been asked over and over again is “do we need a mapping document”? We hope you will find this information relevant.

A mapping document is a detailed blueprint, required for all assessment tasks. It is used by the trainer and assessor when they are mapping the assessment with training package requirements. The mapping exercise enables RTOs to identify gaps in the assessments, which in turn helps the RTO administrators improve the delivery and assessment of training products.

What is assessment mapping and how does it work?

Assessing the effectiveness of an assessment against each component of a unit of competency is the basic concept behind assessment mapping. The goal and objective are to ensure that the assessment can effectively collect evidence from learners when they complete the unit of competency.

The assessment mapping process requires you to:

  • Understand and write down all the training package criteria that should be assessed
  • Include all the types of assessments required to assess learner’s knowledge, skills and ultimately competency
  • Assess the validity of the assessment against the assessment conditions

The assessment is mapped to the following aspects of the training package:

  • Assessment conditions
  • Elements and performance criteria
  • Performance evidence
  • Knowledge evidence
  • Foundation skills

An assessment mapping document should be able to answer questions such as:

  • What does the unit assess?
  • How long will the assessment take?
  • Are there any pre-assessment requirements?
  • What is the intended outcome of this assessment?
  • How many assessment activities and tasks are there to assess the student’s knowledge and skills in this unit of competency?
  • Has each of the criteria been assessed more than once (if once is not explicitly specified)?
  • What are the strategies to address any gaps where something is only assessed once?
  • How has the assessment been customised or which AQF level is the unit of competency used for?
  • Does the assessment address and operate under the assessment conditions?
  • What is the sequence in which these tasks are to be completed?

Mapping is the most effective way to assess the effectiveness of one assessment against each component of a unit of competency.

When mapping documents are used correctly, they can be an invaluable tool for development and review. Mapping documents provide a framework for understanding how assessments work, who will be using them, what skills are being assessed by each component of the assessment, and how those skills are grouped across disciplines and levels of difficulty.

Additionally, mapping documents provide an opportunity to show auditors how assessments work from start to finish. If done correctly this helps to demonstrate that all aspects have been covered in the assessment development and implementation processes.

Checking that your assessments cover the requirements of the unit and also that you are not over-assessing or under-assessing is an important step in completing your assessment.

Assessment mapping is an industry-standard practice for course developers, RTO administrators, trainers and assessors and auditors. It documents the assessment requirements for qualification and how unit requirements have been mapped against them. The assessment mapping is therefore used as a tool to show how assessment aligns with a set of skills or competencies as required according to training package criteria. It provides evidence that a unit meets regulatory requirements if it includes an appropriate number of skills from each category, which will vary according to AQF competence level, training package requirements and course types.

What are the regulatory guidelines about assessment mapping?

In order to meet the requirements of applicable standards, training packages, and approved courses, registered training organisations (RTOs) must employ a methodology to ensure assessments are complete and cover what is required, however, ASQA does not dictate or specify any particular template with its regulatory guidelines and practices.

While RTOs must demonstrate the validity of their assessment methods, they have a wide range of options for how they choose to accomplish this.

A mapping document can help you identify all the skills and knowledge that are needed for the training product. It can also help you identify the level of complexity of each skill, which is important for course planning, development revision, and implementation.

What are our views from our industry practices and experience?

One of the most important documents in the compliance process is a comprehensive and correct mapping document. We strongly believe that irrespective of what is the regulatory point of view we should always have and maintain a mapping document.

We at CAQA always create a mapping document first before planning the design and development of any assessment or learner resources. Please contact us via email at info@caqa.com.au if you require any additional information about our quality processes.

 

October 4, 2021 RTO Comments Off on Mapping document of assessment resources – do you need one?

Fact Sheet: Transition and teach out

Compliance requirements and guidelines:

This Fact Sheet has been developed and produced to assist Registered Training Organisations (RTOs) in understanding the transition and teach out arrangements stated in Clauses 1.26 and 1.27 of the Standards for Registered Training Organisations (RTOs) 2015.

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.

Source: https://www.asqa.gov.au/standards/training-assessment/clauses-1.26-1.27

Interpretation of the regulatory requirements

This Fact Sheet outlines the options and responsibilities of registered training organisations (RTOs) in the event that training products advertised on training.gov.au have changed.

There are two types of modifications that could occur:

  • A training product is superseded by a new version of the training product, for example, a new version of qualification, skill set, or unit of competency that is more up to date and current. Or
  • A training product has been removed or deleted from the system, and it has not been replaced by another training product. Teaching out times for a qualification or approved course differ from those for a skill set, unit, or competency, and the rules for each are different.

Important bits of information

Criteria Explanation Comments
The time period to transition to a new training product if a training product (qualification, skill set, unit of competency, accredited short course or module) gets superseded One year period from the date the replacement training product was released on the national register If the training period is not extended by the regulatory body according to their discretion>
The time period to complete all training and assessment and issue AQF qualification certification or statement of attainment if a training product (qualification, skill set, unit of competency, accredited short course or module) gets deleted or removed from the national register Two years period from the date the replacement training product was released on the national register If the training period is not extended by the regulatory body according to their discretion
When the enrolment should terminate in a training product (qualification, skill set, unit of competency, accredited short course or module)? A new learner should not begin training and assessment in a training product that has been removed from or deleted from the national register.
Are these requirements applicable to the core or elective units of competency that is mentioned in the training package? No Clause 1.27 clearly states that the requirements specified in clause 1.26 (a) do not apply where a training package requires the delivery of a superseded unit of competency.
Do you need to apply to add on scope again if a course is deemed superseded and not equivalent? Yes
Can I market the superseded training product? Not recommended
Can I enrol students in qualifications that are superseded from the national training register Not recommended You are permitted to do so, but we do not recommend that you do so.
Can I enrol students in qualifications that are removed or deleted from the national training register? No If a training product has been removed or deleted from the National Training Register, you cannot enrol a student in that product.

Description:

Students should be given adequate opportunity to complete the course of study in which they are enrolled, and training organisations should be committed to ensuring that this occurs. However, there may be instances in which it is deemed necessary to discontinue a course and place students in a “transition and teach-out” mode as a result of the circumstances.

A clear and equitable strategy should be implemented when it is determined that a course needs to be discontinued and students are placed in a transition and teach-out mode by the training organisation. The overarching principle guiding the plan and its implementation should be to guarantee that students are not disadvantaged by the choice to terminate a course or to discontinue enrolment in it.

Transition and Teach-Out Planning should be included as a responsibility to all training managers and trainers and assessors.

It is an important task to understand and identify what is in the best interests of your learners.

To make sure that the transition or teach-out process is successful, training providers should plan it in advance.

What should you consider?

There are a number of things that you must consider when planning the transition and teach out periods, 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 transition period applicable to each training product
  • What actions do you need to take?
    • Have you considered the impact of superseded training products?
    • Have you conducted the industry consultation on revised/updated/new training and assessment strategy, training materials and practices, facilities, equipment and resources required or trainer and assessor competencies?
    • Have you updated the continuous improvement register with all these changes and who is responsible for what and when?
    • Do you need to RPL students or credit transfer their completed units of competency?
    • Prepared and lodged the application to get the new training product on your RTO’s scope of registration
  • Gap analysis exercises
    • Comprehensive analysis of what changed in the training product
    • Learners who are at risk of not finishing their training product within the transition period should be managed appropriately.
    • Learners who will be genuinely disadvantaged if transferred from the superseded training product.
    • What gap training and/or gap assessment is required?
    • How will this gap training and/or gap assessment be carried out?
  • Maintaining open lines of communication with all stakeholders, including your management team and students
    • Provided students options that either they can leave with a statement of attainments for the units successfully completed or transition to the new training product.
    • Informing the current and prospective learners about the changes implemented and their effects on them
  • Requirements for documentation
    • Subscription to information sources (from the National Register, training.gov.au and Australian Industry Skills Committee (AISC) (Skills for Australia or its successor) to keep you notified of any changes.
    • Learner details for those who have been impacted by a superseded or deleted and removed training product.
    • Evidence of mapping from the superseded training product to the current training product
    • When to cease enrolments in the superseded training products
    • When to commence enrolments in the new training products
    • What to update and who and when to update the marketing materials and all other RTO materials
    • All records of the transition process should be kept securely with a sample of student files affected by transition arrangements.
October 4, 2021 RTO Comments Off on Fact Sheet: Transition and teach out

Validation Demystified – Part I

Validation is arguably the central pillar of the VET practice and has a valued place in the education system. It is one of the few compliance requirements that influence and is accountable for more than a dozen standards within the Standards for RTO 2015. As such, validation is the much-studied, crammed and piloted concept of educational practice in Australia and globally.

Yet, there is much misunderstanding, interchangeability of meaning and objective with other concepts and inconsistency of interpretation and practice of validation. Most often than not, there is confusion in the understanding of Pre-validation (now termed by ASQA as Verification), Moderation, and Validation. 

The confusion goes beyond the terminologies. There is a wide range of inconsistency in the implementation of the requirements of the Standards for RTO 2015, figuring out the objectives of validation, choosing the methods of its best practice, prioritising its role in the governance and continuous improvement etc. Despite the big appetite of RTOs to appreciate and use it, validation remains the most bewildering standard of SRTO 2015.

This article will try to clarify the misperceptions and debunk the myths and mysteries

Why does validation remain challenging to understand and implemented inconsistently across RTO practice? The puzzling questions include:

  • What are the areas that RTOs misunderstand?
  • What are the frequent mistakes made by practitioners?
  • Which part is found non-compliant during audits?
  • What are the darkest areas of validation that are leading to obscurity and process inefficiency?
  • What is blurring is the distinction between validation, moderation and pre-validation, and why do they become intertwined in current practice.
  • What does independent validator mean, independent from what is considered as independent? Why only in 1.25 and not in 1.9 – 1.11.
  • Why is moderation not mandatory but essential?

Problem 1. The problem starts in the foundation of the concept of validation, its definition and denotation.

Many RTOs use Moderation, Pre validation and Validation interchangeably. The Standards for RTO 2015 mention validation in different sections with different requirements which sometimes invokes different connotations to different people. Due to this and other reasons some people find it difficult to understand what standards are relevant to which part of the Validation, Pre-Validation or Moderation.

Many RTOs have the impression that Pre-validation and Moderation are not as important as Validation and think they do not have intra-relation as they are very different from each other.

Let’s start with the basic definitions.

Pre-Validation (Verification) is the practice of validation that occurs before using the assessment tools. This validation happens after either developing the assessment tool or purchasing it from providers, and you want to validate them. The objective of pre-validation (Verification) is to ensure that the devices meet the requirements of the training package and ensure they are a valid tool that ascertains the assessment will be conducted according to the principles of assessment and rules of evidence. Whether you develop your own tool or purchase them from providers, RTOs are required to verify they are fit for purpose and valid assessments.

Validation is the quality review of the assessment process and is generally conducted after the assessment is complete. Validation involves checking that your assessment tools have produced valid, reliable, sufficient, current and authentic evidence, enabling your RTO to make reasonable judgements about whether training package (or VET accredited course) requirements have been met.

Moderation is a quality control process aimed at bringing assessment judgements into alignment. Moderation is generally conducted before the finalisation of student results as it ensures the same decisions are applied to all assessment results within the same unit of competency.

How are they aligned to SRTO 2015, and what are their commonalities?

The standards that affect each concept are different. The below table will give you a clear understanding of the representation of standards per each concept.

 

Concept Objectives When takes place Relevant Standards
Pre-Validation (verification) Ensure they are a valid tool that ascertains the assessment will be conducted according to the principles of assessment and rule of evidence Prior to using the tools. 1.5, 1.6, 1.8
Moderation Bringing assessment judgements into alignment Before the finalisation of student results 1.8 and 3.1
Validation A quality review process that confirms your RTO’s assessment system can consistently produce valid assessment judgements. After the assessment tool is implemented and student assessments are completed and marked. 1.5, 1.6, 2.2, 3.1, 1.13, 1.1.8, 1.9, 1.10, 1.11, and 1.25

Though their definition and purpose are diverse, Pre validation, Moderation, and Validation have one shared goal. They are destined to ensure the best practice of effective assessment, mainly assessment practice and judgment.

Problem 2. The ‘two units 50% in three years and five years cycle’ syndrome and compliance mentality.

Many RTOs believe that the validation must be conducted at 50%, and this is done because of compliance requirements. For this reason, the RTOs wait until the last day and are not able to identify the problem at an early stage. These results in finding themselves in the unfortunate position of non-compliance with standard 3.1. They have to revoke the certificates and redo all assessments again because they have awarded certification documentation to learners whom they have NOT assessed as meeting the training product requirements specified in the relevant training package.

RTOs must see the Standards as a document that describe what outcomes an RTO must achieve, not how they must be achieved (policed).

‘50% three years and five years cycle’ is the minimum but risky requirement.

Scheduling and adhering to 50% of qualifications in three years is equivalent to planning for failure and non-compliance. The best time to validate your resources is today, not tomorrow.

RTOs need to develop a validation schedule the day they receive their registration to validate each training product (AQF qualification, skill set, unit of competency, accredited short course and module) on its scope of registration. The validation clock starts to tick from that day, and the quality requirements increase with each clock tick.

Problem 3. Many RTOs believe they have conducted their validation; however, they are deemed to be non-compliant with Standards 1.10 – 1.11 and 1.25.

Several RTOs do the validation but are not followed by any rectification plan, and that makes their validation part of a problem instead of part of a solution.

Many RTOs opt to cut corners—by developing a generic validation tool strategy from a template and asking validators to ‘sign off’, which most often than not, results in a yes ticks and flicks.

Some RTOs also conduct the validation by one person, usually a compliance officer/manager, without considering the requirements of the validation team. Many RTOs make mistakes in sampling and choosing their assessment to be validated. Because they use a sample of their best students or trainers who have been deemed competent, their validation produces a bad validation outcome.

For many RTOs, the main reason can be described as “validation conducted for the sake of conducting’ not for an effective outcome and meaning full action. The absence of systemic, documented process and assessment tools and guides is customary in many RTOs.

Most RTOs have validation policies and procedures. However, the method does not articulate and demonstrate in detail what they must do, how they will do it, when they will do it, who is responsible for doing what, the mechanism for monitoring them, and the evidence they can provide.

RTOs must develop and implement a system with evidence (that can be seen, touched and heard) to ensure assessment judgements are consistently made on a sound basis and validation of assessment judgements is carried out regularly.

Next is the validation tools, far from a ‘sign me up’ checklist with close-ended yes and no answers that lead validators to say yes. For example, asking validators to tick ‘the principles of assessments are good’ will not be effective and does not demonstrate that the assessment practice and judgment was informed by validators.

Though there is no specific method or approach that you must follow, you must demonstrate that:

  • You have developed a schedule to validate each training product (AQF qualification, skill set, unit of competency, accredited short course and module) on your scope.
  • You adjusted the validation schedule when adding a new training product. When making adjustments, ensure your plan continues to meet the timeframe and completion requirements discussed above.
  • The training products must be validated as per the schedule; putting a validation schedule without implementing it is worse than not having a plan.
  • Select your validators and ensure at least one subject matter expert ‘industry relevance’ requirements.
  • The assessment tool must contain an open-ended and meaningful questions that can check the assessment practice and judgment from different angles

The ‘two units from qualification’ pattern.

Part of the validation failure is when RTOs stick into the ‘two units per qualification’ approach. The number of units and the selection criteria must not insist on the minimum requirement as one size does not fit all.

Statistically, valid sampling is essential in the process of validation.

A statistically valid sample is:

· large enough that the validation outcomes of the model can be applied to the entire set of judgements, and
· taken randomly from the collection of assessment judgements being considered.

Calculating sample size

You must validate enough assessments to ensure that the results of your validation are accurate and are representative of the total completed assessments for the training product.
To determine appropriate sample sizes, you can use ASQA’s validation sample size calculator.

Whatever model or method you use, you must ensure your sampling will provide you with a very low error level and high confidence in assessment practices and judgements.

Random selection

Many RTOs use the sample of their best students or trainers who have been deemed competent, which produces a lousy validation outcome.

Randomly selecting your sample will ensure adequate coverage of varying levels of learner performance. You may also supplement the random selection by adding additional completed assessments (for example, to include both competent and not competent assessments, or to include multiple assessors’ decisions, various delivery modes and locations) to ensure the validation process is representative of all assessment judgements.

(Reference, ASQA and NCVER)

October 4, 2021 Education, RTO, VET Sector Comments Off on Validation Demystified – Part I

What to do if you think someone is infringing on your copyright? – Margaret Ryan (lawyer and trademarks attorney)

The short answer is to speak to a lawyer. But make sure that they are the right lawyer. Copyright law (or, more generally, intellectual property law) is a specialisation. The law is complex, and your lawyer needs to be familiar with it.

A copyright lawyer will guide you through the process, but it typically involves:

  1. Gathering evidence of the infringement. You may have done this already. Keep any photos or screenshots of websites or purchases of the infringing product that you have made (with the receipt). If anyone has told you that they saw what they thought was your material somewhere else, keep a note of who said this to you, what they said and when. Show it all to your lawyer.
  2. Trap purchase – Your lawyer may want to obtain further evidence, such as a trap purchase, although this is usually not necessary if the copying can be seen on a website. A trap purchase involves, usually, a private investigator buying a copy of the allegedly infringing material. This can show the identity of the business that sold the material and the date of purchase and, if it becomes necessary, the investigator can give evidence in a Court case.
  3. Is there an infringement? – Your lawyer can then advise you whether or not there is an infringement in Australia. Reasons, why there may not be an infringement, include:
    • If the alleged infringer has permission to use the copyrighted material – you may need to check within your organisation to see whether there has been a grant of permission.
    • Is the material sufficiently close to be a copy? It is not necessary that the whole of your material has been taken, but it is necessary that the part taken is similar to your material.
    • Is there a possible defence to copyright infringement? There are quite a number of defences in Australian copyright law, but these usually do not allow copying for commercial use.
  4. Do you own the copyright? – The only persons who can threaten copyright infringement in Australia are the owner or the exclusive licensee of the copyright. Normally the copyright owner of written and artistic works is the author, or, if the work was created in the course of their employment, the employer. If you commissioned written resources or artwork and the contract says nothing about copyright, normally the author (or their employer) will own the copyright – not you. You need to work out who the author or authors of your material were (if it was not you) and check whether or not you own the copyright. Your lawyer may suggest that you seek an assignment of copyright, to transfer outstanding rights to you. It is possible that you cannot find the author, or they may wish to charge for assigning the rights to you. This is why it is best to get a copyright assignment at the time you engage the author.
  5. Letter to alleged infringer – This can either be from your organisation or on your lawyer’s letterhead. Some businesses may send a letter first and only consult a lawyer if these overtures are rejected. However, DIY enforcement is risky, in part because, if it turns out that there was no copyright infringement, or you did not own the copyright, you or your organisation may be liable for your “unjustified threats” of infringement to anyone who suffers loss because of your letter.
    A copyright lawyer can “ghost write” a letter to the infringer that is sent on your organisation’s letterhead which may be softer than a legal “letter of demand” (also called a “cease and desist” letter). Alternatively, the lawyer can write a stern letter of demand, requiring the infringement to stop, infringing materials be handed over and may ask for information designed to uncover the amount of profits made by the alleged infringer from its copyright infringement.
  6. After the letter of demand – hopefully the alleged infringer is willing to compromise, and there will usually be settlement negotiations and an agreement signed. Some parties may be prepared to stop but not pay any money. Others may deny infringement altogether. In these last two cases, if after further correspondence from your lawyer, they will not budge, you may consider suing them.
  7. Litigation (or going to Court) – This can be a very expensive undertaking and you will need to weigh up the pros and cons of litigation with your lawyer. Factors to consider are how much loss you have suffered e.g. from lost sales, has there been damage to your reputation or the exclusivity of your copyright material, how strong is your case legally and how reasonable is any offer from the alleged infringer.

The main remedy that is sought in copyright cases is a Court order to stop the infringement. Most cases settle along the way, but if the case goes to trial and you win, your legal costs may be greater than any compensation that you may receive. If you are successful, the Court will usually order the other side to pay a proportion of your legal costs – but the flipside is that, if you are unsuccessful, you may well have to pay the alleged infringer’s costs. This means that you need to think carefully before you press the litigation button. But, if the stakes are high enough, litigation may be recommended.

Margaret Ryan is a lawyer and trade marks attorney with over 30 years’ experience in intellectual property, including copyright, and consumer protection law, working with organisations to find solutions, maximise the value of their IP and protect their business. IP by Margaret® – www.ipbymargaret.com.au

October 4, 2021 News, RTO Comments Off on What to do if you think someone is infringing on your copyright? – Margaret Ryan (lawyer and trademarks attorney)

Strategies to complete the Financial Viability Risk Assessment tool

When you apply to become an RTO or your financial condition is a source of concern, or when you are in the process of a post-initial audit scenario, ASQA may require you to submit the Financial Viability Risk Assessment tool to demonstrate your financial viability. The fact that this obligation only applies in specific circumstances has already been discussed.

The Financial Viability Risk Assessment tool helps organisations to assess the risks associated with their current financial situation. It is also a tool that is used to evaluate the viability of a business in the present and in the future. The purpose of this tool is to help managers understand whether a training organisation can continue operating in an environment that will return enough revenue.

The financial viability risk assessment pack should be completed by an accountant who is registered with ASIC for your training organisation.

The financial viability of your organisation, including your financial history and projections, must be provided in order for you to be able to demonstrate compliance with these requirements.

This article discusses some of the strategies to ensure that you complete the financial viability risk assessment in a competent manner.

Find a qualified and experienced RTO accountant

Accounting professionals with prior experience performing financial viability risk assessments and those who do not have such prior experience and knowledge have a significant gap in their knowledge and skills. Always choose accountants who have a lot of experience in order to have these tasks professionally and competently completed.

Consider all the information you will need

One of the most important steps is to establish what information, data, records are required from you in order for an accountant to complete your financial viability risk assessment and what information is not required. So take some time to understand what information an accountant will require from you in order to complete the financial viability risk assessment and how you should supply this information e.g format, medium, process and so on.

Important information includes the following:

  • Name and code of each course
  • Duration of the course
  • Frequency of intakes
  • Expected student numbers
  • Course fee details
  • And other direct and indirect costs to run the courses

Make sure your accountant has prepared the profit and loss statements, balance sheet, cash flow for the two years projections and the student numbers and course information for the submission to the regulatory body.

Plan everything logically, systematically and comprehensively

Whatever you do, be sure it is thought out logically, systematically, and thoroughly. For example, how many trainers and assessors will you require in relation to your student numbers, how many admin support people will you expect according to your student numbers, how many intakes you can run in a logical manner, what should be your fees, how do these fees and charges compare to your competitors, and so on, all of these things must be carefully considered and planned out in advance.

All information should align with your business plans, timetable and capacity calculations

All information, including student numbers, frequency of sessions, trainers and assessors, fees, and any other information you have included, must be consistent with all documents, including but not limited to your business plans, timetables, and capacity calculations.

Ensuring the organisation has resources to cover short term cash flow gaps

Organisations should consider the implications of cash-flow shortages in advance to avoid risks. The first step is to take a look at the company’s cash flow. This includes looking at the company’s assets, liabilities, and short-term assets. The next step is to examine the organisation’s ability to generate revenue. For example, are there any projects that are likely to generate revenue sooner than expected? Organisations should be aware that if they have too much debt then their business will be more vulnerable to shocks in cash flow that could happen in the short term. The organisation should ensure that it has enough liquidity to cover short term cash flow gaps.

Identifying potential risks such as unfavourable economic conditions or changes in consumer preferences

The major risks that need to be identified are economic conditions and changes in consumer preferences. These two factors are the most important because they affect the company’s performance, profitability and sustainability.

Economic conditions refer to the macroeconomic environment that affects the company’s financial performance. This includes inflation, unemployment rates, interest rates, exchange rates, etc. If these conditions are unfavourable to the company then this will have a negative impact on their financial performance. Changes in consumer preferences refer to changes in what consumers buy or want to buy which can have a great effect on sales revenue for example if there is a change in technology that could replace the current product being sold then sales could be adversely affected. In order to avoid the risks, a company needs to identify them in detail and decide whether it is worth it to take them on.

Successful RTO launches and expansions of existing training products are usually the results of taking into account potential risks, including changes in consumer preferences or economic conditions.

October 4, 2021 RTO Comments Off on Strategies to complete the Financial Viability Risk Assessment tool

New job opportunities!

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Looking for a new opportunity?
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For more information:
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At CAQA Recruitment we help employers find the best talent for their organisation. We understand that hiring is a complex and sometimes costly process. However, it can be simplified and made easy on a budget by opting for our services. Our recruitment platform receives a huge number of interest from applicants who are seeking new opportunities in the VET sector.

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October 4, 2021 Education, News, RTO, VET Sector Comments Off on New job opportunities!

Various phases of the assessment and validation processes (Part 4)

This is Part 4 of the article, where we are discussing the different phases of the validation processes an RTO should be following to ensure they meet regulatory requirements and industry expectations.

In the previous articles, we discussed the following regarding the validation of assessment resources:

  • Explanation of assessment validation
  • Typical benchmarks used during the validation processes
  • Stages of validation (before, during and after the assessment judgements)
  • Regulatory requirements for conducting validation
  • Assessment systems
  • Who conducts validation?
  • How is validation different from moderation?
  • How external consultants can help you with validation of assessment and learner resources?
  • The regulatory requirements around validation of learner resources.

In this month’s article, we will explore the following:

  • Why do you need to keep validators information
  • Why validation of assessment and learner resources should be systematic and ongoing
  • How you can schedule validation
  • What is statistically valid sampling
  • Validation outcomes

Why do you need to keep validators information?

You need to keep for validators information for the following reasons:

  • To demonstrate that the RTO’s assessment system can consistently produce valid assessment judgements.
  • Validation is undertaken by one person or by a team of people. The RTO must ensure the review process is completed by people who collectively hold:
    • vocational competencies and current industry skills relevant to the assessment being validated
    • current knowledge and skills in vocational teaching and learning, and
    • the TAE40110 Certificate IV in Training and Assessment (or its successor) or the TAESS00001 Assessor Skills Set (or its successor).
  • A regulatory body such as Australian Skills Quality Authority (ASQA) may request evidence of it during audit activity.

Reasons why validation of assessment and learner resources should be systematic and ongoing.

A unit of competency needs to be regularly reviewed to ensure that  it meets current industry and regulatory requirements, therefore, you must have a systematic and ongoing mechanism to track any changes and to ensure all your resources are up-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 the who (needs to be included), when (what date and for how long), and what (which units is being validate, what information will be needed, from where are we getting it) the better your outcomes for your validation will be.

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 as a soft-copy/scanned format or in hard-copy. The records must include all the tools used to conduct validation such as assessment resources, validation forms and checklists, profiles of validators etc.

The validation outcomes should identify recommendations for improvement to the assessment tool, assessment process or assessment outcome.

Sometimes the validation outcome can identify critical issues in the collection of valid evidence.

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.

September 22, 2021 ASQA, News, RTO Comments Off on Various phases of the assessment and validation processes (Part 4)

Skills First – the Victorian 2022 Funding Contract

A short explanation

The Department of Education and Training Victoria has opened a limited expression of interest (EOI) process for non-contracted training providers (new training providers) to deliver Skills First training for specific programs.

  • What does this mean to your RTO?
  • What are the matters the Department will consider during the evaluation process?
  • Is your RTO eligible?

To ease these and similar questions, we have simplified a complex document for you.

What is a call for expression of interest, and why is it different from the last three years?

The call is an invitation to Training Providers to submit an Expression of Interest for a Draft 2022 Standard VET Funding Contract to deliver accredited training in areas of demand as specified in the 2022 list of Specific Programs through the Victorian Government’s Skills First Program. Unlike the last three years, the Department will accept non-.contracted training providers

What if my RTO had a 2021 contract?

If your RTO is a currently contracted training provider, the 2022 Contracts will be offered without the need to participate in a full expression of interest process. However, please note that The Department of Education and Training (the Department) is seeking information from all Training Providers holding a 2021 VET Funding Contract, your anticipated training delivery in 2022 in the form of Program Delivery Plans(PDPs).

The Department will use this information to review forecasted training delivery in the context of anticipated employment and training demand, delivery in Government priority areas, and regional coverage.

On the basis of this analysis, determinations will be made as to individual Training Providers’ Funded Scope, Commencement Allocations and Program Allocations, if required.

It is therefore important that you submit PDPs that reflect as accurately as possible the nature and quantity of training they plan to deliver in 2022.

What does the list of Specific Programs include?

The Courses are divided into two categories,

  1. Non-foundation skills programs.
  2. Foundation skills programs

The Department of Education Victoria will only accept expressions of interest from training providers who can deliver these specific programs.

If you did not have these specific programs on your scope of registration on the 31 August 2021 and are a currently contracted training provider you are deemed ineligible to participate in the limited EOI process to deliver Skills First training.

The list of the specific programs is available here (link).

What makes my RTO eligible?

There are a number of Eligibility Criteria, your RTO must meet all and will be assessed by the Department.

Some of them include:

  • Be registered as a registered training organisation with the Victorian Registration and Qualifications Authority (VRQA) or the Australian Skills Quality Authority (ASQA);
  • The RTO’s principal place of business is in Victoria
  • The RTO must pass the Probability of Default Assessment to be undertaken by the Corporate Scorecard – Financial Assessment Process
  • The Department will assess your RTO and you must have a satisfactory history of delivering training – Compliance and Quality
  • The RTO must have delivered training (in the course that you seek to deliver under the contract) in one or more Programs of the 2022 List of Specific Programs to:
    • a minimum of 20 students in the 2020 calendar year; and
    • a minimum of 10 in the 2021 calendar year (between 1 January – 30 June 2021)

For example: if you are applying for CHC43115 Certificate IV in Disability in your expression of interest, then you have to provide evidence through AVETMISS that you have delivered this course to a minimum of 20 students in the 2020 calendar year; and a minimum of 10 in the 2021 calendar year (between 1 January – 30 June 2021)

What are the materials and resources I need to familiarise myself with?

You must familiarise yourself with the following full suite of documents that are available at: https://www.education.vic.gov.au/svts > Submit Applications

Significant documents include:

  • Draft 2022 Standard VET Funding Contract Skills First Program;
  • Draft 2022 Guidelines About Eligibility
  • Draft 2022 Guidelines About Fees
  • Draft 2022 Guidelines About Apprenticeship/Traineeship Training Delivery
  • Draft 2022 Skills First Quality Charter
  • 2022 Specific Programs List
  • Guide to Program Delivery Plans Process for Training Providers apply to the 2022 Limited Expression of Interest: Skills First training for Specific Programs
  • Guide to 2022 Financial Assessments
  • Due Diligence Request Form
  • 2022 Specific Program List
  • Limited Expression of Interest: Skills First Training for Specific Programs – Questions and Answers
  • Guide to submitting an Expression of Interest (EOI) in SVTS (Skills Victoria Training System)

How do I submit my EOI?

EOIs must be submitted electronically through SVTS. If you do not have a user profile and log on, you need to create one.

When is the due date?

The EOI process closes at 5:00 pm on Friday, 1 October 2021.

CAQA’s Webinar

We appreciate that these days the Skill First topic is of high importance to training providers. To support you, we organised a free webinar with CAQA Skill First experts. You can watch the webinar recording by clicking this link. SKills First Recording

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

September 22, 2021 RTO Comments Off on Skills First – the Victorian 2022 Funding Contract

Quality training and assessment resources from CAQA Resources

While operating as a registered training organisation, you will be required to make a range of decisions, with obtaining high-quality training and assessment resources being among the most significant.

To ensure that your students receive the learning experience necessary to function competently in their chosen vocation, you need to invest in quality assessment and learner resources. It is only through the use of high-quality training staff as well as good training and assessment materials that a Registered Training Organisation can achieve this.

The quality of education and training that you deliver may suffer if you employ individuals who are not experts in their profession, accordingly, not having compliant assessment and learner resources means the quality of training you offer or promise will also suffer. You must spend time reviewing the quality of your assessment and learner resources against the following criteria:

Investing in high-quality training materials is therefore vital for the survival and eventual success of a training organisation. When you provide quality, it will have a significant impact on the reputation of the RTO, its legal requirements, and the quality of the outcomes. According to ASQA audit analysis published in 2017, over 80% of RTOs failed to comply with Standard One during the audit process and one of the major non-compliance has been the quality of assessment and learner resources.

Consider the following two scenarios:

Scenario 1

You are an industry leader and well-known in the RTO sector for what you know and what you do, but if your training and assessment resources are non-compliant, or worse, if a regulatory body audits you and determines that this is the case and makes decisions based on the findings, your training organisation’s reputation will be questioned. The regulatory body has suggested that students be reassessed for a period of 12 or 24 months in a number of instances. As a result, if you lack compliant training and assessment resources or do not adhere to compliant regulatory practices, you may experience significant challenges.

Scenario 2

Your RTO is unable to contextualise and customise or even worse know the requirements set around the assessment and learner resources because you assume that simply purchasing them from a resource provider qualifies you as compliant. Without acknowledging and comprehending reality, there are a number of resource providers that sell substandard quality resources, and if you purchase these materials, you may risk losing your RTO registration.

The question arises as to what to do when evaluating assessment and learner materials? How can you determine their quality? How can you make informed decisions and avoid wasting your hard-earned money?

This advice may help:

1. Maintain current knowledge and skills in compliance with legislative and regulatory standards.

You must spend time updating your knowledge and skills in relation to legislative and regulatory requirements. This includes contacting industry leaders who know what is compliant and what is non-compliant, attending professional development sessions, subscribing to and attending all regulatory body-sponsored webinars and conferences, subscribing to and reading VET and RTO newsletters, and also asking external auditors to conduct audits on your training and assessment systems on regular intervals.

2. Begin with a compliant copy of the learner and assessment resources that will serve as the foundation for the entire unit of competency:

Some publishers and developers are prone to displaying only a small number of their best samples and claiming that these samples reflect all of their qualifications. This is both incredibly distracting and misleading for the buyer who will assume that all material will be of the same quality. In order to avoid making such a mistake, you should request a complete sample, even if the sample is provided through an online platform to safeguard the copyright.

3. Ensure that all your assessment and learner resources have been pre-validated.

Poor quality of assessment tools is a contributing factor in the majority of RTO non-compliance problems. As an RTO resource provider, we receive a steady stream of calls from RTOs who have already spent money on substandard materials only to realise that fixing them will cost more than buying new resources. You can avoid this by following the steps below:

a. Pre-validate before use: By rigorously and thoroughly validating your new resources before putting them to use, you effectively protect your RTO. Fixing non-compliant resources is an expensive and time-consuming exercise that takes a long time to complete.

c. Make sure that all action verbs and action words are covered in the training package when you are pre-validating. For example, if the performance criteria is “consult with stakeholders,” a plural form is used, which means consultation with more than one stakeholder is required. Consult is a verb that means to seek advice or information from someone i.e. involves open-ended questions and communication.

d. Everything is addressed at least twice if it is not clearly stated in the training package that once is sufficient.

e. It is a must to assess performance criteria, foundation skills, and performance evidence using practical, workplace-based, or scenario-based methods and strategies.

f. Check the footer and header of the documents to ensure that all version control, unit name and code, and other pertinent information is accurate and up to date.

g. All equipment, resources, and materials specified in the assessment conditions must be made available in order for the assessment to take place.

4. Verify that mapping documentation for the assessment tools and learner resources are available.

The mapping materials associated with the assessment tools and learner resources should be available. Check this before you purchase the training and assessment resources. Ensure that the training and assessment resources have met all of the unit requirements.

5. Verify that the correct assessment method has been used.

Many assessment instruments use non-compliant techniques for determining learner competency. If the assessment assignment asks a student, “How would you do this?” or something along these lines, you must be extremely cautious, especially if there is a mapping to performance criteria (PCs) or performance evidence (PEs), as such a question has no wrong answer. The student may provide an answer that shows incorrect understanding, but because the question is not asking for the correct way of doing something, there is no wrong answer.

In order to establish competency in performing a task or job, evidence must be provided in the form of an observation that properly identifies the specific performance level for each practical skill performed. Many observation checklists are simply copied and pasted versions of PEs and PCs from the unit, found on the national register. It has the potential to cause complications during an audit and result in non-compliance.

6. Determine whether there are sufficient learner resources to meet the training requirements.

Choose among those learning resources that will allow you to demonstrate that you have satisfied the learning criteria for the delivery of the qualification. ASQA will audit your RTO to establish whether or not there are sufficient training and assessment resources for the students to be able to implement the theory learnt into practice in the workplace.

The training resources you choose are important as they can determine whether or not you will be able to demonstrate compliance during an audit. One suggestion that you might find really useful is to review the content and ensure it meets the compliance requirements. For example, when you look at materials you may find that they have double spacing between lines and a large number of photos. The material of these types of resources is typically lacking in depth. You will also observe that the use of this type of formatting will result in a two-fold increase in the number of pages. Some publishers employ this technique to give the appearance that their content is more extensive than it actually is. Therefore, look at each of the performance criteria and make an informed judgement if the information is adequately covered or not.

7. Check to determine if the information is accurate, up to date, and thorough.

Finally, but certainly not least, you should check the clarity of the content you are considering purchasing. One method of obtaining legitimate, reliable, and up-to-date training materials is to select learning resource publishers and developers who appoint subject matter experts in order to obtain the proper and comprehensive material. Assessment activities, session plans, assessment workbooks, and learning guides, among other instructional methods, should be included in the training material to ensure that students receive sufficient learning material.

Student assessment workbooks should be a comprehensive collection of assessment assignments used to gain an understanding of a student’s level of knowledge.

Trainer/Assessor evaluation resources are items that are intended for use by trainers in the assessment process.

Trainers employ a variety of assessment tools, such as benchmark answers and assessor instructions, to gather the information that is necessary for providing training.

Self-study guides are available to students to assist them in developing an enthusiastic approach to learning.

Mapping documents, learner manuals, and PowerPoint presentations should be included in the training tools to help make the training complete and user-friendly.

8. The resources are plagiarism-free

Use applications such as Grammarly and/or Turnitin to confirm that the resources are free of copyright and plagiarism issues before using them. If it is general information that is freely available on the internet, you should not be concerned; but, if it is information from a different publisher or from copyrighted websites or other materials, you should be concerned and should refrain from using these products.

CAQA Resources

CAQA Resources delivers high-quality solutions in the form of compliant RTO resources that are comprehensive and totally adaptable to meet your specific requirements as well as the needs and requirements of students.

When it comes to learning and assessment for your learners, CAQA Resources is your go-to for staying compliant. Our RTO resources, training and learning materials, assessment tools, as well as learning kits, provide a comprehensive selection of resources for a wide range of qualifications.

Visit our website www.caqaresources.com.au and look through our comprehensive list.

Contact us on 1800 266 160 or email info@caqa.com.au for more information on how to obtain the best training resources for your RTO.

Training Packages: CAQA Resources can deliver resources from the following training packages:

List of all training packages CAQA Resources have available or are currently writing:

  • AHC – Agriculture, Horticulture and Conservation and Land Management Training Package
  • AUR – Automotive Retail, Service and Repair Training Package
  • BSB – Business Services Training Package
  • CHC – Community Services Training Package
  • CPC – Construction, Plumbing and Services Training Package
  • CUA – Creative Arts and Culture Training Package
  • EAL – English as an Additional Language Training Package
  • FBP – Food, Beverage and Pharmaceutical Training Package
  • FNS – Financial Services Training Package
  • FSK – Foundation Skills Training Package
  • FWP – Forest and Wood Products Training Package
  • HLT – Health Training Package
  • ICP – Printing and Graphic Arts Training Package
  • ICT – Information and Communications Technology Training Package
  • MEM – Manufacturing and Engineering Training Package
  • MSF – Furnishing Training Package
  • MSM – Manufacturing Training Package
  • MSS – Sustainability Training Package
  • NUR – Nursing Training Package
  • PMA – Chemical, Hydrocarbons and Refining Training Package
  • PSP – Public Sector Training Package
  • RII – Resources and Infrastructure Industry Training Package
  • SHB – Hairdressing and Beauty Services Training Package
  • SIR – Retail Services Training Package
  • SIS – Sport, Fitness and Recreation Training Package
  • SIT – Tourism, Travel and Hospitality Training Package
  • TAE – Training and Education Training Package
September 19, 2021 CAQA Resources, RTO, Training and Assessment Comments Off on Quality training and assessment resources from CAQA Resources

Part 1- The trainer and assessor files

Compliance of your trainer records is a must for any Registered Training Organisation. If you do not know what you are looking for, you will always have difficulty finding it. The purpose of this article is to provide you with the required information and resources to ensure you can audit and review your trainer and assessor files to be compliant with the current regulatory requirements and standards.

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.

Requirements for all trainers and assessors:
Trainers and assessors must meet the following criteria and guidelines:

  • the vocational competencies at least to the level being delivered and assessed
  • current industry skills directly relevant to the training and assessment being provided, and
  • current knowledge and skills in vocational training and learning that informs their training and assessment.

In addition, training and assessment may only be delivered by persons who have:

  • Certificate IV in Training and Assessment (TAE40110 or TAE40116), or its successor*, or
  • A diploma or higher level qualification in adult education.

Your RTO must also ensure that all trainers and assessors undertake professional development in the fields of:

  • knowledge and practice of vocational training, and
  • learning and assessment, including competency-based training and assessment.

Trainer’s CV
An RTO must hold valid files for all Trainers and Assessors (this includes files for contractors and employees). A valid file includes the following information:

  • A current copy of the trainer/assessor’s CV (usually updated on an annual basis)
  • The RTO’s name, the position title and a description of the job-role
  • Details about the vocational competencies that the trainer/assessor holds
  • Details about the vocational competencies that the trainer/assessor is delivering/assessing.
  • Information about industry currency and skills
  • List of VET professional development activities
  • Confirmation that it is a true and up-to-date copy of the CV (usually means the trainer/assessor initialling each page of the CV to confirm the accuracy of the information provided)
  • Signature and date of last update of the CV

It is also recommended that all resumes/CVs are verified for currency and authenticity through the undertaking of reference checks.

Reference:
Fact sheet—Meeting trainer and assessor requirements, published by ASQA https://www.asqa.gov.au/sites/g/files/net3521/f/FACT_SHEET_Meeting_trainer_and_assessor_requirements.pdf

(To be continued in the upcoming newsletter and blogs)

September 15, 2021 ASQA, Audits, News, RTO Comments Off on Part 1- The trainer and assessor files

Part 1- The importance of internal audits

This is our first article in the series regarding “Internal audits”. Our main intention is to provide you with the required knowledge and skills, and equip you with the necessary resources to ensure you can audit your organisation against quality frameworks and standards effectively and efficiently.

What are Internal audits?
Internal audits are an independent, collaborative, impartial, objective assurance and consulting activity formulated to add value and improve operations of an organisation. It assists the organisation to bring a systematic, disciplined approach to effectively evaluate, monitor and improve the effectiveness of risk management, internal control and governance processes. Internal audits act as a catalyst for a strong risk and compliance culture within an organisation.

What are the benefits of conducting internal audits?
Internal audits act as a catalyst for enhancing an organisation’s governance, risk management and controls by presenting insight and recommendations based on interpretation and examination of data and business practices and processes. There are a number of other benefits, such as:

  • Audits assess an organisation’s performance and practices against the regulatory framework, guidelines and legislative/statutory instruments.
  • Audits provide management of an organisation with information on the effectiveness of risk management, control and governance processes.
  • Audits evaluate achievement of organisation objectives
  • Audits ensure assets are safeguarded and secure.
  • Audits assess efficiency, effectiveness and the economy of business activities.
  • Audits review operations and processes to ensure they are protected from any fraud, malpractice or corruption
  • Audits increase financial reliability and integrity
  • Audits help to improve the “control environment” of the organisation
  • Audits are great learning lessons for all parties involved
  • Audits identify the business areas that require urgent attention
  • Audits identify opportunities, accountabilities and risks
  • Audits help management understand what it needs to know, when it needs to know it and how it needs to be done or implemented.
  • Audits identify better ways of doing things by recommending how to improve internal controls and governance processes

What is an audit scope?
The scope of audit refers to the focus, extent, boundaries and range of the activities covered by an internal audit. It includes:

  • The objectives for conducting an audit
  • Nature and extent of auditing procedures and activities performed
  • The organisational units that will be examined
  • Location of the audit
  • Time-period that will be covered
  • Related activities not audited in order to define the boundaries of the audit.

The audit scope, ultimately, establishes how deeply an audit is required to be performed.

What is usually included in an RTO internal audit?
The internal audit is usually a documented process that includes the evaluation of the following:

  • Quality framework and standards and legislative guidelines
  • Training packages and the companion volume (including the implementation guides)
  • Assessment and learner resources
  • Training and assessment strategies
  • Trainers and assessors
  • Industry consultation and engagement and how improvements are made from them
  • Recognition of prior learning and credit-transfers
  • Transitioning planning, processes and procedures
  • Student certification and completion processes and procedures
  • Third-party agreements and monitoring processes and procedures
  • Student support, progression and welfare processes and procedures
  • Student and staff Interviews and questionnaires
  • Student records, student files and student data analysis
  • Enrolment and pre-enrolment processes and procedures
  • Marketing and advertising practices and procedures
  • Regulatory compliance and governance practice
  • Policies and procedures an organisation uses
  • Other organisational practices and systems

Who can be an internal auditor?
An Internal auditor can be anyone who has the required knowledge, skills and experience to objectively, professionally and unbiasedly evaluate your organisation’s processes and procedures to identify opportunities for improvements.

It can be an internal staff member or an external person such as a compliance consultant.

The required knowledge, skills and experience of internal auditors will be discussed in our next edition.

(To be continued in the upcoming newsletter and blogs)

September 8, 2021 Audits, RTO Comments Off on Part 1- The importance of internal audits

Check if you have an authorised copy of the training and assessment resources

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.

The benefits of confirming the authorised copy

There are a number of advantages to confirming the licence of your training and assessment materials, including the fact that licensed resources are usually linked to a quality assurance guarantee and are usually eligible for free updates, which you do not receive if you obtain the resources in an illegal manner, as well as the fact that making and distributing resources that you are not licenced for is likely to infringe copyright and may be a criminal offence. This can also affect your reputation and registration under the governance and copyright clauses (Clause 8.5, particularly of Standards for Registered Training Organisations 2015, provides: “The RTO complies with Commonwealth, State and Territory legislation and regulatory requirements relevant to its operations.”)

In addition, when applying for accreditation of a VET course, the national template requires that the applicant must:

Provide evidence that the applicant for accreditation either owns, or is licensed to exploit the copyright in any units of competency or modules. Include the name of the legal entity or individuals who own the copyright.

Copyright legislation in Australia

Training and assessment resources will generally be protected by copyright in Australia under the Copyright Act 1968 (Cth). Copying and distributing these resources without the appropriate licence will usually be an infringement of copyright.

You may be aware of the Statutory Education Licence that is administered by the Copyright Agency. You need to pay the Copyright Agency an annual fee to obtain this licence. However, the Statutory Education Licence does not permit copying or transmitting an electronic copy of 100% of a resource if it is commercially available, but only allows use of a reasonable portion (eg 10%). Copying or transmitting an amount of the resource that would unreasonably prejudice the legitimate interests of the copyright owner is outside this licence. If you want to use more than a reasonable portion of someone else’s training and assessment resources, you will need to obtain a licence from the copyright owner or you will infringe copyright.

The consequences of copyright infringement can be significant. A court can order you to stop infringing and you could be liable for compensatory damages or have to pay the amount of your profits from using the unauthorised resource as well as handing over infringing copies to the copyright owner. You may even have to pay “additional damages”. These are a form of punitive damages that can often be more than the compensation payable. Plus, if the matter goes to court, there can be adverse publicity as well having your business tied up in litigation for a significant period of time. All this just to try and avoid a fee. Copyright infringement is not worth it.

For more information see the ASQA web page on RTOs and copyright: asqa.gov.au

By Sukh Sandhu and Margaret Ryan

Margaret Ryan is a lawyer and trade marks attorney with over 30 years’ experience in intellectual property, including copyright, and consumer protection law, working with organisations to find solutions, maximise the value of their IP and protect their business. IP by Margaret® – www.ipbymargaret.com.au

September 3, 2021 ASQA, RTO, VET Sector Comments Off on Check if you have an authorised copy of the training and assessment resources

Staying on top of compliance

Introduction

RTOs are required to comply with an increasing number of constantly changing regulations and reporting and there is a heavy price to pay if found non-compliant.

With ASQA’s emphasis on RTOs self-management of ongoing compliance through systemic monitoring, what is the best way to stay on top of and adapt to the journey of compliance in an ever-changing landscape whilst remaining cost-effective?

The answer is often ‘why not hire a compliance manager’? Sounds easy? Not really.

The compliance requirements that RTOs face are complex. Having a compliance officer focused on managing risk is an essential piece of the puzzle but not the complete answer.

It requires more than one person to develop systematic processes to compliance. It requires more than an internal team to manage risk and maintain a positive reputation. It requires experts to decipher confusing or abstract standards and determine how to establish and integrate best practices.

What does ASQA’s data indicate?

ASQA, in their 2018 Course Owner Report, identified that:

  • 67% of RTOs were non-compliant in their development of enterprise units
  • 58% of RTOs were non-compliant in AQF qualification type and level Volume of learning
  • 56% of RTOs do not have sufficient evidence of consultation/validation activities, industry need and support.

One of the reasons for these findings could be because an RTOs compliance culture suffers from the ‘comfort with status quo’ syndrome. RTOs who depend mainly on an internal process find it difficult to accept change due to their lack of confidence in the unknown new system and culture. They fail to redesign, rethink, and reorganise new compliance policies, procedures, and processes as they struggle to disengage from the existing culture.

Many compliance officers have tried to set the tone of compliance to protect the organisation, hold employees accountable, and lead a culture of compliance. However, they are often seen as the bearers of bad news and often not supported.

Why are compliance services becoming increasingly important?

Today more than ever, RTO executives and owners seek out unbiased and impartial subject matter experts and consultants to look into all areas of their organisation. External consultancy like the services CAQA provide are engaged for registrations, internal audits, validations, etc.

In light of all this, CAQA has designed its Ongoing Retainer Agreement. The objective is to provide ongoing consultancy services to RTOs with a compliance program that institutes a system of checks and balances at every level.

Seven (7) benefits an ongoing Retainer Agreement can provide.

As an external consultant, we have the advantage of a bird’s-eye view of the RTO to spot compliance issues, hear about trends, and identify new risks before they become findings that result in the consequences of suspension or de-registration etc.

Our approach is a holistic perspective with proactive rectification. Our culture is solution-oriented, ensuring RTO’s self-assurance.

Bringing our professionals to you will have the following benefits.

  1. Proactive action. We will identify your areas of improvement before they become non-compliant and create significant problems. All we need from you is a commitment to an effective compliance program.
  2. Independence. Our reporting is unbiased and that can assure you the information in our report is entirely objective.
  3. We bring a wealth of audit experience. We work with many RTOs. Our experts are engaged in auditing daily, and their expertise adds more value. We use this knowledge to recommend improvements and provide you with a systematic solution to your quality management system.
  4. Exceptional success record. Our consultants have been providing compliance and regulatory assistance to training and education organisations for over 25 years. They are a team of dedicated and seasoned professionals trained in ISO quality management standards with an exceptional success record.
  5. No data smog. In this era of over-information, many RTOs suffer from 21st century’s syndrome of data smog that is characterised by the velocity of over-information along multiple channels that often results in the collapse of healthy business cycles. We provide you with the correct information required, no less no more.
  6. Consistency. By signing an agreement with CAQA to conduct internal periodical audits, you will offload that responsibility and simultaneously ensure that you will get consistent results through scheduled visits.
  7. Cost-effective resourcing. We understand that not all organisations have the resources to hire the audit professionals they need to excel within their chosen field. Our service allows you to utilise high caliber resources for a fraction of a price of what it would cost to employ a compliance person.

What you will get from an Ongoing Retainer Agreement.

  • One hundred (100) hours of consultancy services delivered over a ninety (90) day period.
  • Three (3) professional development sessions for staff and management on topics nominated by the Training Organisation over a ninety (90) day period.
  • Five (5) recruitment advertisements/month on CAQA Recruitment (over the period in which the Agreement remains in effect)
  • Five (5) advertisement in Career Callings Social media marketing (over the period in which the Agreement remains in effect)
  • Assistance with compliance and training organisation related queries
  • Validation of units of competency (maximum 2x per qualification/month)
  • Provision of industry consultation support (1x per qualification/month)
  • Updated information from the VET industry
  • Exceptional consultancy on Systematic Self-Quality Assurance and Continuous Improvement
  • Regular news and updated information about the VET industry

Call us on 1800 266 160 or email info@caqa.com.au to find out more. Let us bring CAQAs professional team to you – don’t wait until your next audit is due.

September 3, 2021 ASQA, RTO Comments Off on Staying on top of compliance

Various phases of the assessment and validation processes (Part 3)

This is Part 3 of the article, where we are discussing the different phases of the validation processes an RTO should be following to ensure they meet regulatory requirements and industry expectations.

In the previous articles, we discussed the following regarding the validation of assessment resources:

  • Explanation of assessment validation
  • Typical benchmarks used during the validation processes
  • Stages of validation (before, during and after the assessment judgements)
  • Regulatory requirements for conducting validation
  • Assessment system
  • Who conducts validation?
  • How is validation different from moderation?
  • How external consultants can help you with validation of assessment and learner resources?

In this month’s article, we will explore the regulatory requirements around validation of learner resources.

Learner resources
Learner resources are also known as “learning resources”, “training resources”, or “companion guides”. The purpose of these resources is to support learners with the underpinning knowledge required to participate in skill-based tasks. These resources include a range of activities to support the learning including, formative assessments and activities, links to further reading, workplace activities and procedures (where relevant to the qualification) etc.

Why you need to validate your learner resources
The VET regulator, ASQA does not currently prescribe the methodology Registered Training Organisations (RTOs) should use to meet the requirements of the relevant standards, training packages and accredited courses for learner resources.

But their expectations under the Standards for Registered Training Organisations, 2015, is to ensure your learner resources meet the following legislative guidelines:

Standard 1, Clause 1.3 (c): Learning resources to enable learners to meet the requirements for each unit of competency, and which are accessible to the learner regardless of location or mode of delivery.

The guidelines further state that:

Learning resources

  • To ensure students are able to obtain and absorb the required knowledge and skills prior to assessment, carefully choose and plan the learning resources you will use to guide them.
  • Identify these resources in your strategy to ensure you obtain full coverage of all required areas.

Therefore, we strongly recommend validating your learner resources to ensure your organisation complies with the relevant legislative requirements and guidelines.

The process of validation of learner resources
The validation of learner resources is not very different from the validation of assessment resources. All learner resources must also meet training package requirements and industry expectations.

Who can be involved in validating the learner resources
There are currently no regulatory requirements around who can participate in the validation of learner resources, however, it should be no different from the validation of assessment resources.

It should be a collective team effort and you must include the following people to validate your learner resources:

  • Subject matter experts
  • Trainers and assessors
  • Compliance or administration manager
  • Industry experts
  • You may also include compliance experts as well as they usually have current and up-to-date knowledge around audit and compliance expectations and requirements.

Stages of validation for learner resources
Stage 1: Validation before using the learner resources
Validation before using the learner resources is to ensure the resources meet training package requirements, how the information is presented and the quality of the formative assessments. This is to ensure the student gains the required skills and knowledge to participate in the summative assessments later. Your review of the learner resources templates in detail ensures they are compliant and meet regulatory standards and Industry requirements.

Stage 2: Validation during or after using the learner resources
Your validation of learner resources during or after use is to ensure:

  • Your resources meet client expectations
  • Your resources meet training package guidelines and provide all required underpinning knowledge to your students
  • Your resources are current and up-to-date in terms of the latest trends, technology and industry guidelines and practices.

In the next and final article, we will discuss:

  • Why you need to keep validators information
  • Why validation of assessment and learner resources should be systematic and ongoing
  • How can you schedule validation
  • What is statistically valid sampling
  • Validation outcomes

(To be continued in the upcoming newsletter and blogs)

August 31, 2021 Audits, News, RTO Comments Off on Various phases of the assessment and validation processes (Part 3)

RPL Kits-Let’s discuss compliance with clauses 1.8 and 1.12

The legislative requirements

The legislation is very clear regarding compliance in RPL kits and why you need to have RPL Kits for every unit of competency you are training and assessing.

The legislative instrument includes the following clauses:

Assessment

1.8. The RTO implements an assessment system that ensures that assessment (including recognition of prior learning):

a) complies with the assessment requirements of the relevant training package or VET accredited course; and
b) is conducted in accordance with the Principles of Assessment and the Rules of Evidence.

1.12. The RTO offers recognition of prior learning to individual learners.

Can you refuse a student RPL

Legislation involves the preparation and enactment of laws by a legislative body through the lawmaking process that it uses to accomplish its purposes. Something written in legislation eliminates all questions and assures that everyone adheres to the requirements, regardless of whether they want to or do not want to do so. As a result, training organisations do not have the privilege of refusing recognition of prior learning to people interested to achieve a unit of competency, skill set or qualification through recognition of prior learning. They have no choice but to offer it.

What should be included in the RPL kit

The regulatory body has not approved any structure or approved a template for RPL kits, the structure of RPL kits is up for debate at this time. However, the practise has been in place as long as RPL kits have allowed the following:

  • Self-assessment should be carried out by the student in order to evaluate their knowledge and abilities.
  • In addition to previous studies – both formal (e.g., TAFE, school) and informal (– for example, community education, workplace training courses), work experience – both paid and unpaid – and life experience, evidence should be gathered from the student.
  • Direct evidence can be gathered by observation, demonstration, simulation, and role-playing, among other methods. Indirect evidence can be gathered through the use of work samples, workplace documentation, third-party reports, projects, and a Portfolio of Evidence, among other methods.
  • Third-party proof can include letters of recommendation from supervisors, team leaders, and managers, as well as evidence of the student performing duties and responsibilities.
  • The assessor guide should be designed to ensure that different assessors should reach the same judgement about a student’s competency, regardless of who is assessing the student.
  • Comprehensive mapping assessment documentation that ensures that all of the training package requirements are addressed.

How can you prepare or evaluate the quality of your RPL Kit

When preparing and developing RPL kits, be certain that they meet the specifications given in clauses 1.8 (and sections 8a and 8b).

Principles of Assessment

Fairness in Assessment:

During the assessment process, the needs of each individual student are taken into consideration.

When necessary, reasonable adjustments are made by the RTO to accommodate the specific needs of each individual student.

Learning and assessment are explained to students by the RTO, who also gives them the opportunity to contest the results of their assessments and have them evaluated if necessary.

Flexibility in Assessment:

Assessment is tailored to the needs of each individual student by:

taking into consideration the student’s needs and requirements;

It is important to evaluate the competencies held by the student, regardless of how or where they were gained.

Making use of a variety of assessment methods and selecting those that are appropriate for the situation, the unit of competency and associated assessment needs, and the individual.

Validity in Assessment:

Each and every assessment decision made by the RTO is justified in light of the evidence of the particular student’s performance.

Validity necessitates the following:

Evaluation in relation to the unit/s of competency and the accompanying assessment requirements encompasses the entire range of skills and information that are required for competent performance;

Evaluation of knowledge and abilities is done in conjunction with their practical application.

It is expected that evaluation will be based on evidence that demonstrates that a student can exhibit these abilities and knowledge in other similar contexts; and

The evaluation of learner competence is based on evidence of learner performance that is related to the unit(s) of competency, associated assessment and evaluation standards.

Reliability in Assessment:

It does not matter who assesses the assessment because the evidence supplied for evaluation should be consistently understood and the assessment outcomes are comparable.

Rules of Evidence

Validity in Assessment:

Assurance is provided to the assessor that the student possesses the skills, knowledge, and qualities indicated in the module or unit of competency and associated assessment requirements for the module or unit of competency.

Sufficiency in Assessment:

The assessor is confident that the quality, amount, and relevance of the assessment evidence will allow a determination of a student’s competency to be made by the assessor.

Authenticity in Assessment:

The assessor is certain that the evidence submitted for assessment is the student’s own original work by ensuring that the student has completed the task.

Currency in Assessment:

When the assessor receives assurance that the assessment evidence confirms current competency, the assessment is considered complete. This necessitates the use of evaluation evidence that is either current or very recent in time.

Contact us at info@caqa.com.au for more information and the availability of RPL kits and resources.

August 22, 2021 RTO, TAFE, VET Sector Comments Off on RPL Kits-Let’s discuss compliance with clauses 1.8 and 1.12
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