About VET Compliance (Part One): System Framework for an experiential case study


copyright-symbols-and-rules-you-need-to-know-04 2015

Intellectual Property of Dr. Bruce D. Watson, DEd Melbourne and attributed authors as noted.

For Private individual use. All rights reserved.

Published: www.academia.edu

1. Background

The Department of Industry says, “The new Registered Training Organisation Standards [http://tinyurl.com/kqcgoco] aim to improve the quality of training outcomes through requiring RTOs to have appropriately skilled trainers and assessors and ensuring that RTOs are held fully accountable for the quality of training outcomes, irrespective of whether they outsource the delivery of training and assessment.”

“The NSSC consultation process raised the issue of the quality of the delivery of the Certificate IV in Training and Assessment and noted that this has attracted concern and poor audit results for some time.”

“The draft NSSC standards proposed to increase the scrutiny and monitoring of providers that deliver the Certificate IV in Training and Assessment. This included introducing independent and external validation and increasing the minimum qualification of those delivering the Certificate IV to the Diploma level.”

“Given the importance of training and assessment qualifications in enabling trainers to effectively design and deliver industry-current skills training, the new standards retain the NSSC requirement that RTO’s who deliver the Certificate IV in Training and Assessment to undergo independent and external validation of their assessment system in relation to the Certificate IV.”

“There [is] overwhelming support for the strengthened focus on the quality of training and assessment and recognition that training organisations must have the educational expertise to ensure such quality. The new standards would see the leadership of the RTO being clearly responsible for the quality of all training and assessment delivered to learners. This maintains the quality requirement while delivering flexibility to RTOs in determining the most appropriate organisational structure for their business.”

2. Standard 1


“The RTO’s training and assessment strategies and practices are responsive to industry and learner needs and meet the requirements of training packages and VET accredited courses.”


“Learners, employers and industry must have confidence in the integrity, currency and value of certification documents issued by RTOs, through high quality training and assessment practices that:

  • meet the requirements of training packages and VET accredited courses;
  • is responsive to industry and learner needs; and
  • is delivered by appropriately qualified trainers and assessors with the right support services, facilities and equipment.”

“The RTO’s training and assessment strategies and practices must have regard to the amount of training required for the learner to gain the competencies as specified in the relevant training package or VET accredited course. The amount of training will vary depending on the existing skills and knowledge of the learner, the mode of delivery and include any work placement arrangements.”

“To ensure thorough and rigorous assessment practices and results, RTOs must implement a comprehensive plan of systematic validation. RTOs must use a risk-based approach to developing the plan considering risk indicators such as the potential safety concerns to clients from an assessment outcome that is not valid, the mode of delivery, changes to training packages and/or licensing requirements.”

“Trainers and assessors who are involved in training and assessment delivery being considered as part of the validation process may also participate in the validation process.”

“There are differences in the operating characteristics and business objectives of RTOs and the evidence RTOs use to demonstrate compliance with this Standard will reflect those differences.”

3. Compliance Auditing


ASQA conducts compliance audits to assess providers’ ongoing compliance with the standards.

ASQA will conduct a compliance audit if an assessment has determined there is a risk of the provider failing to comply with the relevant standards. Compliance audits are scheduled at ASQA’s discretion, with the authority of an ASQA Commissioner.

The auditor will discuss with you the most appropriate site/s to visit to conduct the audit. The auditor (or audit team, which may include industry specialists) examines your ongoing compliance with the VET Quality Framework.

The auditor may also investigate the:

  • effectiveness of management systems, delivery strategies and other materials
  • proposed implementation of delivery strategies meets training package and/or accredited course requirements
  • suitability of facilities and equipment, and
  • credentials of nominated delivery personnel.

4. What VET Auditors are expected to determine

Standard 15—Training and Assessment


The key considerations for each part of Standard 15, as outlined in the ASQA Audit tool [http://tinyurl.com/ksxdmvk]. The audit tool is the document used by ASQA auditors to guide their evidence gathering at audit.

Can you show that your RTO:

  • collects data about its training and assessment from relevant stakeholders?
  • analyses the data?
  • implements changes to training and assessment as required, based on the analysis of data?
  • regularly monitors and reviews improvements?

Can you:

  • Provide a strategy for each Training Package qualification or VET accredited course and for any skill sets or units of competency offered as standalone courses?
  • Show that each strategy meets the requirements for delivery and assessment of the relevant training package or VET accredited course?
  • Show how each strategy was developed through effective consultation with industry?

Can you show that:

  • Your staff, resources, facilities and equipment meet training package or accredited course requirements?
  • Sufficient staff, resources, facilities and equipment are available?
  • Training and assessment materials meet training package or VET accredited course requirements.?
  • Training and assessment materials are appropriate to the target client group?
  • Consistency is evident between each strategy and the resources to be used?

Can you provide:

  • evidence that your trainers and assessors are qualified, including vocationally qualified for the training and assessment services they deliver, and that their vocational currency has been established.evidence that trainers and assessors are maintaining and improving their competencies and knowledge of VET?
  • evidence that you have implemented measures for ensuring that vocationally competent assessors without assessment competencies will conduct assessments with qualified assessor(s), where applicable?

Can demonstrate:

  • assessment meets the assessment requirements of the Training Package or course
  • assessment meets workplace requirements and/or appropriately simulates workplace conditions
  • trainers and assessors have the skills and expertise to conduct valid assessments
  • students have enough time to undertake the repeated practice needed to demonstrate competence
  • students have adequate access to and supervision during work placements?
  • assessment is conducted in accordance with the principles of assessmentand the rules of evidence?
  • the systematic validation of assessment materials?

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