Source: Australian National Training Authority

On 8 June 2001 Ministers renamed the Australian Recognition Framework (ARF) as the Australian Quality Training Framework (AQTF).

Ministers also adopted Standards under the Australian Quality Training Framework which replace the Australian Recognition
Framework Arrangements 1999. These Standards are in two parts:

• Standards for Registered Training Organisations, and

• Standards for State and Territory Registering/Course Accrediting Bodies.

Interpretation

• Section 1 provides some general information regarding the Australian Quality Training Framework and is not to be construed to be part of the Standards.

• Section 2 contains the Standards for Registered Training Organisations.

Acronyms and Abbreviations

Section 1: The Australian Quality Training Framework

The Australian Quality Training Framework (AQTF) was developed by the National Training Quality Council (NTQC) of the Australian National Training Authority (ANTA) Board in conjunction with States and Territories, the Commonwealth and industry and endorsed by Ministers for vocational education and training on 8 June 2001.

The key objective of the Australian Quality Training Framework is to provide the basis for a nationally consistent, high quality vocational education and training system. The Standards of the Australian Quality Training Framework are in two parts:

• Standards for Registered Training Organisations; and
• Standards for State and Territory Registering/Course Accrediting Bodies.

This document provides the Standards for Registered Training Organisations which are set out in Section 2.

Mutual recognition

Mutual recognition is critical to the operation of a nationally consistent vocational education and training system and is a key principle underlying the Australian Quality Training Framework ensuring decisions in relation to vocational education and training have national effect.

Under mutual recognition, each State and Territory has agreed to recognise the decisions of all other States and Territories in registering training organisations (including the imposition of any conditions or sanctions with respect to registration) and in accrediting courses. This means a Registered Training Organisation (RTO) can operate in all States and Territories without a further recognition process or the payment of additional registration fees.

Nationally endorsed Training Packages and Australian Qualifications Framework (AQF) accredited courses are also subject to mutual recognition. All States and Territories have agreed to recognise Training Packages and accredited courses and it is a requirement for registration that RTOs agree to recognise the AQF qualifications and Statements of Attainment issued by other RTOs. This ensures the mutual acceptance throughout Australia of AQF qualifications and Statements of Attainment.

Operation of the Australian Quality Training Framework for RTOs

A training organisation must be registered if it wants to issue AQF qualifications in the vocational education and training sector and to deliver the associated training and/or undertake the associated assessment¹. To obtain and maintain registration RTOs must meet the Standards for Registered Training Organisations set out in Section 2 of this document.

The AQTF protects the integrity of qualifications that are issued and the services provided by RTOs. Organisations can be registered either for training delivery and assessment, or for assessment only services. In both cases, registration authorises an RTO to issue specific AQF qualifications and Statements of Attainment. The scope of registration specifies the AQF qualifications or units of competency from Training Packages, or accredited courses, that can be provided by an RTO. Organisations which are not RTOs must not claim the training or assessment that they undertake is nationally recognised. They may enter into an agreement with an RTO to deliver nationally recognised training or assessment services on behalf of the RTO and the RTO will be responsible for compliance with the AQTF for those services (see Standard 1.6).

To become registered, a training organisation must apply to the registering body in the State or Territory where the organisation has its head office, or where it will conduct most or all of its training and assessment, and pay the fees set by that registering body. The State or Territory registering body is responsible for the decision to register a training organisation and for auditing RTOs for compliance with the Standards for Registered Training Organisations. Registration is for five years (unless suspended or cancelled). Registration has national effect, so only one registration application, and the payment of one registration fee, is required. (In addition to the registration fee, an RTO may be required to pay other fees, for example if a change to their scope of registration is approved by the registering body.)

If an RTO commences operations in another State or Territory, it must, within 21 days, notify the body which registered it. That body then notifies the relevant States and Territories in writing and amends the information on the National Training Information Service (NTIS).

The State or Territory registering body will conduct an evaluation to ensure compliance with the Standards for Registered Training Organisations across all of the RTO’s intended operations. Initial registration of a training organisation will include an audit. Newly registered RTOs will also be audited within 12 months of registration to ensure continuing compliance. During the 5-year period of registration, an RTO may be required to participate in audits, including strategic industry audits, as determined by the State or Territory, and strategic evaluations initiated by the NTQC.

(AQTF)) to deliver training or assessment. For funding eligibility for government industry advisory arrangements, organisations registered under the AQTF for ‘assessment only’ services under the exception clause must, as a minimum, meet the independence criteria outlined in Guidance for the Declaration of ITABS - Potential Conflict of Interest, ANTA June 1999.

Upon request, an RTO is required to provide information to the registering body about all its operations, including interstate, flexible learning and on-line or off-shore operations, in order to assist the registering body to determine the extent of an audit. RTOs will be required to pay any fees set by the registering body for audits including fees for audits of interstate or overseas operations.

A State or Territory registering body may continue or cancel registration, extend or reduce the scope of registration of an RTO, and/or impose nationally agreed sanctions based on the outcomes of audit and evaluation processes.

An RTO may apply to renew its registration before the term of the registration expires. In this case, an audit will be conducted to determine if the RTO continues to comply with the Standards for Registered Training Organisations and is eligible to renew its registration. If the RTO has participated in an audit within the preceding twelve months, and found to be compliant, an audit for renewal of registration may not be necessary.

Additional requirements for overseas delivery

An RTO may offer vocational education and training to overseas students in Australia only if it is approved by the designated body and registered on the Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS). The requirements of the Education Services for Overseas Students Act 2000 and the National Code of Practice for Registration Authorities and Providers of Education and Training to Overseas Students (the National Code) are additional to the AQTF.

Section 2: Standards for Registered Training Organisations

Preliminary

Name of Standards

These Standards are the Standards for Registered Training Organisations.

Application of Standards

These Standards apply to each Registered Training Organisation (RTO) in each State and Territory.

Definitions

In these Standards:

Access and equity means the policies and approaches that ensure that vocational education and training is responsive to the diverse needs of all clients. Through the implementation of these policies and approaches, the benefits of participating in vocational education and training are available to everyone on an equitable basis, including: women where under-represented; people with disabilities; people from non-English speaking backgrounds; Indigenous Australians; and rural and remote learners.

Accreditation means the formal recognition of a course by the State or Territory course accrediting body in line with the Standards for State and Territory Registering/Course Accrediting Bodies.

Accredited course means a structured sequence of vocational education and training that has been accredited and leads to an Australian Qualifications Framework (AQF) qualification or Statement of Attainment.

Apprenticeship/Traineeship Training Contract means a contract for an apprenticeship/traineeship, made between an employer and an apprentice/trainee, which is registered with the appropriate State/Territory government department or agency as may be required by State/Territory legislation.

Assessment means the process of collecting evidence and making judgements on whether competency has been achieved to confirm that an individual can perform to the standard expected in the workplace, as expressed in the relevant endorsed industry/enterprise competency standards or the learning outcomes of an accredited course.

Assessment guidelines means an endorsed component of a Training Package which underpins assessment and which sets out the industry approach to valid, reliable, flexible and fair assessment. Assessment guidelines include: the assessment system overview; assessor requirements; designing assessment resources; conducting assessment; and sources of information on assessment.

Audit means a systematic, independent and documented process for obtaining evidence to determine whether the activities and related outcomes of a training organisation comply, or continue to comply, with the Standards for Registered Training Organisations.

Australian National Training Authority (ANTA) means the Authority established under subsection 5 (1) of the Australian National Training Authority Act 1992 of the Commonwealth of Australia.

Australian Qualifications Framework (AQF) means the policy framework that defines all qualifications recognised nationally in post-compulsory education and training within Australia. The AQF comprises titles and guidelines, which define each qualification, together with principles and protocols covering articulation and issuance of qualifications and Statements of Attainment.

Australian Quality Training Framework (AQTF) means the nationally agreed quality arrangements for the vocational education and training system agreed to by the Ministerial Council.

Chief Executive means the most senior executive of the Registered Training Organisation.

Client means learner, enterprise or organisation which uses or purchases the services provided by a Registered Training Organisation.

Course accrediting body - see State or Territory course accrediting body.

Delivery and assessment strategies means delivery and assessment strategies for each qualification, or part thereof, within the Registered Training Organisation’s scope of registration.

Endorsement means the formal process of recognition of Training Packages undertaken by the National Training Quality Council.

Evaluation means all the activities related to the registration of a training organisation to determine whether it meets, or continues to meet, all the requirements of the Standards for Registered Training Organisations necessary for registration. Evaluation may include: review of past performance; review of complaints and other feedback; risk assessment; examination of documentation; conduct of audit; consideration of audit reports; and other relevant activities in relation to the organisation.

Flexible learning means an approach to vocational education and training which allows for the adoption of a range of learning strategies in a variety of learning environments to cater for differences in learning styles, learning interests and needs, and variations in learning opportunities (including on-line).

Government industry advisory arrangements means the arrangements for the provision of advice and information on industry training needs to State, Territory and Commonwealth governments.

Internal audit means audits conducted by, or on behalf of, the organisation itself for internal purposes.

Ministerial Council means the ANTA Ministerial Council established under the Australian National Training Authority Agreement which is a Schedule to the Australian National Training Authority Act 1992, comprising the Commonwealth, State and Territory Ministers responsible for vocational education and training, or any successor council comprising those Ministers.

Mutual recognition applies nationally and means:

1. The acceptance of the decisions of the registering body that has registered a training organisation, or the course accrediting body that has accredited a course, by another registering/course accrediting body, without there being any further requirement, including:
   1. the recognition by each registering body of the decisions of registering bodies in other States and Territories in relation to the registration of training organisations and the imposition of sanctions including cancellation of registration; and
   2. the recognition by each course accrediting body of the decisions of course accrediting bodies in other States and Territories in relation to the accreditation of courses.
2. The recognition by all State and Territory registering/course accrediting bodies of the national endorsement of Training Packages as notified on the National Training Information Service.
3. The recognition and acceptance by a Registered Training Organisation (RTO), of Australian Qualifications Framework qualifications and Statements of Attainment issued by other RTOs, enabling individuals to receive national recognition of their achievements.

National strategic evaluation means an investigation of key elements of the operation of the National Training Framework, including the Australian Quality Training Framework and Training Packages, initiated by the National Training Quality Council to assist in its quality assurance role.

National Training Framework (NTF) means the system of vocational education and training that:

1. applies nationally;
2. is endorsed by the ANTA Ministerial Council; and
3. is made up of the Australian Quality Training Framework and nationally endorsed Training Packages.

National Training Information Service (NTIS) means the National Register for recording information about Registered Training Organisations, Training Packages and accredited courses. Information held on the NTIS is searchable and publicly accessible via the Internet. The NTIS contains comprehensive information on endorsed Training Packages which have been approved by Ministers for recording on the NTIS. Information includes: full details of competency standards; a listing of National Training Quality Council noted support materials with contact source; details of Australian Qualifications Framework accredited courses/qualifications; and contact details and scope of registration of all Registered Training Organisations.

National Training Quality Council (NTQC) means the body established by the ANTA Ministerial Council as a Committee of the ANTA Board. In relation to quality assurance in the vocational education and training system, the NTQC has a role in:

1. providing advice on the operation of, and any necessary change to, the Australian Quality Training Framework (AQTF);
2. providing information and advice to State and Territory training/recognition authorities on the implementation of the AQTF; and
3. providing to the ANTA Board, for incorporation in the Board’s reports to the ANTA Ministerial Council (including the Annual National Report), information and advice on the operation of the AQTF in each State and Territory, including providing such independent advice on State/Territory registration, audit and related processes and related Commonwealth processes as deemed necessary by the NTQC.

Nationally agreed risk management approach means the national agreements acknowledging risk management as a critical activity in the vocational education and training system, both at the national and State/Territory levels. Under the agreed approach:

1. the Risk Management Standard AS/NZS 4360:1999 forms the basis for ongoing risk management work across the national training system;
2. the national risk management schedule and national risk management implementation plan will be reviewed on an annual basis; and
3. a comprehensive and nationally consistent approach to the targeting and frequency of Registered Training Organisation audits based on a fully developed risk management approach will be used.

Nationally recognised training means training and assessment, delivered by a Registered Training Organisation, which meets the requirements specified in national industry/enterprise Training Packages or in accredited courses.

Nationally Recognised Training (NRT) logo means the logo used to signify that training and assessment products and services meet the requirements agreed under the National Training Framework.

New Apprenticeships means structured training arrangements, usually involving on- and off-the-job training, for a person employed under an Apprenticeship/Traineeship Training Contract.

Non-compliance means failure to comply with one or more of the Standards for Registered Training Organisations.

Period of registration means the period for which a Registered Training Organisation is registered. The period of registration is five years (unless cancelled or suspended).

Qualification means, in the vocational education and training sector, the formal certification, issued by a Registered Training Organisation under the Australian Qualifications Framework (AQF), that a person has achieved all the requirements for a qualification as specified in a nationally endorsed Training Package or in an AQF accredited course.

Quality means the ability of a set of inherent characteristics of a product, system or process to fulfil requirements of customers and other interested parties².

Recognition of Current Competency (RCC) - see Recognition of Prior Learning.

Recognition of Prior Learning (RPL) means recognition of competencies currently held, regardless of how, when or where the learning occurred. Under the Australian Quality Training Framework, competencies may be attained in a number of ways. This includes through any combination of formal or informal training and education, work experience or general life experience. In order to grant RPL, the assessor must be confident that the candidate is currently competent against the endorsed industry or enterprise competency standards or outcomes specified in Australian Qualifications Framework accredited courses. The evidence may take a variety of forms and could include certification, references from past employers, testimonials from clients and work samples. The assessor must ensure that the evidence is authentic, valid, reliable, current and sufficient.

Registered Training Organisation (RTO) means a training organisation registered by a registering body in accordance with the Australian Quality Training Framework, within a defined scope of registration (see Scope of registration).

Registering Body - see State or Territory registering body

Registration means the formal approval and recognition of a training organisation, by a State or Territory registering body, in accordance with the Standards for Registered Training Organisations and the Standards for State and Territory Registering/Course Accrediting Bodies.

Registration decisions means the decisions by a State or Territory registering body about whether:

1. registration will be granted, suspended, amended, cancelled, renewed or have conditions placed upon it, or the scope of registration extended or reduced; and/or
2. a sanction for non-compliance will be imposed.

Renewal of registration means the subsequent registration of a Registered Training Organisation following an evaluation, conducted prior to the expiry of a registration period, against the requirements of the Standards for Registered Training Organisations.

Risk management means the systematic application of management policies, procedures and practices to the tasks of identifying, analysing, evaluating, treating and monitoring risk.

Sanctions means any action imposed for non-compliance with the Standards for Registered Training Organisations, including:

1. the imposition of specific conditions on registration (which can cover any aspect of registration, including the Registered Training Organisation’s scope, location or type of delivery and assessment activities);
2. amendment of registration (including a reduction in the scope of registration);
3. suspension of registration; and
4. cancellation of registration.

Scope of registration means the defined scope for which a training organisation is registered that identifies the particular services and products that can be provided. A Registered Training Organisation may be registered to provide either:

1. training delivery and assessment services and products and issue Australian Qualifications Framework (AQF) qualifications and Statements of Attainment; or
2. assessment services and products and issue AQF qualifications and Statements of Attainment.

The scope of registration is further defined by AQF qualifications and/or endorsed units of competency.

Skills recognition means, for the purposes of this document, the processes involved in recognising prior learning - see Recognition of Prior Learning.

Standards means, when used in this document, the Standards for Registered Training Organisations.

State or Territory course accrediting body means the body responsible, under the State or Territory vocational education and training legislation and decision making framework, for administration of the accreditation of courses.

State or Territory registering body means the body responsible, under the State or Territory vocational education and training legislation and decision making framework, for all the processes related to the registration of training organisations, including the imposition of sanctions.

Statement of Attainment means a record of recognised learning which, although falling short of an Australian Qualifications Framework qualification, may contribute towards a qualification outcome, either as attainment of competencies within a Training Package, partial completion of a course leading to a qualification, or completion of a nationally accredited short course which may accumulate towards a qualification through Recognition of Prior Learning processes.

Strategic evaluation - see National strategic evaluation.

Strategic industry audit means the audit of Registered Training Organisations operating in a specific industry or industry sector targeted on the basis of identified risks relating to that industry or sector.

Training Package means an integrated set of nationally endorsed competency standards, assessment guidelines and Australian Qualifications Framework qualifications for a specific industry, industry sector or enterprise.

Training Plan means a program of training and assessment which is required under an Apprenticeship/Traineeship Training Contract. The Apprenticeship/Traineeship Training Contract is registered with the appropriate State/Territory government department or agency as may be required by State/Territory legislation.

Unit of competency means the specification of knowledge and skill and the application of that knowledge and skill to the standard of performance expected in the workplace.

The Standards

1. Systems for quality training and assessment

The RTO has systems in place to plan for and provide quality training and assessment across all of its operations.

1.1

1. The RTO must keep written policies and procedures for ensuring quality training and assessment consistent with its scope of registration and scale of operations.
2. The Chief Executive must ensure that the policies and procedures are circulated, understood and implemented consistently throughout the RTO.

1.2 The RTO must designate a person, with direct access to the RTO’s Chief Executive, who has defined responsibility and authority to:

1. ensure that the RTO complies with the Standards for Registered Training Organisations across all of its operations and in all of its training/assessment activities, including those undertaken by other persons or bodies on its behalf;
2. ensure that the RTO provides for examination of documentation and reasonable access to all areas, records (including internal audit reports) and staff as required by the registering body for the purposes of audit;
3. report to the Chief Executive on the RTO’s compliance with the Standards for Registered Training Organisations, for review and as a basis for improvement;
4. apply to the State or Territory registering body that has registered it for any extension to scope of registration;
5. provide details, upon the request of the State or Territory registering body that has registered it, of all operations within its scope of registration including operations in other States or Territories and outside Australia;
6. advise the State or Territory registering body that has registered it that the RTO has commenced operations in any other State or Territory within 21 days of commencing the interstate operations; and
7. provide the State or Territory registering body that has registered it with accurate and timely information regarding registration and compliance (including major changes to the RTO’s system or staffing profile, relocation of the RTO, financial difficulties and transfer of client records).

1.3

1. The RTO must have an organisational chart and duty statements or terms of reference that show the lines of authority in the RTO, the responsibilities and allocation of functions.
2. The organisational chart and duty statements must set out the role that each staff member of the RTO has in implementing and maintaining the RTO’s training and/or assessment system.

1.4

1. The RTO must conduct an internal audit³ of its compliance with these Standards and the policies and procedures mentioned in Standard 1.1(a) at least annually.
2. The RTO’s Chief Executive must review the RTO’s compliance with these Standards at least annually.

1.5 The RTO must document and implement policies and procedures for dealing with customer complaints, grievances and appeals in a constructive and timely manner. The policies and procedures must ensure that:

1. each complaint, grievance, appeal and its outcome is recorded in writing;
2. each appeal is heard by an independent person or panel; and
3. each appellant:
   1. has an opportunity to formally present his or her case; and
   2. is given a written statement of the appeal outcomes, including reasons for the decision.

1.6

1. The RTO must have, and comply with, a written agreement with each organisation that provides training and/or assessment on behalf of the RTO⁴.
2. The agreement must specify how each party to the agreement will discharge its responsibilities for compliance with the Standards for Registered Training Organisations.
3. The RTO must maintain a register of all agreements made under Standard 1.6 (a).

1.7 The RTO must have a written plan for its business that is consistent with its scope of registration and scale of operations.

1.8 The RTO must document and implement procedures to:

1. identify and manage risks concerned with compliance with the Standards for Registered Training Organisations; and
2. correct and prevent any failure to comply with the Standards for Registered Training Organisations and the RTO’s quality system, policies or procedures.

1.9

1. The RTO must collect and analyse stakeholder and client feedback and satisfaction data on the services it provides; and
2. The RTO must use the information mentioned in Standard 1.9 (a) to review its policies and procedures.

1.10 The RTO must develop and implement written procedures relating to:

1. acting on opportunities for improvement identified by any means; and
2. continuous improvement of its systems.

It is not intended that such partnership arrangements be used by the RTO as the mechanism for expanding its scope of registration.

2. Compliance with Commonwealth, State/Territory legislation and regulatory requirements

The RTO ensures that compliance with Commonwealth, State/Territory legislation and regulatory requirements relevant to its operations is integrated into its policies and procedures and that compliance is maintained.

2.1 The RTO must identify and comply with relevant State or Territory laws including Commonwealth or State/Territory legislation on:

1. occupational health and safety;
2. workplace harassment, victimisation and bullying;
3. anti-discrimination, including equal opportunity, racial vilification, disability discrimination;
4. vocational education and training; and
5. apprenticeships and traineeships.

2.2 The RTO must ensure that its policies and procedures meet the requirements of Commonwealth or State/Territory legislation which are relevant to the RTO’s operations and that:

1. staff are provided with information about legislation that significantly affects their duties; and
2. clients are provided with information about legislation that significantly affects their participation in vocational education and training.

2.3 The RTO must ensure that it has all the insurance cover necessary to carry out its business, including insurance for workers compensation, public liability, professional indemnity, building and contents.

3. Effective financial management procedures

The RTO has effective financial management procedures in place.

3.1 The RTO must designate a person, with direct access to the RTO’s Chief Executive, who has defined responsibility and authority to:

1. ensure that the RTO complies with its financial management policies;
2. monitor and report on compliance with its financial management policies and procedures, for review and as a basis for improvement; and
3. when requested, provide the State or Territory registering body that has registered it with a formal assurance that the RTO has sound financial management standards for matters related to the RTO’s scope of registration and scale of operations.

3.2 The RTO’s accounts must be certified, at least annually, by a qualified accountant with membership of Certified Practising Accountants Australia or the Institute of Chartered Accountants of Australia and, on request, the report must be made available to the State or Territory registering body that has registered the organisation.

3.3 The RTO, if requested by the State or Territory registering body that has registered it, must obtain, and make available to the State or Territory registering body, a full audit report from a qualified independent accountant with membership of Certified Practising Accountants Australia or the Institute of Chartered Accountants of Australia.

3.4 The RTO must document and implement systems to protect fees paid in advance.

3.5 The RTO must have fair and reasonable refund policies.

4. Effective administrative and records management procedures

The RTO has effective administrative and records management procedures in place.

4.1 The RTO must document and implement procedures to assure the integrity, accuracy and currency of records that include, but are not limited to:

1. secure storage, including backup of electronic records;
2. retention, archiving and retrieval of student results for a period of 30 years and transfer consistent with State or Territory registering body requirements;
3. retention, archiving, retrieval and transfer of all other records consistent with contractual and legal requirements and the requirements of the State or Territory registering body that has registered the organisation;
4. compliance with external reporting requirements (for example the Australian Vocational Education and Training Management Information Statistical Standard (AVETMISS));
5. safeguarding any confidential information obtained by the RTO and committees, individuals or organisations acting on its behalf;
6. ensuring that, except as required under the Standards for Registered Training Organisations or by law, information about a client is not disclosed to a third party without the written consent of the client; and
7. access by clients to their personal records.

4.2 The RTO must maintain up-to-date records of:

1. the verified qualifications and experience of all staff and persons working on behalf of the RTO as trainers and assessors;
2. enrolments and participation; and
3. fees paid and refunds given.

4.3 The RTO must develop and implement version control procedures for managing materials that relate to its scope of registration (including Training Packages, accredited course documents and learning/assessment materials) so that:

1. materials are reviewed for currency by authorised and competent staff prior to issue or re-issue;
2. a list of materials with the respective issue and/or amendment status identified is maintained; and
3. all persons required to perform any function under the RTO’s scope of registration have ready access to all necessary current materials.

5. Recognition of qualifications issued by other RTOs

The RTO recognises the AQF qualifications and Statements of Attainment issued by any other RTO.

5.1 The RTO’s policies and procedures must include a requirement that the RTO recognises the AQF qualifications and Statements of Attainment issued by any other RTO.

5.2 The RTO must include its mutual recognition obligations in information to clients.

5.3 The RTO must provide information to staff on the requirements for mutual recognition of the AQF qualifications and Statements of Attainment awarded by other RTOs.

6. Access and equity and client service

The RTO applies access and equity principles and provides timely and appropriate information, advice and support services which assist clients to identify and achieve their desired outcomes.

6.1 The RTO’s policies and procedures must incorporate access and equity principles.

6.2

1. The RTO must set out its access and equity policies in a code of practice or similar document.
2. The RTO must ensure that copies of any instruments developed under Standard 6.1 are provided and adhered to by staff.

6.3 The RTO must disseminate clear information to each client, prior to enrolment, about each of the following:

1. client selection, enrolment and induction/orientation procedures;
2. course information, including content and vocational outcomes;
3. fees and charges, including refund policy and exemptions (where applicable);
4. provision for language, literacy and numeracy assessment;
5. client support, including any external support the RTO has arranged for clients;
6. flexible learning and assessment procedures;
7. welfare and guidance services;
8. appeals, complaints and grievance procedures;
9. disciplinary procedures;
10. staff responsibilities for access and equity; and
11. Recognition of Prior Learning (RPL) arrangements.

7. The competence of RTO staff

Each member of the RTO’s staff who is involved in training, assessment or client service is competent for the functions they perform.

7.1 The RTO must develop and implement written procedures for the recruitment, induction, and ongoing development of each member of its staff who is involved in training, assessment or client service; encourage and provide relevant opportunities for their professional development; and monitor their performance.

7.2 The RTO’s induction program and materials for new staff must contain information, where relevant to their job role, on each of the following:

1. Training Packages;
2. competency-based training and assessment;
3. vocational education and training requirements and policies; and
4. requirements for New Apprenticeships/Traineeships.

7.3

1. The RTO must ensure that assessments are conducted by a person who has:
   1. the following competencies from the Training Package for Assessment and Workplace Training, or demonstrated equivalent competencies:
      1. BSZ401A Plan Assessment;
      2. BSZ402A Conduct Assessment;
      3. BSZ403A Review Assessment; and
   2. relevant vocational competencies, at least to the level being assessed.
2. However, if a person does not have all of the competencies in Standards 7.3 a (i) and 7.3 a (ii), one person with the competencies listed in Standard 7.3 a (i), and one or more persons who have the competencies listed in Standard 7.3 a (ii) may work together to conduct assessments.

7.4 The RTO must ensure that training is delivered by a person who:

1. has all the competencies in the Certificate IV from the Training Package for Assessment and Workplace Training (or has demonstrated the equivalent competencies) or who is under the direct supervision⁵ of a person with these competencies; and
2. is able to demonstrate vocational competencies at least to the level of those being delivered.

8. RTO assessments

The RTO’s assessments meet the requirements of the endorsed components of Training Packages and the outcomes specified in accredited courses within the scope of its registration.

1. comply with the Assessment Guidelines included in the applicable nationally endorsed Training Packages or the assessment requirements specified in accredited courses;
2. lead to the issuing of a Statement of Attainment or qualification under the AQF when a person is assessed as competent against nationally endorsed unit(s) of competency in the applicable Training Package or modules specified in the applicable accredited course;
3. comply with the principles of validity, reliability, fairness and flexibility;
4. provide for applicants to be informed of the context and purpose of the assessment and the assessment process;
5. where relevant, focus on the application of knowledge and skill to the standard of performance required in the workplace and cover all aspects of workplace performance, including task skills, task management skills, contingency management skills and job role environment skills;
6. involve the evaluation of sufficient evidence to enable judgements to be made about whether competency has been attained;
7. provide for feedback to the applicant about the outcomes of the assessment process and guidance on future options;
8. are equitable for all persons, taking account of cultural and linguistic needs; and
9. provide for reassessment on appeal.

8.2

1. The RTO must ensure that RPL is offered to all applicants on enrolment.
2. The RTO must have an RPL process that:
   1. is structured to minimise the time and cost to applicants; and
   2. provides adequate information and support to enable applicants to gather reliable evidence to support their claim for recognition of competencies currently held, regardless of how, when or where the learning occurred.

9. Learning and assessment strategies

The RTO identifies, negotiates, plans and implements appropriate learning and assessment strategies to meet the needs of each of its clients.

9.1

1. The RTO must develop and implement strategies for training delivery and assessment for each Training Package qualification and accredited course within the RTO’s scope of registration⁶.
2. The assessment strategies referred to in Standard 9.1 a, must be developed in consultation with enterprises/industry.
3. The delivery and assessment strategies referred to in Standard 9.1 a should identify proposed target groups, delivery and assessment modes and strategies, assessment validation processes and pathways.
4. The RTO must document the strategies referred to in Standard 9.1 a on application for registration and on extension of scope.

9.2 The RTO must validate its assessment strategies by:

1. reviewing, comparing and evaluating the assessment processes, tools and evidence contributing to judgements made by a range of assessors against the same competency standards⁷, at least annually; and
2. documenting any action taken to improve the quality and consistency of assessment.

9.3 The RTO must ensure that in developing, adapting or delivering training and/or assessment products and services:

1. methods used to identify learning needs, and methods for designing training and assessment, are documented;
2. the requirements of the Training Package or accredited course are met;
3. core and elective units, as appropriate, are identified;
4. customisation meets the requirements specified in the relevant Training Package or, for accredited courses, meets the NTQC customisation policy;
5. language, literacy and numeracy requirements develop the learning capacity of the individual and are consistent with the essential requirements for workplace performance specified in the relevant units of competency or outcomes of accredited courses;
6. delivery modes and training and assessment materials which meet the needs of a diverse range of clients are identified;
7. where assessment or training is conducted in the workplace, the RTO negotiates the delivery and assessment strategy with the employer and learners; works with the employer to integrate any on-the-job training and assessment; and schedules workplace visits to monitor/review the training and assessment;
8. where an Apprenticeship/Traineeship Training Contract is in place or being negotiated, individual Training Plans are developed, documented, implemented and monitored for each apprentice or trainee, encompassing all relevant off-the-job training and structured workplace training; and
9. where assessment or training is conducted on-line or by distance, the RTO has effective strategies for learner support, monitoring and assessment.

9.4 The RTO must have access to the staff, facilities, equipment, training and assessment materials required to provide the training and/or assessment services within its scope of registration and scale of operations, to accommodate client numbers, client needs, delivery methods and assessment requirements (including off-campus and on-line).

10. Issuing AQF qualifications and Statements of Attainment

The RTO issues AQF qualifications and Statements of Attainment that meet the requirements of the AQF Implementation Handbook and the endorsed Training Packages and accredited courses within the scope of its registration.

10.1 The RTO must only issue AQF qualifications and Statements of Attainment that are within its scope of registration and that certify the achievement of:

1. qualifications or industry/enterprise competency standards from nationally endorsed Training Packages; or
2. qualifications, competency standards or modules specified in accredited courses.

10.2 The RTO must issue, record and report AQF qualifications and Statements of Attainment that:

1. meet the requirements in the current AQF Implementation Handbook, including the national codes;
2. identify the units of competency from Training Packages, or competencies or modules from accredited courses, that the client has attained; and
3. identify the RTO by its national provider number.

11. Use of national and State/Territory logos

The RTO complies with the requirements for the use of national and State/Territory logos.

11.1 The RTO must use the Nationally Recognised Training (NRT) logo:

1. on AQF qualifications and Statements of Attainment issued within its scope of registration; and
2. in accordance with the Nationally Recognised Training Logo Specifications.

11.2 The RTO uses the NRT logo in advertisements only where it complies with the requirements of Standard 11.1(ii) and Standard 12.

11.3 The RTO uses any of the following statements in advertisements only in respect of training and/or assessment within its scope of registration:

1. ‘Nationally Recognised Training’;
2. ‘(recognition authority) Recognised Training’; and
3. ‘Registered by (the recognition authority) to issue the following qualifications...’.

11.4 The RTO must use the logo of the recognition authority only in accordance with the recognition authority’s conditions of use.

12. Ethical marketing and advertising

The RTO’s marketing and advertising of training and assessment products and services is ethical.

12.1 The RTO’s marketing material must be accurate and approved by a duly authorised member of the RTO’s staff.

12.2 The RTO must obtain prior written permission from any person or organisation for use of any marketing or advertising material which refers to that person or organisation, and must abide by any conditions of that permission.

12.3 The RTO must accurately represent to prospective clients training products and services that lead to AQF qualifications or Statements of Attainment, and ensure that advertised outcomes are consistent with these qualifications.

12.4 The RTO must advertise AQF qualifications only if they are included in the RTO’s scope of registration and must not state or imply that services are within that scope if they are not.

12.5 The RTO’s marketing and advertising material must identify training and assessment services leading to AQF qualifications and/or Statements of Attainment separately from any other training/assessment services.

Acronyms and Abbreviations

• ANTA - Australian National Training Authority
• AQF - Australian Qualifications Framework
• AQTF - Australian Quality Training Framework
• AVETMISS - Australian Vocational Education and Training Management Information Statistical Standard
• CRICOS - Commonwealth Register of Institutions and Courses for Overseas Students
• ITAB - Industry Training Advisory Body
• NTF - National Training Framework
• NTQC - National Training Quality Council
• NTIS - National Training Information Service
• RCC - Recognition of Current Competency
• RPL - Recognition of Prior Learning
• RTO - Registered Training Organisation
• VET - Vocational Education and Training