ASQA publishes scoping study on VET in schools

ASQA publishes scoping study on VET in schools

The scoping study on vocational education and training delivered to secondary school students was issued by the national regulating agency in order to protect the quality of VET delivery.

It is ASQA’s role as national regulator for VET to work in partnership with training providers to guarantee compliance with the Standards for Registered Training Organisations (RTOs) 2015.

In response to the findings of the study, ASQA has stated that they have committed to the following activities to assist the continuous improvement of vocational education and training (VET) in the schools:

  1. provide clearer guidance to assist compliance
  2. work with other VET regulators to identify risks
  3. engage more directly with education departments and schools
  4. engage with states and territories on shared risk, promotion of continuous improvement
  5. apply clause 1.6 of the Standards for RTOs (The RTO implements a range of strategies for industry engagement and systematically uses the outcome of that industry engagement to ensure the industry relevance of:
    • its training and assessment strategies, practices and resources; and
    • the current industry skills of its trainers and assessors.)

It is also recommended that the Australian, state, and territory governments evaluate how the observations made in this scoping study might assist in enhancing the effectiveness and continuous improvement of VETDSSS when drafting the new National Skills Agreement.

You can read more information at asqa.gov.au/news-events

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

Interview with Anurag Kanwar – BEc, LLB, LLM, GDLP, AAPRI, FIML, MAICD.


Anurag has over 15 years of experience in higher education all within the private higher education space. She is the executive secretary of the GCA Board of Directors. She is a prolific commentator on LinkedIn with over 6000 followers commenting on international education, technology and continuous experience.

She is a practising lawyer specialising in the area of corporate governance and risk. She is also an experienced lecturer and publishes in the area of international education and business law. She is a board member of the Australian Risk Management Institute, and a member of their Education Committee of the Australian Risk Management Institute. She is a Fellow of the Australian Institute of Managers and Leaders, an Associate of the Australian Risk Management Institute and an Associate Director of the Project Management Institute Sydney Chapter.

She is also a member of Law Ninjas online networking group for in-house lawyers and the former deputy convener of the admissions and compliance working group of IEAA. Outside of the international education and law space, Anurag is a member of the Career Progress Network Sydney Chapter a group dedicated to helping young people and immigrants gaining employment.

Anurag is currently the Compliance and Continuous Improvement Director at Group Colleges Australia.


Sukh Sandhu: As a supporter and promoter of vocational education and training in Australia, what roles have you played?

Anurag Kanwar: I worked for a number of dual sector providers, and in private practice, I assisted RTOs in meeting their compliance obligations through internal audits and performing audit rectification work.

Sukh Sandhu: What are your thoughts on the ways ASQA is currently changing its regulatory and legislative practices?

Anurag Kanwar: I don’t work in VET anymore but from my reading, ASQA is now moving towards more self-assurance for institutions with a greater emphasis on evidence.

Sukh Sandhu: Why has working in the vocational education and training sector been rewarding?

Anurag Kanwar: The sector is dynamic and has the means to change people’s lives.

Sukh Sandhu: Why is working in the VET sector challenging?

Anurag Kanwar: Changes to the regulatory environment. There was a time when there were changes every 2 weeks. This then creates a high cost of compliance.

There are also a number of consultants in the sector who are not legally trained which also can be problematic. There is also sometimes a mismatch between the various pieces of legislation. For example, a number of providers found themselves in breach of the ESOS Act because they were delivering short courses such as responsible service of alcohol to international students. The providers were not CRICOS registered.

Sukh Sandhu: What do you believe are the primary threats to the Australian VET system?

Anurag Kanwar: The pandemic with its challenges and the high cost of regulatory compliance.

Sukh Sandhu: What do you wish someone had told you when you first started out in this position?

Anurag Kanwar: A sense of humour is a must. Another tip is to understand risk and what mitigation strategies can be used.

Sukh Sandhu: What would you like to communicate to training providers operating within the regulated environment?

Anurag Kanwar:

– Sign up for ASQA and TEQSA alerts
– Twitter is a good source of information from government agencies.
– Connect with other industry people. We can all share from each other.


Anurag Kanwar can be contacted through the LinkedIn profile. https://www.linkedin.com/in/anurag-k

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.

ASQA’s strategic review of online learning

As part of its ongoing maintaining quality and compliance assurance requirements surrounding online learning in the Vocational Education and Training (VET) sector, the Australian Skills Quality Authority (ASQA) is now conducting its strategic review.

The organisation began the strategic assessment in 2020, motivated by the large number of providers who transferred their distribution to the internet in response to the circumstances generated by the coronavirus (COVID-19) epidemic in the country.

Between December 2020 and May 2021, three popular ‘Feedback Loop’ webinars, which were held as part of the strategic review, were recorded and published in this insights report.

You can read more information about the strategic review, Click here.

Resource Validation Services: Why outsourcing can be a great option

Following the National Vocational Education and Training Regulator Amendment (Governance and Other Matters) Bill 2020, ASQA has made a significant upgrade to the architecture of the vocational education and training (VET) sector and its approach.

The rapid change roadmap includes strengthening ASQA’s strategic stakeholder engagement and education to build provider capacity for self-assurance.

In line with this new approach, ASQA has shifted its regulatory approach into practical engagement with providers. Five best practice principles underpin this method – one of them being a focus on self-assurance, i.e., to support the quality of RTOs through their self-assurance.

Thanks to ASQA’s new blueprint, more than any time ever, ASQA is driving engagement and cooperative relationships with RTOs and promoting and building a shared understanding of self-assurance and excellence in training outcomes.

In a working paper issued in April 2021 under the title “Approach to Assessing Performance”, ASQA has made it clear that the performance assessment (the new language for auditing) will mainly focus on self-assurance. The paper also clarifies that ASQA’s increased focus will be on clause 2.2 of the Standards for RTOs. In other words, RTOs existence will depend on their validation and the self-assurance attested through their validation practice.

In light of ASDA’s new approach to self-assurance, validation has become the centre of gravity of compliance. Having such clear communication by ASQA, the ball is in the RTO’s court.

What is self-assurance and clause 2.2, and why is validation in the centre?

Self-assurance refers to the way the RTO’s operations are managed to ensure a focus on quality, continuous improvement and ongoing compliance. In contrast, Clause 2.2 systematically monitors training and assessment strategies and practices to ensure continued compliance.

Both are centred at one point – Validation. The best way to systematically evaluate and use the outcomes of the evaluations to continually improve the RTO’s training and assessment strategies and practices is through evaluation information collected under clauses 1.9, 1.10, and 7.5, validation outcomes, client, trainer and assessor feedback and complaints and appeals.

It is for obvious reasons that in 2020, ASQA identified the following clauses of concern in its regulatory strategy, which are directly related to lack of thorough validation:

1.8 implement effective assessment systems
1.1 have appropriate training and assessment strategies and practices, including the amount of training
1.3 have the resources to provide quality training and assessment, including sufficient trainers and assessors, learning resources, support services, equipment and facilities
3.1 AQF certification is issued only where the learner has been assessed as meeting training product requirements
1.2 appropriate amount of training is provided, taking account of the learner’s skills, knowledge, and experience and mode of delivery.

Time and history have repeatedly testified that RTOs do not focus on validation; hence, more than 60% of RTOs have their assessment tools deemed non-compliant..

There are very few, if any, who have not been handed a dreaded report by ASQA, a non-compliant report. The two common non-compliance that consistently turns up in audit reports are the Training and Assessment Strategy and the Assessment tools – the latter being the top non-compliance.

The main reason for the above is the lack of conducting appropriate validations and ensuring compliance with Clause 1.9, 1.10 and 1.11 of the Standards for Registered Training Organisations.

These clauses relate to the requirements for assessment validation, including the need to have an assessment validation plan, meet minimum validation benchmarks and conduct it in a way that ensures its validity and integrity

ASQA has identified systemic risks in the following qualifications: Equine, Security, Early Childhood Education and Care, Aged and Community Care, Construction (white card training) and Training and Education (TAE). ASQA advises that for Clause 1.10, training products in these areas may need to be validated more frequently.

Despite ASQA’s reminders that assessment validation is a vital tool for providers seeking to get the best results from training and assessment systems, many RTOs are not clear about validation’s role in ASQA’s performance assessment process.

The price tag that comes with the 1.8 non-compliance is dire because if the RTO is found to have non-compliance in 1.8, that will by default trigger non-compliance in 3.1 as non-compliance in 1.8 means issuing AQF certification where the learner has NOT been assessed as meeting training product requirements.

The result is a recall of all students who have participated in the unvalidated assessment tool and revoking their qualifications.

But why do RTOs fail the validation audit when they think they have validated their assessment tools?

There are several factors. The main reason is that not many RTOs realise that the compliance requirements that RTOs face when conducting validation are more complex than many understand or acknowledge.

Validation is more than:

  • Having a checklist that ticks and flicks,
  • Having a compliance officer that signs the signature boxes
  • Having a validation schedule that never materialises.
  • Finding consultants who are happy to endorse any validation without worrying about professional and ethical obligations and the RTOs risks.

So, the questions are:

  • How do you ensure that training and assessment strategies align with training package requirements?
  • How do you ensure that practices align with training and assessment strategies?
  • How have the outcomes of industry engagement been incorporated into your strategies and practice?
  • How do you know, from an organisation perspective, that you issue a qualification to a competent student?

Multiple questions, but the answer is one – organise quality-focused validation by an independent validator, who is not employed or subcontracted by the RTO and has no other involvement or interest in the operations of the RTO.

Validation requires systematic processes and ethical and pragmatic components to compliance. It requires more than an internal team to manage and maintain a positive reputation. It requires experts to decipher confusing or abstract standards and establish and integrate best validation practices. It requires engaging external validators to evaluate your training and assessments.

This is the very reason why RTOs should involve independent subject matter experts like CAQA in their validation plan and practices

Here at CAQA, our seriousness starts from our definition of Validation.

CAQA goes beyond the classical definition of validation as an assessment health check tool. We see validation as the destination of high-quality training and assessment. For us, validation is the cornerstone of high-quality training and assessment that equips students for employment or further study, and a means to success in their chosen career.

How does CAQA conduct Validation?

Our validation’s overarching vision and purpose is comprehensive and does not focus on the assessment tool only.

By engaging in the validation process, we will make sure that we:

  • Check that your assessment tools have produced valid, reliable, sufficient, current and
    authentic evidence,
  • Enable your RTO to make reasonable judgements about whether training package (or VET
    accredited course) requirements have been met
  • Review a statistically valid sample of the assessments and make recommendations for
    future improvements to the assessment tool, process and outcomes and acting upon such
    requests.
  • Ensure your assessment validation plays a vital role in ASQA’s performance assessment
    process(audit).
  • Make it an integral part of your self-assurance to achieve excellence in training outcomes,
  • Make it an integral part of the systematic monitoring procedure of your training and
    assessment strategies and practices to ensure ongoing compliance with Standard
  • Ensure it becomes routine practice to evaluate systematically and use the outcomes of the
    evaluations to continually improve training and assessment strategies and
    practices
  • Review how practice aligns with systems and how to monitor, review and improve
    techniques.
  • Align assessment practice with the requirements of the relevant Standard.
  • Ensure you own a system for ensuring ongoing compliance with the relevant Standard.
  • Ascertain a mechanism to monitor, review, and continuously improve
    (self-assurance) to ensure compliance with the relevant Standard requirements on an
    on an ongoing basis.
  • Strengthen the interaction between practice, systems and continuous improvement
  • Provide validation related professional development to management and staff to help

you manage your operations and ensure a focus on quality, continuous improvement and
ongoing compliance.


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

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)

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

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.

COVID-19 and changes in the changes in the Financial Viability and Risk Assessment (FVRA)

It poses significant challenges for RTOs to continue to provide high-quality training and ensure that students complete their courses during periods of lockdown and restrictions. The commercial prospects of many RTOs have been adversely harmed by the quarantine at home and travel restrictions implemented here and overseas. Under these circumstances, RTOs are under a great deal of pressure to meet the standards of the financial viability risk assessment (FVRA).

The market research for any courses you may be considering to offer will need to be conducted in a different manner than it has previously been done. Furthermore, a COVID-like scenario will have to be taken into consideration as part of your plan.

The Financial Viability and Risk Assessment (FVRA) is a method used by ASQA to determine if an applicant who wants to register an RTO or an existing RTO has the financial capability to provide quality training and outcomes for learners.

According to the FVRA, the following circumstances for an RTO would be regarded as “viable” if they occur:

  • There is sufficient financial capacity for the business to acquire the necessary assets and physical resources to meet all of its registration requirements during the RTO registration period.
  • The organisation has the financial resources to engage qualified staff to handle both the administration and the teaching of the courses where the students have been enrolled.
  • Students can still benefit from the services offered by the organisation.
  • The organisation can run on a continual basis to ensure that each student completes the course they enrol in.
  • Even in an uncertain climate, the organisation is able to meet the aforementioned requirements.

The Financial Viability Risk Assessment (FVRA) tool, developed by ASQA, has undergone a number of updates. Financial Viability Risk Assessment Requirements 2011 is scheduled to sunset in October 2021. The National Vocational Education and Training Regulator’s (Financial Viability Risk Assessment Requirements) Instrument 2021 is now in force. It has been decided to make these adjustments in order to examine an institution’s financial viability to continue operating in the event of unforeseen situations.

The latest copy of the legislation can be found at legislation.gov.au

In short, the changes are:

Part 3 Authority

The insertion of ‘Authority’ in order to indicate the parent law. This instrument is made under subsection 158(1) of the National Vocational Education and Training Regulator Act 2011.

Part 4

In this section, definitions have been clarified in a detailed manner.

Part 6 Intent

  1. The National VET Regulator requires an NVR registered training organisation to demonstrate its financial viability at any point in time, upon request.
  2. The assessment of an organisation’s financial viability risk is directed at evaluating the likelihood of its business continuity, and its capacity to achieve quality outcomes. In particular, the assessment informs a judgement about whether the organisation has the financial resources necessary to:

(a) acquire the requisite assets and physical resources to deliver all qualifications on its scope of registration
(b) employ sufficient appropriately qualified staff to cover the courses for which it takes enrolments
(c) provide appropriate levels of student services to students
(d) remain in business to ensure that each student can achieve completion
(e) meet the above requirements, even in an unsure environment.

In essence, the legislation states that an RTO must be able to demonstrate its financial viability at any moment, independent of what is happening in the real world.

Part 8 Obligation to submit to assessment at any time

Section 8 of the new legislation includes requirements for auditing, which are described below.

  1. An NVR registered training organisation must submit to an assessment of financial viability risk by a qualified independent financial auditor nominated by the National VET Regulator at other times during the registration period as determined by the National VET Regulator in accordance with the Risk Assessment Framework.
  2. The obligation to submit to the assessment referred to in (1) also applies to parent organisations, affiliated companies or organisations that have a vested interest in the organisation.

The top 10 key takeaways

So, what are the top 10 key takeaways from the most recent legislative changes?:

  1. Concentrate on marketing and establishing your organisation as a successful venture.
  2. Prepare a comprehensive risk management plan, with particular attention paid to dealing with unforeseen scenarios (such as COVID-19).
  3. Make certain that the figures and estimates you report are correct.
  4. It is recommended that providers who are coming out of hibernation engage lawyers and RTO consultants such as CAQA before applying to return to regular status.
  5. Concentrate on how your organisation may use digital learning and offer courses online.
  6. Ongoing evaluation of your business plan and financial viability risk assessment should be a top priority (at least once on an annual basis)
  7. Have detailed policies, plans and processes in place to handle financial resources in the event of unforeseen events
  8. Include additional “reserve funds” to provide as a financial buffer in the event of unforeseen scenarios such as COVID-19.
  9. Pay close attention to liquidity and break-even, and whether or not your RTO can manage the cash flow necessary to pay outgoings, tax debt, and other fixed financial obligations especially in the event of unforeseen scenarios..
  10. Note that the FVRA tool must be developed and approved by a certified accountant before it can be used.

Confused? Need advice? Email info@caqa.com.au or call us on 1300 266 160

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