Sta

nd

ard

s

A u s t r a l i a nQ u a l i t yT r a i n i n gF r a m e w o r k

Standards for

Registered

Tra in ing

Organisat ions

2005Re

gis

tere

d

Tra

inin

g

Org

an

isa

tio

ns

Effective from 1 July 2005

© Australian National Training Authority, 2005

This work is copyright. Apart from any use as permitted under theCopyright Act 1968, no part may be produced by any process withoutwritten permission from the Australian National Training Authority.

ISBN 1 877 05791 6

C O N T E N T S

Introduction 1

The Australian Quality Training Framework 1

Standards for registered training organisations 2

Preliminary 2Name of standards 2

Application of standards 2

The Standards 3

1 Systems for quality training and assessment 32 Compliance with Commonwealth, state/territory legislation and

regulatory requirements 53 Effective financial management procedures 64 Effective administrative and records management procedures 75 Recognition of qualifications issued by other RTOs 86 Access and equity and client service 87 The competence of RTO staff 98 RTO assessments 109 Learning and assessment strategies 1110 Issuing AQF qualifications and statements of attainment 1211 Use of national and state/territory logos 1312 Ethical marketing and advertising 13

Acronyms and abbreviations 14

Definitions 15

Appendix 1 19

Contact details 19

Appendix 2 20

Useful resources 20

Index 21

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

I N T R O D U C T I O N

The Australian Quality Training Framework

The Australian Quality Training Framework (AQTF) was developed by the National Training QualityCouncil (NTQC) of the Australian National Training Authority (ANTA) board in conjunction withstates and territories, the Australian Government and industry and endorsed by the ANTAministerial council on 8 June 2001.

The key objective of the AQTF is to provide the basis for a nationally consistent, high qualityvocational education and training (VET) system.

There are two sets of standards under the AQTF:

1. Standards for Registered Training Organisations

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

During 2004, the standards were reviewed as part of a commitment to continual improvement.The review focussed on fine-tuning and clarification of wording.The changes to the standardswere approved by the ANTA ministerial council in December 2004.

These revised standards will be fully implemented from 1 July 2005.This document provides the12 revised standards for registered training organisations (RTOs).

The Standards for Registered Training Organisations are the standards that a training organisationmust comply with in order to be registered and to maintain that registration in any state orterritory.

Together with Training Packages, the standards under the AQTF provide a common foundationfor the national recognition and integrity of vocational education and training (VET) providersand the qualifications and statements of attainment they issue.*

Further information about the operation of the AQTF, including registration and audit processes,can be found in the AQTF Overview publication.

* In accordance with the ANTA ministerial council decision of June 1999 on ITAB/RTO Status, to receive funding under government industry advisoryarrangements, organisations must not be registered under the ARF (now Australian Quality Training Framework (AQTF)) to deliver training orassessment. For funding eligibility for government industry advisory arrangements, organisations registered under the AQTF for ‘assessment only’ servicesunder the exception clause must, as a minimum, meet the independence criteria outlined in Guidance for the Declaration of ITABS – Potential Conflict ofInterest, ANTA June 1999.

1

Th

e A

us

tra

lia

n Q

ua

lity

Tra

inin

g F

ram

ew

ork

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

2

STANDARDS FOR REGISTERED TRAINING ORGANISATIONS

Preliminary

N A M E O F S TA N DA R D S

These standards are the Standards for Registered Training Organisations.

A P P L I C AT I O N O F S TA N DA R D S

These standards apply to each RTO registered in each state or territory.

Pre

lim

ina

ry

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

1 Systems for quality training and assessment

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

1.1 a The RTO must keep written policies and procedures for ensuring quality training andassessment consistent with its scope of registration and scale of operations.

b 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 or persons, with direct access to the RTO’s chiefexecutive, who has defined responsibility and authority to:

i ensure that the RTO complies with the Standards for Registered Training Organisationsacross all of its operations and in all of its training and/or assessment activities,including those undertaken by other persons or bodies on its behalf

ii ensure that the RTO provides for examination of documentation and reasonableaccess to all areas, records (including internal audit reports) and staff as required bythe registering body for the purposes of audit

iii report to the chief executive on the RTO’s compliance with the Standards forRegistered Training Organisations, for review and as a basis for improvement

iv apply to the state or territory registering body that has registered it for anyextension to scope of registration

v provide details, upon the request of the state or territory registering body that hasregistered it, of all operations within its scope of registration including operations inother states or territories and outside Australia

vi advise the state or territory registering body that has registered it:

a within 21 calendar days of commencing delivery and/or assessment outside thestate or territory of registration and/or

b within 3 months of ceasing delivery and/or assessment in a location outside thestate or territory of registration

vii provide the state or territory registering body that has registered it with accurateand timely information regarding registration and compliance (including majorchanges to the RTO’s system or staffing profile, relocation of the RTO, financialdifficulties and transfer of client records).

1.3 a The RTO must have an organisational chart and duty statements or terms of referencethat show the lines of authority in the RTO, the responsibilities and allocation of functions.

b The organisational chart and duty statements must set out the role each staff member ofthe RTO has in implementing and maintaining the RTO’s training and/or assessment system.

1.4 a The RTO must conduct an internal audit1 across all of its operations relating to itscompliance with these standards and the policies and procedures mentioned instandard 1.1 a at least annually.

b The RTO’s chief executive must review the RTO’s compliance with these standards atleast annually.

3

on

eT H E S T A N D A R D S

1 AS/NZS ISO 19011:2003 Guidelines for quality and/or environmental management systems auditing provides guidance on conducting internal audits(see Useful Resources), alternatively the RTO may conduct self-assessments of equivalent rigour.

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

4

1.5 The RTO must document and implement policies and procedures for dealing in aconstructive and timely manner with client complaints and appeals against decisions madeby the RTO.The policies and procedures must ensure that:

i each complaint and appeal and its outcome is recorded in writing

ii each appeal is heard by an independent person or panel

iii each appellant:

a has an opportunity to formally present his or her case

b is given a written statement of the appeal outcomes, including reasons for the decision

iv the RTO should act upon the subject of any complaint found to be substantiated.

1.6 a The RTO must have, and comply with, a written agreement with each organisation thatprovides training and/or assessment on behalf of the RTO2.

b The agreement must specify how each party to the agreement will discharge itsresponsibilities for compliance with all aspects of the Standards for Registered TrainingOrganisations.

c The RTO must maintain a register of all agreements made under standard 1.6 aincluding, but not limited to:

i the responsible person from each organisation

ii the duration of the agreement

iii the qualifications or units of competency to be delivered by the partner organisation.

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

1.8 The RTO must:

i document and implement procedures to identify and manage risks concerned withcompliance with the Standards for Registered Training Organisations

ii take corrective and preventative action in relation to failure to comply with theStandards for Registered Training Organisations and the RTO’s quality system, policiesor procedures.

1.9 a The RTO must collect and analyse stakeholder and client feedback and satisfaction dataon the services it provides as the basis for improvement.

b The RTO must use the information mentioned in standard 1.9 a to review its policiesand procedures.

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

i acting on opportunities for improvement identified by any means

ii continuous improvement of its systems.

2 For example through partnership arrangements with industry, schools, other providers of education and training. It is not intended thatsuch partnership arrangements be used by the RTO as the mechanism for expanding its scope of registration.

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

2 Compliance with Commonwealth, state/territory legislationand regulatory requirements

The RTO ensures that compliance with Commonwealth, state/territory legislationand regulatory requirements relevant to its operations is integrated into its policiesand procedures and that compliance is maintained.

2.1 The RTO must identify and comply with relevant Commonwealth, state/territorylegislation and regulatory requirements including, but not limited to:

i occupational health and safety

ii workplace harassment, victimisation and bullying

iii anti-discrimination, including equal opportunity, racial vilification and disabilitydiscrimination

iv privacy

v VET

vi apprenticeships and traineeships.

2.2 The RTO must ensure its policies and procedures meet the requirements ofCommonwealth or state/territory legislation and regulatory requirements that are relevantto the RTO’s operations including industry legislation and regulatory requirements specificto its scope of registration and that:

i staff are provided with information about current legislation and regulatoryrequirements that significantly affect their duties

ii clients are provided with information about current legislation and regulatoryrequirements that significantly affect their participation in VET.

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

5

two

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

6

3 Effective financial management procedures

The RTO has effective financial management procedures in place.

3.1 The RTO must designate the chief executive or a person with direct access to the chiefexecutive, who has defined responsibility and authority to:

i ensure that the RTO has financial management policies in place and that it complieswith these policies

ii monitor and report on compliance with its financial management policies andprocedures, for review and as a basis for improvement

iii when requested, provide the state or territory registering body that has registeredit with a formal assurance that the RTO has sound financial management standardsfor 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:

a with membership of:

i Certified Practising Accountants Australia

ii the Institute of Chartered Accountants of Australia or

iii the National Institute of Accountants

or

b otherwise registered as an auditor with the Australian Securities and InvestmentCommission

and, on request, the report must be made available to the state or territory registeringbody that has registered the organisation.

3.3 The RTO, if requested by the state or territory registering body that has registered it, mustobtain, and make available to the state or territory registering body, a full audit reportfrom a qualified independent accountant:

a with membership of:

i Certified Practising Accountants Australia

ii the Institute of Chartered Accountants of Australia or

iii the National Institute of Accountants

or

b otherwise registered as an auditor with the Australian Securities and InvestmentCommission.

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

3.5 The RTO must have a fair and reasonable refund policy.

thre

e

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

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 andcurrency of records that include, but are not limited to:

i secure storage, including backup of electronic records

ii retention, archiving and retrieval of sufficient information on client results to enablethe re-issue of a qualification or statement of attainment if required, for a period of30 years, and transfer of these records consistent with state or territory registeringbody requirements in the event of closure of the RTO

iii retention, archiving, retrieval and transfer of all other records consistent withcontractual and legal requirements and the requirements of the state or territoryregistering body that has registered the organisation

iv compliance with external reporting requirements (for example the AustralianVocational Education and Training Management Information Statistical Standard(AVETMISS) for those RTOs in receipt of government funding)

v safeguarding any confidential information obtained by the RTO and committees,individuals or organisations acting on its behalf

vi ensuring that, except as required under the Standards for Registered TrainingOrganisations or by law, information about a client is not disclosed to a third partywithout the written consent of the client

vii access by clients to their personal records.

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

i the verified training and/or assessment and vocational competencies of all staff andpersons working on behalf of the RTO as trainers and assessors, consistent with therequirements of standard 7

ii enrolments and participation

iii fees paid and refunds given.

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

i materials are reviewed for currency by authorised and competent staff prior toissue or re-issue

ii a list of materials with the respective issue and/or amendment status identified ismaintained

iii all persons required to perform any function under the RTO’s scope of registrationhave ready access to all necessary current materials.

7

fou

r

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

8

5 Recognition of qualifications issued by other RTOs

The RTO recognises the Australian Qualifications Framework (AQF) qualifications andstatements of attainment issued by any other RTO.

5.1 The RTO’s policies and procedures must include a requirement that the RTO recognises theAQF qualifications and statements of attainment issued by any other RTO.

5.2 The RTO must include its obligation to recognise the AQF qualifications and statementsof attainment issued by other RTOs, in information to clients.

5.3 The RTO must provide information to staff on the obligation to recognise the AQFqualifications and statements of attainment issued by other RTOs.

6 Access and equity and client service

The RTO applies access and equity principles and provides timely and appropriateinformation, advice and support services which assist clients to identify and achieve theirdesired outcomes.

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

6.2 a The RTO must set out its access and equity policies in a code of practice or similardocument.

b The RTO must ensure that copies of any instruments developed under standard 6.1are provided and adhered to by staff.

6.3 The RTO must provide clear information to each client, prior to enrolment, about:

i client selection, enrolment and induction/orientation procedures

ii course information, including content and vocational outcomes

iii fees and charges, including refund policy and exemptions (where applicable)

iv provision for language, literacy and numeracy assistance

v client support, including any external support the RTO has arranged for clients

vi flexible learning and assessment procedures

vii welfare and guidance services

viii appeals and complaints procedures

ix disciplinary procedures

x staff responsibilities for access and equity as provided for in the RTO’s code ofpractice or similar document

xi recognition of prior learning (RPL) arrangements and credit transfer.

five

six

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

7 The competence of RTO staff

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

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

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

i Training Packages

ii competency-based training and assessment

iii VET requirements and policies

iv requirements for apprenticeships/traineeships

v staff responsibilities for access and equity.

7.3 a The RTO must ensure assessments are conducted by a person who has:

i the following competencies3 from the Training and Assessment Training Package oris able to demonstrate equivalent competencies:

a TAAASS401A Plan and organise assessment

b TAAASS402A Assess competence

c TAAASS404A Participate in assessment validation

ii relevant vocational competencies, at least to the level being assessed.

b However, if a person does not have the assessment competencies as defined instandard 7.3 a i and the vocational competencies as defined in standard 7.3 a ii, oneperson with all the assessment competencies listed in standard 7.3 a i and one or morepersons who have the vocational competencies listed in standard 7.3 a ii may worktogether to conduct the assessments.

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

i holds the Certificate IV in Training and Assessment4 from the Training andAssessment Training Package or is able to demonstrate equivalent competencies or

ii is under the direct supervision5 of a person who has the competencies specified instandard 7.4 i and

iii is able to demonstrate vocational competencies, at least to the level of those beingdelivered.

9

se

ven

3 A person who holds the competencies BSZ401A Plan assessment, BSZ402A Conduct assessment, and BSZ403A Review assessment from the TrainingPackage for Assessment and Workplace Training will be accepted for the purposes of this standard. A person who has demonstrated equivalentcompetencies to BSZ401A and BSZ402A and BSZ403A in the period up to 12 months following publication of the Training and Assessment TrainingPackage will also be accepted for the purposes of this standard.

4 A person who holds the Certificate IV in Assessment and Workplace Training from the Training Package for Assessment and Workplace Training(BSZ98) will be accepted for the purposes of this standard. A person who has demonstrated equivalent competencies to the Certificate IV inAssessment and Workplace Training in the period up to 12 months following publication of the Training and Assessment Training Package will also beaccepted for the purposes of this standard.

5 Direct supervision is achieved when a person delivering training on behalf of the RTO has regular guidance, support and direction from a persondesignated by the RTO who has the competencies in standard 7.4 i and who monitors and is accountable for the training delivery. It is not necessary forthe supervising person to be present during all training delivery.

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

10

8 RTO assessments

The RTO’s assessments meet the requirements of the endorsed components of TrainingPackages and the outcomes specified in accredited courses within the scope of itsregistration.

8.1 The RTO must ensure that assessments (including RPL):

i comply with the assessment guidelines included in the applicable nationallyendorsed Training Packages or the assessment requirements specified in accreditedcourses

ii lead to the issuing of a statement of attainment or qualification under the AQFwhen a person is assessed as competent against nationally endorsed unit(s) ofcompetency in the applicable Training Package or modules specified in the applicableaccredited course

iii are valid, reliable, fair and flexible

iv provide for applicants to be informed of the context and purpose of theassessment and the assessment process

v where relevant, focus on the application of knowledge and skill to the standard ofperformance required in the workplace and cover all aspects of workplaceperformance, including task skills, task management skills, contingency managementskills and job role environment skills

vi involve the evaluation of sufficient evidence to enable judgements to be madeabout whether competency has been attained

vii provide for feedback to the applicant about the outcomes of the assessmentprocess and guidance on future options in relation to those outcomes

viii are equitable for all persons, taking account of individual needs relevant to theassessment

ix provide for reassessment on appeal.

8.2 a The RTO must ensure RPL is offered to all applicants on enrolment.

b The RTO must have an RPL process that:

i is structured to minimise the time and cost to applicants

ii provides adequate information, support and opportunities for participants toengage in the RPL process.

eig

ht

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

9 Learning and assessment strategies

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

9.1 a The RTO must develop and implement learning and assessment strategies for eachTraining Package qualification and accredited course within the RTO’s scope ofregistration6.

b The assessment strategies referred to in standard 9.1 a must be developed inconsultation with enterprises/industry.

c The learning and assessment strategies referred to in standard 9.1 a should identifyproposed target groups, learning and assessment methods, assessment validationprocesses and pathways7.

d The RTO must document the strategies referred to in standard 9.1 a on applicationfor registration and on extension of scope of registration.

9.2 The RTO must validate its assessment strategies by:

i reviewing, comparing and evaluating the assessment processes, tools and evidencecontributing to judgements made by a range of assessors against the samecompetency standards8, at least annually

ii 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 assessmentproducts and services:

i methods used to identify learning needs are documented

ii the requirements of the Training Package or accredited course are met

iii steps are taken to manage the transition to reviewed Training Packages within12 months of their publication

iv core and elective units, as appropriate, are identified

v customisation/contextualisation meets the requirements specified in the relevantTraining Package or, for accredited courses, meets the NTQC’s Guidelines forCustomisation of Accredited Courses under the AQTF 9

vi the language, literacy and numeracy skills required are consistent with theworkplace demands specified in the relevant units of competency or module andthat these skills are developed in learners

vii delivery modes and training and assessment materials which meet the needs of adiverse range of clients are identified

11

nin

e

6 Alternatively for a partial qualification if the RTO’s scope is defined by one or more units of competency rather than a complete qualification.

7 For guidance on delivery and assessment in a language other than English refer to the NTQC policy on languages for delivering and assessing vocationaleducation and training.

8 These may be internal processes with stakeholder involvement or external validations with other providers and/or stakeholders.

9 Available in Guidelines for Course Developers, ANTA Brisbane 2002.

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

12

viii where assessment or training is conducted in the workplace, the RTO negotiatesthe learning and assessment strategy with the employer and learners, works withthe employer to integrate any on-the-job training and assessment and schedulesworkplace visits to monitor/review the training and assessment

ix where an apprenticeship/traineeship training contract is in place or beingnegotiated, individual training plans are developed, documented, implemented andmonitored for each apprentice or trainee, encompassing all relevant off-the-job andstructured workplace training and assessment

x where assessment or training is conducted on-line or by distance, the RTO haseffective strategies for learner support, monitoring and assessment.

9.4 The RTO must have access to the staff, facilities, equipment, training and assessmentmaterials required to provide the training and/or assessment services within its scope ofregistration and scale of operations, to accommodate client numbers, client needs, deliverymethods 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 requirementsof the Australian Qualifications Framework Implementation Handbook and the endorsedTraining 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 withinits scope of registration and that certify the achievement of:

i qualifications or industry/enterprise competency standards from nationally endorsedTraining Packages or

ii 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:

i meet the requirements in the current Australian Qualifications FrameworkImplementation Handbook, including the national codes

ii identify the units of competency from Training Packages, or competencies ormodules from accredited courses, that the client has attained

iii identify the RTO by its national provider number.

10.3 The RTO must note the language of delivery and assessment on AQF qualifications andstatements of attainment issued if the delivery and assessment have been entirely in alanguage other than English10.

ten

10 For guidance on issuing a qualification when delivery and assessment have been in a language other than English, refer to theNTQC policy on languages for delivering and assessing vocational education and training.

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

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:

i on AQF qualifications and statements of attainment issued within its scope ofregistration

ii in accordance with the Nationally Recognised Training (NRT) Logo Specifications.

11.2 The RTO may use the NRT logo in advertisements only where it complies with therequirements of standard 11.1 ii and standard 12.

11.3 The RTO may use the following statements in advertisements only in respect of trainingand/or assessment within its scope of registration:

i ‘Nationally Recognised Training’ and/or

ii ‘registered by (the registering body) to issue the following qualifications...’.

11.4 The RTO must use the logo of the state/territory registering body only in accordance withthe registering body’s conditions of use.

12 Ethical marketing and advertising

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

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

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

12.3 The RTO must accurately represent to prospective clients training products and servicesthat lead to AQF qualifications or statements of attainment, and ensure that advertisedoutcomes are consistent with these qualifications.

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

12.5 The RTO’s marketing and advertising material must identify training and assessmentservices leading to AQF qualifications and/or statements of attainment separately fromany other training/assessment services.

13

ele

ven

twe

lve

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

14

A C R O N Y M S A N D A B B R E V I AT I O N S

ANTA Australian National Training Authority

AQF Australian Qualifications Framework

AQTF Australian Quality Training Framework

AVETMISS Australian Vocational Education and Training Management InformationStatistical Standard

NTF National Training Framework

NTQC National Training Quality Council

NTIS National Training Information Service

RPL Recognition of prior learning

RTO Registered training organisation

VET Vocational education and training

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

15

Where words and/or phrases used in this standard are inconsistent with the same words and/orphrases when used in State or Territory legislation implementing the Model Clauses, the State orTerritory legislation prevails to the extent of the inconsistency.

In these standards:

Access and equity means the policies and approaches to ensure VET is responsive to thediverse needs of individual clients, including people who face barriers due to age, gender, culturaldifference, disability, language, literacy and numeracy, unemployment, imprisonment or isolation andany other clients who are experiencing barriers in relation to access, participation and outcomes.

Accredited course means a structured sequence of VET that has been accredited by a state orterritory course accrediting body and leads to an AQF qualification or statement of attainment.

Apprenticeship/traineeship means a structured training arrangement, usually involvingon- and off-the-job training, for a person employed under an apprenticeship/traineeship trainingcontract. Also referred to as New Apprenticeships.

Apprenticeship/traineeship training contract means a contract for anapprenticeship/traineeship, made between an employer and an apprentice/trainee, which isregistered with the appropriate state/territory government department or agency as may berequired by state/territory legislation.

Assessment means the process of collecting evidence and making judgements on whethercompetency has been achieved to confirm an individual can perform to the standard expected inthe workplace, as expressed in the relevant endorsed industry/enterprise competency standardsor the learning outcomes of an accredited course. Note: for further guidance and definitions onassessment see Appendix 2 – Useful resources for information on Training Package assessmentguides.

Assessment guidelines means an endorsed component of a Training Package which underpinsassessment and which sets out the industry approach to valid, reliable, flexible and fair assessment.

Assessment method means the particular technique used to gather different types of evidence.This may include methods or techniques such as questioning, observation, third party reports,interviews, simulations and portfolios.

Assessment validation means a process involving assessors working in collaboration toreview, compare and evaluate their assessment process and their assessment outcomes, inrelation to the same unit/s of competency.This includes validating assessment methods/tools, theevidence that was collected using these assessment methods/tools and the interpretation of thatevidence to make a judgement of competence.

Validation may be undertaken prior to and post assessment and include formative and summativeassessments (the latter includes assessment for recognition purposes).Validation may be aninternal process involving assessors from the same training/assessment organisation, or it mayoccur as an external exercise involving assessors from different organisations.

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

D E F I N I T I O N S

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

16

Australian National Training Authority (ANTA) means the authority established undersubsection 5 (1) of the Australian National Training Authority Act 1992 of the Commonwealthof Australia.

Australian Qualifications Framework (AQF) means the policy framework that defines allqualifications recognised nationally in post-compulsory education and training within Australia.The AQF comprises titles and guidelines which define each qualification, together with principlesand protocols covering cross-sectoral qualification linkages and issuance of qualifications andstatements of attainment.

Australian Quality Training Framework (AQTF) means the nationally agreed qualityarrangements for the VET system agreed to by the ANTA ministerial council.

Chief executive means the most senior executive of the RTO.

Client means learner, enterprise or organisation which uses or purchases the services providedby an RTO.

Credit transfer means the assessment of the initial course or subject that the individual is usingto claim access to, or the award of credit in, the destination course to determine the extent towhich it is equivalent to the required learning outcomes, competency outcomes, or standards ina qualification.This may include credit transfer based on formal learning that is outside the AQFframework.

Flexible learning and assessment means an approach to VET which allows for the adoptionof a range of learning and assessment strategies (including online) in a variety of learningenvironments to cater for differences in learning styles, learning interests and needs, andvariations in learning opportunities.

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

Learning and assessment strategy means a documented framework to guide and structurethe learning requirements and the teaching/delivery and assessment arrangements of a vocationaleducation and training qualification. It is the umbrella document that outlines the macro-levelrequirements for designing the learning and assessment process at the qualification level.

Ministerial council means the ANTA ministerial council established under the AustralianNational Training Authority Agreement which is a schedule to the Australian National Training AuthorityAct 1992, comprising the Australian Government and state and territory government ministersresponsible for VET or any successor council comprising those ministers.

National recognition means:a the recognition and acceptance by an RTO of AQF qualifications and statements of

attainments issued by other RTOs, enabling individuals to receive national recognition ofqualifications and statements of attainment

b recognition for national operation of training organisations registered under the AQTF standards.

National training framework (NTF) means the system of VET that:a applies nationallyb is endorsed by the ANTA ministerial councilc is made up of the AQTF and nationally endorsed Training Packages.

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

17

National Training Information Service (NTIS) means the national register for recordinginformation about RTOs,Training Packages and accredited courses.

National Training Quality Council (NTQC) means the body established by the ANTAministerial council as a committee of the ANTA board. In relation to quality assurance in the VETsystem, the NTQC has a role in:a providing advice on the operation of, and any necessary change to, the AQTFb providing information and advice to state and territory registering/course accrediting bodies

on the implementation of the AQTFc 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 theAQTF in each state and territory, including providing such independent advice on state/territoryregistration, audit and related processes and related Commonwealth processes as deemednecessary by the NTQC.

Nationally recognised training (NRT) logo means the logo used to signify that trainingand assessment products and services meet the requirements agreed under the NTF.

Qualification means formal certification in the VET sector by an RTO and that a person hasachieved all the units of competency or modules comprising learning outcomes stated for thequalification in:a a nationally endorsed Training Package for which details of the qualification have been

registered by ANTA orb an accredited course that provides training for the qualification.

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

Recognition of prior learning (RPL) means recognition of competencies currently held,regardless of how, when or where the learning occurred. RPL assesses the individual’s priorlearning to determine the extent to which that individual is currently competent against therequired learning outcomes, competency outcomes, or standards for entry to, and/or partial ortotal completion of, a qualification.

Registered training organisation (RTO) means a training organisation registered by aregistering body in accordance with the AQTF, within a defined scope of registration (see scopeof registration).

Registering body – see state or territory registering body.

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

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

18

Sanction means any action imposed for non-compliance with the Standards for RegisteredTraining Organisations, including:a the imposition of specific conditions on registration (which can cover any aspect of

registration, including the RTO’s scope of registration, location or type of delivery andassessment activities)

b amendment of registration (including a reduction in the scope of registration)c suspension of registrationd cancellation of registration.

Scope of registration means the defined scope for which a training organisation is registeredthat identifies the particular services and products that can be provided. An RTO may beregistered to provide either :a training delivery and assessment services and products and issue AQF qualifications and

statements of attainment orb 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 ofcompetency.

Standards means, when used in this document, the 12 standards for RTOs.

State or territory course accrediting body means the body responsible under the stateor territory VET legislation and decision-making framework for administration of the accreditationof courses.

State or territory registering body means the body responsible under the state orterritory VET legislation and decision-making framework, for all the processes related to theregistration of training organisations, including the imposition of sanctions.

Statement of attainment means formal certification in the VET sector by an RTO under theAQF that a person has achieved:a part of a qualification orb one or more units of competency from a nationally endorsed Training Package orc all the units of competency or modules comprising learning outcomes for an accredited

course that does not meet the requirements for a qualification.

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

Training plan means a program of training and assessment which is required under anapprenticeship/traineeship training contract.The apprenticeship/traineeship training contract isregistered with the appropriate state/territory government department or agency as may berequired by state/territory legislation.

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

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

19

Contact details

Australian GovernmentDepartment of Education, Science and Training16–18 Mort StreetPO Box 9880CANBERRA ACT 2600Ph: (02) 6240 8111Fax: (02) 6240 7033www.dest.gov.au

New South WalesNSW Vocational Education TrainingAccreditation BoardNSW Department of Education and TrainingLocked Bag 21DARLINGHURST NSW 1300Ph: (02) 9244 5335Fax: (02) 9244 5344www.vetab.nsw.gov.au

VictoriaOffice of Training and Tertiary EducationGPO Box 266DMELBOURNE VIC 3001Ph: (03) 9637 2762Fax: (03) 9637 2520www.otte.vic.gov.au

QueenslandDepartment of Employment and TrainingLocked Mail Bag 527GPO BRISBANE QLD 4001Ph: (07) 3247 5477Fax: (07) 3247 5488www.det.qld.gov.au

Western AustraliaTraining Accreditation Council22 Hasler DriveOSBORNE PARK WA 6017Ph: (08) 9441 1912Fax: (08) 9235 6142www.tac.wa.gov.au

South AustraliaEmployment and Skills FormationQuality BranchDepartment of Further Education,Employment, Science and Technology GPO Box 320ADELAIDE SA 5001Ph: (08) 8226 3065Fax: (08) 8226 0429www.training.sa.gov.au

Australian Capital TerritoryACT Accreditation and Registration CouncilDepartment of Education and TrainingPO Box 985CIVIC SQUARE ACT 2608Ph: (02) 6205 7066Fax: (02) 6205 7045www.arc.act.gov.au

Northern TerritoryEmployment and Training DivisionDepartment of Employment, Educationand TrainingGPO Box 4821DARWIN NT 0801Ph: (08) 8901 1340Fax: (08) 8901 1326www.deet.nt.gov.au

TasmaniaTasmanian Qualifications AuthorityPO Box 147SANDY BAY TAS 7006Ph: (03) 6233 7708Fax: (03) 6224 0175www.tqa.tas.gov.au

A P P E N D I X 1

Co

nta

ct d

eta

ils

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

20

Useful resourcesABC of VET series. ANTA, Brisbane, 2004

AQTF Overview. ANTA, Brisbane, 2005

AS/NZS ISO 19011:2003 Guidelines for quality and/or environmental management systems auditing.Standards Australia, Sydney, 2003

Australian Qualifications Framework Implementation Handbook. Australian Qualifications FrameworkAdvisory Board (AQFAB), Melbourne, 2002

Bridging pathways – revised blueprint. ANTA, Brisbane, 2004

Changes Booklet. ANTA, Brisbane, 2005

Evidence Guide for Registered Training Organisations and Auditors. ANTA, Brisbane, 2005

Guidelines for Course Developers. ANTA, Brisbane, 2002

Learning and Assessment Strategies kit. ANTA, Brisbane, 2002

National Complaints Code. Australian Government Department of Education, Science and Training,Canberra, 2004

Nationally Recognised Training (NRT) Logo Specifications. ANTA, Brisbane, 2002

NTQC policy on languages for delivering and assessing vocational education and training. ANTA,Brisbane, 2005

Partners in a Learning Culture – Blueprint for Implementation – Mid-term Review. ANTA, Brisbane, 2004

Shaping Our Future, Australia’s National Strategy for Vocational Education and Training 2004–2010.ANTA, Brisbane, 2003

Standards for State and Territory Registering/Course Accrediting Bodies. ANTA, Brisbane, 2005

Training Package Assessment Guides. Department of Education, Science and Training, Canberra,2001. Available from Australian Training Products.The ten guides are:• Guide 1:Training Package assessment materials kit• Guide 2: Assessing competencies in higher qualifications• Guide 3: Recognition resource• Guide 4: Kit to support assessor training• Guide 5: Candidate’s Kit: Guide to assessment in New Apprenticeships• Guide 6: Assessment approaches for small workplaces• Guide 7: Assessment using partnership arrangements• Guide 8: Strategies for ensuring consistency in assessment• Guide 9: Networking for assessors• Guide 10: Quality assurance guide for assessment

Training and Assessment Training Package (TAA04). Australian Training Products, Melbourne, 2004

Training Package for Assessment and Workplace Training (BSZ98). Australian Training Products,Melbourne, 1998

Training Package Development Handbook. ANTA, Melbourne, 2004

Working with Diversity: A guide to equity and the AQTF. Australian Training Products, Melbourne, 2004

Working with Diversity: Quality training for Indigenous Australians. Australian Training Products,Melbourne, 2004

Working with Diversity: Quality training for People with a Disability. Australian Training Products,Melbourne, 2004

A P P E N D I X 2

Us

efu

l re

so

urc

es

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

I N D E X

21

Location references are of three kinds:1 references to definitions in the Definition section, indicated by the letter d in italics 2 references to the standards are to the number of the standard and, if distinctive, the subclause and lower elements3 references to footnotes are to the number of the standard preceded by the letter f in italics.

access and equity, d, 3.5, 6, 8.1iii, 8.1viii

access to client information, 4.1vi, 4.1vii

accounts, 3.2-3

accredited courses, d

issuing AQF qualifications and Statement of

Attainment, 10.1ii, 10.2ii

learning and assessment strategies, 9.1, 9.3ii, 9.3iv, 9.3v

administrative procedures, 4

advertisements, 11.2-3, 12

agreements, 1.6

ANTA, d

anti-discrimination legislation, 2.1iii

appeals, complaints and grievances, 1.5, 6.3viii, 8.1ix

applications for assessment, 8

applications for registration/renewal, 1.2iv, 9.1d

apprenticeship/traineeship training contract, d, 9.3ix

apprenticeships, d, 7.2iv, 9.3ix

archiving of records, 4.1ii, 4.1iii

AS 3911 :1, f 1.4a

assessment guidelines, d5, 8.1i

assessments, d, 8-9

agreements with organisations providing, 1.6

compliance of assessors, 7.3

identification of services in marketing and advertising

material, 12.5

information about: for clients, 6.3vi; for staff, 7.2ii

online, 9.3x

person conducting, 4.2i, 7.3

Recognition of prior learning (RPL), d, 6.3xi, 8.2

validation, 9.2

audits, d, 1.2ii

accounts, 3.3

internal, d, 1.2ii, 1.4

see also reviews

Australian National Training Authority (ANTA), d

Australian Qualifications Framework (AQF), d

see also qualifications; statements of attainment

Australian Quality Training Framework (AQTF), d

building and contents insurance, 2.3

bullying, in workplace, 2.1ii

business plan, 1.7

certification of accounts, 3.2, 3.3

charges, see fees; refunds

chief executives, d, 1.1b, 1.2iii, 1.4b, 3.1

designated persons with direct access to, 1.2, 3.1

clients, d

feedback and satisfaction data, 1.9

information about, 4.1vi, 4.1vii

information provided to, 2.2ii, 5.2, 6.3

retention of records, 4.1ii

competence and competency, 8.1ii, 8.1vi, 10.1, 10.2ii

assessors, 7.3

staff, 7

trainers, 7.4

see also units of competency; recognition of prior

learning (RPL)

competency-based training and assessment,

see assessments; training

complaints, grievances and appeals, 1.5, 6.3viii, 8.1ix

compliance, 1.2i, 1.2iii, 1.2vii, 1.4, 2

external reporting requirements, 4.1iv

financial management policies, 3.1

legislation and regulatory requirements, 2.1-2, 4.1iii

confidentiality, 4.1v, 4.1vi

consultation, 9.1b

contents insurance, 2.3

contextualisation, 9.3v

continuous improvement, 1.10ii

core units, 9.3iv

course information, 6.3ii

currency of materials, 4.3

customisation, 9.3v

development, see training

delivery and assessment strategies, d, 9

disability discrimination, 2.1iii

disciplinary procedures, 6.3ix

discrimination, 2.1iii

distance assessment/training, 9.3x, 9.4

documents and documentation, 1.2vii, 4

access and equity policies, 6.2

agreements with organisations providing training

and/or assessment, 1.6

appeal outcomes, 1.5iii b

AQF qualifications and statements of attainment, 10.2

business plan, 1.7

complaints, grievances and appeals, 1.5i

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

22

examination of, for audit purposes, 1.2ii

financial, 3.2, 3.3

methods for designing training and assessment, 9.3i

retention, archiving and retrieval, 4.1ii, 4.1iii

version control procedures, 4.3

see also materials; policies and procedures

duty statements, 1.3

elective units, 9.3iv

electronic records, 4.1i

enrolment, 4.2ii, 6.3

equal opportunity, 2.1iii

equipment, 9.4

see also materials

equity, see access and equity

ethical marketing and advertising, 12

evaluation, see assessments; audits; reviews

explanatory material, see information

facilities, 9.4

feedback, 1.9

to applicants for assessment, 8.1vii

fees, 3.4, 4.2iii, 6.3iii

financial management procedures, 3

flexible learning and assessment, d, 6.3vi

grievances, complaints and appeals, 1.5, 6.3viii, 8.1ix

guidance services for clients, 6.3vii

harassment, in workplace, 2.1ii

health and safety, in workplace, 2.1i

impartiality, 1.5ii

improvement, 1.10

induction of clients, 6.3i

induction of staff, 7.1, 7.2

information, confidentiality, 4.1v, 4.1vi

see also documents and documentation; materials

insurance cover, 2.3

internal audit, d, 1.2ii, 1.4

language, 6.3iv, 9.3vi

learners, see clients

learning strategies, 9

see also training

legislation, compliance with, 2.1, 2.2, 4.1iii

literacy, 6.3iv, 9.3v

logos, 11

marketing, 12

materials, 9.4

monitoring, see reviews

national provider numbers, 10.2iii

national recognition, d, 5

national training framework (NTF), d

National Training Information Service (NTIS), d

National Training Quality Council (NTQC), d

nationally recognised training (NRT) logo, d, 11.1, 11.2

non-compliance, 1.8ii

NRT logo, d, 11.1, 11.2

numeracy, 6.3iv, 9.3v

occupational health and safety, 2.1i

on-line assessment/training, 9.3x, 9.4

organisational charts, 1.3

orientation/induction procedures for clients, 6.3i

participation records, 4.2ii

partnerships, f1.6a

pathways, 9.1c

permissions, in marketing or advertising, 12.2

personnel, see staff

policies and procedures, 1.1, 1.8-10

access and equity, 6.1, 6.2

complaints, grievances and appeals, 1.5

financial management, 3

national recognition, 5.1

records and records management, 4

staff recruitment and training, 7.1

see also documents and documentation

prior learning arrangements (RPL), d, 6.3xi, 8.2

privacy, 2.1iv

professional indemnity insurance, 2.3

public liability insurance, 2.3

qualifications, d

assessments leading to issue of, 8.1ii

issuing AQF qualifications, 10

logo used on, 11.1i

marketing and advertising, 12.3-5

national recognition, 5

see also competence and competency

quality of assessments, 9.2

quality systems, 1

racial vilification, 2.1iii

reassessment, 8.1ix

recognition of prior learning (RPL), d, 6.3xi, 8.2

records and records management, see documents and

documentation

recruitment of staff, 7.1

refunds, 3.5, 4.2iii, 6.3iii

register of agreements, 1.6c

registered training organisations (RTOs), d

registration, d, 1.2iv, 1.2v, 1.2vii, 9.1d

regulatory requirements, compliance with, 2

reports and reporting, see documents and documentation

Stan

dard

s fo

r Re

gist

ered

Tra

inin

g O

rgan

isatio

ns -

200

5

retention of records, 4.1ii, 4.1iii

retrieval of records, 4.1ii, 4.1iii

reviews

assessment processes, 9.2i

materials, for currency, 4.3i

policies and procedures, 1.9b

staff performance, 7.1

see also audits

risk management, 1.8i

RPL arrangements, d, 6.3xi, 8.2

safety, in workplace, 2.1i

sanctions, d

satisfaction of stakeholders and clients, 1.9

scope of registration, d, 1.2iv, 1.2v, f1.6a, 9.1d, 12.4

selection of clients, 6.3i

skills recognition, d10, 6.3xi, 8.2

staff, 9.4

access to, for audit purposes, 1.2ii

duty statements, 1.3

information for, 1.1b, 2.2i, 5.3, 6.2b

induction material, 7.2

organisational charts, 1.3

persons with direct access to chief executive, 1.2, 3.1

qualifications and experience, 4.2i, 7

recruitment procedures, 7.1

responsibilities for access and equity, 6.3x

stakeholder feedback and satisfaction, 1.9

standards, d

see also units of competency

state or territory, RTOs operating in more than one,

1.2v, 1.2vi

state or territory laws, compliance with, 2.1, 2.2, 4.1iii

state or territory logos, 11.3, 11.4

state or territory registering bodies, d, 1.2iv

information to be provided to, 1.2v, 1.2vii: financial,

3.1iii, 3.2, 3.3

statements of attainment, d, 5, 10

assessments leading to issue of, 8.1ii

logo used on, 11.1i

marketing and advertising, 12.3, 12.5

retention of student records, 4.1ii

storage of records, 4.1i

terms of reference, 1.3a

timeframes

assessment validations, 9.2i

certification of accounts, 3.2

reviews of compliance with standards, 1.4

traineeships, 2.1v, 7.2iv, 9.3ix

training, 9

agreements with organisations providing, 1.6

information for staff about, 7.2ii

persons delivering, 4.2i, 7.4

services identified in marketing and advertising

material, 12.5

of staff, 7.1

training contract, d, 9.3ix

Training Packages, d, 8.1i, 8.1ii, 10.1i, 10.2ii

information for staff about, 7.2i

training delivery and assessment strategies, 9.1,

9.3ii, 9.3v

training plans, d, 9.3ix

transfer of records, 1.2vii, 4.1ii, 4.1iii

units of competency, d, 8.1ii, 10.2ii

language, literacy and numeracy requirements, 9.3iv

users, see clients

validation of assessment strategies, 9.1c, 9.2

version control procedures, 4.3

victimisation, in workplace, 2.1ii

vocational education and training requirements and

policies, 2.1v, 7.2iii

welfare services for clients, 6.3vii

workers compensation insurance, 2.3

workplace assessment/training, 9.3viii, 9.3ix

Training Package for 7.3a i, 7.4i

workplace harassment, victimisation and bullying, 2.1ii

workplace health and safety, 2.1i

workplace performance, 8.1v, 9.3vi

23