VET

SECTOR
The Official Magazine from
COMPLIANCE AND QUALITY ASSURANCE (CAQA)

11th Edition
THE VET SECTOR | CAQA - Compliance & Quality Assurance

Message
from the
General
Manager
Our experiences over the last couple of years has shown us that there is a great deal of
mis-information and a lack of knowledge in many RTOs. The two main problem areas
that we have identified are;
• The level of competency that trainers are required to operate at and the requirements
of vocational competency, industry skills and knowledge, and industry currency.
• The training and assessment requirements of the units of competency delivered, in
short how to unpack a unit of competency.

This lack of understanding comes from the top down in some RTOs and includes CEOs,
managers, admin staff, trainers and assessors. We are now in a compliance-driven and
quality assurance-centric education landscape where doing the same as you did last
year, or the year before or five years ago is no longer sufficient. To survive as an RTO you
must adapt to the changes in the vocational education and training landscape and
provide better quality training and educational services to your learners.

In this newsletter, we will continue to discuss trainer matrixes and in particular the
vocational competency requirements. This is part 2 of 5 and if you missed the previous
article click here.

We are also continuing our series about internal audits and why they are important.
This is part 3 of 5. If you would like a re-cap, click here.

Regards,

General Manager
Career Calling International

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YOUR TRAINER &

ASSESSOR FILES
(Part 2 of 5)

In the last newsletter (published in November 2018) we discussed the following:

• Legislative and regulatory requirements
• Requirements for all trainers and assessors
• Trainer CVs

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

In part 2 of the series, we will discuss the vocational competency requirements.

The quality of your training and assessment is dependent on the skills and knowledge
of your trainers and assessors. The Standards specify that trainers and assessors must
be skilled VET practitioners with current industry skills and knowledge. This will ensure
that students receive the training required and are properly assessed before being
issued with a qualification or statement of attainment.

Let’s start with the vocational competency requirements for trainers and assessors.

THE DEFINITION OF VOCATIONAL COMPETENCY

Vocational competency in a particular industry consists of broad industry knowledge

and experience, usually combined with a relevant industry qualification. A person who
has vocational competency will be familiar with the content of the vocation and will
have relevant current experience in the industry. Vocational competencies must be
considered on an industry-by-industry basis and with reference to the guidance provided
in the assessment guidelines of the relevant training package. (Reference: NCVER)

A clear and verified relationship between the trainer’s and assessor’s formal and
informal training and experience and the qualifications/units they deliver and assess
must be established. Training Packages include specific industry advice related to the
vocational competencies of assessors. This may include advice on relevant industry
qualifications and experience required for assessing against the Training Package.
The Training Package will also provide specific industry advice outlining what it sees
as acceptable forms of evidence to demonstrate the maintenance of currency of
vocational competency.

ASQA Guidelines on “vocational competence”:

To provide training that reflects current industry practice and valid assessment, your
RTO’s trainers and assessors must maintain the currency of their skills and knowledge
in both:

Their Industry Area and, Vocational Education & Training

It is also acceptable for an appropriately qualified trainer and assessor to work with an
industry expert to conduct assessment together.

The three C’s of Vocational competency related to demonstrating skills and knowledge
in an “industry area”

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Vocational competence and currency = Broad industry knowledge + experience +

relevant industry qualification in terms of:

CONTENT CONTEXT CURRENCY

How have you determined
that you know how to do
the job of the qualifications
you deliver and assess?
Does this information How up-to-date are you
clearly show the relationship with current work practices
between what you are in your industry and how do
delivering and what you you find out if something is
have experience in? changing or has changed?

Skills and knowledge in an “industry area”

In many situations, trainers and assessors will hold the qualification and/or units of
competency that they deliver or assess. Where this is not the case equivalence needs to
be established.
• Formal vocational education and training qualification/units of competency you
deliver and assess
• Participate in documented mapping activities to demonstrate you have at least the
required level of knowledge and skills.

Stay tuned for more... upcoming newsletters we will cover the following topics:

PART 3
Industry currency, vocational education and training
currency, licensing requirements and professional
development requirements and trainer files checklists.

PART 4
How to complete a compliant trainer matrix

PART 5
Common errors and non-compliance identified in
the trainer and assessor files.

SPECIAL EDITION
Special edition on frequently asked questions
and answers on trainer files

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

Internal Audits
and why they are
so important
(Part 3 of 5)

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 11TH EDITION

In part 1 & 2 of this series we discussed the following:

• What are internal audits?
• What are the benefits of conducting internal audits?
• What is an audit scope?
• What is usually included in an RTO internal audit?
• Who can be an internal auditor?
• Compliance costs and risks in terms of “risk management”
• The effective internal audit function

In this part, we will cover the following areas:

• Requirements of conducting internal audits
• The quality system of an RTO

The requirement of conducting internal audits

The requirement of conducting an internal audit is not explicitly mentioned in the

Standards for Registered Training Organisations (RTOs) 2015 but the requirement is for
the RTO to ensure it complies with SRTOs 2015 Standards at all times, including where
services are being delivered on its behalf as mentioned in Standard 2 (clauses 2.1 and
2.2) and standard 8 (clause 8.4). This applies to all operations of an RTO within its scope
of registration.

The RTO is also required to:

a) systematically monitor the RTO’s training and assessment strategies and practices to
ensure ongoing compliance with Standard 1, and;
b) systematically evaluate and use the outcomes of the evaluations to continually
improve the RTO’s training and assessment strategies and practices. Evaluation
information includes but is not limited to quality/performance indicator data collected
under Clause 7.5, validation outcomes, client, trainer and assessor feedback and
complaints and appeals.

Clause 8.4. The RTO provides an annual declaration of compliance with the Standards
to the VET Regulator and in particular whether it:
a) currently meets the requirements of the Standards across all its scope of
registration and has met the requirements of the Standards for all AQF certification
documentation it has issued in the previous 12 months; and
b) has training and assessment strategies and practices in place that ensure that all
current and prospective learners will be trained and assessed in accordance with the
requirements of the Standards.
Systematic monitoring and evaluation is part of conducting internal audits and review
processes. The “internal audit” requirements are highlighted several times in the
Users’ Guide to the Standards for RTOs 2015.

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

The quality system of an RTO

A “Quality System” is your organisation’s blueprint. It identifies your business model

and processes, provides details about how your people will work together to get things
done, and establishes specifications for performance - so that you can tell if you’re on
track... or not.

Components of a Quality System

The International Organisation for Standardisation (ISO) prescribes a minimum

standard for the elements of a QMS through ISO 9001:2000. (This part did not change in
ISO 9001:2015). To build an ISO 9001 compliant QMS, you must:
• Identify and map processes (administrative, organisational, operational)
• Determine how processes are interrelated (that is, identify and map cross-cutting
activities that span organisational boundaries)
• Plan for operations and control of these processes, recognising that the conditions
and specifications for control of each of the processes may be different from one
another,
• Plan to dynamically allocate resources to accommodate the demands of the
operations and control of these processes,
• Apply systems thinking and describe the environment that your interdependent
processes are embedded within,
• Identify mechanisms to measure, monitor, analyse and continuously improve the
processes in the context of the organisation and its environment
• Establish an Action Plan for proactively deploying the QMS through the
organisation, and;
• Ensure that Records are kept that track compliance to the QMS and changes that
are made to the QMS itself.

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The quality system in an RTO refers to the following:

• Required policies and their accompanying procedures
• Forms, templates, checklists and flowcharts to support the implementation of
policies and procedures
• Central registers to track and record your compliance activities
• Compliance matrix that maps how each policy, procedure, form, template etc are
related to the Standards.
• Continuous improvement processes and practices

You need a quality system in an RTO to ensure that

• Policies and procedures are followed
• Compliant records are kept
• Documents are controlled
• Continuous improvement is implemented
• Ensure the organisation meets compliance and regulatory requirements

Stay tuned for more... our coming newsletters will cover the following topics:

PART 4 PART 5 SPECIAL EDITION

Planning for Conducting and Special edition on
internal audit and recording an actual frequently asked
considerations internal audit questions and answers
on internal audits.

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

Can I sue ASQA

for damages?

PUBLISHED WITH WRITTEN PERMISSION FROM THE AUTHOR.

Reference: Zhouand, Z. (2019, April 09). Can I sue ASQA for damages? Retrieved April
09, 2019, from here. In the current environment, an increasing number of people feel
that they and their Registered Training Organisations (RTOs) have suffered loss and
damage due to what they believe are wrongful acts or omissions on the part of the
Australian Skills Quality Authority (ASQA).

The question that these people want answered is:

“Can I sue ASQA?”

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 11TH EDITION

Read on for more details.

(1) Reviewing a decision vs. suing ASQA

There is a difference between applying to have a decision reviewed and suing for
damages.
If ASQA makes a decision that you disagree with (for example a decision to cancel
your RTO registration), you can usually apply to review the decision internally with
ASQA and/or with the Administrative Appeals Tribunal.
A review is an administrative process where the decision maker (either ASQA or the
tribunal) will make a new decision. Reviewing an ASQA decision is different from
suing ASQA.
You would sue ASQA to recover loss and damage that they have wrong fully caused.
If you have suffered a loss or damage because of an alleged wrongful act or omission
on the part of ASQA, in theory, provided you can satisfy the elements of a cause of
action (such as negligence), you may sue ASQA for damages.
So, what’s stopping you?

(2) Crown immunity: ASQA is protected from legal action

Under the National Vocational Regulator Act (NVR Act) ASQA has privileges and
immunities of the Crown and cannot be sued where itacts in “good faith”.
This means ASQA is legally immune from being sued where the loss or damage is
caused by something ASQA did (or did not do) in “good faith”.

(3) Not acting in good faith

If ASQA, or one of its representatives (for example, an auditor), does not act in good
faith and you or your RTO suffers loss or damage, you may be able to sue ASQA or its
representative.
This is a complex area of law and beyond the scope of this short article. You should
seek legal advice if you believe your case might fall under this exception.

(4) Discretionary avenues for recovery

In circumstances where it can be established that you suffered loss or damage due
to ASQA’s negligence, defective administration or other special circumstance, you
can seek compensation in the following ways.
• Payment in settlement of a claim
• Compensation for Detriment caused by Defective Administration (CDDA) scheme
• Act of Grace payment
All these schemes are discretionary meaning that there is no obligation to pay
compensation of any sort. They are based on the premise that there is a moral,
rather than legal, obligation to make things right.

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

(a) Payment in settlement of a claim

Making a compensation claim and requesting settlement is usually the first
step. You can make a claim directly to ASQA. The claim must be in writing
(usually a letter) and include the details of the alleged negligence and the
subsequent loss and damage suffered.
If ASQA agrees to pay you compensation, it will be an ex-gratia payment,
meaning it is not an admission of liability ASQA. If ASQA does not compensate
you, you can consider making a CDDA Scheme of act of grace application.

(b) CDDA Scheme
The CDDA Scheme aims to rectify defective administration. Defective
administration is defined as:

■ a specific and unreasonable lapse in complying with existing administrative

procedures; or

■ an unreasonable failure to institute appropriate administrative procedures; or

■ an unreasonable failure to give to (or for) an applicant, the proper advice that
was within the officer’s power and knowledge to give (or reasonably capable
of being obtained by the officer to give); or

■ giving advice to (or for) an applicant that was, in all the circumstances,
incorrect or ambiguous.

The aim of the CDDA scheme is to put you in the same position you would have
been, had there been no error or negligence. So, if you can prove that defective
administration took place, then the CDDA scheme may, but is not obligated to
compensate you for your loss or damage.

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(c) Acts of grace payment

An act of grace payment is a special ‘gift of money’ by the Commonwealth

government.

Act of grace payments are very rare. According to the Commonwealth

Department of Finance:

Act of grace payments are a last resort for providing compensation to persons
who may have been unfairly disadvantaged by the Commonwealth but who
have no legal claim against it.

Circumstances, where an act of grace payment might be made, include:

where ASQA’s involvement had an unintended outcome


 where the application of legislation or policy has resulted in an unintended,
inequitable or anomalous effect

 where the paramount obligation is moral, rather than legal.

The Department of Finance handles act of grace payment applications.

(5) Way forward

Suing ASQA or one of its representatives, or making a claim under one or more of
the discretionary schemes, can be very tricky and you want to get it right, the first
time. For advice on your rights and assistance with making your claim, speak with
your lawyer.

Act of grace payments are

a last resort for providing
compensation to persons
who may have been unfairly
disadvantaged by the
Commonwealth but who
have no legal claim against it.

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

CAQA New
Resources
New Information Technology resources

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 11TH EDITION

T he following resources are now available for purchase. The assessment and
learner resources have been developed by subject matter experts from the industry. All
resources have been checked by external validators to ensure they comply with training
package requirements and industry expectations.

• ICT10115 Certificate I in Information, Digital Media & Technology

• ICT20115 - Certificate II in Information, Digital Media &
Technology
• ICT40415 Certificate IV in Information Technology Networking
• ICT40115 Certificate IV in Information Technology
• ICT50115 Diploma of Information Technology
• ICT50415 Diploma of Information Technology Networking
• ICT60215 Advanced Diploma of Network Security

Accounting Resources
We have developed these assessment resources for a number of
TAFE’s and the resources are now available for your RTO. The list of
qualifications includes the following:

• FNS30317 Certificate III in Accounts Administration

• FNS40217 Certificate IV in Accounting and Bookkeeping
• FNS50217 Diploma of Accounting
• FNS60217 Advanced Diploma of Accounting

Community Service Resources

Our community service assessment and learner resources have been
developed by instructional designers and subject matter experts
with extensive experience and background in the community service
sector. All training and assessment resources are also internally and
externally validated by compliance experts. The list of qualifications
includes the following:

• CHC33015 Certificate III in Individual Support

• CHC43015 Certificate IV in Ageing Support
• CHC43115 Certificate IV in Disability
• CHC52015 Diploma of Community Services
• CHC62015 Advanced Diploma of Community Sector
Management

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

RII - Resources and Infrastructure Resources

We have developed these assessment resources. The list of
qualifications includes the following:

• RII20715 Certificate II in Civil Construction

• RII30915 Certificate III in Civil Construction

COMING SOON

• HLT54115 - Diploma of Nursing (Available from mid-2019) - A

number of units of competency are available to purchase from
January 2019.

For more information, please visit

www.caqaresources.com.au

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 11TH EDITION

IN YOUR RTO,
you may require the following resources!

The following compliance products are available to purchase:

→ Policies and Procedures for an RTO
→ Policies and Procedures for a CRICOS RTO
→ Policies and Procedures for an ERTO
→ RTO forms and flow charts
→ RTO student handbook (pre-enrolment and post-enrollment)
→ RTO staff handbook
→ RTO compliance registers
→ Training and assessment strategies
→ Internal audit guidelines and template pack
→ CRICOS student orientation kit
→ CRICOS audit guidelines and template pack
→ Pre-training enrolment pack
→ Marketing materials (customised to your RTO)
→ Marketing audit pack (checklists and policies)
→ Recognition of prior learning (RPL) kits
→ Continuous improvement documentation
→ Assessment validation documentation for review of assessor judgements and
assessment tools
→ Internal auditing templates
→ Staff recruitment, induction and professional development documentation
→ Strategic and business plan templates
→ RTO registration financial viability pro forma documentation
→ Workplace delivery documentation

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

Learn from the

Industry Leaders

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 11TH EDITION

Do You Need
Compliance Help?

19
THE VET SECTOR | CAQA - Compliance & Quality Assurance

THE BEST
RESOURCES IN
THE MARKET

20
 11TH EDITION

VET Sector News

STRENGTHENING SKILLS: EXPERT REVIEW OF AUSTRALIA’S

VOCATIONAL EDUCATION AND TRAINING SYSTEM
On 28 November 2018, the Prime Minister announced an independent review of
Australia’s vocational education and training (VET) sector to examine ways to deliver
skilled workers for a stronger economy. The review was led by the Honourable Steven
Joyce, a former New Zealand Minister for Tertiary Education, Skills and Employment. Mr
Joyce delivered the final report to the Government in March 2019.

Click here for more information

TRAINER AND ASSESSOR CREDENTIAL REQUIREMENTS

The implementation date for new trainer and assessor credential requirements
postponed from 1 April 2019 to 1 July 2019

COMMONWEALTH DEPT OF EDUCATION & TRAINING

Click here for more information

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THE VET SECTOR | CAQA - Compliance & Quality Assurance

ENROLMENTS AT QUEENSLAND TAFE SLUMP BY 45,000 SINCE 2013

The number of TAFE students in Queensland has slumped by 79,000 since 2011 and by
more than 45,000 since 2013.

Click here for more information

GENERATION Z: LIFE AT 17
This infographic provides a snapshot of the lives of 17-year-old Australians in relation to
school, work, living arrangements and the skills future workplaces will require. We use
the latest LSAY data from those who were 17-years-old in 2017 to look at the group of
young Australians who will transition from school to a world of work demanding new
skills and experience.

Click here for more information

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 Talk To Our Experts Now !

1800 266 160

2/10 Lawn Court, Craigieburn, VIC 3064 Australia

info@caqa.com.au
www.caqa.com.au

© 2013 - 2021 CAQA Resources by Career Calling International. All Rights Reserved.

Disclaimer: The information in this newsletter is for general informational purposes only and it is generalist in its approach. The information
presented in this newsletter is not legal advice or legal opinion, and it is not intended to be tailored to the specific circumstances of any
particular case and should not be relied upon as such. Persons should seek professional legal and compliance advice before acting upon
any of the information in this newsletter.