Organisations face many compliance risks, and a key part of managing these risks is ensuring that learners receive quality training according to the policies and procedures of the training organisation and set standards, guidelines and regulations set by the regulatory body and Australian Government. This is where trainers play a vital role in maintaining compliance within a training organisation.
As experts in adult learning theory and instructional design, trainers are uniquely positioned to develop, deliver and evaluate engaging and effective training programs that help learners understand the relevant concepts and topics.
The role of trainers in maintaining compliance is essential to ensuring that learners receive the best possible training experience. By maintaining a good relationship with learners and being familiar with the training organisation’s requirements, you can help to ensure that learners are able to comply with the training organisation’s rules and regulations. Additionally, by being familiar with the training organisation’s complaint procedures, you can help to ensure that any complaints that learners have are dealt with in a fair and transparent manner.
Use of compliant training and assessment materials
Make sure that the training materials you use are compliant with the latest requirements and standards. This includes ensuring that any third-party materials you use to meet these criteria too.
Training meets regulatory requirements and standards
Deliver training that meets the required standards. This means following the correct procedures and using approved methods and materials.
All assessments have been assessed fairly and accurately
As a trainer, it is your responsibility to ensure that all assessments are conducted fairly and correctly. This means that you must be able to identify any potential areas of non-compliance and take steps to address them. This includes adhering to the principles of assessment and rules of evidence.
Evaluate training on an ongoing basis
Evaluate training regularly to check that it is still meeting compliance requirements and standards. This may involve conducting audits, surveys or other reviews.
Participate in the learner and assessment validation sessions
Take action to address any areas of non-compliance.
This could involve changing the way training is delivered, updating materials or taking disciplinary action against employees who do not meet the required standards.
There are a number of ways that you can do this:
Keep up to date with changes in legislation and policy. This includes changes to government regulations, industry codes of practice and your organisation’s own policies. You can do this by subscribing to newsletters or alerts from relevant organisations, such as the Australian Skills Quality Authority (ASQA).
Make sure you understand the requirements of the legislation and policy. This includes understanding what the requirements are and how they apply to your specific situation.
Comply with the requirements of the legislation and policy. This includes ensuring that all training activities are carried out in accordance with the relevant legislation, codes of practice and organisational policies.
Monitor compliance with the legislation and policy. This includes regularly checking to ensure that training activities are being carried out in line with the relevant legislation, codes of practice and organisational policies.
Ensure that all assessors in your organisation are properly trained and qualified. This will ensure that they are familiar with the latest changes to the relevant regulations and standards and that they are able to conduct assessments accurately and fairly.
Take action to address any non-compliance with the legislation and policy. This includes taking steps to ensure that training activities are carried out in line with the relevant legislation, codes of practice and organisational policies.
By following these strategies, you can help to ensure that your organisation’s training activities are compliant with the relevant legislation, codes of practice and organisational policies.

The Australian Skills Quality Authority (ASQA) is the national regulator for the vocational education and training (VET) sector. ASQA is responsible for ensuring that all VET providers in Australia meet the Standards for Registered Training Organisations (RTOs).
However, ASQA does not follow an international ISO audit and administration model, which could lead to problems with the quality of training provided by RTOs.
There are several disadvantages associated with ASQA not following an international ISO audit and administration model.
Some of the disadvantages of ASQA not following an international ISO audit and administration model include:
There is no guarantee that ASQA will identify all non-compliant RTOs. the entire auditing system is person-centred rather than system-centred. The same document can be made non-compliant by the same auditor just in a period of two months at another training organisation.
ASQA’s audit and administration procedures may not be as rigorous as those of other international regulators.
ASQA may not have the resources to effectively monitor all RTOs in Australia.
The lack of an international ISO audit and administration model could lead to problems with the recognition of Australian qualifications overseas. It is also difficult to compare the quality of services provided by different countries when they each have their own unique set of standards. This can make it difficult for businesses to know if they are getting the best possible service when they choose to work with an ASQA-registered organisation.
ASQA’s focus on compliance may result in it missing important quality issues that could impact on the delivery of training.
ASQA’s complaints handling procedures may not be as effective as those of other international regulators.
ASQA’s enforcement powers are limited compared to those of other international regulators.
ASQA’s structure and governance arrangements are complex and could be improved.
ASQA use consultants to audit RTOs who can work with the same organisation, after just a few months, questioning its impartiality and framework.
There is a lack of transparency around ASQA’s decision-making processes.
The lack of standardisation can also lead to inconsistencies in the way that ASQA-registered organisations are run, which can impact negatively on the quality of services provided
Finally, it can be more expensive to comply with multiple sets of standards than just one, which may impact on the affordability of ASQA registration for some organisations.
While ASQA is the national regulator for the VET sector, it does not follow an international ISO audit and administration model. This could lead to problems with the quality of training provided by RTOs in Australia.

ASQA has published a new model for self-assurance that providers can use to improve their practices.
The new model should have set out the requirements for an effective self-assurance system and provided guidance on how providers can develop and implement such a system. However, what we can find online after extensive consultation and engagement that ASQA states it did in April and May 2022. It has very little information related to the self-assurance system. Yes, they have recently put a disclaimer work in progress but, after so much consultation the sector receives a diagram.
This diagram has effective training and assessment delivery and quality outcomes and achievements in its centre, surrounded by continuous improvement and four foundational elements such as leadership/governance; staff capability and development; student engagement and support; and industry and/or community engagement.
How is this diagram going to assist training organisations with a self-assurance framework?
A training organisation’s model for self-assurance should include the following components:
The organisation’s purpose, values and goals
The legal and regulatory environment in which the organisation operates
The organisation’s stakeholders and their expectations
The risks facing the organisation and its activities
The controls in place to mitigate those risks
The process for monitoring and reporting on risk and control effectiveness
The organisation’s culture and how it supports or detracts from effective risk management

1. Governance and management arrangements that promote a culture of continuous improvement and learning, and that are aligned with the organisation’s strategic objectives;
2. A robust quality management system that is regularly reviewed and updated in line with changes in the organisation’s operating environment;
3. Clear accountability arrangements for all staff members, including clear lines of responsibility and reporting;
4. Regular monitoring and evaluation of the effectiveness of training programmes and delivery methods;
5. Continuous professional development opportunities for all staff members;
6. A mechanism for dealing with complaints and feedback in a timely and effective manner;
7. A commitment to maintaining high standards of customer service;
8. Regular review and update of policies and procedures.

Organisations should have clear and specific training objectives that are aligned with their business goals. Instructional methods should be based on adult learning principles and be tailored to the needs of the learners. Resources should be sufficient to support the delivery of the training. The learning environment should be positive and conducive to learning. Finally, evaluation should be ongoing to ensure that the training is meeting its objectives. By incorporating these components into their self-assurance model, organisations can be confident that they are providing quality training that will meet the needs of their learners.
Organisations that have a well-developed model for self-assurance are more likely to be able to identify areas in which they can improve their performance and make the necessary changes to their operations. This, in turn, leads to improved outcomes for both the organisation and its clients.
When developing a model for self-assurance, organisations should consult with their stakeholders to ensure that it meets their needs and expectations. Stakeholders include clients, employees, regulators, and other interested parties.
Organisations should also seek feedback from their stakeholders on a regular basis to ensure that the model for self-assurance is fit for purpose and remains relevant. Feedback can be obtained through surveys, focus groups, or one-to-one meetings.
URL: https://www.asqa.gov.au/how-we-regulate/self-assurance/have-your-say-draft-self-assurance-model
We hope that ASQA’s new self-assurance model provides ultimately offers the training organisation with the requirements for an effective self-assurance system, as well as guidance on how to develop and implement such a system. The benefits of having an effective self-assurance system in place include improved quality of training and assessment delivered by the Provider, increased confidence in the Provider’s ability to meet ASQA’s Standards, and reduced risk of non-compliance with ASQA’s Standards.

The Australian Skills Quality Authority (ASQA) is the national regulatory body for the vocational education and training (VET) sector. ASQA’s primary role is to protect students and ensure that they receive high-quality training from registered training organisations (RTOs).
ASQA has a range of service standards that it strives to meet, including:

• Providing clear and timely communication
• Making fair and transparent decisions
• Acting with integrity, professionalism and respect
• Being open and accountable
• Providing efficient and effective services.

However, recent reports have suggested that ASQA’s decision-making processes are often slow and bureaucratic, resulting in unrealistic timeframes for RTOs. This can create significant problems for RTOs, particularly small businesses, who may not have the resources to wait for a decision.
Addition to scope
ASQA’s unrealistic timeframes for adding new courses to its scope of registration are a major problem for providers.
The process for adding a new course to ASQA’s scope of registration is needlessly complicated and takes far too long. It can often take up to 6 months for ASQA to process an application, during which time the provider is unable to offer the course.
This is a major problem for providers, as it limits their ability to respond to market demand and offer new courses in a timely manner. It also puts them at a competitive disadvantage compared to other providers who are not subject to the same delays.
ASQA needs to streamline its process for adding new courses to its scope of registration, and reduce the timeframe to a matter of weeks, not months. This would allow providers to be more responsive to market demand and offer new courses in a timely manner.
It would also level the playing field with other providers who are not subject to the same delays.
ASQA’s slow decision-making process is a major problem for the VET sector. It is essential that ASQA improves its processes so that RTOs can continue to provide high-quality training to students.

ASQA has developed a draft model for self-assurance for training organisations. The purpose of this model is to provide a framework within which training organisations can develop and operate their own quality assurance systems.
The model sets out the key elements of an effective quality assurance system and includes guidance on how these elements can be implemented.
The model is designed to be flexible and allow training organisations to tailor their quality assurance systems to meet their individual needs and circumstances. ASQA will continue to consult with the sector on the development of this model, and welcomes feedback from training organisations and other stakeholders.
Principles for the model

• flexible to be appropriate for all providers regardless of size, type, operating context and self-assurance maturity
• aligned with RTO standards and supporting other requirements including State/Territory where possible
• focused on continuous improvement rather than merely compliance
• simple and easy to understand for providers
• encouraging and supporting providers to fully integrate self-assurance into their business (‘organic’ to operations)
• reinforced and validated by other regulatory activities including ASQA’s performance assessments and risk analysis
• valuable to providers and linked to a reduction in regulatory burden
• backed by effective support, guidance and education by ASQA

A model should avoid:

• being overly prescriptive
• encouraging providers to just ‘tick the box’ / achieve the minimum requirements
• causing self-assurance to become an additional business process for providers
• duplicating existing requirements of providers

During Phase 3, ASQA will:

• develop and refine the level of detail for the overall model and each element, including an overall explanation about its purpose
• explore guidance and information requirements by model element/sub-element
• identify providers’ expectations about and capacity to provide evidence of self-assurance by model element
• identify expectations about ASQA’s and others’ role in the provision of education
• identify additional tools or resources required, based on further model development.

You can provide feedback in a number of ways:

• have your say on the Phase 3 model (survey open until 8 June 2022)
• email the project team at StrategicReviews@asqa.gov.au

Since its establishment in 2011, the Australian Skills Quality Authority (ASQA) has been responsible for regulating the quality of vocational education and training (VET) in Australia. ASQA is an independent statutory authority, governed by a board appointed by the Minister for Education and Training.
One of ASQA’s key functions is to accredit training providers and courses. This means that ASQA has the responsibility for ensuring that all training providers offering nationally recognised qualifications are assessed against a set of quality standards. To do this, ASQA uses a range of mechanisms, including on-site audits and reviews of provider practices and documentation.
When assessing whether a particular provider meets the required standards, ASQA may also take into account the use of third parties. A third party can be an organisation or individual that is not associated with the training provider but provides services to it, such as student support, assessment or delivery of training.
There are a number of benefits to using third parties in training provision. First, it can help to improve the quality and consistency of training provision. This is because the third party will be independently assessed against a set of quality standards, and must meet these standards in order to provide services to the training provider.
Second, using a third party can help to reduce costs for the training provider. This is because the third party may have already met the required standards, and therefore does not need to be assessed by ASQA.
Third, using a third party can help to improve the flexibility of training provision. This is because the third party may be able to provide services to a range of training providers, across different locations and sectors.
Finally, using a third party can help to improve the accountability of the training provider. This is because the third party will be held responsible for meeting the required standards, and any failings will be attributed to it rather than the training provider.
While there are many benefits to using third parties in training provision, there are also some potential risks. First, using a third party can lead to a loss of control over the quality of training provision. This is because the third party may not meet the required standards, or may not be aligned with the values and objectives of the training provider.
Second, using a third party can lead to a loss of access to important resources. This is because the third party may not share the same resources as the training provider, such as staff, facilities or equipment.
Third, using a third party can lead to a loss of knowledge and expertise. This is because the third party may not have the same level of experience or expertise as the training provider.
Finally, using a third party can lead to a loss of independence. This is because the third party may be reliant on the training provider for business, and may be less likely to criticise it or provide negative feedback.
An RTO may use a third party to deliver a VET course only if it has an agreement with the third party (refer to Sections 116 and 117 of the NVR Act). The agreement must:

• the names of the RTO and the third party
• the start and end date of the agreement
• clauses detailing both parties’ obligations, roles and responsibilities of the RTO and the third party for example, under the agreement, making clear that:
  • any training and/or assessment is provided in the name of the RTO, not the third party
  • the third party cannot advertise any VET courses in its own name
  • students are enrolled as students of the RTO, not the third party
  • qualifications and/or statements of attainment are issued in the name of the RTO, not the third party
• clauses detailing the obligations of the third party (that is, setting out which party will provide training and assessment materials, resources and facilities)
• the mechanisms through which the RTO will systematically monitor the third party (for example, if the third party is providing the training and assessment materials, resources and facilities), set out:
  • how these will be reviewed prior to use across all delivery sites
  • how the RTO will ensure that trainers and/or assessors provided by the third party meet the requirements of the Standards for RTOs
• record-keeping procedures for enrolment information and completed assessments
• details of which party will validate completed student assessments
• any obligations (of the RTO or third party) relating to government subsidies or other financial support
• clauses requiring the third party to cooperate with ASQA and provide accurate responses to requests about delivery of services.

An RTO may use a third party to assess a VET course only if it has an agreement with the third party. The agreement must include arrangements for quality assurance, including regular monitoring by the RTO. The third party must also comply with ASQA’s requirements.
ASQA regularly monitors RTOs and their use of third parties to ensure that they are meeting the required standards. If an RTO is not meeting these standards, ASQA can take action, including suspending or cancelling the RTO’s registration.
For more information, please refer to Third party arrangements | Australian Skills Quality Authority (ASQA)

ASQA is the regulatory body for quality assurance in Australian vocational education and training (VET). ASQA is responsible for ensuring that all VET providers meet national quality standards. This includes marketing practices and regulatory requirements.
Marketing is an important part of any business, and VET providers are no exception. ASQA requires that all marketing materials be accurate and truthful, and not misleading or deceptive. Providers must also ensure that their marketing activities comply with all relevant laws and regulations.
For example, advertising must not contain false or misleading information about a course, the provider, or the student experience. Promotional activities such as competitions or scholarships must be conducted fairly and in accordance with the law. And pricing information must be accurate and up-to-date.
The marketing practices by an RTO may include:

• Advertising their courses and services
• Promoting their qualifications and skills
• Engaging in social media marketing
• Offering scholarships or discounts

However, RTOs must also be mindful of ASQA’s regulatory requirements when implementing these marketing practices. Some of these requirements include:

• Not making false or misleading statements about their courses or services
• Not exaggerating the benefits of their qualifications or skills
• Refraining from discriminatory marketing practices
• Abiding by the Australian Consumer Law when promoting their courses and services

ASQA can take compliance action against RTOs that do not meet these requirements. This may include issuing a warning, suspending or cancelling their registration, or imposing financial penalties.
ASQA takes compliance with marketing requirements seriously, and providers who don’t meet these standards can face sanctions, including fines or even the cancellation of their registration. So it’s important to ensure that your marketing practices are up to scratch.

In a recent announcement, the Australian Skills Quality Authority (ASQA) detailed the proposed fees and charges that will apply under the full cost-recovery model, which will take effect on July 1 2022.
Although the full cost recovery of fees and charges was originally planned for 2020-21, it was postponed as a result of the COVID pandemic.
In a draft Cost Recovery Implementation Statement (CRIS), the Australian Skills Quality Authority (ASQA) outlines how fees and charges have been computed and how they will be imposed.
Registration, renewal, and change-of-registration fees for 2022-23 will be mostly at, or below, the amounts recommended in the 2019 consultation, according to the Australian Skills Quality Authority (ASQA).
Course accreditation fees will remain at the same level as those suggested for 2019.
The decision was made not to proceed with the proposed introduction of an ARC for course accreditation in 2019.
For more information, please visit here.