O rg a n i s a t i o n s

Re g i s t e re d
Tra i n i n g

2005

Australian
Quality
Tra i n i n g
Framework

St a n d a rd s for

Re g i s t e re d
Standards

Tra i n i n g

O rg a n i s a t i o n s

Effective from 1 July 2005

© Australian National Training Authority, 2005
This work is copyright. Apart from any use as permitted under the
Copyright Act 1968, no part may be produced by any process without
written permission from the Australian National Training Authority.

ISBN 1 877 05791 6

 CONTENTS

Introduction 1
The Australian Quality Training Framework 1

Standards for registered training organisations 2

Preliminary 2
Name of standards 2
Application of standards 2

The Standards 3
1 Systems for quality training and assessment 3
2 Compliance with Commonwealth, state/territory legislation and
regulatory requirements 5
3 Effective financial management procedures 6
4 Effective administrative and records management procedures 7
5 Recognition of qualifications issued by other RTOs 8
6 Access and equity and client service 8
7 The competence of RTO staff 9
8 RTO assessments 10
9 Learning and assessment strategies 11
10 Issuing AQF qualifications and statements of attainment 12
11 Use of national and state/territory logos 13
12 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
 INTRODUCTION

The Australian Quality Training Framework

T h e A u s t ra l i a n Q u a l i t y Tra i n i n g Fra m e w o r k

The Australian Quality Training Framework (AQTF) was developed by the National Training Quality
Council (NTQC) of the Australian National Training Authority (ANTA) board in conjunction with
states and territories, the Australian Government and industry and endorsed by the ANTA
ministerial council on 8 June 2001.
The key objective of the AQTF is to provide the basis for a nationally consistent, high quality
vocational 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 standards
were approved by the ANTA ministerial council in December 2004.
These revised standards will be fully implemented from 1 July 2005.This document provides the
12 revised standards for registered training organisations (RTOs).
The Standards for Registered Training Organisations are the standards that a training organisation
must comply with in order to be registered and to maintain that registration in any state or
territory.
Together with Training Packages, the standards under the AQTF provide a common foundation
for the national recognition and integrity of vocational education and training (VET) providers
and 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.
Standards for Registered Training Organisations - 2005

* In accordance with the ANTA ministerial council decision of June 1999 on ITAB/RTO Status, to receive funding under government industry advisory
arrangements, organisations must not be registered under the ARF (now Australian Quality Training Framework (AQTF)) to deliver training or
assessment. For funding eligibility for government industry advisory arrangements, organisations registered under the AQTF for ‘assessment only’ services
under the exception clause must, as a minimum, meet the independence criteria outlined in Guidance for the Declaration of ITABS – Potential Conflict of
1
Interest, ANTA June 1999.
STANDARDS FOR REGISTERED TRAINING ORG ANISAT ION S

Preliminary

P re l i m i n a r y
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.

Standards for Registered Training Organisations - 2005

2
 TH E STAN DARDS

1 Systems for quality training and assessment

The RTO has systems in place to plan for and provide quality training and assessment
one

across all of its operations.

1.1 a The RTO must keep written policies and procedures for ensuring quality training and
assessment 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 chief
executive, who has defined responsibility and authority to:
i ensure that the RTO complies with the Standards for Registered Training Organisations
across 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 reasonable
access to all areas, records (including internal audit reports) and staff as required by
the registering body for the purposes of audit
iii report to the chief executive on the RTO’s compliance with the Standards for
Registered Training Organisations, for review and as a basis for improvement
iv apply to the state or territory registering body that has registered it for any
extension to scope of registration
v provide details, upon the request of the state or territory registering body that has
registered it, of all operations within its scope of registration including operations in
other states or territories and outside Australia
vi advise the state or territory registering body that has registered it:
a within 21 calendar days of commencing delivery and/or assessment outside the
state or territory of registration and/or
b within 3 months of ceasing delivery and/or assessment in a location outside the
state or territory of registration
vii provide the state or territory registering body that has registered it with accurate
and timely information regarding registration and compliance (including major
changes to the RTO’s system or staffing profile, relocation of the RTO, financial
difficulties and transfer of client records).
1.3 a The RTO must have an organisational chart and duty statements or terms of reference
that show the lines of authority in the RTO, the responsibilities and allocation of functions.
Standards for Registered Training Organisations - 2005

b The organisational chart and duty statements must set out the role each staff member of
the 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 its
compliance with these standards and the policies and procedures mentioned in
standard 1.1 a at least annually.
b The RTO’s chief executive must review the RTO’s compliance with these standards at
least annually.

1
3 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.
1.5 The RTO must document and implement policies and procedures for dealing in a
constructive and timely manner with client complaints and appeals against decisions made
by 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 that
provides training and/or assessment on behalf of the RTO2.
b The agreement must specify how each party to the agreement will discharge its
responsibilities for compliance with all aspects of the Standards for Registered Training
Organisations.
c The RTO must maintain a register of all agreements made under standard 1.6 a
including, 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 its
scope of registration and scale of operations.
1.8 The RTO must:
i document and implement procedures to identify and manage risks concerned with
compliance with the Standards for Registered Training Organisations
ii take corrective and preventative action in relation to failure to comply with the
Standards for Registered Training Organisations and the RTO’s quality system, policies
or procedures.
1.9 a The RTO must collect and analyse stakeholder and client feedback and satisfaction data
on the services it provides as the basis for improvement.
Standards for Registered Training Organisations - 2005

b The RTO must use the information mentioned in standard 1.9 a to review its policies
and procedures.
1.10 The RTO must develop and implement written procedures relating to:
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 that 4
such partnership arrangements be used by the RTO as the mechanism for expanding its scope of registration.
 2 Compliance with Commonwealth, state/territory legislation
and regulatory requirements
The RTO ensures that compliance with Commonwealth, state/territory legislation
two

and regulatory requirements relevant to its operations is integrated into its policies
and procedures and that compliance is maintained.
2.1 The RTO must identify and comply with relevant Commonwealth, state/territory
legislation 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 disability
discrimination
iv privacy
v VET
vi apprenticeships and traineeships.
2.2 The RTO must ensure its policies and procedures meet the requirements of
Commonwealth or state/territory legislation and regulatory requirements that are relevant
to the RTO’s operations including industry legislation and regulatory requirements specific
to its scope of registration and that:
i staff are provided with information about current legislation and regulatory
requirements that significantly affect their duties
ii clients are provided with information about current legislation and regulatory
requirements 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.
Standards for Registered Training Organisations - 2005

5
3 Effective financial management procedures
The RTO has effective financial management procedures in place.

t h re e
3.1 The RTO must designate the chief executive or a person with direct access to the chief
executive, who has defined responsibility and authority to:
i ensure that the RTO has financial management policies in place and that it complies
with these policies
ii monitor and report on compliance with its financial management policies and
procedures, for review and as a basis for improvement
iii when requested, provide the state or territory registering body that has registered
it with a formal assurance that the RTO has sound financial management standards
for matters related to the RTO’s scope of registration and scale of operations.
3.2 The RTO’s accounts must be certified, at least annually, by a qualified accountant:
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 Investment
Commission
and, on request, the report must be made available to the state or territory registering
body that has registered the organisation.
3.3 The RTO, if requested by the state or territory registering body that has registered it, must
obtain, and make available to the state or territory registering body, a full audit report
from a qualified independent accountant:
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
Standards for Registered Training Organisations - 2005

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

Commission.
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.

6
 4 Effective administrative and records management procedures
The RTO has effective administrative and records management procedures in place.
four

4.1 The RTO must document and implement procedures to assure the integrity, accuracy and
currency of records that include, but are not limited to:
i secure storage, including backup of electronic records
ii retention, archiving and retrieval of sufficient information on client results to enable
the re-issue of a qualification or statement of attainment if required, for a period of
30 years, and transfer of these records consistent with state or territory registering
body requirements in the event of closure of the RTO
iii retention, archiving, retrieval and transfer of all other records consistent with
contractual and legal requirements and the requirements of the state or territory
registering body that has registered the organisation
iv compliance with external reporting requirements (for example the Australian
Vocational 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 Training
Organisations or by law, information about a client is not disclosed to a third party
without 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 and
persons working on behalf of the RTO as trainers and assessors, consistent with the
requirements 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 materials
that relate to its scope of registration (including Training Packages, accredited course
documents and learning/assessment materials) so that:
Standards for Registered Training Organisations - 2005

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

7
5 Recognition of qualifications issued by other RTOs
The RTO recognises the Australian Qualifications Framework (AQF) qualifications and

f i ve
statements of attainment issued by any other RTO.
5.1 The RTO’s policies and procedures must include a requirement that the RTO recognises the
AQF qualifications and statements of attainment issued by any other RTO.
5.2 The RTO must include its obligation to recognise the AQF qualifications and statements
of attainment issued by other RTOs, in information to clients.
5.3 The RTO must provide information to staff on the obligation to recognise the AQF
qualifications 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 appropriate

six
information, advice and support services which assist clients to identify and achieve their
desired outcomes.
6.1 The RTO’s policies and procedures must incorporate access and equity principles.
6.2 a The RTO must set out its access and equity policies in a code of practice or similar
document.
b The RTO must ensure that copies of any instruments developed under standard 6.1
are provided and adhered to by staff.
6.3 The RTO must 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
Standards for Registered Training Organisations - 2005

ix disciplinary procedures
x staff responsibilities for access and equity as provided for in the RTO’s code of
practice or similar document
xi recognition of prior learning (RPL) arrangements and credit transfer.

8
 7 The competence of RTO staff
Each member of the RTO’s staff who is involved in training, assessment or client service
s e ve n

is competent for the functions they perform.

7.1 The RTO must develop and implement written procedures for the recruitment, induction
and ongoing development of each member of its staff who is involved in training,
assessment or client service; encourage and provide relevant opportunities for their
professional development; and monitor their performance.
7.2 The RTO’s induction program and materials for new staff must contain information, where
relevant to their job role, on each of the following:
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 or
is 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 in
standard 7.3 a i and the vocational competencies as defined in standard 7.3 a ii, one
person with all the assessment competencies listed in standard 7.3 a i and one or more
persons who have the vocational competencies listed in standard 7.3 a ii may work
together 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 and
Assessment Training Package or is able to demonstrate equivalent competencies or
ii is under the direct supervision5 of a person who has the competencies specified in
Standards for Registered Training Organisations - 2005

standard 7.4 i and

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

3
A person who holds the competencies BSZ401A Plan assessment, BSZ402A Conduct assessment, and BSZ403A Review assessment from the Training
Package for Assessment and Workplace Training will be accepted for the purposes of this standard. A person who has demonstrated equivalent
competencies to BSZ401A and BSZ402A and BSZ403A in the period up to 12 months following publication of the Training and Assessment Training
Package 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 in
Assessment and Workplace Training in the period up to 12 months following publication of the Training and Assessment Training Package will also be
accepted 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 person
9 designated 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 for
the supervising person to be present during all training delivery.
8 RTO assessments
The RTO’s assessments meet the requirements of the endorsed components of Training

eight
Packages and the outcomes specified in accredited courses within the scope of its
registration.
8.1 The RTO must ensure that assessments (including RPL):
i comply with the assessment guidelines included in the applicable nationally
endorsed Training Packages or the assessment requirements specified in accredited
courses
ii lead to the issuing of a statement of attainment or qualification under the AQF
when a person is assessed as competent against nationally endorsed unit(s) of
competency in the applicable Training Package or modules specified in the applicable
accredited course
iii are valid, reliable, fair and flexible
iv provide for applicants to be informed of the context and purpose of the
assessment and the assessment process
v where relevant, focus on the application of knowledge and skill to the standard of
performance required in the workplace and cover all aspects of workplace
performance, including task skills, task management skills, contingency management
skills and job role environment skills
vi involve the evaluation of sufficient evidence to enable judgements to be made
about whether competency has been attained
vii provide for feedback to the applicant about the outcomes of the assessment
process and guidance on future options in relation to those outcomes
viii are equitable for all persons, taking account of individual needs relevant to the
assessment
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 to
Standards for Registered Training Organisations - 2005

engage in the RPL process.

10
 9 Learning and assessment strategies
The RTO identifies, negotiates, plans and implements appropriate learning and
nine

assessment strategies to meet the needs of each of its clients.

9.1 a The RTO must develop and implement learning and assessment strategies for each
Training Package qualification and accredited course within the RTO’s scope of
registration6.
b The assessment strategies referred to in standard 9.1 a must be developed in
consultation with enterprises/industry.
c The learning and assessment strategies referred to in standard 9.1 a should identify
proposed target groups, learning and assessment methods, assessment validation
processes and pathways 7.
d The RTO must document the strategies referred to in standard 9.1 a on application
for 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 evidence
contributing to judgements made by a range of assessors against the same
competency 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 assessment
products 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 within
12 months of their publication
iv core and elective units, as appropriate, are identified
v customisation/contextualisation meets the requirements specified in the relevant
Training Package or, for accredited courses, meets the NTQC’s Guidelines for
Customisation of Accredited Courses under the AQTF 9
vi the language, literacy and numeracy skills required are consistent with the
workplace demands specified in the relevant units of competency or module and
Standards for Registered Training Organisations - 2005

that these skills are developed in learners

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

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 vocational
education and training.
8
These may be internal processes with stakeholder involvement or external validations with other providers and/or stakeholders.
11 9
Available in Guidelines for Course Developers, ANTA Brisbane 2002.
 viii where assessment or training is conducted in the workplace, the RTO negotiates
the learning and assessment strategy with the employer and learners, works with
the employer to integrate any on-the-job training and assessment and schedules
workplace visits to monitor/review the training and assessment
ix where an apprenticeship/traineeship training contract is in place or being
negotiated, individual training plans are developed, documented, implemented and
monitored for each apprentice or trainee, encompassing all relevant off-the-job and
structured workplace training and assessment
x where assessment or training is conducted on-line or by distance, the RTO has
effective strategies for learner support, monitoring and assessment.
9.4 The RTO must have access to the staff, facilities, equipment, training and assessment
materials required to provide the training and/or assessment services within its scope of
registration and scale of operations, to accommodate client numbers, client needs, delivery
methods and assessment requirements (including off-campus and on-line).

10 Issuing AQF qualifications and statements of attainment

The RTO issues AQF qualifications and statements of attainment that meet the requirements

ten
of the Australian Qualifications Framework Implementation Handbook and the endorsed
Training Packages and accredited courses within the scope of its registration.
10.1 The RTO must only issue AQF qualifications and statements of attainment that are within
its scope of registration and that certify the achievement of:
i qualifications or industry/enterprise competency standards from nationally endorsed
Training 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 Framework
Implementation Handbook, including the national codes
ii identify the units of competency from Training Packages, or competencies or
modules 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 and
Standards for Registered Training Organisations - 2005

statements of attainment issued if the delivery and assessment have been entirely in a
language other than English 10.

10
For guidance on issuing a qualification when delivery and assessment have been in a language other than English, refer to the
NTQC policy on languages for delivering and assessing vocational education and training.
12
 11 Use of national and state/territory logos
The RTO complies with the requirements for the use of national and state/territory logos.
e l e ve n

11.1 The RTO must use the nationally recognised training (NRT) logo:
i on AQF qualifications and statements of attainment issued within its scope of
registration
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 the
requirements of standard 11.1 ii and standard 12.
11.3 The RTO may use the following statements in advertisements only in respect of training
and/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 with
the registering body’s conditions of use.

12 Ethical marketing and advertising

The RTO’s marketing and advertising of training and assessment products and services
t w e l ve

is ethical.
12.1 The RTO’s marketing material must be accurate and approved by a duly authorised
member of the RTO’s staff.
12.2 The RTO must obtain prior written permission from any person or organisation for use
of any marketing or advertising material which refers to that person or organisation, and
must abide by any conditions of that permission.
12.3 The RTO must accurately represent to prospective clients training products and services
that lead to AQF qualifications or statements of attainment, and ensure that advertised
outcomes are consistent with these qualifications.
12.4 The RTO must advertise AQF qualifications only if they are included in the RTO’s scope of
registration and must not state or imply that services are within that scope of registration
if they are not.
Standards for Registered Training Organisations - 2005

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

13
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 Information
Statistical 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

Standards for Registered Training Organisations - 2005

14
 DEFINITIONS

Where words and/or phrases used in this standard are inconsistent with the same words and/or
phrases when used in State or Territory legislation implementing the Model Clauses, the State or
Territory 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 the
diverse needs of individual clients, including people who face barriers due to age, gender, cultural
difference, disability, language, literacy and numeracy, unemployment, imprisonment or isolation and
any 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 or
territory course accrediting body and leads to an AQF qualification or statement of attainment.
Apprenticeship/traineeship means a structured training arrangement, usually involving
on- and off-the-job training, for a person employed under an apprenticeship/traineeship training
contract. Also referred to as New Apprenticeships.
Apprenticeship/traineeship training contract means a contract for an
apprenticeship/traineeship, made between an employer and an apprentice/trainee, which is
registered with the appropriate state/territory government department or agency as may be
required by state/territory legislation.
Assessment means the process of collecting evidence and making judgements on whether
competency has been achieved to confirm an individual can perform to the standard expected in
the workplace, as expressed in the relevant endorsed industry/enterprise competency standards
or the learning outcomes of an accredited course. Note: for further guidance and definitions on
assessment see Appendix 2 – Useful resources for information on Training Package assessment
guides.
Assessment guidelines means an endorsed component of a Training Package which underpins
assessment and which sets out the industry approach to valid, reliable, flexible and fair assessment.
Assessment 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 to
review, compare and evaluate their assessment process and their assessment outcomes, in
relation to the same unit/s of competency.This includes validating assessment methods/tools, the
evidence that was collected using these assessment methods/tools and the interpretation of that
evidence to make a judgement of competence.
Standards for Registered Training Organisations - 2005

Validation may be undertaken prior to and post assessment and include formative and summative
assessments (the latter includes assessment for recognition purposes).Validation may be an
internal process involving assessors from the same training/assessment organisation, or it may
occur as an external exercise involving assessors from different organisations.
Audit means a systematic, independent and documented process for obtaining evidence to
determine whether the activities and related outcomes of a training organisation comply, or
continue to comply with the Standards for Registered Training Organisations.

15
Australian National Training Authority (ANTA) means the authority established under
subsection 5 (1) of the Australian National Training Authority Act 1992 of the Commonwealth
of Australia.
Australian Qualifications Framework (AQF) means the policy framework that defines all
qualifications recognised nationally in post-compulsory education and training within Australia.
The AQF comprises titles and guidelines which define each qualification, together with principles
and protocols covering cross-sectoral qualification linkages and issuance of qualifications and
statements of attainment.
Australian Quality Training Framework (AQTF) means the nationally agreed quality
arrangements 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 provided
by an RTO.
Credit transfer means the assessment of the initial course or subject that the individual is using
to claim access to, or the award of credit in, the destination course to determine the extent to
which it is equivalent to the required learning outcomes, competency outcomes, or standards in
a qualification.This may include credit transfer based on formal learning that is outside the AQF
framework.
Flexible learning and assessment means an approach to VET which allows for the adoption
of a range of learning and assessment strategies (including online) in a variety of learning
environments to cater for differences in learning styles, learning interests and needs, and
variations in learning opportunities.
Internal audit means audits conducted by, or on behalf of, the organisation itself for internal
purposes.
Learning and assessment strategy means a documented framework to guide and structure
the learning requirements and the teaching/delivery and assessment arrangements of a vocational
education and training qualification. It is the umbrella document that outlines the macro-level
requirements for designing the learning and assessment process at the qualification level.
Ministerial council means the ANTA ministerial council established under the Australian
National Training Authority Agreement which is a schedule to the Australian National Training Authority
Act 1992, comprising the Australian Government and state and territory government ministers
responsible for VET or any successor council comprising those ministers.
Standards for Registered Training Organisations - 2005

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 of
qualifications 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 nationally
b is endorsed by the ANTA ministerial council
c is made up of the AQTF and nationally endorsed Training Packages.

16
 National Training Information Service (NTIS) means the national register for recording
information about RTOs,Training Packages and accredited courses.
National Training Quality Council (NTQC) means the body established by the ANTA
ministerial council as a committee of the ANTA board. In relation to quality assurance in the VET
system, the NTQC has a role in:
a providing advice on the operation of, and any necessary change to, the AQTF
b providing information and advice to state and territory registering/course accrediting bodies
on the implementation of the AQTF
c providing to the ANTA board, for incorporation in the board’s reports to the ANTA ministerial
council (including the annual national report), information and advice on the operation of the
AQTF in each state and territory, including providing such independent advice on state/territory
registration, audit and related processes and related Commonwealth processes as deemed
necessary by the NTQC.
Nationally recognised training (NRT) logo means the logo used to signify that training
and 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 has
achieved all the units of competency or modules comprising learning outcomes stated for the
qualification in:
a a nationally endorsed Training Package for which details of the qualification have been
registered by ANTA or
b 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 to
fulfil 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 prior
learning to determine the extent to which that individual is currently competent against the
required learning outcomes, competency outcomes, or standards for entry to, and/or partial or
total completion of, a qualification.
Registered training organisation (RTO) means a training organisation registered by a
registering body in accordance with the AQTF, within a defined scope of registration (see scope
of registration).
Registering body – see state or territory registering body.
Registration means the formal approval and recognition of a training organisation by a state or
Standards for Registered Training Organisations - 2005

territory registering body, in accordance with the Standards for Registered Training Organisations
and the Standards for State and Territory Registering/Course Accrediting Bodies.

17
Sanction means any action imposed for non-compliance with the Standards for Registered
Training 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 and
assessment activities)
b amendment of registration (including a reduction in the scope of registration)
c suspension of registration
d cancellation of registration.
Scope of registration means the defined scope for which a training organisation is registered
that identifies the particular services and products that can be provided. An RTO may be
registered to provide either:
a training delivery and assessment services and products and issue AQF qualifications and
statements of attainment or
b assessment services and products and issue AQF qualifications and statements of attainment.
The scope of registration is further defined by AQF qualifications and/or endorsed units of
competency.
Standards means, when used in this document, the 12 standards for RTOs.
State or territory course accrediting body means the body responsible under the state
or territory VET legislation and decision-making framework for administration of the accreditation
of courses.
State or territory registering body means the body responsible under the state or
territory VET legislation and decision-making framework, for all the processes related to the
registration of training organisations, including the imposition of sanctions.
Statement of attainment means formal certification in the VET sector by an RTO under the
AQF that a person has achieved:
a part of a qualification or
b one or more units of competency from a nationally endorsed Training Package or
c 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 an
apprenticeship/traineeship training contract.The apprenticeship/traineeship training contract is
Standards for Registered Training Organisations - 2005

registered with the appropriate state/territory government department or agency as may be

required by state/territory legislation.
Unit of competency means the specification of knowledge and skill and the application of
that knowledge and skill to the standard of performance expected in the workplace.

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 APPENDIX 1

Contact details
Contact details

Australian Government South Australia

Department of Education, Science and Training Employment and Skills Formation
16–18 Mort Street Quality Branch
PO Box 9880 Department of Further Education,
CANBERRA ACT 2600 Employment, Science and Technology
Ph: (02) 6240 8111 GPO Box 320
Fax: (02) 6240 7033 ADELAIDE SA 5001
www.dest.gov.au Ph: (08) 8226 3065
Fax: (08) 8226 0429
New South Wales www.training.sa.gov.au
NSW Vocational Education Training
Accreditation Board Australian Capital Territory
NSW Department of Education and Training ACT Accreditation and Registration Council
Locked Bag 21 Department of Education and Training
DARLINGHURST NSW 1300 PO Box 985
Ph: (02) 9244 5335 CIVIC SQUARE ACT 2608
Fax: (02) 9244 5344 Ph: (02) 6205 7066
www.vetab.nsw.gov.au Fax: (02) 6205 7045
www.arc.act.gov.au
Victoria
Office of Training and Tertiary Education Northern Territory
GPO Box 266D Employment and Training Division
MELBOURNE VIC 3001 Department of Employment, Education
Ph: (03) 9637 2762 and Training
Fax: (03) 9637 2520 GPO Box 4821
www.otte.vic.gov.au DARWIN NT 0801
Ph: (08) 8901 1340
Queensland Fax: (08) 8901 1326
Department of Employment and Training www.deet.nt.gov.au
Locked Mail Bag 527
GPO BRISBANE QLD 4001 Tasmania
Ph: (07) 3247 5477 Tasmanian Qualifications Authority
Fax: (07) 3247 5488 PO Box 147
www.det.qld.gov.au SANDY BAY TAS 7006
Ph: (03) 6233 7708
Standards for Registered Training Organisations - 2005

Western Australia Fax: (03) 6224 0175

Training Accreditation Council www.tqa.tas.gov.au
22 Hasler Drive
OSBORNE PARK WA 6017
Ph: (08) 9441 1912
Fax: (08) 9235 6142
www.tac.wa.gov.au

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APPENDIX 2

Useful resources
ABC of VET series. ANTA, Brisbane, 2004

U s e f u l re s o u r c e s
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 Framework
Advisory 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
Standards for Registered Training Organisations - 2005

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
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 INDEX

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 elements
3 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 chief executives, d, 1.1b, 1.2iii, 1.4b, 3.1
access to client information, 4.1vi, 4.1vii designated persons with direct access to, 1.2, 3.1
accounts, 3.2-3 clients, d
accredited courses, d feedback and satisfaction data, 1.9
issuing AQF qualifications and Statement of information about, 4.1vi, 4.1vii
Attainment, 10.1ii, 10.2ii information provided to, 2.2ii, 5.2, 6.3
learning and assessment strategies, 9.1, 9.3ii, 9.3iv, 9.3v retention of records, 4.1ii
administrative procedures, 4 competence and competency, 8.1ii, 8.1vi, 10.1, 10.2ii
advertisements, 11.2-3, 12 assessors, 7.3
agreements, 1.6 staff, 7
ANTA, d trainers, 7.4
anti-discrimination legislation, 2.1iii see also units of competency; recognition of prior
appeals, complaints and grievances, 1.5, 6.3viii, 8.1ix learning (RPL)
applications for assessment, 8 competency-based training and assessment,
applications for registration/renewal, 1.2iv, 9.1d see assessments; training
apprenticeship/traineeship training contract, d, 9.3ix complaints, grievances and appeals, 1.5, 6.3viii, 8.1ix
apprenticeships, d, 7.2iv, 9.3ix compliance, 1.2i, 1.2iii, 1.2vii, 1.4, 2
archiving of records, 4.1ii, 4.1iii external reporting requirements, 4.1iv
AS 3911 :1, f 1.4a financial management policies, 3.1
assessment guidelines, d5, 8.1i legislation and regulatory requirements, 2.1-2, 4.1iii
assessments, d, 8-9 confidentiality, 4.1v, 4.1vi
agreements with organisations providing, 1.6 consultation, 9.1b
compliance of assessors, 7.3 contents insurance, 2.3
identification of services in marketing and advertising contextualisation, 9.3v
material, 12.5 continuous improvement, 1.10ii
information about: for clients, 6.3vi; for staff, 7.2ii core units, 9.3iv
online, 9.3x course information, 6.3ii
person conducting, 4.2i, 7.3 currency of materials, 4.3
Recognition of prior learning (RPL), d, 6.3xi, 8.2 customisation, 9.3v
validation, 9.2 development, see training
audits, d, 1.2ii delivery and assessment strategies, d, 9
accounts, 3.3 disability discrimination, 2.1iii
internal, d, 1.2ii, 1.4 disciplinary procedures, 6.3ix
Standards for Registered Training Organisations - 2005

see also reviews discrimination, 2.1iii

Australian National Training Authority (ANTA), d distance assessment/training, 9.3x, 9.4
Australian Qualifications Framework (AQF), d documents and documentation, 1.2vii, 4
see also qualifications; statements of attainment access and equity policies, 6.2
Australian Quality Training Framework (AQTF), d agreements with organisations providing training
building and contents insurance, 2.3 and/or assessment, 1.6
bullying, in workplace, 2.1ii appeal outcomes, 1.5iii b
business plan, 1.7 AQF qualifications and statements of attainment, 10.2
certification of accounts, 3.2, 3.3 business plan, 1.7
charges, see fees; refunds complaints, grievances and appeals, 1.5i

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 examination of, for audit purposes, 1.2ii National Training Information Service (NTIS), d
financial, 3.2, 3.3 National Training Quality Council (NTQC), d
methods for designing training and assessment, 9.3i nationally recognised training (NRT) logo, d, 11.1, 11.2
retention, archiving and retrieval, 4.1ii, 4.1iii non-compliance, 1.8ii
version control procedures, 4.3 NRT logo, d, 11.1, 11.2
see also materials; policies and procedures numeracy, 6.3iv, 9.3v
duty statements, 1.3 occupational health and safety, 2.1i
elective units, 9.3iv on-line assessment/training, 9.3x, 9.4
electronic records, 4.1i organisational charts, 1.3
enrolment, 4.2ii, 6.3 orientation/induction procedures for clients, 6.3i
equal opportunity, 2.1iii participation records, 4.2ii
equipment, 9.4 partnerships, f1.6a
see also materials pathways, 9.1c
equity, see access and equity permissions, in marketing or advertising, 12.2
ethical marketing and advertising, 12 personnel, see staff
evaluation, see assessments; audits; reviews policies and procedures, 1.1, 1.8-10
explanatory material, see information access and equity, 6.1, 6.2
facilities, 9.4 complaints, grievances and appeals, 1.5
feedback, 1.9 financial management, 3
to applicants for assessment, 8.1vii national recognition, 5.1
fees, 3.4, 4.2iii, 6.3iii records and records management, 4
financial management procedures, 3 staff recruitment and training, 7.1
flexible learning and assessment, d, 6.3vi see also documents and documentation
grievances, complaints and appeals, 1.5, 6.3viii, 8.1ix prior learning arrangements (RPL), d, 6.3xi, 8.2
guidance services for clients, 6.3vii privacy, 2.1iv
harassment, in workplace, 2.1ii professional indemnity insurance, 2.3
health and safety, in workplace, 2.1i public liability insurance, 2.3
impartiality, 1.5ii qualifications, d
improvement, 1.10 assessments leading to issue of, 8.1ii
induction of clients, 6.3i issuing AQF qualifications, 10
induction of staff, 7.1, 7.2 logo used on, 11.1i
information, confidentiality, 4.1v, 4.1vi marketing and advertising, 12.3-5
see also documents and documentation; materials national recognition, 5
insurance cover, 2.3 see also competence and competency
internal audit, d, 1.2ii, 1.4 quality of assessments, 9.2
language, 6.3iv, 9.3vi quality systems, 1
learners, see clients racial vilification, 2.1iii
learning strategies, 9 reassessment, 8.1ix
see also training recognition of prior learning (RPL), d, 6.3xi, 8.2
Standards for Registered Training Organisations - 2005

legislation, compliance with, 2.1, 2.2, 4.1iii records and records management, see documents and
literacy, 6.3iv, 9.3v documentation
logos, 11 recruitment of staff, 7.1
marketing, 12 refunds, 3.5, 4.2iii, 6.3iii
materials, 9.4 register of agreements, 1.6c
monitoring, see reviews registered training organisations (RTOs), d
national provider numbers, 10.2iii registration, d, 1.2iv, 1.2v, 1.2vii, 9.1d
national recognition, d, 5 regulatory requirements, compliance with, 2
national training framework (NTF), d reports and reporting, see documents and documentation

22
 retention of records, 4.1ii, 4.1iii storage of records, 4.1i
retrieval of records, 4.1ii, 4.1iii terms of reference, 1.3a
reviews timeframes
assessment processes, 9.2i assessment validations, 9.2i
materials, for currency, 4.3i certification of accounts, 3.2
policies and procedures, 1.9b reviews of compliance with standards, 1.4
staff performance, 7.1 traineeships, 2.1v, 7.2iv, 9.3ix
see also audits training, 9
risk management, 1.8i agreements with organisations providing, 1.6
RPL arrangements, d, 6.3xi, 8.2 information for staff about, 7.2ii
safety, in workplace, 2.1i persons delivering, 4.2i, 7.4
sanctions, d services identified in marketing and advertising
satisfaction of stakeholders and clients, 1.9 material, 12.5
scope of registration, d, 1.2iv, 1.2v, f1.6a, 9.1d, 12.4 of staff, 7.1
selection of clients, 6.3i training contract, d, 9.3ix
skills recognition, d10, 6.3xi, 8.2 Training Packages, d, 8.1i, 8.1ii, 10.1i, 10.2ii
staff, 9.4 information for staff about, 7.2i
access to, for audit purposes, 1.2ii training delivery and assessment strategies, 9.1,
duty statements, 1.3 9.3ii, 9.3v
information for, 1.1b, 2.2i, 5.3, 6.2b training plans, d, 9.3ix
induction material, 7.2 transfer of records, 1.2vii, 4.1ii, 4.1iii
organisational charts, 1.3 units of competency, d, 8.1ii, 10.2ii
persons with direct access to chief executive, 1.2, 3.1 language, literacy and numeracy requirements, 9.3iv
qualifications and experience, 4.2i, 7 users, see clients
recruitment procedures, 7.1 validation of assessment strategies, 9.1c, 9.2
responsibilities for access and equity, 6.3x version control procedures, 4.3
stakeholder feedback and satisfaction, 1.9 victimisation, in workplace, 2.1ii
standards, d vocational education and training requirements and
see also units of competency policies, 2.1v, 7.2iii
state or territory, RTOs operating in more than one, welfare services for clients, 6.3vii
1.2v, 1.2vi workers compensation insurance, 2.3
state or territory laws, compliance with, 2.1, 2.2, 4.1iii workplace assessment/training, 9.3viii, 9.3ix
state or territory logos, 11.3, 11.4 Training Package for 7.3a i, 7.4i
state or territory registering bodies, d, 1.2iv workplace harassment, victimisation and bullying, 2.1ii
information to be provided to, 1.2v, 1.2vii: financial, workplace health and safety, 2.1i
3.1iii, 3.2, 3.3 workplace performance, 8.1v, 9.3vi
statements of attainment, d, 5, 10
assessments leading to issue of, 8.1ii
logo used on, 11.1i
Standards for Registered Training Organisations - 2005

marketing and advertising, 12.3, 12.5

retention of student records, 4.1ii

23