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Clauses 1.17 – 1.20

Provide supervision of trainers where needed

Clause 1.17

Where the RTO, in delivering training and assessment, engages an individual who is not a trainer or assessor, the individual works under the supervision of a trainer and does not determine assessment outcomes.

Clause 1.18

The RTO ensures that any individual working under the supervision of a trainer under Clause 1.17:

  • holds the skill set defined in Item 4 of Schedule 1 or, prior to 1 January 2016, is able to demonstrate equivalence of competencies;
  • has vocational competencies at least to the level being delivered and assessed; and
  • has current industry skills directly relevant to the training and assessment being provided.

Clause 1.19

Where the RTO engages an individual under Clause 1.17, it ensures that the training and assessment complies with Standard 1

Clause 1.20

Without limiting Clauses 1.17 - 1.19, the RTO:

  • determines and puts in place:
    • the level of the supervision required; and
    • any requirements, conditions or restrictions considered necessary on the individual’s involvement in the provision of training and collection of assessment evidence; and
  • ensures that trainers providing supervision monitor and are accountable for all training provision and collection of assessment evidence by the individual under their supervision.

What this Standard means for your RTO

Where your RTO uses a person who does not hold the required competencies as a trainer and assessor, that person needs to be supervised by a qualified trainer to maintain the quality of your training and assessment. Your RTO needs to consider what level of training and assessment skills and knowledge such a person has and put in place arrangements for appropriate supervision and guidance. For example, a person who has recently completed the Enterprise Trainer—Presenting Skill Set but who has little or no experience as a trainer will require a program of close supervision and mentoring, until they have demonstrated a reasonable level of skill, after which the supervision requirements could be reduced. Regardless of their skills and knowledge, a person that does not hold the required competencies:

  • must be supervised, and
  • must not determine assessment outcomes.

Regardless of the training and assessment competencies held by a person, training must only be provided by those who have current industry skills and knowledge. Training is best provided by those who can undertake all of the tasks defined in the elements of units of competency and modules to industry standards.

Assessment decisions may only be made by a qualified assessor. A qualified assessor may make assessment decisions in conjunction with the person being supervised, who may gather some or all of the relevant evidence. The supervising trainer and assessor:

  • is responsible for the quality of training delivered, and
  • makes all final decisions about assessment outcomes.

From 1 January 2016, people working under such supervision arrangements must hold the:

  • Enterprise Trainer Skill Set (in either mentoring or presenting), and/or
  • Enterprise Trainer and Assessor Skill Set.

From 1 January 2016, a person without one of these skill sets is not permitted to deliver training in VET.

Prior to 1 January 2016, transition arrangements are in place allowing people working under supervision as trainers to demonstrate they hold equivalent competencies. During that period, it is the responsibility of your RTO to retain evidence of such equivalence, which may include, for example, an analysis of how a trainer’s skills and knowledge compares with one of the relevant skill sets. Such an analysis should include a comparison with how the trainer’s skills and knowledge combine to be equivalent with all of the requirements of one of the relevant skill sets.

A guide to compliance

An RTO that does not have any people delivering training or assessment under supervision does not need to retain evidence in this area.

The level of formality needed in supervision arrangements will depend on many factors, including the number of people working under these arrangements. Regardless, RTOs must retain evidence of not only what the arrangements are, but that they have been fully implemented.

If you have a large number of people working under supervision, a formal framework of supervision, review and monitoring may be needed. If the arrangements are for a very small number of people or for a short time only (e.g. while a new trainer completes a qualification), more informal arrangements (such as a weekly review/feedback session) may be appropriate.

Evidence that supervision arrangements have been implemented could include: 

  • completed review documentation showing that a trainer and assessor has monitored training by observing training sessions and providing feedback to the person being supervised 
  • completed assessment materials showing that the supervising trainer and assessor has made final assessment decisions, and/or  
  • interviews with both people to confirm that the arrangements had actually been implemented as planned.

Requirements for individuals working under supervision—all training products except TAE (clauses 1.17 – 1.20)

All of:

  • Vocational competencies at least to the level being delivered
  • Current relevant industry skills.

From commencement of standards

One or more of:

  • Enterprise Trainer and Assessor Skill Set
  • Enterprise Trainer—Presenting Skill Set
  • Enterprise Trainer—Mentoring Skill Set
  • Equivalent competencies to one of the above

From 1 January 2016

One or more of:

  • Enterprise Trainer and Assessor Skill Set
  • Enterprise Trainer—Presenting Skill Set
  • Enterprise Trainer—Mentoring Skill Set

When applying to become an RTO:

  • If your organisation does not intend to have any people delivering training or assessment under supervision, you do not need to provide evidence in this area.
  • If you intend to have people delivering training or assessment under supervision, you must provide evidence that suitable supervision arrangements have been developed.

Case Study: Watching the trainers

PQR Education delivers a range of ‘trade’ qualifications to apprentices. The RTO recruits trainers and assessors directly from industry, preferably those who wish to continue working in their trade part-time. This means that they often have new trainers and assessors who do not have the required qualification to provide unsupervised training and assessment.

Because new trainers are hired regularly, PQR Education has established a formal framework of supervision and mentoring for new staff. All new staff are required to undertake the Certificate IV in Training and Assessment with an RTO engaged by PQR Education, undertaking a customised program that focuses on the challenges in delivering trade qualifications in a mixture of workplace and offline delivery. A mentor is assigned to work with the new staff member until they have completed the qualification. This ensures very close supervision at the beginning of the program with the mentor observing at least two training sessions per week, gradually decreasing as the trainer reaches predetermined competency milestones and ceasing once the Certificate IV in Training and Assessment has been achieved.

A formal review is held each Friday to provide feedback and to consider any assessment evidence. Review sheets are signed by both parties and retained in both HR files. When the trainer has completed the Certificate IV in Training and Assessment, the mentor is also required to confirm that the person has met the requirements of PQR Education to provide unsupervised training and assessment.