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Clauses 1.17 to 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:

a) holds the training and assessment credential specified in Item 6 of Schedule 1
b) has vocational competencies at least to the level being delivered and assessed
c) 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 to 1.19, the RTO:

a) determines and puts in place:

  • i) the level of the supervision required
  • ii) any requirements, conditions or restrictions considered necessary on the individual’s involvement in the provision of training and collection of assessment evidence

b) 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 clauses 1.17 to 1.20 mean for your RTO

If 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.

You need to consider the level of training/assessment skills and knowledge this 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 formally supervised
  • must not determine assessment outcomes.

In addition, regardless of the training and assessment competencies a person holds, they can only provide training if they have current industry skills and knowledge. Training is best provided by those who can undertake—to an industry-standard level—all of the tasks defined in the elements of units of competency and modules.

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
  • makes all final decisions about assessment outcomes.

Since 1 January 2016, people working under such supervision arrangements have been required to hold the:

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

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

From 1 April 2019, people working under such supervision arrangements will be required to hold one of the following:

  • TAESS00007 Enterprise Trainer—Presenting Skill Set
  • TAESS00014 Enterprise Trainer—Presenting Skill Set (or its successor)
  • TAESS00008 Enterprise Trainer—Mentoring Skill Set
  • TAESS00013 Enterprise Trainer—Mentoring Skill Set (or its successor)
  • TAESS00003 Enterprise Trainer and Assessor Skill Set
  • TAESS00015 Enterprise Trainer and Assessor Skill Set (or its successor).

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 showing:

  • what the arrangements are
  • that they have been fully implemented.

If you have a large number of people working under supervision, you may need a formal framework of supervision, review and monitoring. 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.

How can my RTO demonstrate and provide evidence of compliant practice?

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
  • interviews with both people to confirm that the arrangements had actually been implemented as planned.

At audit, ASQA may review student files and interview trainers and assessors to confirm that your practice and your documentation are aligned.

Requirements for individuals working under supervision

The requirements below apply to the delivery of all training products, except those from the TAE Training Package. Requirements for delivery of TAE Training Products by trainers under supervision are discussed in the following section of this guide.

Individuals working under supervision must have both:

  • vocational competencies at least to the level being delivered
  • current relevant industry skills.

These individuals must hold at least one of the following:

  • TAESS00003 Enterprise Trainer and Assessor Skill Set (or its successor)
  • TAESS00007 Enterprise Trainer—Presenting Skill Set (or its successor)
  • TAESS00008 Enterprise Trainer—Mentoring Skill Set (or its successor).

From 1 April 2019, people working under such supervision arrangements will be required to hold one of the following:

  • TAESS00007 Enterprise Trainer—Presenting Skill Set
  • TAESS00014 Enterprise Trainer—Presenting Skill Set (or its successor)
  • TAESS00008 Enterprise Trainer—Mentoring Skill Set
  • TAESS00013 Enterprise Trainer—Mentoring Skill Set (or its successor)
  • TAESS00003 Enterprise Trainer and Assessor Skill Set
  • TAESS00015 Enterprise Trainer and Assessor Skill Set (or its successor).

If you are seeking registration as 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—Supervising and mentoring new 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. Before new staff can conduct training they must complete either the:

  • Enterprise Trainer—Presenting Skill Set, or
  • Enterprise Trainer—Mentoring Skill Set.

New staff are required to undertake the Certificate IV in Training and Assessment with an RTO engaged by PQR Education, completing a customised program that focuses on the challenges of delivering trade qualifications through 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. The level of supervision gradually decreases as the trainer reaches predetermined competency milestones and ends once the Certificate IV in Training and Assessment has been achieved.

A formal review is held each Friday to provide feedback. Review sheets are signed by both parties and retained in both the mentor’s and the new staff member’s human resources files. When the new 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.

The trainer under supervision cannot determine assessment outcomes until they have completed the Certificate IV in Training and Assessment and have met PQR Education’s requirements.