Newbery’s Audit Guide – Clause 1.13/1.14/1.16


What the clause requires:

1.13 The RTO’s training and assessment is delivered only by persons who have:

a) vocational competencies at least to the level being delivered and assessed;

b) current industry skills directly relevant to the training and assessment being provided; and

c) current knowledge and skills in vocational training and learning that informs their training and assessment.

1.14 The RTO’s training and assessment is delivered only by persons who have the training and assessment qualification (refer to schedule 1)

1.16 The RTO ensures that all trainers and assessors undertake professional development in the fields of the knowledge and practice of vocational training, learning and assessment including competency based training and assessment.


What is this clause about:

These clauses are about making sure that the persons that you use to undertake training and assessment are competent in training and assessment and are competent in the unit of competency they are delivering training and assessment in. The requirement for training and assessment competency is specified within schedule one of the standards Click Here. In a nut shell, this means that trainers and assessors need to hold the complete TAE40110 Certificate IV in Training and Assessment (no allowance for equivalence) or its successor (TAE40116) or a diploma or higher level qualification in adult education. For trainers delivering TAE qualifications and skill sets, additional requirements apply. Refer to schedule one of the standards.

The requirement for vocational competency is a little more complex and subjective. The clause says: “vocational competencies at least to the level being delivered and assessed”. So, they must hold the actual competencies or be able to demonstrate that they hold equivalent competency at least to the same level. They must also be able to provide evidence of their current industry skills (checkout the RTO standards glossary for “Current Industry Skills”) and provide evidence that they are engaged in ongoing professional development in training and assessment.

So, it is not enough to simply be competent. The trainer must have evidence of their industry experience, current industry knowledge and skills and ongoing professional development. Our recommendation for “current” evidence is evidence of activity over the last 12-18 months. Hey! It is my document; I can recommend whatever I like. In my experience, currency and professional development evidence based on completed activities in the last 12 months will be considered more favorably by the auditor.

Just a little note to emphasise a point which is often overlooked: The trainer/assessor must be able to demonstrate that they have industry experience. This is specified within the definition of “Current Industry Skills”. Industry experience is often demonstrated via a CV and referees.


You must be able to demonstrate that:

Your trainers and assessors meet the minimum requirements for competency in training and assessment as specified in schedule one of the RTO standards.

Your trainers and assessors hold the vocational competencies at least to the level that they are delivering training and assessment in.

Your trainers and assessors can demonstrate their current industry skills and knowledge and ongoing professional development in training and assessment.


Evidence to prepare:

Staff matrix that shows what trainers are nominated to deliver which items (competency) on the scope of registration. This might also list the training and assessment and vocational competence for each staff member along with a summary of their recent professional development.

Professional development register that lists in detail the specific professional development the trainer has completed.

Evidence that verifies participation in the professional development claimed in the professional development register.

Professional development plan for each trainer that shows how the trainer will maintain their skills and knowledge in their vocational area of delivery and in training and assessment.

Curriculum vitae or resume that showcases the experience the trainer brings in addition to the qualifications.

Signed employment agreement or contract (Service Agreement for contractors) that confirms that the nominated trainer’s engagement.

Certified true copies of each trainer’s qualifications that aligns with the staff matrix and substantiates their competency to undertake the training and assessment they are nominated to deliver.

Any certifications required under licensing requirements such as working with children checks, police checks, high risk work licenses, etc

Evidence that demonstrates their current competence. This may include recent RPL, professional development, work placement, professional membership, special projects, conferences or workshops, etc.

A nicely formatted Staff File that includes all of this evidence and presents it in a professional and organised way.


You should prepare for these types of questions:

Can you provide me with the evidence of competency and currency for the following trainers please?

Can you talk me through how you validate a trainer’s competence, experience and suitability during their recruitment / induction?

After reviewing these learner files, I have identified the following trainers that have undertaken assessment against these units. Can you provide me their staff files please?

How do you manage the allocation of trainers/assessor to specific items on your scope of registration?

What arrangements are you applying to ensure the ongoing professional development of training staff?

What arrangements are you applying to ensure the maintenance of current competence of training staff?

Do you have an employment agreement or service contract for this trainer?

Can you show me evidence of this trainer complying with licensing requirements?

I note that this trainer is coming into contact with learners who are under the age of 18 years. Do you have a current working with children check for this trainer?

This trainer does not have the required competence according to what they have been assessing. Do you have any additional evidence that would demonstrate their equivalent competence?

I am satisfied that this trainer has the required competency, but I note that they have only recently been awarded their vocational qualification. Do you have any evidence that demonstrates their industry experience?


Published by: Joe Newbery, released 2nd May 2017

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