Newbery’s Audit Guide – Clause 1.3


What the clause requires:

1.3 The RTO has, for all of its scope of registration, and consistent with its training and assessment strategies, sufficient:

a) trainers and assessors to deliver the training and assessment;

b) educational and support services to meet the needs of the learner cohort/s undertaking the training and assessment;

c) learning resources to enable learners to meet the requirements for each unit of competency, and which are accessible to the learner regardless of location or mode of delivery; and

d) facilities, whether physical or virtual, and equipment to accommodate and support the number of learners undertaking the training and assessment.


What is this clause about:

It is primarily about making sure that the RTO has sufficient facilities, resources, people and services to support the delivery of training and assessment consistent with its scope of registration. This obviously will vary based on the RTO’s scope of registration, geographic area of delivery and delivery modes. The focus in this clause is particularly on the availability of learning resources and equipment/facilities that complement the training product being delivered. We find that auditors do not particularly focus on 1.3a (trainers) and 1.3b (support services) when auditing this clause as these items are also covered in other specific clauses that deal with these things in much more specific detail. That is not to say that these things can be ignored completely in this clause. The auditor is entitled to take into consideration if the RTO has a sufficient number of trainers and assessors for the planned number of learners. This equally applies to support services. As there is no specified benchmarks for these things (i.e. mandatory learner/trainer ratios), they are quite subjective.


You must be able to demonstrate that:

You have enough qualified trainers and assessors to support the number of learners you are delivering to (links with 1.13 to 1.16)

You have appropriate access and provision to education support services for the planned number of learners (links with 1.7)

You have the learning resources such as learner guides, textbooks, session plans, presentation tools, et cetera for each training product on your scope of registration

You have the equipment and facilities required for your mode of delivery and according to the requirements of each unit of competency being delivered


Evidence to prepare:

All learning materials for all items on the scope of registration. This may include text, workbooks or reference material, session plans, training aids, handouts, electronic presentations, etc. the learning resources must complement the specified knowledge and tasks identified in each unit of competency. For some auditors this is the go to place to sample the knowledge against the learning content.

All equipment used in the delivery of training for all items on the scope of registration.

Training facilities such as classrooms, computer labs, outdoor practical areas, etc

Staff matrix identifying trainers and assessors nominated for each training product on the scope of registration

Equipment inventories or evidence of arrangements to support the management of equipment and resources.

Evidence to demonstrate how equipment and resources required in the learner’s workplace are validated as available. May be some type of Workplace Equipment and Resources Checklist.

Lease agreements for facilities if leased. Keep in mind ASQA’s health and safety requirements for educational premises Click Here

Evidence of local government approval to operate a training business at your designated training sites.

MOU or letter of confirmation from facility owners where these facilities are not leased and being accessed on a casual basis.

Completed facility checklist to confirm that you have inspected the facilities and confirm their suitability for the training being delivered.

Service agreements (or licence) with associated service providers that may provide services in support of the RTO operations, such as equipment hire, commercial learning resources, et cetera

All assessment materials for all items on the scope of registration. Please refer to clause 1.8


You should prepare for these types of questions:

Can we take a tour of your training facilities?

I would like to see all of the learning materials for the following unit of competence. Do you have any guide that shows how the knowledge requirement within the units is addressed?

Do you have associated support materials that enable the implementation of the training strategy? I am specifically interested in seeing session plans, training aids, handouts, electronic presentations, etc.

I am auditing the unit of competency CHCECE005 – Provide care for babies and toddlers, and just looking at the required knowledge in the unit, can you show me within your learning material where you address the required knowledge of “guidelines for infection control” (As an example)?

Can you show me the equipment that is available to support the delivery of training for this unit of competence? For instance, this unit relates to observing the candidate conducting food preparation, do you have appropriate space, facilities and equipment for the candidate to be assessed undertaking food preparation and applying food hygiene practices? (As an example).

How do you ensure that specific equipment required to support workplace training is available? Do you have a process to validate this or negotiate this with the employer?

Can you show me a copy of the lease for the training facilities you have nominated at these delivery locations? Alternatively, do you have an MOU or a formal / written confirmation that these venues can be leased as you need them?

Do you have local government approval to operate a training business at your designated training sites? Can you show me this please?


Published by: Joe Newbery, released 2nd May 2017

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