Wayne Carney is a managing director and senior consultant who provides services to Registered Training Organizations (RTOs) including assistance with RTO registration, compliance audits, and training course development. He has over 28 years of experience in leadership roles in police, security, and defense and possesses qualifications in management, auditing, and vocational education and training. His services help RTOs establish and maintain their registration through providing customized quality management systems, policies and procedures, training needs analysis, and other consulting services.

2. WAYNE MICHAEL CARNEY, MANAGING DIRECTOR
SOGA RTO Consulting Services
T: 61 3 9773 1604 M: +61 414 335 881
E: wayne@specialoperationsgroup.com.au
MEMBER OF VELG, IALEFI, AIPD, ASIS, ACFE, AIPI
Graduate Diploma Management (Learning)
Diploma of Training Design & Development
Diploma of Vocational Education & Training
Diploma of Quality Auditing
Senior Consultant to the VET Sector and RTOs, competent for:
ISO 9001:2008 Lead Auditor
RABQSA – QM – Quality Management Systems
RABQSA – AU – Management Systems Auditing
RABQSA – TL – Leading Management Systems Audit Teams
Wayne is an assertive leader who is results driven with over 28 years’ combined experience with the Police,
Security & Defence Services. This includes a background with extensive experience in managing and leading
teams in both the public and private sector.
Combining this extensive criminal and safety investigative background with risk management and occupational
health and safety knowledge, Wayne delivers a multi-faceted and balanced approach to managing safety
principles and safety implementation in the workplace.
Wayne has a demonstrated strong auditing background and dedication to ensuring policies and procedures
are developed to meet both organisational and legislative requirements. This includes previously conducting
security and safety audits, as well as assisting Registered Training Organisations (RTOs) to ensure internal
policies and procedures meet registration requirements in an ongoing capacity. Such experience gives Wayne
the ability to succinctly summarise audit / investigative outcomes and provide clear recommendations for
improvement, whilst understanding quality management definitions, concepts, and guidelines.
Furthermore, Wayne is a qualified educator and possesses extensive experience in both the development and
delivery of leadership and safety courses. This includes the required knowledge and ability to deliver training
courses based upon OHS and WHS legislation, risk management principles and relevant safety Australian and
International standards. Wayne is a highly sought after Consultant and Business Development Manager for
several RTOs in Australia, New Zealand and the United Arab Emirates.
Wayne’s skills include, but are not limited to:
Understanding the requirements of the ISO
9001:2008 standard.
Understanding the roles and responsibilities of an
auditor.
Applying ISO 190011:2002 definitions, concepts
and guidelines. AS/NZ: 4801, 18001.
Recognising the principles, practices and types
of audits
Conducting all phases of an internal audit
Preparing and presenting effective reports
Understanding of the RABQSA’s certification
scheme
Understanding the role of objectives, scope and
criteria in the audit process.
How to plan audits
Conducting an audit team selection
Initiating an audit and conducting opening
meetings
Understanding audit team leader responsibilities
Communicating effectively during an audit
Preparing audit conclusions
Conducting closing meetings
Reporting audit results

3. Course Design / Resource Requirements
Quality Management Systems
(Aligned to the Standards 2015)
Human Resource Manuals
Business Policies & Procedures
(Fair Work Act Compliant)
NVR, Standards 2015, VET Gap Analysis
Competency Mapping
Training & Skills Gap Analysis
Mentoring / Coaching
Positions / Role Descriptions for Key RTO Positions
Quality: Continuous Improvement
(Includes ISO 9000, 9001 ASNZS 4801 OHS &
ISO 31000 RM)
RTO Compliance Audit Preparation
RTO Initial Applications Preparation
RTO Extension of Scope advice/applications
Tender Documents and Support
Training & Assessment Systems: Development
Training & Assessment Systems: Evaluation
Training Needs Analysis
Validation of Assessment Services
FVRA Applications and Business Plans
CRICOS Applications
Vet Fee Help & Funding Applications
SOGA Education Support Services is an assistance and advisory service for Registered Training Organisations
(RTOs). We help organisations in either becoming an RTO or in maintaining their existing status as an RTO.
At SOGA Education Support Services, we can implement your policies and help you with procedures that align
to the regulator ASQA, AQF, AQTF requirements - regardless of what state you are in. We will show you the
best way to deliver and assess training to ensure compliance.
Our expert staff with graduate and post graduate qualifications are complemented by extensive workplace
experience in Adult Education, Learning and Development. Our Consultants and Managers come from National
RTOs with over 20 years’ experience. Additionally, we can provide licensed, competent trainers who are subject
matter experts in over 20 current training packages and programs listed on
www.training.gov.au
It is a difficult process and more so with the regulator and VET legislative and ASQA requirements. However,
with many years of experience, Wayne Carney and the team can help you make it happen.

4. The VET Quality Management System (QMS) is
customised and contextualised to your RTO. Referred
to as the RTO “Policies and Procedures Manual”, our
system delivers much more than just a large amount of
text that nobody uses. We provide supporting templates,
forms, pro-formas, weblinks and reference resources
all hyperlinked to create a fully operational and VQF
integrated QMS.
The entire package is customised for your RTO including
your company name, version control and your logo with
watermarks on each page. Each document is delivered
in MS Word to provide every opportunity for continuous
improvement and ongoing compliance. The system
may be loaded onto any number of computers within
your organisation.
The system is intended for clients currently operating
as an RTO with Vocational Education and Training
experience. Contact our office for further information
and pricing arrangements.
A unique and innovative approach to
compliance documentation
Focus of a user friendly design
Student Handbook
Hyperlinks from the main document to 2015
Standards, referenced against the respective
section in the main document
Supporting templates i.e. feedback forms,
staff qualification matrix
Relevant VET sector publications
Weblinks and references to essential VET
sector websites
A detailed index for quick reference
A separate HR Manual & Policies kit
Receive updates and news or changes
ALL OF THE ABOVE AVAILABLE FOR:
New applicants Initial RTO setups - Full
Package/Self-Directed
Existing RTOs to transition across to the QMS
2015 - Full Package/Self-Directed

5. The Quality Management System and Operational
Framework is customised and contextualised to
your training business. Often referred to as a ‘policy
and procedures manual’, our system goes much
further. We include supporting templates, forms,
pro-formas, weblinks and reference resources
hyperlinked to create an integrated system.
The entire package is customised for your RTO
including your company name, logo and watermark
on each page. Each document is delivered in MS
Word to provide every opportunity for continuous
improvement and ongoing compliance. The system
may be loaded onto any number of computers
within your organisation.
Intended for clients currently operating as an RTO
with vocational education and training experience.
Outsource the development of your RTO
registration documentation to us while you and
your team remain focused on your core business.
Some features of this system include:
Auniqueandinnovativeapproachtocompliance
documentation
Focus of a user friendly design
Student Handbook QMS linked SNR Compliant
Hyperlinks from the main document to:
• Standards. Referenced against the
respective section of the main document
• Supporting templates i.e. feedback forms,
staff qualification matrix
• Relevant VET sector publications
Resources
Weblinks and references to essential VET
sector websites
A detailed index for quick reference
Inclusion on the Consulting data base to
receive updates
Course includes two hours of consultation, training
staff PD, a letter of PD for all who attend and a
USB of helpful advice and VET Quality Framework
documents.
The sessions will be conducted at your location(s)
in Melbourne or other locations subject to costings.
We will deliver the latest information on ASQA
requirements for NVR RTO and the Transition to
Standards 2015, providing samples of key documents
such as Training Assessment Strategies. Induction
sessions include a PowerPoint presentation on the
new obligations for your Chief Executive Officer,
teams and sub-contracted trainers.
FULL SET OF QMS - INITIAL REGISTRATION RTO
$2500.00 SNR 2015
FULL SET OF CONTINUING REGISTRATION QMS
(For 10 People + any associated travel costs)
$500.00
TWO DAY CONSULTATION - SYSTEM ROLL OUT
(Plus any associated travel costs)
RTO CONSULT RATE
(Plus any associated travel costs)
AUDITS
(Includes report & findings against standards)
HR MANUAL & POLICIES AND PROCEDURES
MANUAL NON RTO
(Provided free if RTO policies purchased)

6. Prosecution is an important part of enforcement. It
aims to punish wrongdoing, avoid recurrence and act
as a deterrent. ASQA may apply for a civil penalty in
conjunction with other enforcement options.
Prosecution may occur if ASQA is satisfied that there
is sufficient, admissible and reliable evidence that an
offence under the National Vocational Education and
Training Regulator Act 2011 has been committed, and
that it is in the public interest to proceed.
S93 - providing all or part of VET course outside
scope of registration
S95 - issuing VET qualification outside scope of
registration
S97 - issuing VET statement of attainment
outside scope of registration
S99 - advertising all or part of VET course outside
scope of registration
S101 - certain conduct prohibited while scope of
registration suspended
S103 - issuing VET qualification without providing
adequate assessment
S105 - issuing VET statement of attainment
without providing adequate assessment
S107 - issuing VET qualification without ensuring
adequate assessment
S109 - issuing VET statement of attainment
without ensuring adequate assessment
In the past, it has been reasonable for a trainer
and assessor to hold the ‘equivalent’ of the unit of
competency he/she is delivering. However, the
standards clearly state the trainer and assessor
must hold the competency being delivered.
This of course, must be supported by industry
experience and VET currency.
One of the first questions an auditor will ask is
to demonstrate how training and assessment
has been developed incorporating effective
consultation with industry. If you do not have a
firm strategy in place, add this point as an agenda
item for your next management team meeting.
Recording the consultation is most important.
After discussing how industry has been involved in
the development of your training and assessment
strategies, most auditors will ask how your
assessment resources have been validated.
Assessment validation should be an integral part
of your RTO’s overall continuous improvement
process. If you’re not sure what’s required register
for a webinar, seminar or training session with your
regulating authority or a recognised organisation
that provides professional development for the
VET sector as soon as possible. We recommend
Velg Training - www.velgtraining.com

7. available
NOW!
Create your own customized HR Operations
Manual with SOGA today!
90+ customizable policies and procedures
Resources library
Resources tree
Policy tree
Policy wizard
Startup wizard
Import module
Publishing module
Reports module
Administration module
Password security
Wide range of export formats
SOGA Policies Manual is designed to help companies
develop a complete operations handbook incorporating
procedures, workflow documents and business forms
into one comprehensive reference manual.
This innovative software will allow you to create a
handbook that is specific to your business, not just a
collection of standardized policies and procedures. An
operational handbook translates a company’s business
direction into clear goals and easy to follow guidelines.
This increases the flow of communication between
departments and divisions and ensures that staff at all
levels, are provided with clear procedural information.
Clearly defined policies increase productivity. They
provide employees with a reference source on many
operational questions, allowing staff to make faster
decisions while complying with company guidelines.
Whether your business is large or small, SOGA Policies
Manual will save you an enormous amount of time and
money in creating a tailored handbook. The easy to use
policy tree enables you to move efficiently through each
section, while a simple to use reporting feature keeps
you focused on the policy creation process.
KEY BENEFITS
Promotes better organisational communication and
reduced inefficiencies
Creates easily understandable goals and guidelines
for operating your business
Saves 50-90% of the time normally taken to complete
a policies manual
Increases employee productivity through clearly
defined procedures
Suitable for any organisation or industry

8. TABLE OF CONTENTS
1 ACCOUNTING AND FINANCE....................... 4
1.1 Correct use of company credit facilities........ 5
1.2 Travel expense reimbursement.................... 7
2. ADMINISTRATION AND OPERATIONS........ 8
2.1 Company car................................................ 9
2.2 Dress code................................................. 12
2.3 Emergency instructions fire........................ 13
2.4 Equal employment opportunity................... 15
2.5 Hiring of relatives........................................ 16
2.6 Internal job vacancies................................. 17
2.7 Pest control................................................ 19
2.8 Procurement of goods and services........... 20
2.9 Prohibition of weapons............................... 21
2.10 Recycling of paper goods......................... 22
2.11 Responsible behaviour for information
resources.......................................................... 23
2.12 Retrieving messages from voice mail....... 25
2.13 Unclaimed personal property................... 26
3. COMPUTER & TECHNOLOGY
RESOURCES................................................... 28
3.1 Checklist for video display units................. 29
3.2 Company internet and electronic mail........ 30
3.3 Information security policy.......................... 32
3.4 Personal email............................................ 34
3.5 Social Media Policy.................................... 36
4. DISCIPLINARY ACTION.............................. 37
4.1 Disciplinary action for the abuse of
computers......................................................... 38
4.2 Disciplinary action...................................... 39
5. EMPLOYEE BENEFITS AND LEAVE......... 41
5.1 Annual leave............................................... 42
5.2 Bereavement-funeral leave........................ 44
5.3 Company recognised paid holidays........... 45
5.4 Compassionate leave................................. 46
5.5 Jury duty..................................................... 47
5.6 Leave of absence without pay.................... 48
5.7 Long service award.................................... 49
5.8 Maternity leave........................................... 50
5.9 Medical benefits......................................... 52
5.10 Military leave............................................ 54
5.11 Religious holidays policy........................... 55
5.12 Sick days.................................................. 56
5.13 Unpaid leave............................................ 57
5.14 Workers compensation insurance............ 58
6. EMPLOYMENT CONDITIONS..................... 59
6.1 Outside employment.................................. 60
6.2 Rest periods............................................... 62
6.3 Telecommuting........................................... 63
6.4 Working hours............................................ 65
7. HEALTH AND SAFETY............................... 66
7.1 AIDS-HIV policy.......................................... 67
7.2 Alcohol and drugs....................................... 69
7.3 Safety Manufacturing Environment............ 71
8. PERSONNEL ISSUES................................. 73
8.1 Absenteeism and tardiness........................ 74
8.2 Attendance................................................. 75
8.3 Complaint and grievance procedures......... 77
8.4 Conflicts of interest..................................... 79
8.5 Employee conduct and work rules............. 81
8.6 Employee hiring practices.......................... 83
8.7 Employee medical examination.................. 84
8.8 Employee relations..................................... 86
8.9 Employee work rules.................................. 87
8.10 Employees work schedules...................... 89
8.11 Employment categories............................ 90
8.12 Employment reference checks................. 92
8.13 Fighting-violence with fellow employees.. 93
8.14 Grievance procedures.............................. 94
8.15 Harassment complaint procedures........... 96
8.16 Performance bonus.................................. 98
8.17 Performance standards.......................... 100
8.18 Physical examination.............................. 101
8.19 Stress at work......................................... 103
8.20 Termination............................................. 108
9. PERSONNEL RECORDS.......................... 110
9.1 Access to personnel records.....................111
9.2 Employee performance evaluations..........113
9.3 Employee privacy and personnel records.114
9.4 Personnel data changes............................115
9.5 Scope and purpose of personnel policies.116
10. RECRUITMENT AND REMUNERATION.117
10.1 Employee termination..............................118
10.2 Medical leave......................................... 120
10.3 Staff introduction period.......................... 121
10.4 Statements on salary.............................. 122
11. SALES AND MARKETING...................... 124
11.1 Direct marketing campaigns................... 125
11.2 Printing promotional material.................. 126
12. STAFF DEVELOPMENT ......................... 127
12.1 Training and development...................... 128
The SOGA Policies and Procedures Manual contains over 90 sample policies which will help you compile a
comprehensive operations handbook.

9. THIS DOCUMENT IS CONTROLLED
Version: 1.0.0.0 Created Date: 5/06/2013 1:14:10 PM
Created By: XYZ Modified Date: 5/06/2013 1:14:10 PM
Modified By: XYZ Status: In Progress
Tag: Approved By:
POLICY REF
PN0013
POLICY
Responsible behaviour for information resources.
DESCRIPTION
Sample has guidelines for all staff regarding responsible behaviour of information resources.
PURPOSE
To explain the general procedures relating to information resources.
SCOPE
The following guidelines are to be adhered to on a company wide level.
PROCEDURE
We promote the open exchange of ideas; however, an open, cooperative computing network can be vulnerable
to abuse or misuse. It is important that staff engage in proper ethical behaviour, and act within the guidelines of
acceptable computing practices and copyright and licensing issues.
• All employees who use Sample’s computing and information resources must act responsibly and every
user is responsible for the integrity of these resources.
• Sample reserves the right to limit, restrict or extend computing privileges and access to its information
resources.
• Company computing resources are to be used only for company related purposes and are not to be used
for commercial or non-company related activities. This policy applies equally to all company owned or
leased computing resources.
• All employees must take reasonable and appropriate steps to see that all hardware and software license
agreements are faithfully executed on any system, network or server that you operate.
• Misuse of computing and information resources and privileges includes, but is not restricted to, the following:
○○ Attempting to modify or remove computer equipment, software, or peripherals without proper
authorisation
○○ Accessing computers, computer software, computer data or information, or networks without proper
authorisation.
○○ Circumventing or attempting to circumvent normal resource limits, logon procedures and security
regulations.
○○ Using computing resources for purposes other than those for which they were intended or authorised.
○○ Sending fraudulent computer mail, breaking into another user’s electronic mailbox, or reading someone
else’s electronic mail without his or her permission.
○○ Sending fraudulent electronic transmission, including but not limited to fraudulent requests for
confidential information, fraudulent submission of electronic purchase requisitions or journal vouchers
and fraudulent electronic authorisation of purchase requisitions or journal vouchers.
○○ Violating any software license agreement or copyright, including copying or redistributing copyrighted
computer software, data, or reports without proper, recorded authorisation.
○○ Violating the property rights of copyright holders who are in possession of computer-generated data,
reports, or software.
○○ Using Sample’s computing resources to harass or threaten other users.
1.1 RESPONSIBLE BEHAVIOUR FOR INFORMATION RESOURCES
SPECIAL OPERATIONS GROUP AUSTRALIA

10. PHONE: + 61 414 335 881
THIS DOCUMENT IS CONTROLLED
Version: 1.0.0.0 Created Date: 5/06/2013 1:14:10 PM
Created By: XYZ Modified Date: 5/06/2013 1:14:10 PM
Modified By: XYZ Status: In Progress
Tag: Approved By:
POLICY REF
PN0042
POLICY
Safety Manufacturing Environment
DESCRIPTION
Sample has guidelines for all managers to ensure a safe manufacturing environment.
PURPOSE
To explain the general procedures relating to safety in the manufacturing environment.
SCOPE
The following guidelines are to be adhered to on a company wide level.
PROCEDURE
XYZ will do it’s best to insure a safe working environment, however the issue of safety requires cooperation. All
employees must follow Sample safety policy.
Employees should be cautious in the workplace and immediately alert their supervisor of any safety hazards or
injuries. Employees who deliberately violate health and safety issues will face disciplinary action.
Be Aware of
• Blocked fire exits or extinguishers;
• Blocked walkways;
• Slippery floors or spills;
• Frayed electrical wires;
• Poorly lit areas and burnt-out light bulbs;
General Safety Rules
• Follow all safety procedures for your job, including utilising safety gear, such as goggles and gloves
• Do not use any equipment that you are not trained for;
• Keep walkways, doorways, fire exits, fire extinguishers, or fire sprinklers unblocked;
• Keep your workstation clean;
• Clean up any messes or spills immediately;
• Report any hazards or injuries to your supervisor;
Dress Code Rules
• Protective footwear must be worn at all times;
• No loose clothing, dangling jewellery, or long hair near moving machinery;
• All required safety gear – goggles, aprons, seat belts, etc. – must be worn when operating or in vicinity of
potentially dangerous machinery and/or substances;
Equipment Safety Rules
• Do not use any equipment that you are not trained for (includes adjustment of equipment);
• Use equipment for their intended uses only;
• Turn off all equipment that is not being used;
• Do not distract other employees who are operating machinery.
Employees who deliberately violate health and safety issues will face disciplinary action.
7.3 SAFETY MANUFACTURING ENVIRONMENT
SPECIAL OPERATIONS GROUP AUSTRALIA

11. REPORTS TO: SHAREHOLDERS
• Managing RTO Training and Consultancy Services in a manner that provides training excellence
• Overseeing the management of RTO Training and Consultancy Services’ Quality System:
○○ Apply, manage and administer RTO Training and Consultancy Services’ policy manual
○○ Apply, manage and administer the RTO Training and Consultancy Services’ policy and procedure for
continuous improvement
• Ensure a systematic approach to quality training and assessment and continuous improvement across the
entire organisation:
○○ Utilise feedback from clients (candidates)
○○ Utilise feedback from stakeholders
○○ Utilise feedback from staff
• Manage and ensure implementation of feedback and data into the continuous improvement registers:
○○ Manage the collection and analysis of data
○○ Manage data reporting requirements as required
• Identify and apply major improvements based on feedback and collected data via continuous improvement
register
• Engage with staff, in particular training staff, to ensure informed business decisions
• Disseminate / communicate identified improvements to staff and stakeholders
• Specific quality strategies and continuous improvement relating to best practice training and assessment
data analysis and processes:
○○ Assessment processes and methodology
○○ Skills audit - evaluating competencies and qualifications of staff
○○ Evaluating the effectiveness of training methods
○○ Identifying areas for staff professional development
○○ Manage and administer assessment validation and moderation
• Manage and administer RTO Training and Consultancy Services’ internal audit policy
• Apply, manage and administer the RTO Training and Consultancy Services’ internal audit procedure Via
management meetings
• Manage, administer and schedule external audits
• Ensure compliance with the Standards for NVR RTOs (SNR)
• Manage quality training and assessment services
• Maintaining a current master list of assessment instruments for each qualification and unit of competency
offered
• Maintaining a record / proof of review and approval of assessment instruments (at least annually)
• Staff selection, supervision and training
• Ensure client services and records management systems are current and industry best practice
• Manage financial systems to ensure RTO Training and Consultancy Services generates an acceptable
profit
• Strategic planning
• Establishing clear policies, goals and objectives
• Monitoring the performance of RTO Training and Consultancy Services
• Monitoring of advertising and promotions activities:
○○ Press interviews and press releases
○○ Recruitment ads
○○ RTO Training and Consultancy Services signage
○○ Marketing, billings from agencies, suppliers, etc.
○○ Press advertisements, artwork and proposed yearly marketing
○○ Monitoring printing and production
○○ RTO Training and Consultancy Services prospectus, program information booklet, bulletin, bookmark,
etc.
○○ RTO Training and Consultancy Services stationery (e.g. letterhead, envelopes, etc.) and miscellaneous
printing and production works
POSITION DESCRIPTION OF CHIEF EXECUTIVE OFFICER

12. ○○ Training fairs / exhibitions - preparation,
setting up and collection of RTO Training and
Consultancy Services promotional materials
○○ Public relations activities - luncheon with media
personnel / contacts and suppliers
• Purchasing
• Updating all personnel records including leaves
and benefits, issuing new staff contracts, renewing
existing staff contracts
• Engaging suitably qualified instructors to meet
curriculum requirements (including verification of
applicants qualifications)
• Preparing all income tax reports including staff
income tax clearance, all EFT reports, all other
statutory reports on staff matters and preparing
cheques for all requisite payments for staff income
tax
• Manage RTO Training and Consultancy Services’
insurance requirements in accordance with policies
and procedures (Standard 8)
• Maintaining, or forward through the appropriate
process, “Staff Profile Sheets” and / or resumes and
certificates of registration where applicable (e.g. to
confirm that appropriate licenses / registrations are
current) for all training staff
At SOGA, you have access to:
Talk to the team at SOGA if any of these points
apply to you or your company.
RTO Advisory Consultants
Risk Assessors & Auditors
National Trainers and Assessors
Facilitators
Are you thinking about becoming a RTO?
Are you thinking of setting up or purchasing
an existing RTO?
Are you coming up for Audit or renewal of
Registration?
Have you looked at the requirements and
the work involved in making this happen?
Are you aware of, or current with, the below
changes and effects under VET Legislation
- 2015 Changes?

13. Name:
Signature:
Position:
Date:
Name:
Signature:
Position:
Date:
Name:
Signature:
Position:
Date:
Name:
Signature:
Position:
Date:
RTO Manager Name:
RTO Manager Signature: Date:
This checklist is to assist in documenting validation of assessment tools and assessment processes. Validation
meetings should be attended by nominated assessors who are involved in the assessment process and should
be conducted prior to implementing the assessment tools.
Nominated assessors are to complete the form for each unit of competency using associated assessment
items, marking guides, instructions to assessors, mapping guides, etc – attach documented evidence.
I have participated actively in this validation process and agree with the findings and outcomes documented.
Qualification Code:
Competency Code:
Qualification Title:
Competency Title:
Describe assessment tools and other documentation reviewed:
DECLARATION

14. Assessment of this unit complies with the Principles of Assessment and Training Package requirements by
addressing:

VALID ASSESSMENT:
Elements and Performance Criteria are addressed
Assesses the Required Knowledge
Assesses the Required Skills
Covers the Range Statement appropriately
Addresses the Critical Aspects for Assessment
Context, environment and (where relevant) consistency of assessment
Addresses the physical resource requirements listed in the unit
Assessment methods are appropriate for the AQF level
Allows for integrating assessment of knowledge and skills
The assessment tasks are based on realistic workplace activities
The assessment tasks are conducted in a real work environment or
appropriately simulated work environment on a number of occasions
The methods of assessment chosen are appropriate for the content
of the unit/s
The assessment meets any licensing or regulatory requirements
associated with the unit
RELIABLE ASSESSMENT:
Students are provided with clear and consistent information in their
instructions
When providing work samples as assessment evidence, students
have clear instructions on how to ensure their work samples meet
all the requirements of the unit (including authenticity processes and
currency)
Instructions are written in “plain English”
Instructions are appropriate for both the AQF and LLN levels
Supported by clear information for assessors about assessment
requirements including:
• Administering the assessment tool (including resources required,
context, environment, allowing for RPLand reasonable adjustment,
etc)
• Checklist or other tools for supporting judgements
• Marking solutions / marking guides to ensure consistent
expectations which relate to the unit of competency
• Rules for making decisions regarding competence
• Assessment processes such as documenting the assessment,
providing feedback to learners, retaining assessment and
recording results

15. 
VALID:
The assessment tool allows for evidence to be collected that can
relate to the unit of competency
The assessment tool allows for assessment in a real or simulated
work environment and consists of realistic workplace activities
AUTHENTIC:
Systems are in place to ensure assessment evidence that will be
submitted by the learner is their own work
CURRENT:
Assessment allows for evidence that will be consistent with current
industry standards
SUFFICIENT:
The assessment tool allows for sufficient evidence to be collected
over a period of time to demonstrate competence

FLEXIBLE ASSESSMENT:
Assessment approach allows for reasonable adjustment to meet
various student needs
Instructions are provided to assessors in relation to reasonable
adjustment
Allows for assessment in different environments or under different
conditions where required (including on and off the job assessment)
FAIR ASSESSMENT:
Students are provided with clear information about what is expected
of them
Ensures students are provided with objective assessment feedback
Students are provided with information on assessment methods,
procedures, the criteria against which they will be assessed, when
and how they will receive feedback and the mechanism for appeal
The geographic, financial or social needs of students have been
considered in the development and conduct of the assessment.
Allows for appeals against assessment decisions
Allows for recognition of existing competencies
Provide avenues for feedback from students
Provide avenues for feedback to students regarding their progress
and final outcomes
Reasonable adjustments can be made to the assessment tool while
still maintaining the integrity of the outcomes
Assessment is non-discriminatory and inclusive
Assessment of this unit complies with the Rules of Evidence; by addressing:

16. (As agreed during validation sessions)
1.
2.
3.
Documented Assessment Processes

The confidentiality and privacy processes have been documented
The steps involved in the assessment process are clear
Instructions are provided to all assessors on validation and moderation
processes
Instructions to the assessor include:
• How to prepare the students for assessment
• How to gather the evidence
• Guidelines on making decisions
• Guidance on reviewing the assessment process
• Guidance on making reasonable adjustments to assessment
• Guidance on providing feedback to students
• Instructions for instances where there may be an appeal
• How to collect feedback from students
There is a clearly documented appeals and complaints process
There is a clearly document RPL processes
Instructions are provided to all assessors on record keeping processes
Instructions are provided to all assessors on processes for retention
of student work