Elements and Performance Criteria

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Training and/or assessment organisation refers to:
a Registered Training Organisation (RTO), i.e. an organisation registered to provide recognised training and assessment services; includes TAFE institutes, private commercial colleges/ companies, enterprises, community organisations, group training companies and schools
an organisation working in a partnership arrangement with an RTO to provide recognised training and assessment services
an organisation that provides non-recognised training and assessment services
Relevant personnelrefers to:
the person/s responsible for determining which policies and procedures are to be developed
Purpose of policies and proceduresmay include:
a framework under which the provision of training and/or assessment services is conducted
a mechanism to facilitate continuous improvement within the training and/or assessment organisation

transparency of the training and/or assessment organisation's approach to training and/or assessment services
the identification of roles and responsibilities of key personnel in an organisation
a framework for consultation processes with industry for development of training and/or assessment services
consistency in training and/or assessment services provided
Organisational/legal requirementsmay include:
customer complaints, grievances and appeals
risk identification and management, including occupational health and safety (OHS)
quality and continuous improvement processes and standards, including validation systems
financial management, including refund policies and systems to protect fees paid in advance (if appropriate)
mutual recognition of qualifications and Statements of Attainment issued by other training and/or assessment organisations
access and equity
client selection, enrolment and induction/orientation
staff recruitment, induction and ongoing development and monitoring
availability of policies and procedures to all personnel and learners/clients/candidates
collaborative/partnership arrangements
confidentiality and privacy requirements
ethical standards
administrative and records management system, for example:
reporting/recording requirements and arrangements
maintenance, retention, archiving, retrieval, storage and security of assessment information

document version control
Organisational and external expertisemay include:
auditors
staff of regulatory authorities
training consultants
quality consultants
OHS consultants
managers/supervisors
training coordinators
trainers/facilitators, assessors, lead assessors
information technology personnel
human resources and other advisors on policy and procedural requirements
organisational OHS representatives
Consultation and communication processesmay include:
structured interviews
team meetings
focus groups
questionnaires
informal interactions
liaison with stakeholders
inclusion of every level of the organisation
Reports and other documentationmay include:
reports of training and/or assessment evaluations
external auditors reports
relevant organisational/industry national standards
business and annual reports
Organisational and industry standardsmay include:
industry standards/benchmarks
training and/or assessment organisation standards
Australian Quality Training Framework (AQTF) Standards for Registered Training Organisations (RTOs)
OHS requirements
An implementation planmay include:
mechanisms for the introduction and promotion of new/modified policies and procedures within the organisation, for example:
emails
bulletins
hard copy manuals
briefing and training
OHS committee meetings
staff meetings

mechanisms for the introduction of new/modified policies and procedures to clients/stakeholders
mechanism for involving personnel in the decision making and implementation
mechanisms to facilitate continuous improvement processes
personnel responsible for the implementation process
timelines for and allocation of responsibilities for the introduction of new/modified policies and procedures into the organisation
promotional materials
action plan, timelines and responsibilities for implementation stages
revised policy timelines and further feedback
induction processes that include the discussion of policies and procedures and their use, and orientation kits for personnel involved in training, assessment or client service
Physical resources and equipment requirementsmay include:
business technology, for example:
computers
hardware
software

other office equipment
Organisational change processesmay include:
paper-based or electronic information, for example, Intranet
coaching and mentoring arrangements
identification of 'organisational experts' to assist employees with implementation issues

Evidence Guide
The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.
Overview of Assessment
To demonstrate competency against this unit candidates must be able to provide evidence that they have the acquired knowledge of the organisational standards and scope of operations in order to develop new and modify existing policies and procedures that support and guide training and assessment services.
Performance must address research, organisational, consultation and communication skills which maximise input, ownership and acceptance of policies and procedures. Evidence of draft and final policies and procedures is essential.
Evidence Requirements
Required knowledge includes:
organisational evaluation strategies
organisational policies and procedures
continuous improvement processes
relevant authority compliance requirements and standards for registration of the training and/or assessment organisation (if applicable)
quality management compliance requirements
where to access relevant organisational documentation
all authoritative responsibilities and parameters within the training and/or assessment organisation
sound knowledge of consultation and communication processes to support and encourage the organisational input into polices and procedures development processes
implementation processes and their impact on an organisation
relevant policy, legislation, codes of practice and national standards including Commonwealth and state/territory legislation, for example:
licensing requirements
security of information
industry/workplace requirements
vocational education and training requirements
duty of care under common law
anti-discrimination including equal opportunity, racial vilification and disability discrimination
industrial awards/enterprise agreements

OHS relating to the development of organisational policies and procedures, including:
sources of information on OHS as it applies to the training and/or assessment organisation
risks that should be addressed by a training and/or assessment organisation
legislative requirements for OHS record keeping and reporting requirements
OHS obligations of the training and/or assessment organisation, the trainer/facilitator, assessor, learner and candidate
requirements for consultation under OHS legislation
Required skills and attributes include:
literacy skills to:
interpret legal requirements
develop organisational policies and procedures
analyse compliance information
analyse information for policy development
interpret information from a range of documents and make judgements about the relevance and applicability of information

language skills to:
communicate ideas and policies and procedures of an organisation
encourage participation across all levels of personnel and clients
seek opinions and elicit feedback from a range of stakeholders

research skills to:
obtain relevant and up-to-date information in order to develop policies and procedures
collect and provide accurate and up-to-date information on RTO registration and compliance, if applicable

skills in evaluating operational effectiveness
interpersonal skills, including:
maintaining appropriate relationships with colleagues and stakeholders
establishing trust
valuing and being open to the opinions of others
working as part of a team
active listening
negotiation skills

capacity to encourage and accept feedback
Products that could be used as evidence include:
developed and finalised policies and procedures
developed implementation plan
developed and implemented consultation and communication processes used to support and encourage personnel input
records of consultation and communication activities
records of review processes
Processes that could be used as evidence include:
how and what information was researched and analysed for inclusion in policies and procedures
how and when discussions were held with personnel and clients in relation to obtaining feedback on new/ modified policies and procedures

how existing policies and procedures were analysed to identify any gaps (if relevant)
how review processes were developed and managed to enable regular monitoring of policies and procedures
Resource implications for assessment include:
access to organisational and legal documentation
time
access to human and physical resources
The collection of quality evidence requires that:
assessment must address the scope of this unit and reflect all components of the unit, i.e. the Elements, Performance Criteria, Range Statement, Evidence Guide, Employability Skills
a range of appropriate assessment methods/evidence gathering techniques is used to determine competency
evidence must be gathered in the workplace wherever possible. Where no workplace is available, a simulated workplace must be provided
the evidence collected must relate to a number of performances assessed at different points in time and in a learning and assessment pathway these must be separated by further learning and practice
assessment meets the rules of evidence
a judgement of competency should only be made when the assessor is confident that the required outcomes of the unit have been achieved and that consistent performance has been demonstrated
Specific evidence requirements must include:
the development/modification of a minimum of two different policies and procedures, and must include:
research to underpin content
internal consultation and communication processes used to encourage input and obtain timely feedback
an implementation plan
procedures developed to regularly review and improve quality of policies/procedures
Integrated assessment means that:
this unit can be assessed alone or as part of an integrated assessment activity involving relevant units in the TAA04 Training and Assessment Training Package. Suggested units include but are not limited to:
TAADEL504B Lead and coordinate training services
TAACMQ503B Lead and conduct training and/or assessment evaluations
TAACMQ502B Coordinate training and/or assessment arrangements for apprenticeships/ traineeships
TAAASS501B Lead and coordinate assessment systems and services.