Training and assessment policy and procedure

Purpose of the policy

This policy outlines the processes and procedures employed by Allara to ensure that its Training and Assessment Strategies (TAS) and practices meet with the requirements set out in the Standards for Registered Training Organisations, 2015.


Allara – Allara Investments Pty Ltd, trading as Allara learning and is inclusive of; Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG) and W G learning Pty Ltd, RTO Provider No: 91178 (WGL).

TTG - Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG)

WGL– W G learning Pty Ltd, RTO Provider No: 91178 (WGL)

Scope - means the training products for which an RTO is registered to issue AQF certification documentation. It allows the RTO to:

  • provide training delivery and assessment resulting in the issuance of AQF certification documentation by the RTO; or
  • provide assessment resulting in the issuance of AQF certification documentation by the RTO.

Transition - means, where a training product has been superseded, removed or deleted from the National Register, the participant’s training, assessment, and AQF certification documentation issuance must be completed or, in the case of a superseded training product, the participant is transitioned into the replacement training product.

Training package - means the components of a training package endorsed by the Service Skills Organisations (SSO’s) its delegate in accordance with the Standards for Training Packages. The endorsed components of a training package are: units of competency; assessment requirements (for individual units of competency); qualifications; and credit arrangements. A training package also consists of a non-endorsed, quality assured companion volume/s which contains industry advice to RTOs on different aspects of implementation.

Training product - means, a course, AQF qualification, accredited course, skill set or unit of competency currently or previously endorsed by the Industry Skills Service Organisations (SSO) or its delegate in accordance with the Standards for Training Packages.

Recognition - means, recognition of prior learning and/or recognition of current competency and is an assessment process that involves assessment of an individual's relevant prior learning (including formal, informal and non-formal learning) to determine the extent to which that individual meets the requirements specified in the training package or VET accredited courses.


The policy applies to all of Allara Learning’s (Allara’s) operations inclusive of Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG) and W G learning Pty Ltd, RTO Provider No: 91178 (WGL). It applies to all participants, stakeholders and staff involved in training and assessment and covers all aspects of the training and assessment process.


Allara will in accordance with the Standards for Registered Training Organisations, 2015:

  • Determine the support needs of individual participants and provide access to the educational and support services necessary for the individual participant to meet the requirements of the training product as specified in training packages or VET accredited courses in accordance with Allara’s Access, Equity and Enrolment Policy and Procedure.
  • Implement an assessment system that ensures that assessment (including RPL):
    • complies with the assessment requirements of the relevant training package or VET accredited course; and
    • is conducted in accordance with the Principles of Assessment and the Rules of Evidence.
  • Systematically validate the TAS, practices and assessment tools in accordance with Allara’s Validation Policy and Procedure.
  • Ensure training and assessment is delivered only by persons who have:
    • Certificate IV in Training and Assessment (TAE40116 or its successor) or (TAE40110 plus TAELLN401A or TAELLN411 or its successor and, TAEASS502 or TAEASS502B or its successor or TAEASS502A or its successor) or a diploma or higher-level qualification in adult education;
    • vocational competencies at least to the level being delivered and assessed;
    • current industry skills directly relevant to the training and assessment being provided; and
    • current knowledge and skills in vocational training and learning that informs their training and assessment.
  • Transition participants from superseded training products in accordance with Allara’s Addition to Scope and Transition Policy and Procedure.

Training and assessment procedure

Informing participants about training and assessment

Prior to enrolment and the commencement of training and assessment in a unit of competency, participants are provided with:

  • Participant Handbook
  • Learner refernce guides, assessments and/or additional activities in print or digital format
  • Digital training and assessment record book or equivalent form
  • Information on the RPL Policy and Procedure
  • Training session delivery and schedules. Delivery of units and/or clusters are scheduled in accordance with the training and assessment strategy.

Assessment tools include information about the training and assessment process which informs the participant of:

  • Why have assessment? - The purpose of undertaking assessment.
  • How will you be assessed? - What methods of assessment will be used.
  • What is involved in the assessment process? - Timelines and in-depth instructions for completing the assessment.
  • Resources required for assessment - What materials will be needed to complete the assessment.
  • Under what conditions must the assessment take place.
  • Options for reassessment or appeal (refer to the Complaints and Appeals Policy & Procedure).
Training commencement and delivery process

At commencement of training in a new unit of competency or subject the appropriate information about the new unit of competency/subject is discussed with the participant and will include information such as:

  • The elements of performance, performance criteria, performance evidence and knowledge evidence of the unit of competency.
  • Assigned workplace activities, tasks and duties that align with the unit of competency.
  • Assigned assessment tasks relevant to the unit of competency and the participant’s work role that are to be undertaken and completed. 
  • Role of the supervisor in providing workplace training (if applicable).
  • Work placement (if applicable).

Records of training must be retained by use of Workshops attendance records and associated Session Plans and must include at minimum:

  • the RTO the participant is enrolled in
  • the participant’s full name
  • the supervisor’s full name (if applicable)
  • the employer (if applicable)
  • the unit code and name
  • the date training occurred
  • identify if the unit was introduced or continued
  • a summary from the assessor to confirm the session has been conducted in accordance with the listed activities and record any gaps to the elements of performance, performance criteria, performance evidence and knowledge evidence of the unit of competency (A one or two-line description will not be accepted.)
  • a copy of the workshop training session plan
  • signatures of each participant
  • the Trainer and Assessor’s full name and signature.
Assessment process

Prior to assessing a participant in a unit of competency the trainer facilitator is to:

  • Review the participant’s records in the student management system.
  • Where special support needs were identified on enrolment:
    • review notes on the delivery of the training support plan 
    • identify adjustments needed to assist the participant to best support their learning needs
    • provide support in accordance with the training support plan
  • Ensure a participant has commenced the unit of competency by either:
    • attending a training workshop, or
    • completing learning and formative assessment tasks within the learning management system.
  • Contact the participant and their supervisor/employer (if applicable) to determine the time and readiness of the participant to undertake assessment.
  • Schedule an assessment date.

In conducting assessment, the training facilitator and assessor is to:

  • Review of individual tools and tasks and the instructions for assessor.
  • Conduct the assessment in conditions as described in the instructions contained within the assessment tool.
  • Record details of all assessment undertaken providing comments as required by the assessment tool.
  • Record details of assessment judgements.
  • Ensure the student has signed the student declaration by either:
    • signing the assessment tool summary cover sheet, or
    • electronic signature in the learning management system
  • Ensure the supervisor/employer (if applicable) signs the participant’s training plan in support of the participant’s competence in the unit of competency.

After concluding the assessment, the facilitator is to provide the participant and supervisor/employer (if applicable) with feedback on the assessment process by way of:

  • Verbal or oral discussion
  • Written feedback recorded against the assessment task in the learning management system

Final judgement of competency must not exceed a total time-period of 30 days from the date of unit of competency completion.

Submission of Training and assessment materials

At the conclusion of each week the Training facilitator and assessor is to complete a facilitator end of week report detailing:

  • Dates of training and assessment;
  • Locations where training and assessment activities were undertaken;
  • Number of participants in attendance;
  • Number of assessments completed. 

The report is to be saved in the Training facilitator SharePoint folder by no later than 9am Monday of each calendar week.

All print-based training and assessment evidence must be marked and submitted to the RTO administrator for processing by COB Wednesday of each calendar week, this is inclusive of:

  • Workshop training session plans;
  • Completed assessment tools;
  • Updated signed training plans; 
  • Any additional assessment evidence.
Updating training and assessment records 

The RTO adminsitrator procesess the training and assessment records as provided in the Training facilitator end of week report by COB Friday each calendar week. This is inclusive of:

  • Counting and recording on the facilitator end of week report the number of assessments received (if print-based assessment);
  • Reviewing training and assessment materials for accuracy and compliance. Materials must include:
    • the correct full unit code and name and/or subject name (as applicable);
    • date of assessment;
    • fully completed assessment tasks as outlined in the assessment instructions;
    • the participant’s full name and signature;
    • the supervisor’s full name and signature (if applicable);
    • the assessor’s full name and signature;
  • counting and recording the number of assessments accepted as compliant;
  • entering, reviewing or updating the unit of competency status within the student management system inclusive of:
    • units of competency commenced
    • units of competency completed
    • units of competency withdrawn or discontinued.
Quality assurance

Where gaps in assesment quality or non-compliances are identifed record details of non-compliances identified during the updating of trainign and assessment records, the RTO adminsutrator will:

  • record details of non-compliances identified with the training and assessment materials in the Assessment Quality Assurance board in Allara Learning's project management system;
  • notifiy the assessor of the gaps and/or non-compliances identified;
  • provide details of actions required to rectify the gaps or non-comoliances; 
  • provide the assessor with a timeframe for the completion of rectification actions (typically 5 working days).

The General Manager is notified of all non-compliances recorded and conducts regulalr reviews of assessors rectifications to to ensure non-compliances are resolved in a timely manner.

In addition to the above requirement, the Quality Assurance Consultant will conduct a quarterly quality assurance review of a valid sample of assessment judgements to ensure compliance with the rules of evidence, training package requirements and assessors guide, and will include:

  • A valid sample size determined through using the ASQA Sample Size Calculator. The sample size will include a cross section of trainers and assessors and RPL judgements.
  • Review of the assessment evidence against the content and benchmarks provided in the assessor guide. 

Outcomes of the quarterly review are to be recorded in the Continuous Improvement (CI) Schedule in Allara Learning's project management system

Where non-compliance or gaps have been identified, the Quality Assurance Consultant will provide a detailed report inclduing recommendations for rectifying the non-compliances to the General Manager for review and implementation. 

Where concerns are found with the assessment evidence collected by an assessor, the sample size will be broadened to ensure that an accurate picture of the extent of the problem is determined.

Participant progress monitoring

Training contact records

All participants are to be contacted by the training facilitator and assessor at minimum monthly . Contact may constitute:

  • a phone call, or
  • email correspondence, or 
  • Workshop; virtual or face-to-face

Records of contact are to be recorded in the student management system via:

  • File note, when contact made by phone call or email
  • Workshop attendance records (virtual or face-to-face) 
Assessment progress 

On a monthly basis, the Training Facilitator, in conjunction with the Client Relationship Manager, is to review the participant’s progress against the assigned training plan by reviewing the class overview within the student management system and the Training facilitator forecast report.

Training Facilitator and Client Relations Manager are to review the generated reports and notes to:

  • Identify if participant progress is inconsistent with the requirements of the training plan, training contract and/or training and support plan, and
  • Refer to the Student Engagement Workflow and note if further needs or other counselling requirements are identified to support the participant.

The Training Facilitator and/or Client Relations Manager are to provide the Participant and Employer (if applicable) with progress reports monthly.

Training facilitators are required to report participants non-progression and/or non-attendance via the non-progression email templates provided within the student management system. This must be reported to:

  • the Allara Learning Client Relationship Manager
  • the employer (if aplicable)
  • the AASN (if applicable)

If the participant is undertaking subsidised training, and where non-progression and/or non-attendance occurs on more than three occasions, the Client Relationship Manager is to notify the relevant state training authority.

The Training facilitator and/or Client Relationship Manager may submit a cancellation form if:

  • progression of participant is unsatisfactory, or
  • a participant formally requests withdrawal, or
  • an employer notifies of cessation of employment.

Training contract review

Continuous maintenance

Training plans are continuously monitored by the Training facilitator monthly as training and assessment activities occur.

Annual review

Training plans for registered traineeships and apprenticeships are reviewed by the Training Facilitator, Client relations Manager, participant and employer and:

  • Will be reviewed at least once within each 12-month period with each review falling into one (1) of two (2) bi-annual review months (Januaray and July)
  • Have any changes approved by the State Training Manager prior to implementation.
  • Be signed by all parties in agreement of the change.
Updates and execution

Requests to vary the training plan must be approved by the General Manager. 

Upon approval of a variation to a training plan the RTO adminsitartor is to:

  • Update the unit of competency selection (Electives) the participant’s enrolment records;
  • Generate a revised training plan;
  • Email the revised training plan to all stakeholders including the participant, employer (if applicable), CRM, Training Facilitator, School (if applicable) for review and:
    • All stakeholders sign the revised training plan. 
    • A fully executed copy of the training plan is provided to all stakeholders.
    • The Training facilitator submits to the previous training plan to the RTO Administrator filing in the participant’s records.

Related documents

  • Workshop training session plans 
  • Training record books (Print or digital)
  • Addition to scope and transition policy and procedure
  • Unit of competency learner guides, assessment tools and assessor guides
  • State and territory specific training plans


Published date: December 2023