Guide for supervising registered training organisations


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Further Education and Training Act 2014
Guide for supervising registered training organisations
This guide provides the supervising registered training organisation (SRTO) with: • the topics and key issues to discuss with an employer, apprentice/trainee, parent (if applicable and appropriate) and school (if applicable) at the start of the apprenticeship or traineeship, and • information and links to relevant procedures and resources to assist the SRTO to: o meet their legislative obligations under the Further Education and Training Act 2014 and Further Education and Training Regulation 2014, o induct employers, apprentices and trainees (i.e. parties to a training contract), and o manage interactions with the parties and relevant stakeholders during the term of the training contract.
This guide, when read in conjunction with relevant Department of Employment, Small Business and Training policies and procedures, gives a registered training organisation (RTO) a broader understanding of the responsibilities when they accept the role to be the SRTO for an apprentice or trainee.

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Contents
Acronyms & Definitions .............................................................................................................. 3 Parental consent ........................................................................................................................ 3 Overview – registered training organisation (RTO) & supervising RTO ..................................... 4 Role of the Australian Apprenticeship Support Network Provider .............................................. 4 SRTO notification (accepting the role of supervising RTO)........................................................ 5 Employer resource assessment (ERA) ...................................................................................... 6
Where the employer is a GTO or PEO ................................................................................... 6 Training plan .............................................................................................................................. 6
More than one training contract.............................................................................................. 8 Training record........................................................................................................................... 9 Learning support ........................................................................................................................ 9 Apprentice/trainee not progressing ............................................................................................ 9 School-based apprenticeships or traineeships ........................................................................ 10 The employer ........................................................................................................................... 11 The apprentice or trainee ......................................................................................................... 12 Disputes over assessment of competency............................................................................... 13 Extending the nominal term of a registered training contract ................................................... 13 Completing a registered training contract ................................................................................ 14
Minimum paid work requirement for completing a school-based trainee .............................. 15 Completion agreement without all signatures .......................................................................... 16 Expired training contract notification ........................................................................................ 17 Replacing (changing) the SRTO .............................................................................................. 18
Bulk change of SRTO facilitated by the new SRTO ............................................................. 19 Notify DESBT of transition of qualification ............................................................................... 20 SRTO ceasing training operations ........................................................................................... 20 Travel and accommodation...................................................................................................... 21 Training assistance for cancelled apprentices and trainees..................................................... 21 Further Information – quick links .............................................................................................. 21

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Acronyms & Definitions
AASN — Australian Apprenticeship Support Network — AASN Providers are contracted by the Australian Government, and are in an agreement with the Queensland Department of Employment, Small Business and Training (DESBT) to provide targeted services which deliver tailored advice and support to employers, apprentices and trainees. DESBT actively promotes the AASN Provider as the first point of contact for the administration of all apprenticeship and traineeship training contracts. ASQA — Australian Skills Quality Authority — the national regulator for Australia’s vocational education and training sector DESBT — Department of Employment, Small Business and Training ERA — employer resource assessment — is completed by the SRTO to determine an employer’s capacity to provide the facilities, range of work and supervision, supporting an apprentice or trainee to develop workplace knowledge and competence related to the occupational outcome aligned to an apprenticeship or traineeship FET Act — Further Education and Training Act 2014 GTO — Group Training Organisation, as recognised under the FET Act PEO — Principal Employer Organisation, as recognised under the FET Act QTIS — Queensland Training Information Service, DESBT’s database of apprenticeships and traineeships approved for delivery in Queensland RTO — registered training organisation — is a training provider registered by the Australian Skills Quality Authority to deliver vocational education and training services SAS — the Skills Assure Supplier (SAS) system provides a central register of pre-approved registered training organisations for the delivery of training and assessment services subsidised by DESBT SAT — school-based apprenticeship or traineeship SRTO — supervising registered training organisation, as defined in the FET Act
Parental consent
The consent of an apprentice’s or trainee’s parent (or guardian), where mentioned in this document, is required if the apprentice or trainee is under 18 years of age and it would be appropriate in all the circumstances for a parent to give their consent. A parent’s consent is not required, for example, if the apprentice or trainee is living independently.

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Overview – registered training organisation (RTO) & supervising RTO
An RTO may only become the SRTO for an apprentice or trainee if the organisation agrees, and is able to provide, or arrange to provide, the facilities, services, supervision and training required under the training plan for the apprentice/trainee.
The SRTO must ensure the training and assessment required under the training plan is delivered to the apprentice or trainee for the duration of the training contract. This includes when the following occurs:
• the training contract is permanently or temporarily transferred to a new employer • the training contract is returned to an active status following a period of suspension • DESBT decides to change the mode of delivery of the training plan • the qualification for the apprenticeship or traineeship is superseded or amended • the training contract that was cancelled is re-registered by DESBT as a registered training contract.
Where an RTO markets a qualification/program to an employer, the RTO must ensure: • the qualification is appropriate for the employer’s needs, • the employer has the capacity to provide, or arrange to provide, the apprentice/trainee with the facilities, range of work and supervision required to achieve the qualification, and • the employer and apprentice/trainee understand they may choose any RTO to become the SRTO for the apprentice/trainee’s apprenticeship/traineeship.
The SRTO, through monitoring and delivering training and assessment, may come across an issue/concern about an employer or apprentice/trainee who may not be fulfilling their obligations under the training contract, or other issues that may affect the training contact. In these situations, the SRTO must notify/report the issue/situation to DESBT via the Apprenticeships Info line on 1800 210 210 or via email at [email protected]
Once the employer, apprentice/trainee and SRTO are satisfied that all training and assessment required under the training plan is complete, the SRTO will issue a certificate to the apprentice/trainee for the related qualification and notify DESBT of the completion.
Through DETConnect www.detconnect.qld.gov.au the RTO has access to daily training updates and can access a number of DESBT business systems and search facilities, including Apprenticeships Info Self Service where an RTO can search for specific apprentice/trainee contract information.
Role of the Australian Apprenticeship Support Network Provider
DESBT actively promotes Australian Apprenticeship Support Network (AASN) Providers as the first point of contact for the administration of all apprenticeship and traineeship training contracts in Queensland. AASN Providers:

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• facilitate the sign-up and lodgement of training contracts with DESBT, • are the main point of contact during the life of a training contract, • perform a range of functions under delegation under the FET Act (where applicable), and • refer issues to DESBT where the AASN Provider:
o does not have delegation, such as a dispute between parties to a training contract (e.g. not wanting to sign a form),
o comes across a situation, issue or information that may affect the training contract, such as training not being provided, or
o becomes aware one party is not meeting their obligations, such as not releasing the apprentice/trainee to attend training.
For more information visit: www.desbt.qld.gov.au/training/apprentices/aasn
SRTO notification (accepting the role of supervising RTO)
During the sign-up of an apprenticeship or traineeship training contract, the employer and apprentice or trainee (i.e. parties to the training contract) must select an RTO to become the SRTO for the apprentice or trainee. Generally, the AASN Provider will provide a list of RTOs with scope to deliver the apprenticeship/traineeship qualification in Queensland, for the employer and apprentice/trainee to select from.
Once the training contract is signed by the parties, the AASN Provider forwards an SRTO notification to the RTO to complete and return to confirm:
• acceptance to become the SRTO for the apprentice/trainee, which obligates the SRTO to: o complete an employer resource assessment (ERA) to assess the legitimacy of workplace arrangements regarding the employer’s capacity to provide, or arrange to provide the facilities, range of work and supervision, o negotiate and sign a training plan with the employer and apprentice/trainee within 3 months of the start date of the apprenticeship or traineeship, and o for a school-based apprenticeship or traineeship (SAT), participate in developing a schedule of school studies, training and employment (typically referred to as an Education, Training and Employment Schedule) with the school, student, parent (if applicable and appropriate) and employer, and inform the student about the impact this SAT may have on the student’s ability to access future public funding for apprenticeship or traineeship training under the User Choice program.
• they do not agree to be the SRTO and to state their reasons.
The SRTO notification is returned to the AASN Provider and is retained by the AASN Provider as evidence when deciding to register or refuse to register the training contract.

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Where an AASN Provider and RTO with a Skills Assure supplier (SAS) status make formal arrangements regarding an automatic SRTO notification acceptance process, the arrangement must:
• clearly state that the SRTO will undertake to develop a training plan and ERA for the apprenticeship/traineeship,
• detail the terms of the agreement, any conditions, and when it takes effect, and • be recorded as evidence of the agreement (for perusal by DESBT, if requested). If the RTO accepts their role to be the SRTO prior to completing an ERA or negotiating a training plan, the SRTO may not be aware of issues in relation to the employer’s capacity to provide the facilities, range of work and supervision. Once the RTO accepts their role to be the SRTO, if an issue arises during development of the training plan or completing an ERA, the SRTO MUST notify DESBT immediately for assistance to resolve the issue/concern.
Employer resource assessment (ERA)
It is a requirement under the FET Act for the SRTO to complete an ERA in the approved form to verify the employer has the capacity to provide the facilities, range of work and supervision when preparing the training plan required for the apprenticeship or traineeship. The ERA must be reviewed and, if necessary, revised at intervals of no greater than three months during the period of the training plan. This aligns with the legislative requirement to review the training record. The SRTO should refer to information on completing an ERA at:
• The employer resource assessment and training plan – expectations of the department
Where the employer is a GTO or PEO
In the case of a Group Training Organisation (GTO) or Principal Employer Organisation (PEO) the SRTO is required to complete an ERA for the first host employer’s workplace and once completed forward a copy to the GTO/PEO for review. For permanent transfers where the new employer is a GTO/PEO, an ERA is required for the first host employer. It is not a requirement for the SRTO to continue to review the ERA at three monthly intervals for GTO/PEO training contracts.
Training plan
The parties to the training plan include the employer, apprentice/trainee and the SRTO. Every apprentice and trainee must have a training plan. If the apprentice or trainee enters into more than one training contract, a training plan is required for each apprenticeship or traineeship.

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The training plan must be in the approved form as published by DESBT, however the department will accept training plans which have been developed by an SRTO to meet their individual requirements provided the training plans contain all the information contained in the Apprenticeship/Traineeship training plan template.
Visit www.desbt.qld.gov.au/training/apprentices/srto for the Apprenticeship/Traineeship training plan template and to access the Guide to Training Plans and Training Records.
The training plan outlines the training to be delivered to the apprentice/trainee by the employer or the SRTO, and includes the assessment arrangements, dates, sequencing of the training, and any temporary assignment in order to complete training and assessment under the training plan.
The SRTO is encouraged to make contact with the employer and apprentice/trainee as early as possible to establish a training plan and to commence training.
The training plan is negotiated and signed with the employer and the apprentice/trainee: • within 3 months of the start of the apprenticeship or traineeship, or • where an SRTO is being replaced (change of SRTO), within 28 days after the replacement, or • where a permanent, temporary or statutory transfer of the registered training contract occurs, within 28 days after the transfer.
The SRTO issues a signed copy of the training plan to the employer and apprentice/trainee within 14 days of the parties signing the training plan.
Throughout the life of the training plan, the parties may change the plan if all the parties agree to the change. The SRTO must take all reasonable steps to ensure the parties sign the changed training plan within 14 days after the change is agreed to.
The SRTO must also be aware of the following legislative requirements:
• where a registered training contract is suspended for a period of time, the training plan is reviewed and updated where required at the end of the suspension period,
• where a cancelled training contract has been re-registered by DESBT as a registered training contract following a decision of the Industrial Relations Commission or Fair Work Commission to reinstate the employment of the apprentice or trainee who was a party to the cancelled contract, the training plan under the cancelled contract continues in force unless the parties enter into a new training plan,
• where DESBT decides to change the mode of delivery of the training plan to assist the apprentice or trainee to make progress under the training plan, the SRTO must take all reasonable steps to ensure the change is complied with by the parties to the plan.

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The SRTO may change the training plan if the change is minor, for example an amendment to reflect the changed title of the qualification. In this instance, the SRTO must send a copy of the changed training plan to the parties within 14 days after making the change.
Where a training plan is developed for a school-based apprentice or trainee, the SRTO is encouraged to provide a copy of the training plan to the school co-ordinator. Providing a copy of the training plan enables the school co-ordinator to:
• assist the SRTO to monitor the student’s progress against the training plan, • provide feedback to the parent (if applicable and appropriate), and • ensure the apprenticeship/traineeship is an appropriate component of the student’s overall school
program.
When negotiating how training will be delivered, parties must be aware of the potential impact with respect to wages. Contact the Fair Work Ombudsman on 13 13 94 or visit the Fair Work Ombudsman website for information on award conditions.
Note: An SRTO is NOT able to withdraw from delivering training as agreed to in a training plan without agreement by all parties to the training plan, approval from DESBT, or unless there are circumstances beyond the SRTO’s control (e.g. liquidation, cancellation of registration as an RTO).
More than one training contract
An apprentice or trainee who has a registered training contract may enter into a second training contract to run concurrently. This may be possible under the following scenarios:
• two part-time training contracts with the same employer or different employers • one full-time training contract and one part-time training contract with the same employer or
different employers.
Care must be taken when negotiating a training plan for each apprenticeship/traineeship, particularly if there is more than one SRTO involved. For EACH training contract, there will need to be clear identification and understanding of the training to be delivered by the SRTO, and the on-the-job training or workplace tasks to be provided by the employer, as stated in the Guide to Training Plans and Training Records.
Note: An apprentice/trainee can only receive one government contribution for a User Choice funded qualification at any single point in time. Refer to the User Choice program documents for further information.

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Training record
Within 14 days of signing the training plan, the SRTO must provide the apprentice/trainee with a method of recording training for the selected units of competency. The method of recording training is provided in either paper or electronic format.
The training record is retained by the apprentice/trainee. However, on reasonable notice being provided by the SRTO, employer or DESBT, the training record is to be produced by the apprentice/trainee for inspection or updating.
Updating of the training record to reflect the training undertaken, both structured and on-the-job components, must occur at intervals of not more than 3 months, except during periods where a training contract may be suspended. Updating the training record may occur in conjunction with the ERA review, and provides an opportunity for the SRTO to enter into discussions with the employer about the progress of the apprentice/trainee.
A properly kept training record will allow the employer, apprentice/trainee and SRTO to identify, at any stage, the training undertaken and the attainment of skills. The training record may also be used should the competence in a unit/s of competency be the subject of a dispute between an apprentice/trainee and the employer.
Refer to the Guide to Training Plans and Training Records for further information.
Learning support
It is the responsibility of the SRTO and a requirement under the NVR standards that the RTO should provide apprentices and trainees with training, assessment and support services to meet their individual needs throughout their apprenticeship/traineeship.
The SRTO may contact DESBT via the Apprenticeships Info line on 1800 210 210 for more information.
Apprentice/trainee not progressing
The SRTO must ensure the training and assessment required under the apprentice’s or trainee’s training plan is delivered to the apprentice or trainee.
Additionally, the employer must provide, or arrange to provide, the apprentice/trainee with the facilities, range of work, supervision and training the employer is required to provide under the training plan.
The SRTO and employer are obligated under the FET Act to notify DESBT where the SRTO or employer recognises the apprentice or trainee is not progressing under the training plan. Prior to notifying DESBT, the SRTO should:
• attempt to resolve the issue/s with the parties,

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• discuss available options and negotiate a strategy for achieving the successful completion of the apprenticeship or traineeship, and
• ensure the parties to the training plan clearly understand their roles and responsibilities for training and assessment in each competency.
If the issue/s persist/s and it becomes apparent the apprentice/trainee is not likely to make progress, the SRTO must notify DESBT via the Apprenticeships Info line on 1800 210 210 or via email at [email protected] providing the details that may have contributed to the apprentice/trainee not progressing. These details include, but are not limited to:
• inability of the employer or the SRTO to arrange delivery of the apprentice's or trainee's training within a timeframe that allowed the apprentice or trainee to attain competencies as scheduled,
• the employer was unable or unwilling to release the apprentice or trainee for the training delivered by the SRTO,
• the employer was unable to provide adequate training by qualified staff, • long term illness/injury or neglect of the apprentice or trainee, or • instances where the minimum paid work requirement for a school-based apprentice or trainee is
not being met.
School-based apprenticeships or traineeships
A school-based apprenticeship or traineeship (SAT) is a contract of training and paid employment where a school student's timetable or curriculum reflects a combination of work, training and school study. If the apprenticeship/traineeship does not impact the school timetable, it is not considered school-based and it may be appropriate for the employer and student to consider instead, a part-time training contract outside of school arrangements.
When an SRTO accepts their role for a school-based apprenticeship/traineeship, in addition to the policies and procedures that all apprentices and trainees are subject to, the SRTO is also responsible for the following:
• Ensuring the student’s school, through the school principal or authorised representative, has agreed to the SAT arrangement prior to agreeing to become the SRTO.
• Ensuring the intending apprentice or trainee (and parent, if applicable and appropriate) is informed of the possible implications it may have on the apprentice’s or trainee’s eligibility for future User Choice funding.
• Negotiating and agreeing to a schedule of school studies, training and employment for the apprentice or trainee (with the school, employer, student and parent), taking into account the minimum paid work requirements for a SAT, and the institutional training delivery limit for schoolbased apprentices. Details of these requirements are in the Guide to school-based

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Guide for supervising registered training organisations