A good checklist provides practical reminders of the most critical and important steps of a process that even the most skilled RTO compliance practitioner using them could miss. Use these free checklists to help your RTO meet its regulatory obligations by implementing them as part of your quality checking processes. We have designed them to reduce errors and rework so they save you time and money. They also ensure consistency and completeness in carrying out tasks. Feel free to share the links to the free downloads with staff in your RTO that are responsible for creating compliance documentation.

Training and Assessment Strategy Validation Checklist:

Use the Training and Assessment Strategy Validation Checklist to quality check your draft TAS’s before being approved or for reviews of your implemented TAS’s at regular intervals that determines their effectiveness in the organisation. Quality checking these key documents can provide early indicators of problems and ensure your RTO delivers products and services that meet your clients’ needs. You should validate your TAS’s at least annually to ensure that you identify improvements and changes you need to make to RTO processes. Remember to look at high risk courses such as those being delivered by third parties or contractors so you frequently monitor the quality and compliance of these arrangements.

Student File Review Checklist:

By implementing routine student file audits you can determine if your assessors (including third parties/contractors) are being consistent in their assessment practices. These reviews can complement your scheduled validation activities and target courses of on-going concern or high risk. The Student File Review Checklist provides you with the ability to focus on common issues or known areas of concern such as:

Ensuring assessors use correct and approved versions of assessment tools
Verifying that all assessment tasks have been completed by learners
Confirming that assessors are keeping accurate and complete student records
Checking that your assessors are marking in line with benchmark answers and marking guides and issuing correct results

Trainer Assessor Profile Review Checklist:

Compliance is a point in time status and most evidence contained in trainer and assessor files has an expiration date. Maintaining appropriate record keeping systems to routinely manage trainer and assessor profiles is a critical compliance consideration for VET providers. CEO’s can be assured that RTOs risk management, internal controls and governance processes are sound by implementing regular monitoring of your operations. By regularly checking that trainer and assessor records are up to date and sufficient you can monitor your staffs adherence to your policy / procedures and the overall system. Use this Trainer Assessor Profile Review Checklist to identify if your trainers and assessors evidence is compliant and complete.