Principal Conditions of Approval

• The RTO must maintain their scope of registration with ASQA for the delivery of an Approved Training Course

• The RTO must comply with the National Vocational Education and Training Regulator Act 2011 (the NVR Act), including the fit and proper person requirements in that Act, the ASQA Standards and all related requirements and directives

• The RTO must comply with all components of the Vocational Education and Training (VET) Quality Framework.

Responsibility to Notify

The RTO must notify the Regulator of any events which may compromise, or impact upon, the RTO’s ability to deliver the Services to the required standard. The RTO must immediately notify the Regulator:

• If the RTO ceases or intends to cease business

• If the RTO’s approval as a registered training organisation with ASQA or with any equivalent Australian state or territory authority is cancelled or suspended

• Of any action taken or required to be taken by ASQA for the RTO to comply with the NVR Act

• If the RTO, or any of its directors or Authorised Officers have or has had an approval to deliver WHS/occupational health and safety (OHS) authorisation services suspended, terminated or cancelled in another Australian jurisdiction

• Of any Trainer who is identified as being suspended or cancelled as a WHS/OHS and/ or VET services provider in any Australian jurisdiction

• Of any court conviction against the RTO, its directors, Authorised Officers or Trainers in Australia for a WHS/OHS offence

• Of any criminal offence of the RTO, its directors, Authorised Officers or Trainers

• Of any suspected fraudulent or corrupt behaviour associated with the services as well as any reasonable suspicion or belief that the training and assessment process may be compromised by a Trainer, HRWL Assessor or Candidate

• Of any attempted bribe or offer of a gift by any party in the delivery of the services

• Of any identified breach of this Agreement by the RTO, its directors, Authorised Officers or Trainers.

The RTO must notify the Regulator in writing within 14 days of:

• Any change of business ownership

• Any change of RTO address, contact details and/or registered business name or trading name

• Any change of Authorised Officer(s)

• Any RTO Personnel who is no longer approved by the RTO to use the OLE.

The Online Environment

• The RTO must use the Regulator’s OLE, or any other Regulator nominated digital management system

• The RTO must comply with the OLE user guide requirements and any terms and conditions of access

• The RTO must provide sufficient training and instruction in the use of the OLE to all RTO personnel issued with a user identification (login)

• The RTO must validate and enter all OLE data accurately and in a timely manner, including to avoid missing notification deadlines and prevent data entry errors, to minimise impacts on authorisations.

Candidates

• The RTO must not enrol a Candidate for High Risk Work (HRW) training (includes forklift training) unless that person will be 18 years of age or over on the day the Candidate undertakes a High Risk Work Licence (HRWL) Assessment

• The RTO must comply with the Evidence Of Identity (EOI) requirements, complete an EOI check for each Candidate prior to training commencing and confirm that the Candidate provides the necessary EOI documentation as set out at Appendix 2

• The RTO must enter the EOI information in the OLE as required and/or complete and retain the EOI Form. The EOI form must be provided to the Regulator, if requested, during an audit or in response to a complaint or compliance related issue.

Candidate declaration

Prior to enrolment in HRW Training (or before coordinating a separate HRWL Assessment), the RTO must have the Candidate enrolling declare if the Candidate:

• Has had a WHS authorisation suspended or cancelled (expired authorisations are excluded) by any Australian certifying authority within the last five years

• Has previously been convicted or entered into an enforceable undertaking under the WHS Act or WHS Regulation in NSW or a WHS law in another Australian jurisdiction

• Has a residential address outside of NSW

• Is hearing impaired and requires a registered Auslan interpreter for a HRWL Assessment

• Is an accredited HRWL Assessor.

If a Candidate declares ‘Yes’ to any of the statements in Condition 14 above, the RTO must seek an exemption approval from the Regulator to enrol and/or assess the Candidate (see section 5.3.3).

If the Regulator grants approval for the RTO to train/assess a Candidate with a previously suspended or cancelled authorisation or a previous WHS law conviction or enforceable undertaking, the RTO must provide this approval to the Trainer and/or HRWL Assessor prior to the HRW Training or HRWL Assessment commencing.

Candidate Exemption Requests

• Prior to delivering HRW Training or coordinating a HRWL Assessment, the RTO must complete any Candidate Exemption requirements

• The RTO must make any required Candidate exemption request in writing by email to tacs@safework.nsw.gov.au

• The RTO Candidate exemption request must include the following information for the relevant Candidate exemption to be considered by the Regulator:

  • A WHS authorisation suspended or cancelled:

    • The authorisation that was suspended/ cancelled

    • The Australian jurisdiction in which the authorisation was suspended/cancelled.

  • WHS law conviction/enforceable undertaking:

    • The Australian jurisdiction; and

    • The law that was breached; and

    • If a conviction, the date of conviction; and/or

    • If an enforceable undertaking, the undertaking entered into.

  • Has a residential address outside of NSW:

    • The full name, date of birth and residential address as listed on the Candidate’s driver’s licence or other EOI document(s); and

    • The reason(s) why the Candidate should be trained/assessed in NSW.

  • Is hearing impaired – seek an exemption not less than 10 days prior to a HRWL Assessment occurring by providing:

    • The Candidate’s full name;

    • The proposed Auslan Interpreters name, and registration/certification number;

    • The date, time and class of the proposed HRWL Assessment; and

    • A statement as to whether the Candidate holds a driver’s licence.

  • Is an accredited HRWL Assessor – seek an exemption not less than 10 days prior to a HRWL Assessment occurring by providing:

    • The Candidate’s full name; and

    • The Candidate’s HRWL assessor number.

• 20. If the Regulator approves an RTO Candidate exemption request:

  • The Regulator will provide a written approval notification including an exemption number to the RTO; and

  • The RTO must provide the Regulator’s written approval to the HRWL Assessor conducting the Candidate’s assessment prior to the HRWL Assessment commencing; and

  • For interstate Candidates, the RTO/ HRWL Assessor must provide a copy of the Regulator’s written approval to the Candidate.

• If the Regulator refuses the RTO exemption request, the RTO will be notified in writing and must not commence training or assessment of the Candidate.

Language, Literacy and Numeracy (LLN)

• The RTO must determine if a Candidate meets the minimum course LLN levels and, if necessary, provide or refer the Candidate to appropriate LLN support services

• A Candidate’s LLN competency must be assessed and any special needs identified prior to the commencement of training so that any LLN or special needs can be addressed and provided for during both the HRW Training and the HRWL Assessment.

Notification of Scheduled Training

• The RTO must notify any scheduled HRW Training course via the OLE or other Regulator nominated digital management system at least seven (7) calendar days before the scheduled training commences

• The RTO notification must accurately enter the details of the scheduled HRW Training course, including, but not limited to, the:

  • Approved Training Course (i.e. by HRWL class)

  • Course date (or dates if multiple sessions)

  • Course start and finish times (or multiple times for multiple sessions)

  • Training location/venue

  • Trainer

  • Number of Candidates; and

  • For Online or Connected Delivery knowledge training modes only, enter into the ‘Comments’ field:

    • The delivery mode i.e. ‘Online’ or ‘Connected Delivery’

    • The number of individually scheduled sessions within the course (i.e. 1 or more)

    • The number of Candidates attending the course or each scheduled session in the course; and

    • Operable weblinks and any passwords required for the Regulator to access the training delivery system and the training course for audit and verification purposes.

• If there is any variation to the initial notification of scheduled HRW Training, the RTO must update the scheduled training details at least 48 hours prior to the training commencing

• The RTO must update any notification accurately so that it reflects any/all changes prior to the HRW Training commencing

• The RTO must not proceed with scheduled HRW Training if there is an outstanding exemption against the training, unless the exemption arises as a result of a variation to training on a weekend or public holiday.

Trainers

The RTO must:

• Nominate and seek the written approval of the Regulator for a person to be a Trainer

• Only use a Trainer approved by the Regulator to deliver HRW Training for the RTO

• Notify the Regulator in writing within 14 days of:

  • Any Trainer who is no longer authorised by the RTO to deliver HRW Training; or

  • Any change to a Trainer’s contact details; and

• Ensure that all Trainers, at all relevant times, satisfy all requirements set out in the Agreement.

The RTO must only nominate a person for Regulator consideration as a Trainer who meets the minimum relevant Approved Training Course requirements and any other minimum requirements specified by the Regulator. The RTO must only use approved Trainers to deliver a training course.

Trainers must have a copy of the Conditions available at the time of delivery of HRW Training. The Conditions may be in electronic form provided they can be easily accessed and consulted.

Candidate/Student Evaluation

The RTO must provide each Candidate with a training evaluation form and request the form be completed by the Candidate and returned the RTO for analysis. RTOs may use their own form.

HRW Training Assessment

All UoC assessments conducted as part of the HRW Training must be delivered to meet the requirements of ASQA, the UoC and the Regulator

All UoC assessments must be coordinated by a trainer and conducted separately from the HRWL Assessments required by the Regulator.

Prior to Conducting Forklift Assessment

• Conduct appropriate checks to ensure the student will be 18 years of age, or over, on the day the assessment is conducted

• Ensure an EOI check has been completed and confirm the student has provided the necessary EOI documentation (Appendix 2 in the attached document which sets out EOI requirements)

• Ensure the student has completed the Candidate Declaration

• If a student declares ‘Yes’ to any of the statements in Condition 14 of the Candidate Declaration, seek an exemption approval from the Regulator to enrol and/or assess the candidate (see information above for making an exemption request)

• Confirm student meets the minimum course LLN levels

• Confirm with management that we have an affiliated HRWL Assessor approved and available to conduct the assessment

• Ensure that notification of scheduled HRWL assessment is completed in the Regulator’s OLE system at least 48 hours prior to the assessment

• Confirm that all resources required to conduct the assessment are available and safe for use. E.g. site/venue, plant, equipment and/or materials

• Provide timely written notification to the HRWL Assessor including:

  • a copy of Application for Assessment Notification issued from the OLE

  • the total number of students to be assessed

  • the full name of each student

  • evidence that each student is ready for assessment (see information above on providing evidence)

  • evidence that the resources required for assessment are available, safe for use and compliant.

• Provide the HRWL Assessor with a copy of the student’s Statement of Training Completion, or alternate documentation confirming evidence of enrolment, date(s) training was completed and competency achieved, and students details etc.

After Conducting Forklift Assessment

• Strategix must not allow a student to retain their original National Assessment Instrument (NAI) paper(s)

• Strategix also must not provide a student with a copy of an NAI or their completed NAI paper(s) after undertaking or attempting a HRWL Assessment

• Issue all relevant certification to the student e.g. Statement of Attainment (SOA) or Statement of Training Completion (STC) (only if a STC is used to comply with Condition 55)

• If issuing an STC, it must be provided to the student within 5 business days of their successful completion of the HRW Training

• Keep and retain record of all STCs and SOAs issued.

• Complete all other required training and assessment administrative requirements, including in the OLE or any other Regulator nominated digital management system.

Partial and Cumulative Assessments

All assessment components for Partial and Cumulative Assessments must be completed on no more than three occasions with the full assessment completed within 7 days of the first date of assessment. The RTO must notify a separate HRWL Assessment for each part of a Partial or Cumulative Assessment via the OLE, including to insert at least the following information in the assessment notification ‘Comments’ free text field:

• the HRWL Assessment component (i.e. knowledge, and/or calculations and/or performance); and

• any other special arrangements made for that component of the HRWL Assessment.

If a Cumulative Assessment is required, the RTO must seek an exemption to vary the original HRWL Assessment notification within 48 hrs of the need being identified.

If a Partial or Cumulative Assessment cannot be completed within seven (7) days, the RTO must contact the Regulator, by email to tacs@safework.nsw.gov.au, to request an exemption to vary the relevant HRWL Assessment notification.

Reassessment

Prior to notifying a Reassessment, the RTO must confirm that:

• at least 48 hours have passed since the original Assessment Summary (AS) form was issued by the HRWL Assessor; and

• not more than 90 days has passed since the original AS form was issued; and

• the Candidate can provide the original AS form issued by the HRWL Assessor.