• TAACMQ501B - Develop training and/or assessment organisational policies and procedures

Develop training and/or assessment organisational policies and procedures

This unit specifies the competency required to develop or revise organisational policies and procedures relating to the provision of training and/or assessment services.


Training and/or assessment policies and procedures provide guidance and direction to trainers/facilitators, assessors and other personnel on the quality and organisational arrangements for the provision of training and/or assessment services. The development of effective policies and procedures governing training and/or assessment responsibilities is essential for the effective implementation of training and assessment systems.

This unit addresses the processes, skills and knowledge involved in developing the policies and procedures which underpin the operations of training and assessment systems. These policies and procedures can cover a variety of areas including grievances and appeals, risk identification and management, access and equity, and participant enrolment and progress details.

This unit has a specific focus on policies and procedures relating to training and/or assessment, but could equally apply to any organisational context where policies and procedures are developed.

In the TAA04 Training and Assessment Training Package, all organisations involved in the provision of vocational education and training are referred to generically as a training and/or assessment organisation (refer to the definition provided in the Range Statement).

The competency specified in this unit is typically required by trainers/facilitators, management, human resource personnel and program coordinators.


Not applicable.

Elements and Performance Criteria

Elements and Performance Criteria


Performance Criteria


Gather and analyse information for policy and procedure development


Specific policies and procedures to be developed are confirmed with relevant personnel, including purpose


Current and relevant organisational/legal requirements are researched to determine focus of policies/procedures


Existing policies and procedures are analysed to identify any gaps/changes required, where relevant


Organisational and external expertise is identified and advice/information is collected and documented through appropriate consultation and communication processes


Reports and other documentation are accessed, read and evaluated for information and guidance


Develop the policies and procedures


Collected data is analysed and synthesised for inclusion into draft policies and procedures


Draft policies and procedures are prepared in accordance with organisational and industry standards


Consultation and communication processes are undertaken to ensure organisational/employee input into the policies and procedures development process


Feedback on draft policies and procedures is collated and analysed, and changes are made as appropriate


Changes to policies and procedures/ introduction to new policies and procedures are communicated to personnel and key stakeholders, and further time is given for final feedback


Final policies and procedures are approved and documented


Identify implementation requirements


An implementation plan is developed to ensure maximum impact of new/modified policies and procedures is achieved


Personnel involved in implementation of policies and procedures are identified and briefed to ensure consistency in implementation


Physical resources and equipment requirements to support the implementation of new/modified policies and procedures are organised


Organisational change processes are identified to integrate new/modified policies and procedures into the organisation


Monitor and review policies and procedures


Policies and procedures are reviewed for continuing relevance, operational effectiveness and identification of any gaps


Personnel and stakeholders are regularly consulted to ensure content of existing policies and procedures is relevant and appropriate


Outcomes of systemic evaluations are used to update policies and procedures, as required

Required Skills

Not applicable.

Evidence Required

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


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.

Range Statement

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:


staff of regulatory authorities

training consultants

quality consultants

OHS consultants


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


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:



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:




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


Not applicable.

Competency Field

Coordination, Management and Quality

Employability Skills

This unit contains employability skills.

Licensing Information

Not applicable.