Your trainer and assessor files (Part 5 of 5)

July 4, 2019


In the last newsletter we discussed the following: 


  • The definition of a “trainer matrix”

  • ASQA Guidelines on “trainer matrix” 

  • What must be included in a “trainer matrix” 

  • Who must complete the skills matrix in your RTO?

  • The trainer file and checklist 


In part 5 of the series, we will discuss common errors and non-compliance identified in trainer and assessor files. 


Your RTO must maintain compliant and complete trainer and assessor files and records. You must make sure that all trainer and assessor files demonstrate compliance with regulatory requirements and are free from errors and non-compliance. 


The most common errors and non-compliance in trainer and assessor files and solutions to rectify them as soon as possible:  


Non-compliance number 1: Incomplete trainer files without inclusion of relevant evidence


Explanation: Our experience tells us this is one of the biggest non-compliances.  Trainers and assessors presenting files that are incomplete to an auditor. Incomplete files may include: 

  • All evidence referred to in the trainer matrix and their resume not made available to the auditor 

  • Trainer files containing outdated and not properly version controlled documents and forms 

  • Trainer documents are not stored according to the documented policies and procedures 

  • Trainer file contains irrelevant and/or incorrect information 


Solution: Make sure your policy and procedure have clear guidelines on: 


  • What should be included in each trainer file 

  • How information should be presented in each trainer file 

  • The documents and version numbers that should be used to collect information from trainers and assessors. 

  • Regular audits of your trainer files


Non-compliance number 2: Accuracy of the documents can not be established 


Explanation: It is the RTO’s responsibility to ensure they complete due-diligence at the recruitment of trainers and assessors. Establishing accuracy and validity of all the documents is one of the most important steps. 


Solution: Make sure you establish the accuracy of all documents. The accuracy of documents can be established by, but not limited to: 


  • Ensuring all copies of the original documents are sighted and verified by initials of the staff responsible

  • Conducting a reference check according to the organisational procedure and guidelines 

  • Making sure you verify that all the academic documents are genuine and original by approaching the relevant institutes that has issued them

  • Ensuring all verified copies of evidence are available in the trainer file, as required.


Non-compliance number 3: Trainer/Assessor engagement with the RTO has not been documented 


Explanation: The RTO must ensure that the documents or trainer files they use belong to the trainers they have legally contracted or recruited. They cannot and must not use documents of a trainer that has not been recruited by the organisation. Therefore, the trainer association and engagement with the RTO must be established through documented processes. 


Solution: You must ensure that you have copies of all the documents mention