​​Compliance and complaints - training plan and employer resource assessment

ATIS-051
Version 1
September 2016
Compliance and complaints - Training plan and employer resource assessment (PDF, 192KB)

Compli​a​​​nce

This document refers to the legislative responsibilities of a supervising registered training organisation (SRTO) and an employer under the Further Education and Training (FET) Act 2014. This document does not cover all the legislative requirements for the SRTO or employer under the FET Act 2014.

The following information relates to the capacity of the workplace in providing, or arranging to provide, the necessary supervision, range of work and facilities to support an employment-based pathway towards the achievement of a qualification, being an apprenticeship or traineeship. It also covers the monitoring of the progression of an apprentice or trainee throughout the period of the training contract and the requirement to notify the Department of Education and Training if progression is not occurring (under the FET Act 2014, the Chief Executive delegates authority to departmental officers).

Section 67 - A​​​vaila​​​bi​​lity of f​​acilities

The supervising registered training organisation for an apprentice or trainee must provide, or arrange to provide, the apprentice or trainee with the facilities, services, supervision and training required under the training plan for the apprentice or trainee.

Maximum penalty - 80 penalty units.

Section 68 - Supervisi​​ng registered training organisation to ensure delivery of training

The supervising registered training organisation for an apprentice or trainee must ensure the training and assessment required to be delivered under the apprentice's or trainee's training plan is delivered to the apprentice or trainee.

Maximum penalty - 60 penalty units.

Section 69 - Supervis​​ing registered training organisation to notify chief executive if progress not made under training plan

(1) This section applies if the supervising registered training organisation for an apprentice or trainee considers the apprentice or trainee is not making the progress required under his or her training plan.
(2) The supervising registered training organisation must give the chief executive written notice stating that it considers the apprentice or trainee is not making the progress required under the apprentice's or trainee's training plan.

Maximum penalty - 60 penalty units.

Section 56 - Employer​ to provide supervision, facilities and training

The employer of an apprentice or trainee must provide, or arrange to provide, the apprentice or trainee with the facilities, range of work, supervision and training—

(a) the employer is required to provide under the apprentice's or trainee's training plan; or
(b) prescribed by regulation.

Maximum penalty - 60 penalty units.

Section 57 - Emp​loyer not to prevent participation in training

The employer of an apprentice or trainee must not directly or indirectly—

(a) obstruct the apprentice or trainee from participating in the training required under his or her training plan to be delivered by the supervising registered training organisation for the apprentice or trainee (the required training); or
(b) prejudice the apprentice's or trainee's employment, or place the apprentice or trainee at a disadvantage, because the apprentice or trainee participates or attempts to participate in the required training; or
(c) discourage the apprentice or trainee from participating in the required training; or
(d) induce or coerce the apprentice or trainee to not participate in the required training.

Maximum penalty - 60 penalty units.

Section 58 - E​mployer to report notifiable events

(1) This section applies if any of the following events (a notifiable event) happens in relation to a registered training contract—

(c) the employer decides—
(i) the apprentice or trainee is unlikely to meet the requirements of his or her training plan; or
(ii) the training required under the apprentice's or trainee's training plan cannot be completed within the nominal term of the contract;

(d) the employment of the apprentice or trainee has ceased.

(2) The employer must give the chief executive signed notice of the notifiable event within 14 days after the notifiable event happens.

Maximum penalty - 50 penalty units.

What does t​his mean f​​​or the SRTO and employer?

The communication between the employer, apprentice or trainee and the SRTO is one of the most important aspects of a successful apprenticeship or traineeship arrangement.

When a training plan is being developed it is important the SRTO provides the employer and apprentice or trainee context of how the units of competency in the training plan relate to the tasks being undertaken in the workplace This process performs two​ major tasks, first providing the employer and apprentice or trainee an explanation of how the everyday work relates to the qualification and secondly identifying any areas in which the workplace does not provide the required tasks.

When the SRTO identifies a gap between the apprenticeship or traineeship requirements and the tasks available in the workplace they must document how the employer is planning to provide for the gap. This may be achieved through:

  • temporary transfer
  • permanent transfer
  • simulated assessment (in conjunction with the SRTO when appropriate and available)
  • use of a group training organisation.

If the employer is unable or unwilling to make these arrangements available the training contract cannot continue. If this occurs contact the department to seek assistance.

A good process at the beginning then requires ongoing monitoring to ensure the arrangements which were negotiated at the point of producing the training plan continue throughout the term of the training contract. It is a legislative requirement for the employer or SRTO to update the training record at intervals of no greater than three months. This allows the employer and SRTO to enter the details of the training which has been undertaken and to ensure progress is occurring and whether the apprentice or trainee may need more exposure to work tasks in identified areas.

When a lack of progression is identified and a resolution to the progression is not able to be resolved, the department must be notified.

Penal​​​t​ies

The department has a range of penalties which can be imposed on an employer or SRTO under the FET Act 2014 and the pre-qualified supplier agreement if applicable. The department may also refer issues to the Australian Skills Quality Authority (ASQA) if appropriate.

The department acknowledges an SRTO may have systems in place which capture the information contained within an ERA and the ongoing communication with a workplace. SRTOs which do not use the department's templates must be able to demonstrate how they conducted an assessment of the employer's capacity to provide the range of work, supervision and facilities required under the training plan, and the ongoing monitoring of arrangements are in place. Failure to be able to provide the evidence may result in cancellation of the training contract, recovery of funding under the pre-qualified supplier agreement (if applicable), changes to the pre-qualified supplier status (if applicable) or prosecution under the FET Act 2014.

Information about compliance audits for pre-qualified suppliers can be found on the Training website.

Comp​​​​​l​​aints

The Department of Education and Training is committed to continually improving the quality of our services. We value your feedback, both positive and negative.

There are several options available to make a complaint about an apprenticeship or traineeship.

To make a complaint or provide feedback, please phone 1300 369 935 or complete the enquiries and feedback form on the Training website.

The Training Ombudsman provides a free, confidential and independent service to review and resolve enquiries and complaints from apprentices, trainees, students, employers and other parties about the vocational education and training (VET) system.

Complaints may be lodged using the online apprenticeship or traineeship complaints form available.

For further informat​ion​​​ or general enquiries

Phone Apprenticeships Info on 1800 210 210.

An information sheet about ERAs is also available​.

Licence
Creative Commons Attribution 3.0 Australia (CC BY 3.0) (https://creativecommons.org/licenses/by/3.0/au/ )
Last updated
21 September 2017