Introduction
The Standards for Registered Training Organisations (RTOs) 2015 required an RTO to review a statistically valid sample of the assessments. The national VET regulator, Australian Skills Quality Authority (ASQA) provided an online calculator to determine the sample size so that it would be statistically valid.
ASQA’s Validation sample size calculator has been used to calculate the statistically valid sample size for the following two examples. [1]
Example 1
Example 2
The new Standards for RTOs 2025 has introduced a significant change to assessment validation. Instead of a fixed requirement, RTOs are now required to adopt a risk-based approach to determine their validation sample size. This means the number of assessments validated will vary considerably across RTOs, reflecting their individual risk assessments.
Select the units to be validated
The new Standards for RTOs 2025 states that “every training product on the organisation’s scope of registration is validated at least once every five years and on a more frequent basis where the organisation becomes aware of risks to training outcomes, any changes to the training product, or receives relevant feedback from VET students, trainers, assessors, and industry.” [2]
What is a training product?
The new Standards for RTOs 2025 defines training products as:
- VET Qualification
- Skill set
- Unit of competency
- Accredited short course or module.
How many units per qualification should be validated?
ASQA has provided the following guidance for RTOs: [3]
“At least two units from each qualification must be validated; however, your RTO may choose to validate more if validation of the two units identifies risks or a potential harm to learners who may not have met the required assessment outcomes, inconsistent assessment judgements have been made by assessors or assessment has not been conducted in accordance with the Principles of Assessment or the Rules of Evidence.”
Prioritising high-risk units
When RTOs prioritise the validation of high-risk units over low-risk ones, they are strategically focusing their quality assurance efforts where they matter most. High-risk units often involve complex skills, critical safety implications, or significant industry impact. By concentrating validation on these areas, RTOs can identify and rectify potential assessment flaws that could lead to serious consequences, such as workplace accidents or compromised professional standards. This approach ensures that training quality is rigorously maintained in the most crucial areas, safeguarding both learner outcomes and industry integrity. Essentially, it’s about maximising the impact of validation resources by addressing the areas with the greatest potential for negative consequences.
Identifying risks
The new Standards for RTOs 2025 states that a risk-based approach should be used to determine the sample size of assessments that should be validated. It’s important to understand that the risk-based approach in the Australian VET sector is about ensuring quality and compliance. Therefore, the risks considered relate to factors that could negatively impact those outcomes. Here are five risks that RTOs could consider when determining assessment validation sample sizes:
- Type of unit
- Experience of assessors
- Changes to assessment practices
- Volume of assessments
- Historical compliance and validation outcomes.
Risk 1. Type of unit
Units involving high-risk activities, complex skills, or critical safety components require more rigorous validation. The potential consequences of incompetent performance are higher.
Risk 2. Experience of assessors
If assessors are new, less experienced, or are not fully qualified, there is a higher risk of inconsistent or inaccurate assessments. This necessitates a larger validation sample.
Risk 3. Changes to assessment practices
Any recent changes to assessment tools or assessment procedures can introduce inconsistencies. A larger validation sample size helps identify any unforeseen issues.
Risk 4. Volume of assessments
A high volume of assessments within a short period can increase the risk of errors or inconsistencies. Larger sample sizes are needed to maintain quality assurance.
Risk 5. Historical compliance and validation outcomes
A history of non-compliance or poor validation outcomes should lead to a more conservative approach with larger sample sizes. This allows for closer scrutiny and helps build confidence in the RTO’s assessment practices.
The above five risks are examples, not a complete list, of risks that may influence an RTO’s risk assessment. In essence, the risk-based approach should encourage an RTO to prioritise validation efforts where the potential for errors or negative impacts is greatest.
Determining sample size
Let’s look at how a risk-based approach to assessment validation sample sizes might work with some numerical examples. Here are three scenarios.
Scenario 1. High-risk unit
Scenario 2. Medium-risk unit
Scenario 3. Low-risk unit
The numbers in the above three scenarios are examples. The exact percentages will vary depending on the RTO’s own risk assessment and validation policies.
The following table compares the statistically valid sample size with the sample size for the three previous scenarios.
High-risk units should be selected for validation rather than low-risk units. Therefore, the new risk-based approach should not significantly reduce the sample size of assessments to be validated.
Selecting units to be validated
A VET qualification consists of many units of competency. The RTO will need to select at least two units to be validated. The following is a three-step process that can be used for risk-based selection of unit.
- Step 1. Select the risk assessment criteria
- Step 2. Create a risk assessment table
- Step 3. Conduct and document the risk assessment.
Step 1. Select the risk assessment criteria
Here are some examples of risk assessment criteria:
- Complex skills
- High-risk activities
- New, inexperienced or partly qualified assessors
- New or changed assessment tools
- Feedback or complaints from students, trainers, assessors, or industry.
Step 2. Create a risk assessment table
The following risk assessment table show an example with four risk assessment criteria. The number of risk assessment criteria shall be determined by the RTO, and this shall determine the number of columns required.
Step 3. Conduct and document the risk assessment
Here are risk assessment examples for two different qualifications.
Example 1
Selection of units to be validated based on the above risk assessment table should consider:
- Units with newly implemented assessment tools (for example, BSBSUS211 Participate in sustainable work practices)
- Units assessed by new assessors (for example, BSBTEC201 Use business software applications)
- Units related to critical areas like safety (for example, BSBWHS211 Contribute to the health and safety of self and others).
Example 2
Unit selection for validation based on the above risk assessment table may prioritise two of the following:
- SITHFAB025 Prepare and serve espresso coffee
- SITHACS009 Clean premises and equipment
- SITXFSA005 Use hygienic practices for food safety
- SITXWHS005 Participate in safe work practices.
What assessment items must be kept? And how long do these items need to be kept?
ASQA has provided the following guidance for RTOs: [4]
“An RTO must keep all completed assessment items for each student for a period of six months from the date on which the judgement of competence for the student has been made. Completed student assessment items include the actual work completed by a student or evidence of that work, including evidence collected for a Recognition of Prior Learning (RPL) process.
If a student’s actual work is unable to be retained, an assessor’s completed marking guide, criteria, and observation checklist for each student may be sufficient. However, this evidence must have enough detail to demonstrate the assessor’s judgement of the student’s performance.”
Assessment items must be kept for at least 6 months. Some state and territory governments may require RTOs delivery government-funded or subsidised training to keep assessment items for a longer period of time.
Therefore, completed assessment items should be available for conducting assessment validation.
Random selection of assessments
While random selection is a common approach to assessment validation, best practice dictates including assessments conducted by new, inexperienced, or partially qualified assessors. Additionally, a sample of any Recognition of Prior Learning (RPL) assessments should always be included in the validation process.
In conclusion
The Standards for RTOs 2025 replace the previous fixed statistically valid sample size requirements with a risk-based approach. RTOs must now determine their own sample size based on their risk assessment.
Apart from determining the validation sample size, the RTO must select the units to be validated. An RTO should select units that are high risk rather than low risk. Prioritising high-risk units for validation allows RTOs to focus quality assurance where it’s most critical. By concentrating on complex skills and high-impact areas, RTOs can ensure assessment quality is maintained and mitigate potential serious consequences.
References
[1] https://www.asqa.gov.au/resources/tools/validation-sample-size-calculator accessed 15 March 2025
[2] Standard 1.5 (2) (b) https://www.legislation.gov.au/F2025L00354/asmade/text accessed 15 March 2025
[3] https://www.asqa.gov.au/faqs/how-many-units-qualification-should-be-validated accessed 15 March 2025
[4] https://www.asqa.gov.au/faqs/what-student-assessment-items-do-i-need-keep-and-how-long-do-i-need-keep-them accessed 15 March 2025
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