audit guide for training providers in the act · updated design format revision to appendix b:...

Audit guide for training providers in the ACTPublished 20 June 20171

AUDIT GUIDE FOR TRAINING PROVIDERS IN THE ACTACT Government training initiatives

Schedule to the ACT Funding Agreement1 July 2017 | Version 2.1

Complianc

e


Skills CanberraChief Minister, Treasury and Economic Development DirectorateCanberra Nara Centre1 Constitution Avenue CANBERRA ACT 2612

GPO Box 158 CANBERRA ACT 2601

Phone: 02 6205 8555 Email: [email protected]: www.cmtedd.act.gov.au/skillscanberra

mailto:skills%40act.gov.au


VERSION CONTROL

VERSION EFFECTIVE DATE RELEASE DATE STATUS DETAILS

V1.0 1 January 2014 9 May 2014 Initial Release N/A

V2.0 1 July 2015 26 August 2015 New releaseUpdated design format

Revision to Appendix B: Audit Sanctions Matrix

v.2.1 1 July 2017 20 June 2017 Modification

RTO Selection information updated

Revision to Appendix B: Audit Sanctions Matrix

It is the responsibility of the user to ensure that this is the current and complete document. The latest version located at: http://www.cmtedd.act.gov.au/skillscanberra/act-quality-framework/audit-guide-for-training-providers


TABLE OF CONTENTSIntroduction .............................................................................................................................6

Document purpose .........................................................................................................................................6

Audit context ...........................................................................................................................7Why audits are conducted..............................................................................................................................7

Principles and expectations ............................................................................................................................7

Audit type ................................................................................................................................8Types of audits conducted ..............................................................................................................................8

Types of audit evidence .................................................................................................................................9

RTO Selection .......................................................................................................................10How RTOs are selected for an on-cycle audit ..............................................................................................10

Student Selection ..................................................................................................................12How student files are selected for audit .....................................................................................................12

Audit Process .........................................................................................................................13Audit Notification ..........................................................................................................................................13

How audit evidence is assessed and the possible outcomes ......................................................................13

Audit Report .........................................................................................................................16How audits are reported ..............................................................................................................................16

Appendix A: Terms and definitions ........................................................................................18

Appendix B: Audit sanctions matrix ......................................................................................21Appendix B1: Systems and process evidence ..............................................................................................22

Appendix B2: Student file evidence .............................................................................................................28


DIAGRAMS AND TABLESList of Tables

Table 1: Risk indicator categories .................................................................................................................10

Table 2: Risk indicator assessment table ......................................................................................................11

Table 3: Audit reporting ................................................................................................................................16

List of DiagramsDiagram 1: Example audit sample chosen relevant to the student population (per RTO) .........................12

Diagram 2: Outcome of an audit where the audit sanctions matrix is applied ...........................................15


INTRODUCTIONThe ACT Government, through the Chief Minister, Treasury and Economic Development Directorate (the Directorate), contracts registered training organisations (RTOs) to deliver government subsidised training to eligible students. This contract, the ACT Funding Agreement (ACTFA), allows RTOs to deliver programs to address the major objectives of the ACT vocational education and training (VET) system.

This Audit Guide, the ACT Standards for Delivery of Training (ACT Standards) and ACT Standards Compliance Guides are schedules to the ACTFA. ACT Standards Compliance Guides are published for all training initiatives.

By entering into an ACTFA RTOs commit to meet the contractual obligations for compliance including:

• being responsible for establishing and implementing controls to assist in maintaining compliance• being responsible for the maintenance and preparation of any audit evidence requested by the

Directorate• providing the Directorate and its auditors with access to all information requested for the purpose of

conducting an audit and/or confirming compliance.

RTO audits are a key methodology to manage compliance with the ACTFA, the ACT Standards and ACT Standards Compliance Guides. An audit is not a substitute for the RTO having established practices to manage its contractual obligations and does not relieve an RTO of responsibilities outlined in the contract.

DOCUMENT PURPOSEThis document details the audit strategy that guides the audit program. It also provides guidance to RTOs on how to prepare for an audit and what to expect from the audit process.

The audit guide provides:

The audit context • Why audits are conducted• Principles and expectations

An overview of audit types • Types of audits conducted• Types of audit evidence

Information about the audit selection process • How RTOs are selected for audit • How student files are selected for audit

An overview of the audit process• Audit notification• How the evidence is assessed and possible

outcomes

Audit reporting methods • How audits are reported


AUDIT CONTEXTWHY AUDITS ARE CONDUCTEDRTOs contracted in the ACT are expected to meet high levels of performance to ensure the quality, strength and integrity of the VET system in the ACT.

The objectives of funded training initiative audits are to ensure:

• compliance with requirements that - a) allocated funding is expended in accordance with contractual conditions b) training and assessment is delivered in accordance with the requirements of the initiative, as

specified in the ACT Standards and ACT Standards Compliance Guidesc) systems and processes support the provision of training and assessment

• quality of service provision that - a) represents value for money b) identifies RTOs and sectors of industry where good practice is occurring

• risk mitigation that ensures - a) any identified risks to students or to the ACT Government are managed b) complaints are investigated.

Where performance measures have not been met a range of sanctions are applied as described in this document (refer to the Audit Process).

PRINCIPLES AND EXPECTATIONSThe Directorate will:

• take a risk based approach to the monitoring of RTO compliance• be systematic and consistent in the assessment of RTOs and in the consequent determination of the level

of non-compliance• be transparent about RTO obligations• provide timely advice and information • respond to questions to help RTOs comply with specific requirements • regularly review practices and seek new and improved ways to undertake audit programs.

RTOs will:

• take a professional approach to compliance• be familiar with, and act in accordance with, obligations under the ACTFA and associated schedules• be cooperative and responsive to requests including requests for information and questions about

activities and compliance• maintain and prepare audit evidence as required • undertake timely rectification actions as notified.


AUDIT TYPETYPES OF AUDITS CONDUCTEDAn audit may be conducted using one or more of the following methods:

• Internal Review Tool • Desktop audit• On-site audit• Investigative audit.For an explanation of these terms refer to the Terms and Definitions (Appendix A).

Management of RTO compliance is supported by two (2) audit streams – on-cycle and off-cycle.

ON-CYCLE AUDITS

Audits are undertaken in accordance with the ACTFA to monitor RTOs delivering ACT government subsidised training, and assess compliance with the ACT Standards and the ACT Standards Compliance Guides. In an on-cycle audit (desktop or on-site) a range of Standards are audited and the audit outcomes are assessed using the Audit Sanctions Matrix (refer to Appendix B1 and Appendix B2).

As an annual requirement, the Internal Review Tool is also considered an on-cycle audit. Information from the Internal Review Tool Report is not assessed against the Audit Sanctions Matrix but is used to inform other audit activities.

OFF-CYCLE AUDITS

Off-cycle audits (desktop, on-site or investigative) are conducted in response to specific concerns including:

• the outcome of an on-site or desktop audit, which requires further follow up to ensure issues identified have been addressed. The previous audit report is reviewed to ensure that the RTO has addressed any specific follow up actions or concerns within reasonable timelines; however the audit may not be restricted to these areas

• submission of an RTO Internal Review Tool Report which is considered inadequate or does not suggest strong business practices underpin RTO activity

• information or a complaint received which suggests that an RTO may be non-compliant with the ACTFA. An investigative audit may require the RTO to provide a written response to matters raised and/or meet with the Directorate to discuss the issues identified.

If further investigation is required an additional desktop and/or on-site audit may be scheduled. The audits will focus on evidence supporting specific systems and processes and/or a sample of student files. These may also include reviewing evidence to ensure that the matters raised previously have been addressed satisfactorily. Where the off-cycle audit involves a review of the RTO’s compliance against six or more ACT Standards, the audit outcomes will be assessed using the Audit Sanctions Matrix (refer to Appendix B1 and Appendix B2).


TYPES OF AUDIT EVIDENCE Audits may include a review of systems and processes and student files.

SYSTEMS AND PROCESSES

Evidence of RTO systems and processes is reviewed to monitor the RTO’s capacity to comply with obligations under the ACTFA and to identify:

• common themes of non-compliance that may be occurring across the RTO• actions against continuous improvement opportunities that have been identified.

STUDENT FILES

Where the RTO has student activity in the period being audited, a detailed examination of a statistically valid sample of student files and records (refer to Student selection) may be reviewed.

Evidence for systems and processes and student files is assessed using the Audit Sanctions Matrix (refer to Audit process and Appendix B1 and Appendix B2).


RTO SELECTION HOW RTOs ARE SELECTED FOR AN ON-CYCLE AUDITA risk based approach is taken to compliance. RTOs are assessed each year, against a set of indicators which the Directorate has determined indicate an RTO may not be meeting its obligations under the ACTFA. The indicators are classified into two categories, potential or known concerns. The potential concern indicators refer to information about the RTO that may contribute to the overall risk of the RTO. The known concern indicators refer to issues or concerns that have already been identified.

The risk indicator categories include, but are not limited to, the following:

TABLE 1: RISK INDICATOR CATEGORIES

Indicator Type

Risk Indicator DescriptionIndicators are subject to change

Pote

ntial

Con

cern Amount of funding received

Increase in funding in previous year

Student Activity

Number of initiative(s) the RTO delivers training in

Number of Qualifications on scope in ACT

Number of years since last audit

Turnover in key personnel

New RTO

Subcontractor arrangements

Completion rates

Business breadth

Course duration

ACTFA Score

Past audit results recommend follow up audit*


Indicator Type

Risk Indicator DescriptionIndicators are subject to change

Know

n Co

ncer

n RTO behaviour is not cooperative / responsive / professional

Complaints received

Incorrect payment claims

Internal Review Tool deadline not met

National Centre for Vocational Education Research (NCVER) Australian Vocational Education and Training Management Information Statistical Standard (AVETMISS) reporting deadline not met

AVETMISS reporting data errors/ inaccuracies

Notification from the Australian Skills Quality Authority (ASQA) of non-compliance with the Standards for Registered Training Organisations (RTOs) 2015

* Past audit results alone may determine an RTOs risk indicator band (refer to Diagram 2)

Note: If information related to any of the indicators is not known at the time of the indicator assessment, that indicator does not contribute to the overall classification.

When combined these indicators are used to classify each RTO into a low, medium, high or extreme risk indicator band for the monitoring period. A high score in either category increases the probability of the RTO being selected for an audit, however more weight is given to the known concern indicators.

TABLE 2: RISK INDICATOR ASSESSMENT TABLE

Known Concerns

Low Medium High Extreme

Potential Concerns

Low Low Medium Medium HighMedium Low Medium High Extreme

High Medium High Extreme Extreme

RTOs are selected from each risk indicator band for the on-cycle audit program to ensure a broad selection of providers are audited. This also ensures that any RTO in receipt of government funding has the potential to be audited in any year.


STUDENT SELECTIONHOW STUDENT FILES ARE SELECTED FOR AUDIT To ensure the selection of student files is representative of the RTO’s overall activity, a statistically significant sample is chosen relative to the RTO’s student population. The student population is determined by the reported training activity for the funded training initiative and the time period being audited.

The sampling methodology also employs a gradient slope to determine the number of student files to be audited according to the risk indicator band of the RTO. The advantage of this approach is to ensure there is greater confidence that the audit outcome reflects an accurate picture of compliance for an RTO classified in the higher indicator bands.

The sample student files are representative of the RTO student population. For example, files are selected from a range of types such as new commencements, completions, cancellations, suspended and withdrawn students. Depending on the focus of the audit the sample student files chosen may include some or all of the range of student types noted above.

Where an RTO has a small number of government subsidised students for the audit period, variation to the sampling methodology may be applied.

DIAGRAM 1: EXAMPLE AUDIT SAMPLE CHOSEN RELEVANT TO THE STUDENT POPULATION (PER RTO)

Government subsidised student population - per RTO, per funded training initiative

Stud

ent F

ile S

ampl

e Si

ze

High risk RTOExtreme risk RTO Medium risk RTO Low risk RTO

0

5

10

15

20

25

30

35

40

45

40020010052251241


AUDIT PROCESSAUDIT NOTIFICATIONRTOs are notified of an audit at least two (2) weeks prior to the event via an audit notification advice. When the audit involves a review of student files the RTO is given the list of nominated students the day prior to the audit. RTOs are also advised the day prior to the audit of the areas of the ACT Standards and, where applicable, the ACT Standards Compliance Guide to be audited.

To ensure an equitable audit process across all RTOs a minimum of 50% of the ACT Standards are selected for each desktop or on-site audit. At audit, evidence is sought which demonstrates compliance against each selected standard. For examples of evidence refer to the ACT Standards Compliance Guides.

HOW AUDIT EVIDENCE IS ASSESSED AND THE POSSIBLE OUTCOMESThe intent of all audits, both on-cycle and off-cycle, is to confirm RTO compliance with the ACTFA, the ACT Standards and ACT Standards Compliance Guides. All evidence considered as part of the audit process is assessed against these documents.

USE OF THE AUDIT SANCTIONS MATRIX

The Audit Sanctions Matrix (refer to Appendix B1 and Appendix B2) is used to assess the audit evidence for desktop and on-site audits and to determine the audit outcomes. The matrix criteria are used to assess compliance with the key requirements of the ACT Standards and ACT Standards Compliance Guides and to apply consistent and equitable sanctions for specified instances of non-compliance.

In accordance with the types of audit evidence, the matrix is divided into two sections, systems and processes and student files. The matrix includes examples of what constitutes instances of ‘compliant’ through to ‘non-compliant’ findings at both system and student file level. The descriptors within the matrix are used to support the decision to rate an RTO’s performance as compliant or non-compliant, including the level of non-compliance i.e. minor, moderate, major and critical.

The overall level of risk determined by the audit outcome and the instances of non-compliance defines the size and type of sanction, both financial and non-financial.

Non-financial sanctions may be applied to systems and process or student file non-compliances identified and are determined on a case by case basis. Non-financial sanctions are at the discretion of the Directorate.

Sanctions may include, but are not limited to, one or more of the following:

• withholding or preventing future payments • preventing or limiting access to further funding initiatives• removing, restricting or suspending the RTO’s ACTFA• applying conditions to the RTO’s ACTFA.

Example:

Lack of an AVETMISS compliant student management system would not attract a financial sanction but may result in suspension of the RTO’s ACTFA.

Financial sanctions are applied on the basis of non-compliant findings in student files and are based on 20% of the total funding amount (up to a maximum of $400,000) paid per calendar year, per initiative/s audited.


The total funding amount is based on all payments for the audited initiative for the audited period, including weightings and loadings where applicable.

The rationale for selecting a percentage of funding (20%) that an RTO has at risk of sanction is based on the principle that the financial sanction is:

• a penalty applied to the RTO to reflect a negative audit finding• commensurate with the level of negative audit findings identified.

CONSEQUENCES FOR CRITICAL NON-COMPLIANCE

Instances of critical non-compliance identified in sampled student files for any audit automatically results in a sanction of 100% of funding for the particular student for which the critical non-compliance was identified.

Any remaining non-compliances (including minor, moderate or major) identified against any other ACT Standards audited for the sampled student file is taken into consideration to calculate the overall financial penalty score. Given funds related to critical non-compliance are recovered, the total funding amount considered paid to the RTO, and hence at risk in the audit, is reduced by the recovered amount.

Example:

An RTO receives $60,000 for the previous calendar year and instances of critical non-compliance were found in two (2) student files. The total funding paid to the RTO for the two (2) students for the previous year is $6,000 ($3,000 per student). Therefore the maximum funding at risk is 20% of ($60,000 - $6,000), i.e. $10,800.

OVERALL AUDIT RESULT

In instances where the RTO is unable to rectify or address the identified areas of non-compliance satisfactorily the outcome of an audit may include:

• recovery of funds against one or more specific students (when critical non-compliance is identified)• follow-up audit (depending on the audit rating this may be within a 6-12 month period)• sanctions (financial and non-financial)• a change to the RTO’s risk indicator bandThe final outcome for a desktop or on-site audit is presented as an overall audit rating, calculated using a weighted algorithm.

The diagram on the following page provides a summary of the audit outcome process.


DIAGRAM 2: OUTCOME OF AN AUDIT WHERE THE AUDIT SANCTIONS MATRIX IS APPLIED

ExtremeRisk

Action plan

LowRisk

Potential action plan

MediumRisk

Action plan

HighRisk

Action plan O�-cycle audit within 6-12 months

Audit rating Outcome

High risk indicator for

next audit cycle

Suspension/Termination of

ACTFA

Potential o�-cycle audit

No further audit activity

required

Refer RTO selection

Potential Sanction

Sanction

Sanction

Sanction


AUDIT REPORT HOW AUDITS ARE REPORTEDThere are two possible outcomes of an audit:

• all the requirements of the ACT Standards (or other areas being audited) are met or,• areas of non-compliance are identified.

Depending on the type of audit conducted (refer to Types of Audits conducted) the audit report provided to the RTO contains the following:

TABLE 3: AUDIT REPORTING

Type of Audit Method of assessment Audit report content

RTO Internal Review Tool

Assessment of Tool content and supporting documents

• Overview of findings and, where applicable, action required

• Impact of audit findings on further audit activity

Desktop audit Audit Sanctions Matrix

• Detailed report of audit findings including, where applicable, actions required

• Overall RTO compliance rating for ACT Standards audited

• RTO audit rating from analysis of System level audit evidence (including where applicable, determination of non-financial sanction) and/or

• RTO audit rating from analysis of Student File audit evidence (including where applicable, sanction percentage and sanction amount)


On-site audit Audit Sanctions Matrix

• Detailed report of audit findings including actions required

• Overall RTO compliance rating for ACT Standards audited

• RTO audit rating from analysis of System level audit evidence (including where applicable, determination of non-financial sanction) and/or

• RTO audit rating from analysis of Student File audit evidence (including where applicable, sanction percentage and sanction amount)



Type of Audit Method of assessment Audit report content

Investigative audit

Specific criteria assessment

• Detailed report of audit findings including actions required


For desktop and on-site audits, the RTO is provided with an audit report within 30 days of the date the audit is conducted. The audit report is a formal record of the audit and includes the scope and details of the audit, staff involved, opportunities for improvement and any initial non-compliance identified.

For investigative audits based on specific information or a complaint/s the reporting mechanisms differ depending on the nature of the investigation. The RTO will receive a letter detailing the outcome of the investigation and any further actions required, with the due date for actions to be completed.

Where non-compliance in an audit is identified, the RTO is provided with the opportunity to rectify where possible before the final audit outcome is determined and any sanction is applied. This may include the provision of further evidence to enable a better understanding of the RTO’s position regarding the reported non-compliance. A response date for the rectification evidence to be supplied is notified to the RTO with the audit report.

It is the responsibility of the RTO to meet the notified deadline. In cases where the response has not been received by the due date, and agreement has not been reached for an extension to the submission deadline, the final audit outcome is based on the initial audit findings as notified.


APPENDIX A: TERMS AND DEFINITIONSThe following terms and definitions apply to the Audit Guide.

TERMS DEFINITION

ACT AVETMISS See AVETMISS. The ACT mandates additional compliance obligations related to AVETMISS outlined at the AVETMISS webpage.

ACT Funding Agreement (ACTFA)

Contractual arrangement between the ACT Government and RTOs for the delivery of ACT Government training initiatives. RTOs must hold an approved ACTFA prior to providing any training services for government subsidised training initiatives in the ACT.

ACT Government training initiative

Any training initiative which is funded by the ACT Government, whether in whole or in part. Training initiatives may target specific student groups, such as equity groups and/or specific skills and qualifications. Specific contractual provisions apply for each initiative.

ACT Standardsfor Delivery of Training(ACT Standards)

Schedule to the ACTFA. Mandatory standards for RTO management and delivery of training in the ACT.

ACT Standards Compliance Guides

Schedules to the ACTFA which, for each training initiative:

a) provide direction to RTOs on how to interpret and comply with ACT Standards, and

b) include additional mandatory requirements, andc) outline administrative arrangements.

Audit A planned, systematic and documented process used to assess an RTO’s compliance with the ACTFA and associated schedules including the ACT Standards and ACT Standards Compliance Guides.

RTOs also conduct annual internal audits (see Internal Review Tool) to assess their compliance with the ACTFA, ACT Standards, ACT Standards Compliance Guides and their own policies and procedures as required under the contractual arrangement.

Audit Evidence Evidence obtained and recorded during an audit which is used to arrive at the conclusions on which the audit outcome is based.

Audit notification advice Formal notification to the RTO that an audit has been scheduled. The notification advice includes the date of the audit and the location.

http://www.cmd.act.gov.au/skillscanberra/vet_admin/avetmiss


TERMS DEFINITION

Audit outcome The auditor’s formal opinion of the RTOs compliance status as a result of an audit. The outcome is documented against each standard audited as either compliant or non-compliant.

The final audit outcome is determined after rectification opportunities have been provided and is considered final.

Audit report Formal record of the audit findings prepared by the auditor/s for desktop and on-site audits, issued to the RTO within 30 days of the audit date.

Audit rectification Submission of additional information and/or evidence after the audit to address non-compliance/s and actions identified in the audit report.

Audit Sanctions Matrix The Directorate's methodology for assessing the level of non-compliance of RTOs with ACT Standards and for determining a sanctioning amount based on assessed risk of non-compliance identified. The matrix may be updated and reissued to clarify requirements or assessment and calculation process as required.

Audit type The method used to conduct the audit. There are four audit types – Internal Review Tool, desktop audit, on-site audit, investigative audit.

All audits are conducted as part of the scheduled audit cycle (on-cycle) or, outside of this timeframe (off-cycle).

Australian Skills Quality Authority (ASQA)

National regulator for Australia’s VET sector (excluding VIC and WA).

AVETMISS Australian Vocational Education and Training Management Information Statistical Standard (AVETMISS) is the agreed national data standard for the collection, analysis and reporting of VET information in Australia. See also ACT AVETMISS.

Compliant Where all audited requirements of the ACTFA, ACT Standards and ACT Standards Compliance Guides have been met, based on the evidence reviewed at audit and/or after audit rectification.

Continuous improvement A planned and ongoing process that enables an RTO to systematically review and improve its policies, procedures, products and services in order to generate better outcomes for students and to meet changing needs. It allows an RTO to constantly review its performance against the ACTFA, ACT Standards and ACT Standards Compliance Guides and plan ongoing improvements to its performance.


TERMS DEFINITION

Desktop audit An audit where the RTO submits documents or information on request to be assessed as evidence for compliance with the ACTFA, ACT Standards and ACT Standards Compliance Guides.

Funding at risk The total sum of money used as the basis for calculating the financial sanction applied to an RTO for non-compliant audit findings, determined by the Audit Sanctions Matrix. The funding at risk is based on 20% of the total funding amount (up to a maximum of $400,000) paid to the RTO by the ACT Government, per funded initiative, per audited period.

Internal Review Tool The mandatory tool enabling RTOs to capture and record the results of its own annual internal audit (as required under the ACTFA).

Investigative audit An audit conducted in response to a concern or formal complaint received.

NCVER Independent body responsible for collecting, managing, analysing, evaluating and communicating research and statistics about VET nationally. Refer to http://www.ncver.edu.au.

Non-compliant Where the final audit outcome is that one or more of the requirements of the ACTFA, ACT Standards and ACT Standards Compliance Guides have not been met, based on the evidence reviewed. There are four categories of non-compliance minor, moderate, major and critical (see Appendix B).

Off-cycle audit An audit that occurs outside of the scheduled annual audit program, in response to specific concerns.

On-cycle audit An audit that occurs as part of the scheduled annual audit program.

On-site audit An audit conducted at the RTO premises and/or at locations where it delivers training and assessment.

Sanction The penalty applied to an RTO for non-compliant audit findings. The sanction outcome may be financial and/or non financial.

Student population The total number of students enrolled in a specific training initiative for the audited period.

http://www.ncver.edu.au


APPENDIX B: AUDIT SANCTIONS MATRIX

Compliance rating

Compliant • System in place. Policies and procedures are documented and followed by staff.

• Standards are met.• Complete and accurate records are retained.

Minor non-compliance • Policies and procedures are occasionally not followed. Services do not fully meet the standards.

• Infrequent, minor omissions in implementation; readily correctable.

Moderate non-compliance • Policies and procedures are frequently not followed.• One or more clauses in a standard is not met.• Significant time/resources are required to rectify.

Major non-compliance • Policies and procedures are not consistent with the standards and/or not followed.

• Failure to effectively and accurately record and report information.• Substantial time/resources are required to rectify.

Critical non-compliance • No policies and procedures.• An entire Standard/s is/are not met.• Difficult or unable to rectify.• Students at risk.• Chief Minister, Treasury and Economic Development Directorate

reputation at risk.

Minor Significant Insufficient

• Lesser in importance, seriousness, or significance

• Small in number, quantity or extent

• Having or likely to have a major effect; important

• Fairly large in number, quantity or extent

• Lacking in what is necessary or required

• Not having or providing enough of what is needed


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ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

1.2

Data Collection and Reporting

AVET

MIS

S co

mpl

iant

en

rolm

ent f

orm

te

mpl

ate

and

stud

ent

man

agem

ent s

yste

m

one

or m

ore

elem

ents

om

itted

from

the

AVET

MIS

S st

anda

rd

ques

tions

on

the

enro

lmen

t for

m

tem

plat

e an

d/or

stud

ent

man

agem

ent s

yste

m

one

or m

ore

AVET

MIS

S st

anda

rd q

uesti

ons

omitt

ed fr

om th

e en

rolm

ent f

orm

te

mpl

ate

and/

or st

uden

t m

anag

emen

t sys

tem

no e

nrol

men

t for

m

tem

plat

e

stud

ent m

anag

emen

t sy

stem

use

d is

not

AVET

MIS

S co

mpl

iant

AVET

MIS

S co

mpl

iant

st

uden

t man

agem

ent

syst

em n

ot in

use

1.3

Records Management

reco

rds

are

syst

emati

cally

man

aged

an

d m

aint

aine

d

RTO

com

plie

s w

ith a

ll re

leva

nt le

gisla

tive

requ

irem

ents

rela

ting

to

reco

rds

man

agem

ent

all t

rain

ing

and

asse

ssm

ent r

ecor

ds

rela

ting

to th

e AC

T St

anda

rds

and

deliv

ery

of tr

aini

ng a

nd

asse

ssm

ents

ser

vice

s ar

e re

tain

ed fo

r 7 y

ears

reco

rd k

eepi

ng sy

stem

do

es n

ot m

eet A

CT

requ

irem

ents

omiss

ion/

erro

rs in

do

cum

ente

d pr

oces

s fo

r m

anag

ing

ACT

reco

rds

no re

cord

s re

tain

ed

APPE

ND

IX B

1: S

YSTE

MS

AND

PRO

CESS

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

1.4

Compliance

inte

rnal

revi

ew

tool

com

plet

e an

d su

ppor

ting

evid

ence

av

aila

ble;

acce

ss g

iven

to re

leva

nt

files

and

stud

ent r

ecor

ds

evid

ence

sub

mitt

ed

with

in re

quire

d tim

efra

mes

orga

nisa

tion

is co

oper

ative

with

the

audi

t pro

cess

one

or m

ore

elem

ents

no

t com

plet

ed in

the

inte

rnal

revi

ew to

ol

one

or m

ore

ques

tions

no

t com

plet

ed in

the

inte

rnal

revi

ew to

ol

inte

rnal

revi

ew to

ol/

supp

ortin

g ev

iden

ce

not s

ubm

itted

with

in

requ

ired

timef

ram

e

supp

ortin

g ev

iden

ce n

ot

prep

ared

inco

nsist

enci

es b

etw

een

inte

rnal

revi

ew to

ol a

nd

supp

ortin

g ev

iden

ce

inte

rnal

revi

ew n

ot

com

plet

ed a

nd/o

r su

bmitt

ed

Dire

ctor

ate

staff

and

/or

repr

esen

tativ

es

not p

rovi

ded

acce

ss

to re

leva

nt fi

les

and

stud

ent r

ecor

ds a

t the

tim

e of

requ

est

Dire

ctor

ate

staff

and

/or

repr

esen

tativ

es d

enie

d ac

cess

to re

leva

nt fi

les

and

stud

ent r

ecor

ds

2.1

RTO Eligibility

RTO

has

app

licab

le

scop

e of

regi

stra

tion

foun

datio

n sk

ills

subc

ontr

actin

g ag

reem

ent i

n pl

ace

with

RT

O th

at h

as a

pplic

able

sc

ope

of re

gist

ratio

n

docu

men

ted

stra

tegy

for

man

agin

g tr

ansiti

on a

nd

teac

h-ou

t

docu

men

ted

stra

tegy

fo

r man

agin

g ch

ange

s to

tr

aini

ng o

pera

tions

min

or o

miss

ion/

erro

rs in

do

cum

ente

d st

rate

gies

min

or o

miss

ion/

erro

rs

in fo

unda

tion

skill

s ag

reem

ent

qual

ifica

tion

in-

tran

sition

not

man

aged

w

ithin

12

mon

ths

signi

fican

t om

issio

ns/

erro

rs in

foun

datio

n sk

ills

subc

ontr

actin

g ag

reem

ent

docu

men

ted

stra

tegi

es

to m

anag

e tr

ansiti

on,

teac

h-ou

t or c

hang

es

to tr

aini

ng o

pera

tions

do

not

cov

er a

ll re

quire

men

ts

no d

ocum

ente

d st

rate

gies

to m

anag

e tr

ansiti

on, t

each

-out

or

cha

nges

to tr

aini

ng

oper

ation

s

no s

ubco

ntra

cting

ag

reem

ent/

ar

rang

emen

ts

docu

men

ted

stra

tegi

es

not f

ollo

wed

APPE

ND

IX B

1: S

YSTE

MS

AND

PRO

CESS

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.2

Student Eligibility

docu

men

ted

proc

ess

for a

sses

sing

stud

ent

elig

ibili

ty

min

or o

miss

ion/

erro

rs in

do

cum

ente

d pr

oces

sdo

cum

ente

d pr

oces

s do

es n

ot c

over

all

elig

ibili

ty re

quire

men

ts

no p

roce

ss in

pla

ce

to a

sses

s el

igib

ility

of

stud

ents

2.3

Fees and Charges

fees

and

cha

rges

pu

blish

ed

fee

wai

ver/

conc

essio

n pr

oces

s do

cum

ente

d

min

or o

miss

ion/

erro

rs

in p

ublis

hed

fees

and

ch

arge

s

min

or o

miss

ion/

erro

rs

in th

e do

cum

ente

d pr

oces

s fo

r a fe

e w

aive

r/

conc

essio

n

signi

fican

t om

issio

n/er

rors

in p

ublis

hed

fees

an

d ch

arge

s

signi

fican

t om

issio

n/er

rors

in th

e do

cum

ente

d pr

oces

s fo

r a

fee

wai

ver/

conc

essio

n

fees

and

cha

rges

not

pu

blish

ed

no d

ocum

ente

d pr

oces

s fo

r a fe

e w

aive

r/co

nces

sion

2.4

Initial Skills Assessment

docu

men

ted

proc

ess/

stra

tegy

for c

ondu

cting

an

LLN

ass

essm

ent a

nd

dete

rmin

ing

the

ACSF

le

vel o

f the

stud

ent

docu

men

ted

stra

tegy

for

prov

idin

g co

ntex

tual

ised

foun

datio

n sk

ills

trai

ning

min

or o

miss

ion/

erro

rs in

doc

umen

ted

proc

ess/

stra

tegy

for

LLN

ass

essm

ent a

nd/

or c

onte

xtua

lised

fo

unda

tion

skill

s

signi

fican

t om

issio

ns

in d

ocum

ente

d pr

oces

s/st

rate

gy fo

r LL

N a

sses

smen

t and

/or

con

text

ualis

ed

foun

datio

n sk

ills

trai

ning

no d

ocum

ente

d pr

oces

s/st

rate

gy fo

r LL

N a

sses

smen

t and

/or

con

text

ualis

ed

foun

datio

n sk

ills

trai

ning

2.5

Recognition

docu

men

ted

polic

y an

d pr

oced

ure

for o

fferin

g,

asse

ssin

g an

d ap

plyi

ng

RPL

and

cred

it tr

ansf

er

min

or o

miss

ion/

erro

rs in

do

cum

ente

d po

licy

and/

or p

roce

dure

signi

fican

t om

issio

n/er

rors

in th

e do

cum

ente

d po

licy

and/

or p

roce

dure

no d

ocum

ente

d po

licy

and/

or p

roce

dure

APPE

ND

IX B

1: S

YSTE

MS

AND

PRO

CESS

EVI

DEN

CE

Com

plia

nce

findi

ng

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.6

Training Plan

docu

men

ted

proc

ess

for c

ompl

eting

and

m

aint

aini

ng a

trai

ning

pl

an

com

plia

nt tr

aini

ng p

lan

tem

plat

e

min

or o

miss

ion/

erro

rs in

do

cum

ente

d pr

oces

s

min

or o

miss

ions

/err

ors

in th

e tr

aini

ng p

lan

tem

plat

e

signi

fican

t om

issio

n/er

rors

in th

e do

cum

ente

d pr

oces

s

signi

fican

t om

issio

n/er

rors

in th

e tr

aini

ng

plan

tem

plat

e

no d

ocum

ente

d pr

oces

s

no tr

aini

ng p

lan

tem

plat

e

2.7

Training Delivery and Participation

polic

y an

d st

rate

gy

docu

men

ted

docu

men

ted

polic

y fo

r pr

ovid

ing

info

rmati

on o

n tr

aini

ng a

nd a

sses

smen

t to

eac

h st

uden

t/em

ploy

er

trai

ning

reco

rd b

ook

mee

ts A

CT re

quire

men

ts

min

or o

miss

ion/

erro

rs

in d

ocum

ente

d po

licy

and/

or st

rate

gy a

nd/o

r tr

aini

ng re

cord

boo

k

signi

fican

t om

issio

n/er

rors

in th

e do

cum

ente

d po

licy

and/

or st

rate

gy a

nd/o

r tr

aini

ng re

cord

boo

k

no d

ocum

ente

d po

licy

and/

or st

rate

gy a

nd/o

r tr

aini

ng re

cord

boo

k

2.9

Assessment

mas

ter c

opie

s of

as

sess

men

t too

ls fo

r ea

ch u

nit o

f com

pete

ncy

or c

lust

er o

f uni

ts

asse

ssm

ent t

asks

m

appe

d to

eac

h un

it of

co

mpe

tenc

y

min

or o

miss

ion

in th

e as

sess

men

t too

ls e.

g.

erro

r in

unit

code

/nam

e

min

or o

miss

ion/

erro

rs

in th

e m

appi

ng o

f as

sess

men

t tas

ks to

ea

ch u

nit o

f com

pete

ncy

signi

fican

t om

issio

n/er

rors

in th

e as

sess

men

t too

ls e.

g.

miss

ing

elem

ents

or

perf

orm

ance

crit

eria

signi

fican

t om

issio

n/er

rors

in th

e m

appi

ng

of a

sses

smen

t tas

ks to

ea

ch u

nit o

f com

pete

ncy

no m

aste

r cop

ies

of

asse

ssm

ent t

ools

no m

appi

ng o

f as

sess

men

t tas

ks to

ea

ch u

nit o

f com

pete

ncy

APPE

ND

IX B

1: S

YSTE

MS

AND

PRO

CESS

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

42.11

Issuance of Certificate or Statement of Attainment

docu

men

ted

proc

ess

for

issui

ng a

qua

lifica

tion

certi

ficat

e or

stat

emen

t of

atta

inm

ent

qual

ifica

tion

certi

ficat

e an

d st

atem

ent o

f att

ainm

ent t

empl

ates

m

eet t

he A

ustr

alia

n Q

ualifi

catio

ns

Fram

ewor

k an

d if

appl

icab

le, t

rain

ing

initi

ative

requ

irem

ents

min

or o

miss

ion/

erro

rs in

do

cum

ente

d pr

oces

s

min

or o

miss

ions

/err

ors

in th

e qu

alifi

catio

n ce

rtific

ate

and/

or

Stat

emen

t of A

ttain

men

t te

mpl

ate

signi

fican

t om

issio

n/er

rors

in th

e do

cum

ente

d pr

oces

s

no d

ocum

ente

d pr

oces

s

signi

fican

t om

issio

n/er

rors

in th

e qu

alifi

catio

n ce

rtific

ate

and/

or S

tate

men

t of

Attai

nmen

t tem

plat

e

no q

ualifi

catio

n ce

rtific

ate

and/

or S

OA

tem

plat

e


Ra

nkin

g of

stud

ent fi

le a

udit

outc

omes

is b

ased

on,

but

is n

ot li

mite

d to

, the

com

plia

nce

findi

ngs

liste

d in

the

follo

win

g ta

ble.

The

follo

win

g ta

ble

is a

guid

e on

ly a

nd s

houl

d no

t be

used

by

an R

TO a

s a

tool

to p

redi

ct th

e po

tenti

al a

udit

ratin

g.

Com

plia

nce

findi

ng

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

1.1

Promotion and Publications

info

rmati

on o

utlin

ing

subc

ontr

actin

g ar

rang

emen

ts is

pr

ovid

ed to

stud

ents

an

d, w

here

app

licab

le,

the

empl

oyer

prio

r to

final

isatio

n of

enr

olm

ent

min

or o

miss

ion

in in

form

ation

on

subc

ontr

actin

g ar

rang

emen

ts

insu

ffici

ent i

nfor

mati

on

on s

ubco

ntra

cting

ar

rang

emen

ts p

rovi

ded

to st

uden

ts a

nd, w

here

ap

plic

able

, the

em

ploy

er

info

rmati

on o

n su

bcon

trac

ting

arra

ngem

ents

is

prov

ided

to st

uden

ts

after

fina

lisati

on o

f en

rolm

ent

stud

ent,

and

whe

re a

pplic

able

, th

e em

ploy

er, i

s no

t pro

vide

d w

ith

info

rmati

on o

n su

bcon

trac

ting

arra

ngem

ents

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

1.2

Data Collection and Reporting

com

plet

ed A

VETM

ISS

com

plia

nt e

nrol

men

t fo

rm

stud

ent m

anag

emen

t sy

stem

con

tain

s fu

ll,

corr

ect a

nd c

urre

nt

AVET

MIS

S in

form

ation

trai

ning

acti

vity

ac

cura

tely

repo

rted

w

ithin

spe

cifie

d tim

efra

mes

AVET

ARS

stud

ent r

ecor

d cr

eate

d aft

er e

ligib

ility

re

quire

men

ts h

ave

been

m

et a

nd th

e st

uden

t has

ac

cept

ed th

e en

rolm

ent

NO

B ac

cept

ed w

ithin

14

days

of n

otific

ation

omiss

ion

of A

VETM

ISS

data

col

lect

ed o

n th

e en

rolm

ent f

orm

or S

MS

is le

ss th

an 2

0% (i

.e. 3

ou

t of 1

8 qu

estio

ns)

min

or o

miss

ion/

erro

rs in

re

port

ed in

form

ation

NO

B no

t acc

epte

d w

ithin

14

days

of

notifi

catio

n

omiss

ion

of A

VETM

ISS

data

col

lect

ed o

n en

rolm

ent f

orm

or

stud

ent m

anag

emen

t sy

stem

and

/or i

n re

port

ed in

form

ation

ex

ceed

s 20

% (i

.e. 4

or

mor

e qu

estio

ns)

inco

rrec

t, in

accu

rate

AV

ETM

ISS

data

/rec

ords

stud

ent e

nrol

men

t for

m

not s

igne

d an

d/or

dat

ed

repo

rting

doe

s no

t m

eet A

dmin

istra

tive

Arra

ngem

ents

stud

ent c

ompl

etion

/ca

ncel

latio

n no

t re

port

ed w

ithin

requ

ired

timel

ines

enro

lmen

t for

m n

ot

com

plet

ed d

urin

g th

e en

rolm

ent p

roce

ss

no e

nrol

men

t for

m

AVET

MIS

S da

ta n

ot

colle

cted

or r

ecor

ded

in

an A

VETM

ISS

com

plia

nt

stud

ent m

anag

emen

t sy

stem

AVET

ARS

stud

ent

reco

rd c

reat

ed p

rior

to o

btai

ning

a v

alid

en

rolm

ent

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

1.3

Records Management

com

plet

e, a

ccur

ate

and

curr

ent s

tude

nt fi

le

reco

rds

esta

blish

ed

stud

ent fi

le re

cord

s ar

e in

com

plet

e an

d/or

in

accu

rate

and

/or n

ot

curr

ent

a st

uden

t file

reco

rd h

as

not b

een

esta

blish

ed

stud

ent n

ot e

nrol

led

in

SMS

no re

cord

s

2.1

RTO Eligibility

stud

ents

are

tran

sfer

red

to n

ew/r

epla

cem

ent

qual

ifica

tion

with

in th

e ap

prov

ed tr

ansiti

on

timef

ram

e

stud

ents

, em

ploy

ers

and

othe

r sta

keho

lder

s ad

vise

d ho

w tr

aini

ng

pack

age

chan

ges

impa

ct

on th

eir e

nrol

men

t

stud

ent i

ssue

d w

ith

Stat

emen

t of A

ttain

men

t w

hen

RTO

cea

ses

trai

ning

del

iver

y

trai

ning

pac

kage

ch

ange

s no

t disc

usse

d/no

tified

to e

mpl

oyer

and

ot

her s

take

hold

ers

trai

ning

pac

kage

ch

ange

s no

t disc

usse

d/no

tified

to st

uden

t

varia

tion

to tr

aini

ng

cont

ract

is n

ot

subm

itted

prop

osed

tran

sition

ar

rang

emen

ts a

nd/

or a

stat

us re

port

no

t pro

vide

d to

the

Dire

ctor

ate

whe

n RT

O

ceas

es d

eliv

ery

stud

ent i

s no

t tr

ansf

erre

d to

ne

w/r

epla

cem

ent

qual

ifica

tion

befo

re

tran

sition

per

iod

laps

ed

stud

ent i

s no

t iss

ued

with

Sta

tem

ent o

f Att

ainm

ent w

ithin

30

days

of R

TO c

easin

g tr

aini

ng d

eliv

ery

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.2

Student Eligibility

elig

ible

stud

ents

en

rolle

d

evid

ence

of e

ligib

ility

co

llect

ed p

rior t

o fin

alisa

tion

of e

nrol

men

t

elig

ibili

ty re

quire

men

ts

met

afte

r the

fina

lisati

on

of e

nrol

men

t

evid

ence

of e

ligib

ility

co

llect

ed a

fter

final

isatio

n of

enr

olm

ent

inel

igib

le st

uden

t en

rolle

d

no e

vide

nce

of e

ligib

ility

elig

ibili

ty e

vide

nce

reco

rds

do n

ot s

atisf

y al

l el

igib

ility

requ

irem

ents

2.3

Fees and Charges

corr

ect f

ees

and

char

ges

colle

cted

fees

and

cha

rges

reco

rds

reta

ined

com

pleti

on p

aym

ent

elig

ibili

ty in

form

ation

pr

ovid

ed to

stud

ents

pr

ior t

o en

rolm

ent

Dire

ctor

ate

notifi

ed o

f ne

gotia

ted

fee

(AA

only

)

evid

ence

sup

porti

ng

fee

wai

ver/

conc

essio

n is

not o

btai

ned

prio

r to

final

isatio

n of

enr

olm

ent

stud

ents

pro

vide

d w

ith

com

pleti

on p

aym

ent

elig

ibili

ty in

form

ation

aft

er e

nrol

men

t

min

or o

miss

ion/

erro

rs in

in

form

ation

pro

vide

d to

st

uden

ts

nego

tiate

d fe

e no

t noti

fied

to th

e Di

rect

orat

e w

ithin

the

requ

ired

timef

ram

e

insu

ffici

ent r

ecor

ds o

f fe

e co

llecti

on /

wai

vers

/ ex

empti

ons

stud

ents

cha

rged

in

corr

ect f

ees

fee

info

rmati

on n

ot

prov

ided

to st

uden

ts

prio

r to

enro

lmen

t

com

pleti

on p

aym

ent

elig

ibili

ty in

form

ation

no

t pro

vide

d to

stud

ents

nego

tiate

d fe

e no

t noti

fied

to th

e Di

rect

orat

e

signi

fant

om

issio

n/er

rors

in

info

rmati

on p

rovi

ded

to st

uden

ts

no re

cord

s of

fee

colle

cted

/ w

aive

rs /

exem

ption

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.4

Initial Skills Assessment

initi

al s

kills

ass

essm

ent

cond

ucte

d an

d ev

iden

ce

reta

ined

inco

mpl

ete

info

rmati

on

in th

e in

itial

ski

lls

asse

ssm

ent e

.g. f

ull

nam

e m

issin

g, n

ot

signe

d

LLN

ski

lls a

sses

smen

t do

es n

ot in

clud

e a

lang

uage

or l

itera

cy o

r nu

mer

acy

com

pone

nt

ACSF

leve

l not

de

term

ined

prio

r to

com

men

cem

ent o

f tr

aini

ng

initi

al s

kills

ass

essm

ent

does

not

cov

er a

ll el

emen

ts: o

miss

ion

of R

PL/C

T, L

LN o

r ad

ditio

nal s

uppo

rt

need

s as

sess

men

t

initi

al s

kills

ass

essm

ent

not c

ondu

cted

and

/or

doc

umen

ted

prio

r to

com

men

cem

ent o

f tr

aini

ng

initi

als

skill

s as

sess

men

t no

t dat

ed

whe

re re

quire

d, a

ction

s or

stra

tegi

es to

add

ress

st

uden

t nee

ds h

ave

not

been

iden

tified

LLN

ass

essm

ent r

esul

t is

not a

ligne

d w

ith th

e AC

SF

ACSF

leve

l 1-5

is n

ot

reco

rded

on

the

initi

al

skill

s as

sess

men

t

foun

datio

n sk

ills

and/

or

deliv

ery

deta

ils o

mitt

ed

from

trai

ning

pla

n

initi

al s

kills

ass

essm

ent

not c

ondu

cted

or

docu

men

ted

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.5

Recognition

offer

and

ass

essm

ent

of R

PL/C

T re

cord

ed a

nd

evid

ence

reta

ined

insu

ffici

ent i

nfor

mati

on

prov

ided

to st

uden

tsin

suffi

cien

t rec

ords

of

CT o

r RPL

out

com

es

reta

ined

inac

cura

te d

ates

re

port

ed fo

r RPL

/CT

units

aw

arde

d

whe

re st

uden

t al

read

y ho

lds

80%

or

mor

e of

the

requ

ired

com

pete

ncie

s, e

vide

nce

of d

ecisi

on to

con

tinue

in

enr

olle

d qu

alifi

catio

n no

t doc

umen

ted

and/

or

reta

ined

reco

gniti

on n

ot o

ffere

d or

val

id e

vide

nce

not

acce

pted

by

RTO

inco

rrec

t rec

ordi

ng a

nd

repo

rting

of R

PL/C

T ou

tcom

es

reco

gniti

on re

cord

s no

t re

tain

ed

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.6

Training Plan (continues next page)

com

plia

nt tr

aini

ng p

lan

reta

ined

on

file

min

or o

miss

ions

/err

ors

in o

ne o

r mor

e of

the

follo

win

g: q

ualifi

catio

n de

tails

, stu

dent

det

ails,

em

ploy

er d

etai

ls, R

TO

deta

ils, t

ype

of A

A on

th

e tr

aini

ng p

lan

min

or e

rror

s in

uni

t co

de/s

and

/or ti

tle/s

i.e

. err

or in

uni

t cod

es/

nam

es, u

nit v

ersio

ns

inco

rrec

tly id

entifi

ed

min

or o

miss

ions

/er

rors

in th

e tr

aini

ng

deliv

ery

info

rmati

on

i.e. s

tart

/end

dat

es

miss

ing

for s

ome

units

, id

entifi

catio

n of

RPL

/CT,

fo

unda

tion

skill

s tr

aini

ng

com

men

cem

ent

date

reco

rded

on

trai

ning

pla

n is

not

cons

isten

t with

act

ual

com

men

cem

ent o

f tr

aini

ng

trai

ning

pla

n in

cons

isten

t with

sp

ecifi

catio

ns

signi

fican

t om

issio

ns/

erro

rs in

info

rmati

on i.

e.

inco

rrec

t uni

ts, w

rong

qu

alifi

catio

n, fo

unda

tion

skill

s tr

aini

ng,

inco

mpl

ete

trai

ning

and

as

sess

men

t str

ateg

y

trai

ning

pla

n no

t sig

ned

or d

ated

by

the

stud

ent

and/

or R

TO a

nd/o

r em

ploy

er

trai

ning

pla

n ag

reem

ent

decl

arati

on is

unc

heck

ed

trai

ning

pla

n no

t com

plet

ed

prio

r to

trai

ning

co

mm

ence

men

t; or

w

ithin

8 w

eeks

of

NO

B or

cre

ation

of t

he

AVET

ARS

stud

ent r

ecor

d

trai

ning

pla

n no

t pr

ovid

ed to

stud

ent

or e

mpl

oyer

with

in

requ

ired

timef

ram

e

trai

ning

pla

n no

t co

mpl

eted

trai

ning

pla

n no

t co

mpl

eted

for u

pdat

ed,

new

or r

epla

cem

ent

qual

ifica

tion

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.6

Training Plan (continued)

trai

ning

/ass

essm

ent

met

hods

iden

tified

are

no

t con

siste

nt w

ith

trai

ning

del

iver

ed a

nd

asse

ssm

ent c

ondu

cted

revi

sed

trai

ning

pla

n is

not c

onsis

tent

with

sp

ecifi

catio

ns

core

and

/or e

lecti

ve

units

not

iden

tified

evid

ence

of t

rain

ing

plan

am

endm

ents

not

re

tain

ed

amen

dmen

ts to

trai

ning

pl

ans

have

not

bee

n do

cum

ente

d an

d /o

r ag

reed

by

all p

artie

s

none

or n

ot a

ll el

emen

ts

of th

e em

ploy

er c

apac

ity

to s

uppo

rt tr

aini

ng h

ave

been

che

cked

empl

oyer

cap

acity

as

sess

men

t con

duct

ed

after

com

pleti

on o

f the

tr

aini

ng p

lan

issue

s not

noti

fied

to th

e Di

rect

orat

e w

ithin

the

requ

ired

timef

ram

e

trai

ning

pla

n no

t re

view

ed a

nd/o

r up

date

d w

ithin

the

requ

ired

timef

ram

e

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.7

Training Delivery and Participation (continues on next page)

trai

ning

com

men

ces

with

in th

e pr

escr

ibed

tim

efra

me

trai

ning

and

ass

essm

ent

info

rmati

on, t

rain

ing

mat

eria

ls an

d th

e tr

aini

ng re

cord

boo

k ar

e pr

ovid

ed w

ithin

the

pres

crib

ed ti

mef

ram

e

trai

ning

del

iver

y is

supp

orte

d by

evi

denc

e of

par

ticip

ation

min

or o

miss

ion/

erro

rs in

ev

iden

ce o

f par

ticip

ation

re

cord

s e.

g. e

rror

in u

nit

code

/nam

e

trai

ning

del

iver

ed is

no

t con

siste

nt w

ith th

e de

liver

y st

rate

gy a

nd/o

r tr

aini

ng in

itiati

ve a

nd/o

r tr

aini

ng p

lan

prov

ision

of t

rain

ing

and

asse

ssm

ent i

nfor

mati

on

and/

or is

suan

ce o

f tr

aini

ng m

ater

ials/

trai

ning

reco

rd b

ook

not

docu

men

ted

or re

tain

ed

inco

mpl

ete

or s

igni

fican

t om

issio

n in

evi

denc

e of

par

ticip

ation

reco

rds

e.g.

stud

ent a

nd/o

r un

it an

d/or

dat

e no

t id

entifi

ed

units

of c

ompe

tenc

y w

ith a

n el

apse

d tim

e of

del

iver

y of

mor

e th

an o

ne m

onth

are

no

t sup

port

ed b

y tw

o po

ints

of e

vide

nce

of

parti

cipa

tion

trai

ning

has

not

co

mm

ence

d w

ithin

the

pres

crib

ed ti

mef

ram

e

trai

ning

and

ass

essm

ent

info

rmati

on a

nd/o

r tr

aini

ng m

ater

ials

and/

or

trai

ning

reco

rd b

ook

not

prov

ided

to th

e st

uden

t an

d/or

em

ploy

er

no e

vide

nce

of

parti

cipa

tion

for l

ess

than

100

% o

f com

plet

ed

or w

ithdr

awn

units

trai

ning

is n

ot in

ac

cord

ance

with

th

e re

leva

nt tr

aini

ng

pack

age

no e

vide

nce

of

parti

cipa

tion

reco

rds

for

100%

of c

ompl

eted

or

with

draw

n un

its

paym

ent c

laim

s ar

e no

t su

ppor

ted

by e

vide

nce

of p

artic

ipati

on

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.7

Training Delivery and Participation (continued)

trai

ning

mat

eria

ls an

d/or

tr

aini

ng re

cord

boo

k no

t pr

ovid

ed to

the

stud

ent

and/

or e

mpl

oyer

w

ithin

the

pres

crib

ed

timef

ram

e

trai

ning

reco

rd b

ook

does

not

mee

t ACT

sp

ecifi

catio

ns

empl

oyer

sol

ely

resp

onsib

le fo

r de

liver

ing

mor

e th

an

half

of th

e se

lect

ed u

nits

empl

oyer

trai

ning

de

liver

y no

t sup

port

ed

by th

e RT

O

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.8

Support and Monitoring (continued on next page)

stud

ent p

rogr

ess

regu

larly

mon

itore

d,

supp

orte

d an

d do

cum

ente

d

empl

oyer

s an

d th

e Di

rect

orat

e no

tified

of

any

issu

es th

at m

ay

impa

ct o

n a

succ

essf

ul

outc

ome

reco

rds

that

sup

port

th

e pr

ovisi

on o

f fun

ded

addi

tiona

l sup

port

se

rvic

es a

re re

tain

ed

min

or o

miss

ion/

erro

rs in

co

ntac

t rec

ords

min

or o

miss

ion

in

addi

tiona

l sup

port

fu

ndin

g an

d/or

wra

p ar

ound

ser

vice

s an

d/or

wor

k ex

perie

nce

plac

emen

t rec

ords

cont

act w

ith th

e AA

ex

ceed

s re

quire

d tim

efra

me

by 1

mon

th

insu

ffici

ent r

ecor

ds o

f vi

sits/

cont

acts

and

/or

addi

tiona

l sup

port

cont

act w

ith th

e AA

ex

ceed

s re

quire

d tim

efra

me

by 2

- 3

mon

ths

cont

act w

ith th

e AA

em

ploy

er e

xcee

ds

requ

ired

timef

ram

e by

6 -

8 m

onth

s

reco

rds

of v

isits

/co

ntac

ts a

re n

ot s

igne

d or

ver

ified

by

RTO

re

pres

enta

tive

reco

rds

do n

ot d

etai

l iss

ues

disc

usse

d an

d/or

ou

tcom

e ac

hiev

ed

insu

ffici

ent r

ecor

ds to

su

ppor

t pro

visio

n of

fu

nded

wra

p ar

ound

se

rvic

es a

nd/o

r wor

k ex

perie

nce

plac

emen

t re

cord

s (in

clud

ing

Wor

k Ex

perie

nce

Plac

emen

t Ag

reem

ent)

cont

act w

ith th

e AA

ex

ceed

s th

e re

quire

d tim

efra

me

by 4

mon

ths

or m

ore

cont

act w

ith th

e AA

em

ploy

er e

xcee

ds th

e re

quire

d tim

efra

me

by 9

m

onth

s or

mor

e

reco

rds o

f visi

ts/c

onta

cts

are

not d

ated

no re

cord

s to

sup

port

th

e pr

ovisi

on o

f fun

ded

addi

tiona

l sup

port

and

/or

wra

p ar

ound

ser

vice

s an

d/or

wor

k ex

perie

nce

plac

emen

t (in

clud

ing

Wor

k Ex

perie

nce

Plac

emen

t Agr

eem

ent)

no re

cord

s of

sup

port

an

d m

onito

ring

for t

he

AA

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.8

Support and Monitoring (continued)

AAs

acce

ss to

min

imum

co

ntra

ct h

ours

for

unde

rtak

ing

stru

ctur

ed

trai

ning

and

ass

essm

ent

is no

t mon

itore

d by

the

RTO

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

42.9

Assessmentco

mpl

eted

ass

essm

ent

item

s an

d re

cord

s ar

e re

tain

ed

up to

dat

e su

mm

ary

asse

ssm

ent r

ecor

ds

iden

tify

prog

ress

aga

inst

ea

ch u

nit o

f com

pete

ncy

min

or o

miss

ion

in th

e as

sess

men

t too

ls i.e

. er

ror i

n un

it co

de/n

ame

asse

ssm

ent m

etho

ds a

re

not c

onsis

tent

with

the

trai

ning

pla

n

min

or o

miss

ion

in

sum

mar

y as

sess

men

t re

cord

misu

sed

or in

com

plet

e as

sess

men

t too

ls an

d/or

re

cord

s

insu

ffici

ent a

sses

smen

t ev

iden

ce

asse

ssm

ent t

ool u

nit/

resu

lt da

te d

oes

not

mat

ch re

port

ed u

nit/

resu

lt da

te

no e

vide

nce

of

enga

gem

ent a

nd

supp

ort o

f com

pete

nce

from

the

empl

oyer

at

the

unit

leve

l

signi

fican

t om

issio

n in

su

mm

ary

asse

ssm

ent

reco

rd

asse

ssm

ent p

racti

ces/

tool

s in

cons

isten

tly

appl

ied

final

agr

eem

ent i

s no

t sig

ned

and

or d

ated

by

all r

equi

red

parti

es

final

agr

eem

ent

exec

uted

afte

r qu

alifi

catio

n iss

uanc

e

no e

vide

nce

of

an u

nder

pinn

ing

know

ledg

e or

pra

ctica

l sk

ills

asse

ssm

ent

no e

vide

nce

of a

fin

al a

gree

men

t tha

t co

mpe

tenc

e ha

s be

en a

chie

ved

in th

e w

orkp

lace

bef

ore

the

qual

ifica

tion

has

been

iss

ued

RTO

una

ble

to p

rodu

ce

sum

mar

y as

sess

men

t re

cord

no e

vide

nce

of

asse

ssm

ent

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Co

mpl

ianc

e fin

ding

Com

plia

ntM

inor

non

-com

plia

nce

Mod

erat

e no

n-co

mpl

ianc

eM

ajor

non

-com

plia

nce

Criti

cal n

on-c

ompl

ianc

e

01

23

4

2.10

Completion

stud

ent c

ompl

etion

s re

port

ed a

ccur

atel

ym

inor

om

issio

n/er

rors

in

dat

a en

try

i.e. e

rror

in

unit

code

/nam

e

repo

rted

info

rmati

on is

in

corr

ect,

inac

cura

te o

r no

t cur

rent

stud

ent c

ompl

etion

not

re

port

ed d

ue to

non

-pa

ymen

t of f

ees

2.11

Issuance of Qualification Certificate and Statement of Attainment

AQF

and

ACT

com

plia

nt

qual

ifica

tion

certi

ficat

es/

stat

emen

ts o

f att

ainm

ent i

ssue

d w

ithin

th

e re

quire

d tim

efra

me

and

evid

ence

reta

ined

com

plia

nt s

uppo

rting

st

atem

ent i

ssue

d fo

r ap

pren

tices

min

or o

miss

ion/

erro

rs in

th

e AQ

F w

ordi

ng o

n th

e qu

alifi

catio

n ce

rtific

ates

/st

atem

ent o

f atta

inm

ent

i.e. w

ord

miss

ing

inco

rrec

t res

ult r

ecor

ded

on ‘r

ecor

d of

resu

lts’

qual

ifica

tion

certi

ficat

e/st

atem

ent o

f atta

inm

ent

is no

t AQ

F co

mpl

iant

supp

ortin

g st

atem

ent

requ

irem

ents

not

met

erro

r in

date

-dee

med

-co

mpe

tent

inco

rrec

t uni

t/s

of

com

pete

ncy

iden

tified

on

qua

lifica

tion

certi

ficat

e/st

atem

ent o

f att

ainm

ent

inco

rrec

t qua

lifica

tion

issue

d i.e

. inc

orre

ct

qual

ifica

tion

code

/nam

e

qual

ifica

tion

certi

ficat

e/st

atem

ent o

f atta

inm

ent

not i

ssue

d w

ithin

re

quire

d tim

efra

me

qual

ifica

tion

certi

ficat

e/

tate

men

t of a

ttain

men

t/su

ppor

ting

stat

emen

t no

t iss

ued

APPE

ND

IX B

2: S

TUD

ENT

FILE

EVI

DEN

CE


Further information can be found on the Chief Minister, Treasury and Economic Development Directorates’s website athttp://www.cmtedd.act.gov.au/skillscanberra

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