Compliance system

The compliance system below represents an annual cycle of activities. It is the same whether a course is offered by the centre or by an auspicee.


Time Activity Requirements addressed How documented
Beginning of year Staff The staff documents must be current*:
• Staff form ("Approval to deliver")
• Training quals
• PD in training and assessment
• Industry quals & currency
Currently a word processor form with emailed documents as enclosures.
Training and Assessment Strategy form (TAS) must be current.*
  1. Info for prospective students
    1. Qualification title and selection of units (with codes)
    2. Advertising
    3. Purpose
    4. Target population
    5. Delivery type
    6. Assessment type
    7. Work placement
    8. Where offered
    9. How long?
    10. Schedule
  2. Selection of staff
  3. Info for staff/enrolled students
  4. Industry consultation
  5. Compliance info.
Currently a word processor form with emailed documents as enclosures
(Intended that it will become an online form and uploaded documents to assure that the current form is used with currect version of package)
Outputs to public website
Equipment check (must be done on-site by inependent party)   Checklist form
Admissions The admission processes were correctly followed. Checklist form
Through the year Visits   Form with checklist
Audits**   Audit form and supporting documents
Audits of websites   Report
Staff PD   PD records
Validate all assessment judgements and propose improvements:
• Validate assessment tools. This should be only a compliance check and update if no changes needed.
• Validate assessment judgements every year for units where assessments were done.


Validation forms
End of course Gather student feedback Student feedback Student feedback forms
Continual improvement Continual improvement Any document, e.g. Minutes of review meetings, validation of assessment judgements, revised documents.

* "Current" means that it is up to date. Except for new programs and new staff, it does not mean that it needs to be re-written from scratch at the beginning of the year.
** ACAS may choose to do spot audits if it sees a need. ACAS may choose not to require an audit if ASQA has audited the site or if the site has had no students and no advertising.

Antipated changes

ACAS will field-test a new audit procedure, to be run more like a workshop than an inspection.

Validations of assessment

ACAS validates every qualification on its scope every year. The current practice is that it is done on site using the ACAS forms and led by a representative of the ACAS center. They may involve external people in order to have a person who was not not directly involved in the particular instance of delivery and assessment. Actions follow the procedure on the form.


  1. Records of uploaded data
  2. General policies
  3. Coordinate audits and audit records
  4. Available to answer auspicee’s questions
  5. Finance
    1. Treasurer to monitor cashflow, business ratios, bad/slow debts.
    2. DGR compliance

Tasks often done on a site visit

  1. Check for changes and adequacy:
    1. Delivery and assessment materials
    2. Equipment
    3. Staff
  2. Staff qualifications
  3. PD logbooks
  4. Inductions of students and staff
  5. Audits or partial audits
  6. Ensuring staff have any resources they need
  7. Answer any questions
  8. View actual operations
  9. Check that all parties are satisfied with the training.
  10. Answer any questions