​​​​​​​​​​​​​​​​​​​​​​​Compliance audits

The Department of Employment, Small Business and Training undertakes compliance audits against the departmental funding programs outlined in the Annual VET Investment Plan, including User Choice, Certificate 3 Guarantee and Higher Level Skills, to determine if the pre-qualified supplier is satisfactorily addressing the requirements of its PQ​S agreement.

By entering into a PQS agreement, the supplier commits to meet its 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 department
  • providing the department and its auditors with access to all information requested for the purpose of conducting an audit and/or confirming compliance.

Evidence requirements

Ongoing compliance audits are conducted throughout the year. Please refer to the evidence requirements below for information on how to assist your organisation in addressing compliance.

For a list of changes from the last version of the evidence requirements, please refer to VET Investment and User Choice evidence requirement changes 2017-18 (PDF, 538KB)​ – effective 26 March 2018.​​

Read frequently asked questions​ to learn more about the evidence requirements.​

Compliance​​ audit templates

To allow for transparency within the audit process, pre-qualified suppliers are provided with a copy of the audit report template related to the program being audited as well as a copy of the Validation of Opening and Exit Interview document when a notification of compliance audit is issued.

Compliance audit webinars

Webinar recordings, transcripts and frequently asked questions provide pre-qualified suppliers with more information on PQS compliance, the audit process and what auditors are looking for when conducting audits.

Webinar topics​​

​ Webinar slides

​ Webinar transcripts

​​​​​​​Summary of questions asked during the webinar​​

User Choice compliance audit information session -Training and assessment evidence requirementsUser Choice compliance audit information session - Training and assessment evidence requirements webinar slides (PDF, 503KB or PPTX, 1.5MB)User Choice compliance audit information session - Training and assessment evidence requirements webinar transcript (PDF, 236KB or DOCX, 757KB)User Choice compliance audit information session - Training and assessment evidence requirements frequently asked questions (PDF, 162KB or DOCX, 720KB)

Disclaimer: The Department of Employment, Small Business and Training was recently established. Publications will be updated with its new name in the future.​​

Licence
Creative Commons Attribution 3.0 Australia (CC BY 3.0) (https://creativecommons.org/licenses/by/3.0/au/ )
Last updated
14 March 2018