Student file compliance review instruction

Instruction statement

This instruction is designed to outline the process for the Student File Compliance Review (SFCR).

The purpose of the review is to:

  • ensure that the Student files for students who are enrolled in government-subsidised training are maintained in accordance with the Creation and maintenance of academic student files procedure, and
  • support the annual Department of Education and Early Childhood (DEECD) ‘Internal Audit Checklist’ self-assessment process that is required by the VET Funding Contract (Dual Sector).

Scope

As a contracted provider in receipt of government funding, RMIT University must abide by the Terms and Conditions of the VET Funding Contract (Dual Sector). The VET Funding Contract sets standards of behaviour and prescribes minimum requirements for RMIT University practice in the delivery of training services.

RMIT University has an obligation to meet the following requirements:

  • maintain registration as a registered training organisation and deliver nationally registered training;
  • comply with the Australian Quality Framework (AQF) or Standards for National VET Regulator (NVR) and comply with all applicable laws and regulations;
  • meet all requirements in relation to determining student eligibility, completing student enrolments, imposing and collecting fees, applying fee concessions and waivers and collecting and maintaining evidence of student participation;
  • for monitoring purposes, make monthly reports to the Higher Education and Skills Group (HESG) DEECD in compliance with the Victorian VET Student Statistical Collection Guidelines;
  • participate in audits as required by DEECD and rectify any non-compliances that are identified.

Exclusions

This instruction is only relevant to VET government-subsidised training and excludes all other cohorts.

Instruction steps and actions

Instruction (including key points)

Responsibility

Timeline

Planning

Develop a plan for the student file compliance review, include key dates for each step/action and a schedule for when colleges/schools will conduct their review of student files.

Provide this information to Global Quality Regulation and Compliance Group (GQRCG) and Office of Executive Director Vocational Education (OEDVE).



ARG



January - Feburary

Notification of the Student File Compliance Review

Send a formal communication to all stakeholders advising of the Student File Compliance Review including the key dates, review parameters and a copy of the Student Audit File Checklist.


OEDVE (2014)

GQRCG (2015)


February

Entry (briefing) meeting

Arrange a briefing with ARG. (The Academic Registrar’s Group is available to provide briefings for schools/colleges to explain the process, what is required and how to use the checklist to prepare a student audit file. )

Recommended attendees - program leaders, academic services coordinators, Deputy Heads Learning and Teaching, College representatives, staff involved in quality assurance and compliance.

Inform GQRCG of any briefing meetings that are booked.



Head of School



ARG




February-March

Generate review sample

Generate a statistically valid sample and provide to ARG, based on current government-subsidised training profile. Sample needs to identify a representative proportion of vocational education (VE) programs to be included in the review, including a mix of P-Profile and L-Profile programs, concessions, special initiatives. The sample shall only include confirmed students and will be limited to reported delivery from previous calendar year and current calendar year enrolments.



Statistics and Reporting Unit (SRU)



March

Select student files for review

Based on the programs identified by SRU, select two student files for each program being reviewed. Factors to consider when selecting the student files include:

  • recent results;
  • enrolment status;
  • RPL and
  • any anomalies in the enrolment record


ARG



March

Communicate student files for review

Provide the college/school with the list of student numbers that have been selected for the review and access to the review tool (online).

Colleges will then have 48 hours to prepare their student audit files. (Note that for an external audit RMIT is given only 24 hours notice by the auditors.)

Advise GQRGC once this communication has been sent.




ARG




March

Review student files

Each school must prepare a Student audit file for each of the selected student files using the Student file audit Checklist (DOCX 296 KB, 2p).

This must be completed within a 48 hour period and the Student audit files delivered to ARG ready for validation.


School/college staff responsible for program administration and quality


March

Validation of the Review

For each Student audit file, ARG (or ARG-authorised college staff) will validate that the evidence supplied meets contractual requirements. The validating officer may request that schools provide additional evidence.



ARG



April

Record keeping of Student audit file

ARG returns Student audit file to school. School stores Student audit file for a minimum of 12 months in the same location as the main Student file.



ARG

School



May

College/School exit meeting

Request a meeting with ARG to receive a report on outcomes and recommendations that will assist the School/College to prepare for an external audit.

Heads of School

May

Ideally before the external audit.

Communicate results

Report the results of the SFCR to GQRCG for inclusion in DEECD Internal Audit Checklist.

Provide a copy of the report to Office of Executive Director Vocational Education, PVCs, Director, Internal Audit and Risk Management and VET Committee.



ARG



May

Internal audit checklist

Update the DEECD Internal Audit Checklist and Rectification Plan accordingly.

Recommend changes to University policy and procedures if relevant.

Identify any further actions that schools need to undertake.



GQRCG (2015)



June

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