5Rationale#

Under statutory requirements, RTOs are required to retain training and assessment documentation for six months (and as may be specified by a relevant body in certain circumstances, described in Section 28 (1) of the NVR Act, described below in Clause 5.1 c). However, departmental requirement for candidates of Traffic Control and Traffic Management Implement are that they renew their qualifications every three years. Under the department’s RTO Regulatory Framework, an RTO’s past performance may be reviewed as part of their application for a licence renewal, during the department’s audit processes, or in response to other exceptional and unforeseen circumstances. Consequently, the department may require evidence to be presented by RTOs which dates beyond the statutory six month time period, up to four years post student enrolment period (or longer if the individual RTO deems it necessary according to their own risk assessment).

The requirement by the department for licensees to maintain specified records for a minimum four years is:

• supported by the National Vocational Education and Training Regulator Act 2011 (NVR Act)
• aligned to the State of Queensland (represented by the Department of Transport and Main Roads) Licence Agreement for the Delivery of the Approved Programs, and
• assists the department to comply with its RTO Regulatory Governance Framework.

Each of the relevant components from these three areas of governance is listed below.

5.1National Vocational Education and Training Regulator Act 2011 (NVR Act)#

All RTOs in Australia are responsible for ensuring they fully comply with the Standards at all times as a condition of their registration. The National Vocational Education and Training Regulator Act 2011 (NVR Act) articulates record retention and management standards which all RTOs must comply with from a national perspective.

The applicable Standards relating to records retention and management for departmental purposes are as follows:

1. a)Standard 3. The RTO issues, maintains and accepts Australian Qualifications Framework (AQF) certification documentation in accordance with these Standards and provides access to learner records.
2. b)Standard 8. The RTO cooperates with the VET regulator and is legally compliant at all times. RTOs need to comply with the requirements of the RTO standards as well as other relevant Commonwealth, State and Territory legislation.
3. c)Section 28 (1) of the NVR Act.

General direction under Section 28 (1) states:

‘An RTO is required to securely retain, and be able to produce in full at audit if requested to do so, all completed student assessment items for each student for a period of six months from the date on with the judgement of competence was made’.

Qualifications, courses or units of competency that lead to regulated/licenced outcomes may also impose specific records retention requirements. RTOs should refer to specific regulatory requirements relating to that delivery area to ensure compliance.

5.2State of Queensland (represented by the Department of Transport and Main Roads) Licence Agreement for the Delivery of the Approved Programs#

From the department’s licence agreement, Clause 13 Approved Program Records and Documents states:

13.1. The licensee will maintain all records of assessment including:

• enrolment forms
• Training and Assessment Documents, and must maintain such records in accordance with the timeframes for retention in the department’s Records Management Policy as notified by the department from time to time, and the Australian Skills Quality Authority.

In this case, the department have used the word ‘policy’ to describe the document that will specify the department’s timeframes for record retention for licensees.

5.3The department’s RTO Regulatory Framework#

The department has in place an RTO Regulatory Framework, which outlines the standards, systems and processes by which the licensees and training programs are managed. This framework ensures transparent, consistent and robust governance across the delivery of the approved training programs.

This framework consists of four areas: registration, compliance, process management and risk management.

The department may require access to records dating back to four years as part of enacting a range of standard governance processes under this framework.