WORK INSTRUCTION 2: CONTROL OF RECORDS

AUSTRALIAN ULTIMATE TRAINING COLLEGE PTY LTD

Suite 201, 11 Spring Street Chatswood, NSW 2067

Policy and Procedures Manual

Work Instruction 2

Control of Records

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TABLE OF CONTENTS

TABLE OF CONTENTS.....................................................................................................................3
CONTROL OF RECORDS POLICY..................................................................................................4
1. PURPOSE AND SCOPE............................................................................................................4
2. GENERAL STORAGE REQUIREMENTS..................................................................................4
3. PRIVACY AND CONFIDENTIALITY...........................................................................................4
4. STUDENT RECORDS................................................................................................................5
5. COMPLETED ASSESSMENT ITEMS........................................................................................5
6. STAFF RECORDS......................................................................................................................6
7. DATABASE MANAGEMENT......................................................................................................6
8. EXTERNAL REPORTING REQUIREMENTS.............................................................................6
9. ARCHIVING RECORDS.............................................................................................................6
10. BACKUP OF RECORDS.........................................................................................................7
11. DESTRUCTION OF RECORDS.............................................................................................7
12. LOCATING RECORDS IN THE EVENT OF CLOSURE.........................................................7
13. REGISTER OF RECORDS.....................................................................................................8

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CONTROL OF RECORDS POLICY

Australian Ultimate Training College Pty Ltd will maintain all records
necessary to demonstrate the effective operation of our management and
safety systems for all accredited and endorsed training courses.

Our records management system will demonstrate that the quality of our
training and assessment meets training package requirements.

All student information is confidential and may only be made available to

the student themselves, or a person authorised by them or to a legal
authority on request.

1. PURPOSE AND SCOPE

1.1 This procedure applies to all the records that are used to demonstrate compliance with the
Standards for Registered Training Organisations (RTOs) 2015 as listed in the retention
schedule included in the Register of Records at the end of this document.

1.2 Each of the records is the responsibility of the personnel listed on the retention schedule.

2. GENERAL STORAGE REQUIREMENTS

2.1 All records are kept secure and all confidential information is safeguarded.

2.2 Hard copies of all records are kept under lock and key and digital records are password
protected where required.

2.3 Student records of competency determination as well as enrolment data are to be retained
in the relevant course and/or student file.

2.4 Personal records of staff are kept in a personal file with validated copies of qualifications
and resume.

3. PRIVACY AND CONFIDENTIALITY

3.1 Information about students and staff is confidential with controlled access. This means that
soft data is controlled using passwords and hard copies are kept under lock and key with
limited access by office workers being allowed because the filing cabinets are in the office.

3.2 Information is not disclosed to any third party without the formal, written approval of the
person whose records are to be accessed.

3.3 However, students are aware that their personal file and all associated data may be made
available to an approved officer from any government agency or when required under a
direction by a court of Australia without their consent being obtained. When enrolling,
students sign a confidentiality waiver to allow government authorities access their academic
and personal details on demand.

3.4 Staff and students both have the right of access to their own personal file and members of
either of these groups may request access to their file with 1 days’ notice. Although not

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mandatory, some advice as to the specific aspect of the records to be accessed or the
purpose of such access is helpful.

3.5 Students and staff members are required to contact the Administration Manager if they
seek access to their personal file and provide an email or other written request to access
their records.

3.6 Students may allow third-party access to their personal file by providing written permission
to the Administration Manager outlining the nature of information that may be accessed. As
a courtesy, discussions with the DIRECTOR are considered helpful and are encouraged.

4. STUDENT RECORDS
4.1 Individual student records are retained in a student file stored in a locked filing cabinet and/
or as a secure digital record with access provided only to those authorised to view them.

4.2 Regardless of expiry dates attached to qualifications, the ability to reproduce the actual
qualification or statement of attainment must be maintained for a period up to 30 years.

4.3 A student file will consist of:

 the items lists on the Student File Checklist (Form 47)
 records of fees paid and outstanding in relation to course duration
 written agreements made with students
 all correspondence and records of contact with student to date
 sample copies of completed assessment activities.

4.4 All records of assessment will be maintained digitally for a period of 6 months after issuing
a qualification and/or a statement of attainment.

4.5 Records will be retained in soft copy for 30 years with sufficient information to reissue the
qualification or statement of attainment if required to do so.

4.6 Records may be in either electronic or hard copy. These records will indicate for each unit
of competency:
 the final result summary, usually ‘competent’ or ‘not yet competent’
 the date of the result being determined
 the name of the assessor who made the determination.

5. COMPLETED ASSESSMENT ITEMS

5.1 Australian Ultimate Training College Pty Ltd maintains copies of completed assessment
tools for 2 years after the student ceases to be a student in that course.

5.2 Student assessment records are retained for every student initially for appeal or review and
ultimately so the RTO maintains the ability to reissue the actual qualification or statement of
attainment.

5.3 The data kept are sufficiently detailed to allow independent assessors to form a valid
opinion of the standard required by Australian Ultimate Training College Pty Ltd and must
include the:
(a) name of the assessor who assessed the student
(b) date of the assessment

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(c) summary of assessment outcomes

(d) result of the assessment
(e) feedback given to the student.

5.4 A master electronic copy of the assessment tools and the assessor’s marking criteria and/
or observation checklist is retained for a period of 30 years.

5.5 Course completion date and course contents list are retained by Australian Ultimate
Training College Pty Ltd for 30 years to support reissue of a student qualification.

6. STAFF RECORDS
6.1 All staff will have a personal file for the storage of all essential records, as listed on the Staff
File Checklist (Form 34).

6.2 Staff records demonstrate the competency of trainers in the range of qualifications in which
they instruct and/or assess.

6.3 Records of validated qualifications are maintained, as prescribed in Policy and Procedures
Manual: Section 2 – Staff Recruitment and Training.

7. DATABASE MANAGEMENT
7.1 Australian Ultimate Training College Pty Ltd AVETMISS-compliant databases are
maintained for:
(a) student enrolment including communication with various government agencies
(b) student participation and attendance or visits with the assigned trainer/ assessor
(c) student fees and refunds
(d) qualification issue and reissue.

7.2 The DIRECTOR maintains the integrity of all databases with data input.

8. EXTERNAL REPORTING REQUIREMENTS

8.1 State and federal government bodies may require student course data records to be
submitted in a format to suit their systems.

8.2 Australian Ultimate Training College Pty Ltd will supply such data as required from the
management system in the format determined by the national authority.

8.3 All records submission to state and federal government bodies is carried out using
compliant reporting software, which dictates the data and format required for submission.
The operator is to ensure that data submission has been effective.

8.4 The DIRECTOR is formally appointed as the officer officially appointed to report to external
providers.

8.5 The quality indicator data are uploaded to the regulator by 30 June each year in
accordance with the user handbook for the database system that is used.

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9. ARCHIVING RECORDS
9.1 The period of active life for each record is stipulated in the retention schedule at the end of
this document. It is that period that records are retained in the main office, before being
transferred for archiving in secure storage in either a hard copy or electronic format.

9.2 Every student file is retained in a numbered archive box for a period of 1 year after the
student ceases to be a student. Following that period, student records may be stored
electronically.

10. BACKUP OF RECORDS

10.1 Backup of the local area network is the responsibility of the DIRECTOR.

10.2 All backups are done daily and saved onto an external hard drive weekly and a second
external hard drive for monthly records backup.

10.3 Backups follow a revolving weekly, monthly and quarterly sequence with quarterly retention
until annual backups are taken.

10.4 All backups are stored offsite. Weekly, monthly, quarterly and annual backups are securely
stored off site with the DIRECTOR.

10.5 All annual backup files are retained for at least 30 years.

10.6 All backup data are archived in chronological order for easy retrieval.

10.7 The integrity of backup media is tested periodically through restoration of backup data.

10.8 Software or corporate information should not be copied or removed from the premises in
any other instance without the written authority of the DIRECTOR.

10.9 Data files will be archived using the standard archiving procedures appropriate to the
software in which the original files were created.

11. DESTRUCTION OF RECORDS

11.1 Records must be destroyed by industrial disposal only at the end of that period of time at
the direction of the document ‘owner’ defined in the table attached to the end of this
Register of Records.

11.2 Student records are not destroyed unless specifically directed by the DIRECTOR and
cannot be destroyed within 30 years of the student completing their training.

11.3 Staff records are destroyed 10 years after the staff member has left employment and only
with the express permission of the DIRECTOR.

12. LOCATING RECORDS IN THE EVENT OF CLOSURE

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12.1 All records to be kept in the event of closure are relocated to ASQA. These are provided as
a readable soft copy.

12.2 If the records are declined by ASQA, then they may be relocated to a facility as agreed
between ASQA and the DIRECTOR.

12.3 The location of the documents is to be formally agreed to by ASQA prior to the records
relocation.

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13. REGISTER OF RECORDS

Form
Retention Retention
Responsible at
No Record Created by Indexing Location Active Archive
Officer Soft/
(Yrs) (Yrs)
Hard
0. Forms Index Administration Administration - - - - -
01. Acceptable use of computers DIRECTOR Administration Chronological Staff File 2 8 H
02. Accident and injury report form DIRECTOR Administration Chronological Injury File 2 8 H
03. Accident investigation report DIRECTOR Administration Chronological Admin File 2 8 H
04. Accountants undertaking DIRECTOR Administration Chronological Admin File 2 8 H
05. Advertising approval form Admin Mgr Administration Chronological Admin File 2 8 H
Complaints and Appeals
06. Training Mgr Administration Chronological Student File 2 28 H
Information and Form
07. Assessment summary ― student Training Mgr Administration Chronological Student File 2 28 H
08. Assessment summary Training Mgr Administration Chronological Student File 2 28 H
09. Assessment validation Training Mgr Administration Chronological Student File 2 28 H
10. Audit record sheet Admin Mgr Administration Chronological Admin File 2 8 H
11. Audit schedule Admin Mgr Administration Chronological Admin File 2 8 H
12. Audit summary form Admin Mgr Administration Chronological Admin File 2 8 H
Training Partnership Checklist and
13. Admin Mgr Administration - - - - -
MOU
14. Credit transfer application Training Mgr Administration Chronological Student File 2 28 H
15. Employment agreement DIRECTOR Administration Chronological Staff File 2 8 H
Fee refund policy and application
16. Admin Mgr Administration Chronological Student File 2 28 H
form
17. Fee schedule Training Mgr Administration Chronological Admin File 2 28 H
18. Improvement request Admin Mgr Administration Chronological Admin File 2 8 H
19. Management meeting agenda Admin Mgr Administration Chronological Admin File 2 8 H
Recognition of prior learning
20. Training Mgr Administration Chronological Student File 2 28 H
feedback form
Recognition of prior learning
21. Training Mgr Administration Chronological Student File 2 28 H
information kit
21 Recognition of Prior Learning Form
Admin Mgr Administration Chronological Student File 2 28 H
a 1
22. Register of assets Admin Mgr Administration Chronological Admin File 2 8 H
23. Register of continuous Admin Mgr Administration Chronological Admin File 2 8 H

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Form
Retention Retention
Responsible at
No Record Created by Indexing Location Active Archive
Officer Soft/
(Yrs) (Yrs)
Hard
improvement
23
Register of Breaches Admin Mgr Administration Chronological Admin File 2 8 H
a
23
Register of Complaints Admin Mgr Administration Chronological Admin File 2 8 H
b
24. Register of contracts Admin Mgr Administration Chronological Admin File 2 8 H
25. Register of external documents Admin Mgr Administration Chronological Admin File 2 8 H
Register of learning and
26. Training Mgr Administration Chronological Admin File 2 8 H
assessment materials
27. Register of qualifications Admin Mgr Administration Chronological Admin File 2 28 H
28. Release of information Admin Mgr Administration Chronological Student File 2 28 H
29. Request for leave DIRECTOR Administration Chronological Staff File 2 8 H
30. Staff appraisal Form DIRECTOR Administration Chronological Staff File 2 8 H
31. Staff confidentiality agreement DIRECTOR Administration Chronological Staff File 2 8 H
Staff consent to employment
32. DIRECTOR Administration Chronological Staff File 2 8 H
screening
33. Staff employment application DIRECTOR Administration Chronological Staff File 2 8 H
34. Staff file checklist DIRECTOR Administration Chronological Staff File 2 8 H
35. Staff handbook DIRECTOR Administration Chronological Staff File 2 8 H
36. Staff induction checklist DIRECTOR Administration Chronological Staff File 2 8 H
37. Staff letter of offer DIRECTOR Administration Chronological Staff File 2 8 H
38. Staff meeting agenda Admin Mgr Administration Chronological Admin File 2 8 H
39. Staff meeting minutes Admin Mgr Administration Chronological Admin File 2 8 H
40. Staff observation recording sheet Training Mgr Administration Chronological Staff File 2 8 H
41. Staff profile DIRECTOR Administration Chronological Staff File 2 8 H
42. Student attendance sheet Training Mgr Administration Chronological Admin File 2 28 H
43. Student course feedback summary Training Mgr Administration Chronological StudentRPL 2 28 H
44. LLN Assessment Training Mgr Administration Chronological Student File 2 28 H
Student enrolment and induction
45. Admin Mgr Administration Chronological Student File 2 28 H
feedback
46. Student enrolment form Admin Mgr Administration Chronological Student File 2 28 H
47. Student file checklist Admin Mgr Administration Chronological Student File 2 28 H
48. Student handbook Admin Mgr Administration Chronological Student File 2 28 H
49. Trainer competency mapping form Training Mgr Administration Chronological Staff File 2 8 H

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Form
Retention Retention
Responsible at
No Record Created by Indexing Location Active Archive
Officer Soft/
(Yrs) (Yrs)
Hard
50. Trainer course feedback Training Mgr Administration Chronological Staff File 2 8 H
51. Training and assessment plan Training Mgr Administration Chronological Student File 2 28 H
52. Validation Schedule DIRECTOR Administration Chronological Admin File 5 5 H
53. Trainer and RTO Licence Details Training Mgr Administration Chronological Staff File 2 8 H
54. Suitable Venue Checklist Training Mgr Administration Chronological On display 1 0 H
55
Staff Training Record DIRECTOR Administration Chronological Staff File 2 8 H
.
56
Organisational Chart Training Mgr Administration Chronological On Display 1 0 H
.
59
Statement of Attainment Training Mgr Administration Chronological Student File 2 28 H
.
60
Applicant Declaration Training Mgr Administration Chronological Student File 2 28 H
.
61 DIRECTORAdmi
Application for USI Admin Mgr Chronological Student File 2 28 H
. nistration
62
NVCER Learner Questionnaire External Administration Chronological Student File 2 28 H
.
90 Position Description: DIRECTOR Training Mgr Administration Chronological Staff File 2 8 H
Position Description:
91. Training Mgr Administration Chronological Staff File 2 3 H
Administration Manager
Position Description: Finance
92. Training Mgr Administration Chronological Staff File 2 3 H
manager
Position Description: Director of
93. Training Mgr Administration Chronological Staff File 2 3 H
Training and Assessment
Position Description: Trainer &
94. Training Mgr Administration Chronological Staff File 2 3 H
Assessor
94a. Student Log Book Training Mgr Administration Chronological Student File 2 28 H

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