Compliance audits

The Department of Employment, Small Business and Training undertakes compliance audits against the departmental funding programs, including User Choice and VET Investment programs, to determine if the Skills Assure supplier (SAS) is satisfactorily addressing the requirements of its supplier agreement.

By entering into the supplier 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.

Queensland VET Quality Framework - Strategic audit plan 2019–2022

The Strategic audit plan 2019–2022 (PDF, 295KB) sets out to advance the Queensland VET Quality Framework through a renewed focus on supplier contract compliance and performance. The plan outlines the key priorities, service values and focus areas that underpin this assurance of supplier compliance with Queensland contractual requirements, which in turn, will support continuous improvement in the quality of VET offered to Queenslanders.

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.

• User Choice program:
  • Pre-qualified supplier audit evidence requirements (v7.0, Jan 2020) (PDF, 515KB) – effective 1 January 2020
    (Note: SAS evidence requirements currently under development)
• VET Investment programs:
  • Pre-qualified supplier audit evidence requirements (v6.1, Jan 2020) (PDF, 560KB) – effective 1 January 2020
    (Note: SAS evidence requirements currently under development)

For a list of changes from the last version of evidence requirements, please refer to the Summary of changes to Pre-qualified supplier audit evidence requirements 2019-20 (PDF, 160KB) – effective 1 January 2020.

Historical evidence requirements

Evidence requirements for User Choice and VET Investment programs from previous financial years.

Compliance audit templates

To allow for transparency within the audit process, the templates below are available for Skills Assure suppliers.

Supplier compliance audit report (PDF, 1.4MB)
The audit report template provides an overview of the reporting structure.

Verification of supplier audit fieldwork (PDF, 115KB)
The verification document outlines the audit process, as well as providing an overview and objectives. If notification of an audit has been received, review of this is expected prior to the audit fieldwork commencement. The supplier's CEO and/or nominated representative will be required to sign this document following the fieldwork opening and closing meetings.

Audit evaluation form (PDF, 92KB)
Following the conduct of the audit activity, the supplier will be sent this form, seeking feedback on the recently conducted audit, to assist in maintaining the quality and effectiveness of the audit process.

Compliance audit webinars

This section is currently being reviewed. When updates are published this will be included as an article in Contract Connector.

Last updated 1 July 2020