Course Content
Develop evaluation data
Obtain and interpret information on organisation’s policies, procedures and compliance requirements. Develop evaluation methodology. Prepare evaluation plan, detailing established evaluation criteria and data to be collected. Confirm approval of plan from relevant stakeholders
Prepare and analyse evaluation data
Source required evaluation data according to evaluation plan. Organise, interpret and review collected data against established evaluation criteria. Discuss issues interpreting data and address in consultation with relevant stakeholders. Arrange evaluation data for analysis
Determine findings and reports on outcomes
Develop and discuss preliminary findings and any identified issues with relevant stakeholders. Source additional data required to clarify aspects of findings, and issues, where required. Prepare recommendations for actions to improve identified issues
BSBAUD515 Evaluate and review compliance
About Lesson

Compliance in Australia involves adherence to a variety of standards and legislative requirements, which can vary by industry, but there are several key ones that are broadly relevant across many sectors:


Work Health and Safety Act 2011 (WHS Act):

    • This Act provides a framework to protect the health, safety, and welfare of all workers at work. It also protects the health and safety of all other people who might be affected by the work. The Act lays down duties for businesses, workers, and other individuals to promote safe work environments and practices.


Privacy Act 1988:

  • This Act deals with the protection of individual privacy. It regulates the handling of personal information about individuals, including the collection, use, storage, and disclosure of personal information in the private and public sectors. It includes the Australian Privacy Principles (APPs) which outline how most Australian Government agencies, and some other entities, must handle, use and manage personal information.


Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act):

  • This Act aims to prevent money laundering and terrorism financing by imposing obligations on regulated entities in Australia’s financial, gambling, and other sectors. These obligations include customer due diligence, reporting, and record-keeping requirements.


Corporations Act 2001:

  • This is the principal legislation regulating corporate governance, financial reporting, and related practices in Australia. It covers a wide range of issues concerning the operation of companies in Australia, including the duties of officers and directors, financial reporting, and the conduct of company meetings.


Australian Consumer Law (ACL) within the Competition and Consumer Act 2010:

  • The ACL provides consumers with certain guarantees and rights regarding the purchase of goods and services. It covers unfair market practices, safety of consumer products, and information standards to ensure that businesses operate transparently and fairly.


Environmental Protection and Biodiversity Conservation Act 1999 (EPBC Act):

  • This Act is the Australian Government’s key piece of environmental legislation which provides a legal framework to protect and manage nationally and internationally important flora, fauna, ecological communities, and heritage places.


Disability Discrimination Act 1992:

  • This Act makes it against the law to discriminate against someone if they have a disability, in various areas of public life, including employment, education, and access to premises, goods, services, and facilities.


Fair Work Act 2009:

  • This Act governs workplace relations in Australia. It provides a comprehensive set of rights and obligations for employees and employers, including unfair dismissal, industrial actions, collective bargaining, and the National Employment Standards (NES).


Racial Discrimination Act 1975:

  • This Act aims to promote equality before the law for all people regardless of their race, colour, or national or ethnic origin. It is unlawful to discriminate against someone on the basis of race in various aspects of public life.


VET Industry-Specific Standards, regulations and legislation:

  • Various industries have specific standards and requirements, such as the AS/NZS ISO 9001 for quality management systems, AS/NZS ISO 14001 for environmental management systems, and the AS/NZS 4801 for occupational health and safety management.

In the context of Registered Training Organisations (RTOs) in Australia, compliance evaluation involves ensuring that the RTO meets specific standards and legislative requirements. The key framework and legislation that apply to such evaluations include:

1. Standards for Registered Training Organisations (RTOs) 2015

These standards are designed to ensure nationally consistent, high-quality training and assessment services within the Vocational Education and Training (VET) sector. Key areas covered include:

  • The quality of training and assessment,
  • The quality of client services, and
  • The RTO’s administrative practices and governance.
2. Australian Qualifications Framework (AQF)

The AQF is a national policy that outlines the standards for educational qualifications in Australia. It ensures that qualification titles across the country are consistent and that each educational qualification is clearly distinguishable from others.

3. Vocational Education and Training (VET) Quality Framework

This framework includes:

  • The Standards for RTOs,
  • The Australian Qualifications Framework (AQF),
  • The Fit and Proper Person Requirements,
  • The Financial Viability Risk Assessment Requirements, and
  • The Data Provision Requirements.
4. National Vocational Education and Training Regulator Act 2011

This Act establishes the National VET Regulator, the Australian Skills Quality Authority (ASQA), and sets out its functions, powers, and regulatory framework. ASQA is responsible for the registration and audit of RTOs to ensure national compliance with the VET Quality Framework.

5. Education Services for Overseas Students Act 2000 (ESOS Act)

For RTOs that provide training to overseas students, the ESOS Act sets out legal requirements and standards to protect the interests of overseas students and ensure the quality of education provision.

6. State and Territory Specific Legislation

In addition to those summarise above, RTOs must also comply with relevant state or territory legislation regarding education and training services and other relevant areas.

7. Data Provision Requirements

These requirements ensure that RTOs collect and provide accurate and comprehensive data related to their training activities to inform the management and improvement of the VET system.

8. Industry-Specific Legislation and Standards

Depending on the specific training areas and sectors in which an RTO operates, there may be additional industry-specific standards and legislation that need to be complied with, such as those related to health, safety, and environment.