Compliance Processes
OVERVIEW
OVERVIEW
RTOs are required to systematically collect, document and act on feedback from key stakeholders such as students, employers, industry, and staff. This feedback, along with data from quality indicators and internal audits, must feed into a continuous improvement process that enhances training and assessment outcomes. The SMS allows users to log and manage Compliance Documents, track Continuous Improvement actions, record and resolve Complaints and Appeals, and capture evidence of Industry Engagement activities. It also enables the maintenance of up-to-date Trainer Matrices to ensure trainers meet qualification and vocational currency requirements. This guide will show you how to use these features effectively to support compliance with the Standards for RTOs and be audit-ready at all times.
SMS Compliance Guides:
SMS Compliance Guides:
- How to Manage Compliance Documents in the SMS
- Enables the uploading and centralised management of compliance documents ensures alignment with Standards for RTOs. It supports audit readiness, real-time access to critical documentation, and streamlined record-keeping across operations.
- How to Add Feedback to the Continuous Improvement Register
- Capturing CI actions directly in the SMS ensures traceability and integration of stakeholder feedback, complaints, validation outcomes, and audit findings into a systematic improvement loop. It demonstrates compliance and promotes a culture of proactive governance.
- How Administrators Can Add a Complaint
- Providing a structured way to log and manage complaints aligns with compliance policies, ensuring issues are formally recorded, resolved in a timely manner, and used as part of ongoing CI. The SMS can automate workflows and ensure transparency in the resolution process.
- How to Record an Appeal in the SMS
- Integrated appeal tracking supports the natural justice requirements, where students and stakeholders are afforded fair review processes. Having this in the SMS maintains an audit trail and improves resolution efficiency.
- How to Record an Industry Engagement
- Logging industry engagement activities ensures evidence, demonstrating that training and assessment strategies are informed by current industry practices. This supports validation, alignment with industry expectations, and substantiates trainer currency. https://www.asqa.gov.au/rtos/users-guide-standards-rtos-2015/chapter-4-training-and-assessment/clauses-15-and-16-engage-industry
- How to Create a Trainer Matrix
- A centralised, automated trainer matrix linked to qualifications, units of competency, and industry engagement supports Clauses 1.13–1.16. It ensures trainers are compliant, current, and mapped to the units they deliver, simplifying audit preparation and continuous trainer validation.
Purpose and Use Cases for Each Compliance Feature
Purpose and Use Cases for Each Compliance Feature
| Feature | Purpose | Use Cases |
|---|---|---|
| Compliance Documents | Ensure the RTO can quickly produce required evidence. Promote consistency across operations. | - Store policies, procedures, validation schedules. - Upload audit reports. - Provide staff access to the latest versions. |
| Continuous Improvement | Track feedback and actions taken. Provide evidence of systematic quality improvement. | - Log outcomes from internal audits or validation meetings. - Record student and employer survey results and follow-up actions. - Identify recurring issues and document responses. |
| Complaints | Address grievances formally and promptly while demonstrating procedural fairness. | - A student disputes the quality of a course. - A trainer raises concerns about assessment tools. - Record, investigate, and resolve each case. |
| Appeals | Protect the rights of students and staff by allowing decisions to be reviewed. | - A student appeals a failed assessment. - A staff member disputes a disciplinary outcome. - Track appeal steps and final resolution. |
| Industry Engagement | Maintain alignment with industry needs. Show evidence of consultation. | - Consult with an advisory committee on training materials. - Record feedback from work placement hosts. - Link findings to course updates or assessment validation. |
| Trainer Matrix | Prove trainer qualifications, currency, and scope alignment. Simplify compliance checks. | - Upload trainer credentials. - Map units to trainer expertise. - Generate matrices for each course delivered. |
We hope this has been helpful to you and your organisation. For any questions or concerns regarding this function, please reach out to the contact support via email.
Related Articles
How to Manage Compliance Documents in the SMS
Overview In this tutorial, you will learn how to manage compliance documents within the SMS. It covers how organisation can upload, store, and retrieve essential records, ensuring they remain organised and accessible for audits or operational needs. ...How to Add a Note to a Student via Trainer Portal
Overview In the Trainer Portal, adding a note to a student provides trainers with an efficient way to record important observations, track progress, and document interactions. These notes serve as a valuable reference for trainers and administrators, ...How to Create and Use Smart Enrol Form in the SMS
Overview The Form Creator provides a flexible and customisable way to design enrolment forms that meet your organisation’s specific needs. It allows you to tailor the form layout, add essential fields, and incorporate branding elements for a seamless ...How to Create Locations and Rooms
Overview Adding training locations and rooms in your student management system is crucial for organizing and managing your training programs effectively. Training Delivery Locations is a required element for National reporting and uniquely identifies ...How to Use the USI Validation Feature in the SMS
Overview A Unique Student Identifier (USI) is a reference number that is used to create a consistent record of an individual student's achievements and qualifications in Australia. It is a 10-character code that is unique to each student. The USI ...