Records Management

Document ID No.:
Authorised by:
Wayne Tonner - Chief Executive Officer
Last Reviewed:
April 10, 2018

Policy Statement

Asset Training will preserve as evidentiary support of the companies training and assessment activities, student participation and outcomes, all records for a period of no less than 7 years. SOA's (Statements of Attainment's) on the other hand will be kept for minimum period of 30 years. Please note the SOA retention requirement was instituted in 2015 so Asset Training  has SOA historical records back to 2015


This will be achieved by:

  • Maintaining up-to-date records of the qualifications and experience of all staff employed by or contracted to Asset Training to deliver training and assessment services. 
  • Maintaining current and accurate records of all enrolments, course participation, training outcomes and certification issued.
  • Maintain registers of all statements of attainments issued.
  • Retain records of statements of attainment issued for a period of 30 years.
  • Provide reports of its records of statements of attainment issued to its VET Regulator on a regular basis, as determined by the VET Regulator.
  • Maintaining a records management system that will ensure the confidentiality of staff and student records.
  • Assuring the safety and integrity of all records.
  • Ensuring that all training resources, materials, forms and procedures utilised in the management and delivery of courses are reviewed for currency by appropriately qualified staff and issued under a version control system.
  • Implementing an effective financial records system to record all monies received. 
  • Ensuring that all certification issued are recorded, and are checked for compliance with the requirements of the relevant standards prescribed by the Standards for Registered Training Organisations (RTO’s) 2015. 
  • Ensuring that in the event of the closure of Asset Training, all such records will be forwarded to the appropriate State Authority.

Staff Records

All staff involved in the delivery of Asset Training RTO services will have recorded their:

  • Position and duty statements,
  • Qualifications and vocational competence,
  • Employment conditions,
  • Participation in induction processes
  • Professional development

Original documentation must be sighted to verify the authenticity of qualifications, references and industry awards. Copies on file must indicate the date sighted and by whom.  Disciplinary action or notices of complaints may also be noted on this file. Staff files are held and maintained by relevant administrative managers. Staff may access information on their files on request to the Manager.

Student Records

Student records are to be raised at enrolment. These records are to be established electronically and as a hard-copy record. These records are to include, but are not restricted to:

  • Enrolment form. 
  • Fees Arrangements.
  • Emergency Contact details. 
  • Student Identification. 
  • Applications for Mutual Recognition (RPL).

Student records are to be entered and maintained by administration. All enrolment changes, unit results, attendance records and changes to personal data must be forwarded directly to administration. Students may request a copy of their file on request with proof of identification. Third party access cannot be approved by any means other than with student approval.

Record of Fees/Refunds

Prior to enrolment, all students are informed of fee structures and payment schedules and are informed about the training, assessment and support services to be provided and about their rights and their obligations. Where an employer pays the fees on behalf of a student, the employer is to be invoiced for the appropriate fee, clearly indicating on the invoice each student to whom the invoice applies. Where a refund has been granted, the amount, date and reason for the refund are to be noted on the student's file and recorded on the database.

Contract Management

Asset Training will establish a file for recording all Subcontractor Agreements for RTO service delivery. The register is to be managed by administration and must include:

  • Contract agreement identifier/number.
  • Party to whom contract is made.
  • Responsible Officer.
  • Performance review requirements.

All performance requirements will be recorded and reviewed during and at the end of the contract period or as agreed within the Subcontractor Agreement Contract.

Record Privacy and Access

All records maintained by Asset Training are subject to the Australian Privacy Principles and the Privacy Act (1988). As such, it is a requirement that records be held in a secure environment, safeguarded against loss, damage or unauthorised access. Accordingly:

  • Staff files may only be accessed by Management or an auditor.
  • Student files may only be accessed by the administration officer for the purpose of updating those student files.
  • All individuals have a right to view their own files and may do so upon request and proof of identification.

Version Control

All documents and materials raised and used in the delivery of courses must be managed under a version or document control system. This aims to ensure that all parties have access to current and accurate information that has been approved for release and use in the delivery of courses.

It is a requirement therefore that:

  • The Compliance Manager shall authorise under the direction of the Manager, the issue of documents, materials and forms for use in the day-to-day operations.
  • The Compliance Manager shall maintain a register of documents, materials and forms issued.
  • The Register shall be used to record the document name, purpose, id number, and version number and issue date.
  • When a new/revised document is issued, the Compliance Manager, will notify all relevant staff of the change of issue, and remove the out-dated version from circulation.
  • The version control register shall be used as a tool for monitoring ‘documents and materials in use.
  • All training materials must be managed in the version control system and issued only under the authority of staff suitably qualified to determine the relevance and value to the training program.

Qualification Management

The issue of qualifications by Asset Training is governed by the guidelines specified in the Standards for Registered Training Organisations (RTO’s) 2015.

All student-training outcomes are to be recorded in the register by the trainers/assessors. Students who have satisfactorily completed their full program of study are entitled to a Certificate or a Statement of Attainment. These must include:

  • RTO name and code.
  • Full title of qualification and its national or state code.
  • Name of student and USI number.
  • Certificate number.
  • Correct accreditation phrase according to the kind of course.
  • If a statement of attainment, include the correct unit names and codes.
  • NRT logo. 

The Trainer/Assessor is to authorise the printing of compliant certificates and statements of attainment for issue to each student, and act as authorised signatory in conjunction with the relevant Manager.

Archive Management

All staff and student records are to be securely stored and protected from loss, damage or unauthorised access for a period of 30 years. To meet this requirement, the following activities are undertaken under the guidance of the Manager:

  • All hard-copy records are to be stored in locked metal filing cabinets.
  • All electronic records are to be maintained on the database accurately and efficiently by administration.
  • All electronic records are to be backed up weekly. Backups are to be stored securely off the premises.

- All records are to be kept for thirty years or transferred to the appropriate Authority should Asset Training cease to operate as an RTO. This requires all records that are not required for day-to-day management or that are no longer current, to be managed as archived records. As such:

  • All closed student files are to be stored with Administration for a period of three years for White card and 6 months for any other training. These records are to be kept in secure metal filing cabinets.
  • After the anniversary of completion/closure, records are to be moved into the permanent archive for a period of thirty years.
  • Archive files are to be kept alphabetically for each calendar year.
  • Electronic records of all training and assessment services carried out in each calendar year are to be placed in the archive for that particular year.
  • Record retrieval and access from archive is managed under the authority of the Manager.


It shall be the responsibility of the Chief Executive Officer to ensure that the requirements of this policy are complied with. The CEO is to ensure this policy continues to comply with relevant state or federal legislation and shall review this policy on a regular basis.