⚠️ Action required — ADC due 31 March 2026
Your Annual Declaration on Compliance window is open now and closes in 6 days. Log into asqanet.asqa.gov.au and submit immediately.
65
Documents reviewed
58
Standards areas covered
2
Gaps remaining
1
High priority gaps
2025 Standards coverage summary
| Standard area | Status | Key documents |
|---|---|---|
| OS 1 — Training & assessment | ✓ Covered | Assessment Process · Validation Procedures · TAS Development · RPL Process · Delivery Statement · Resource Statement · Industry Engagement · Transition Arrangements |
| OS 2 — VET student support | ✓ Covered | Pre-Enrolment Process · Enrolment Process · Student Handbook · Code of Conduct · Complaints & Appeals · Disciplinary Policy · Student Info & Protection |
| OS 3 — VET workforce | ⚠ Partial | Staff Recruitment · Position Descriptions · Supervision Policy · CPD Policy — Trainer Register missing |
| OS 4 — Governance | ✓ Covered | Continual Improvement · Internal Review · Document Control · Version Control · Record Management · Financial Viability · Fit & Proper · Insurance · Data Provisions · Privacy |
| Compliance Req. — Information & transparency | ✓ Covered | Marketing Policy · Marketing Checklist · AQF Logo Policy · NRT Logo Conditions |
| Compliance Req. — NRT integrity | ✓ Covered | AQF Certification Policy · Credit Transfer · USI Statement · Fraud Prevention |
| Compliance Req. — Accountability | ⚠ Partial | Financial Viability · Insurance — Third Party Register missing |
| Credential Policy — Trainer credentials | ✗ Gap | No Trainer Register found — build required urgently |
All 65 Vanguard Business Education documents mapped against the 2025 Standards. Click any folder to open documents directly in Google Drive.
📁 Standard 1Training and Assessment 📁 Standard 2VET Student Support 📁 Standard 3VET Workforce 📁 Standards 4 and 5Governance and Quality 📁 General ComplianceCompliance Requirements
Policy and document register — 2025 Standards for RTOs
| Doc | Policy / document name | 2025 Standard | Review due | Status | Folder | Notes |
|---|---|---|---|---|---|---|
| — | Annual Declaration on Compliance (ADC) | Compliance Requirements | 31 Mar 2026 | 🔴 Action Required | — | DUE 31 MAR — submit via asqanet immediately |
| — | Trainer and Assessor Register | Credential Policy / OS 3.3 | 28 Mar 2026 | 🔴 Action Required | 📁 Standard 3 | Does not exist — build required urgently |
| — | Third Party Arrangement Register | Compliance Requirements | 28 Mar 2026 | 🔴 Action Required | 📁 General Compliance | Does not exist — build required |
| 82 | Record Management Policy | Compliance Requirements | May 2026 | 🟢 Compliant | 📁 General Compliance | ✅ Fixed 25 Mar 2026 — retention updated to 2 years |
| 30 | Transition Arrangements | OS 1.13 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | ✅ Fixed 25 Mar 2026 — 12-month reference removed |
| 80 | Insurance Policy Register | Compliance Requirements | May 2026 | 🟡 Review Due | 📁 General Compliance | Template exists — populate with current policy details |
| — | LLN Screening Policy and Procedure | OS 2.1 / 1.2 | Apr 2026 | 🟡 In Progress | 📁 Standard 2 | SQB quiz being built — policy to follow |
| 2 | TAS Development Process | OS 1.1 / 1.2 | May 2026 | 🟢 Compliant | 📁 Standard 1 | Compliant |
| 3 | Industry Engagement Process | OS 1.6 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | Compliant |
| 5 | Delivery of Training Statement | OS 1.2 / 1.3 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | Compliant |
| 6 | Resource Requirement Statement | OS 1.3 / 1.4 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | Compliant |
| 9 | Assessment Process | OS 1.8 / 1.9 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | 2 attempts, 10-day feedback documented |
| 10 | RPL Process | OS 1.12 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | Compliant |
| 11 | Validation Procedures | OS 1.9 / 1.10 / 1.11 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | 5-year cycle, 50% in first 3 years documented |
| 12 | Validation Plan | OS 1.9 / 1.10 / 1.11 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | Compliant |
| 13 | Assessment Validation Template | OS 1.9 | Apr 2026 | 🟢 Compliant | 📁 Standard 1 | Compliant |
| 57 | Student Information and Protection | OS 2.1.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 58 | Pre-Enrolment Information Process | OS 2.1.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 59 | Pre-Enrolment Information Checklist | OS 2.1.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | 12-item checklist covers all required elements |
| 60 | Enrolment Process | OS 2.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 62 | Induction Checklist — Student | OS 2.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 63 | Student Handbook | OS 2.1.1 / 2.1.4 | May 2026 | 🟢 Compliant | 📁 Standard 2 | AI use policy included |
| 64 | Students Code of Conduct | OS 2.1.4 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 65 | Academic Misconduct and Plagiarism Policy | OS 2.1.4 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 66 | Student Disciplinary Policy | OS 2.1.4 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 69 | Complaints and Appeals Process | OS 2.1 / 4.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Natural justice, escalation path documented |
| 71 | Complaint Form | OS 2.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 76 | Fees and Refund Policy | OS 2.1 / Compliance Req. | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | $1,500 prepaid cap documented |
| 77 | Refund Request Form | OS 2.1 | Apr 2026 | 🟢 Compliant | 📁 Standard 2 | Compliant |
| 14 | Staff Recruitment Procedure | OS 3.1 / 3.2 | Apr 2026 | 🟢 Compliant | 📁 Standard 3 | Compliant |
| 21 | Staff Training and Development Policy | OS 3.3 | Apr 2026 | 🟢 Compliant | 📁 Standard 3 | 12hr CPD minimum documented |
| 22 | Professional Development Plan | OS 3.3 | Apr 2026 | 🟢 Compliant | 📁 Standard 3 | Compliant |
| 23 | Direct Supervision Policy | OS 3.3 / Credential Policy | Apr 2026 | 🟢 Compliant | 📁 Standard 3 | Compliant |
| 24 | Trainer Supervision Plan and Record | OS 3.3 / Credential Policy | Apr 2026 | 🟢 Compliant | 📁 Standard 3 | Compliant |
| 28 | Position Description — Trainer and Assessor | OS 3.1 / Credential Policy | Apr 2026 | 🟢 Compliant | 📁 Standard 3 | References TAE40122 |
| 29 | Position Description — Assistant Trainer | OS 3.1 / Credential Policy | Apr 2026 | 🟢 Compliant | 📁 Standard 3 | Compliant |
| 32 | Code of Practice | OS 4.1 | Apr 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 33 | Continual Improvement Process | OS 4.2 | Apr 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 34 | Continuous Improvement Log | OS 4.2 | Apr 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Template ready to populate |
| 35 | Document Control Process | OS 4.1 / 4.2 | Apr 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 36 | Internal Quality Review Process | OS 4.1 / 4.4 | Apr 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 41 | Version Control Policy | OS 4.1 / 4.4 | Apr 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 74 | Fit and Proper Process | OS 4.1 / Compliance Req. | May 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 75 | Financial Viability Statement | OS 4.1 / Compliance Req. | May 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 79 | Insurance Awareness Process | OS 4.1 / Compliance Req. | May 2026 | 🟢 Compliant | 📁 General Compliance | Compliant |
| 81 | Data Provisions Process | OS 4.1 / 4.4 | May 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | AVETMISS 28 Feb · QI 30 Jun |
| 88 | Legislation Awareness Statement | OS 4.1 | Apr 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 90 | Privacy Policy | OS 4.1 / Privacy Act 1988 | May 2026 | 🟢 Compliant | 📁 Standards 4 and 5 | Compliant |
| 50 | Marketing Policy | Compliance Requirements | Apr 2026 | 🟢 Compliant | 📁 General Compliance | Compliant |
| 52 | Marketing and Advertising Checklist | Compliance Requirements | Apr 2026 | 🟢 Compliant | 📁 General Compliance | Compliant |
| 42 | AQF Certification Policy | Compliance Requirements | Apr 2026 | 🟢 Compliant | 📁 General Compliance | 30-day issuance documented |
| 43 | Credit Transfer Policy | Compliance Requirements | Apr 2026 | 🟢 Compliant | 📁 General Compliance | Compliant |
| 45 | USI Awareness Statement | Compliance Requirements | Apr 2026 | 🟢 Compliant | 📁 General Compliance | Compliant |
| 46 | Fraud Prevention Statement | Compliance Requirements | Apr 2026 | 🟢 Compliant | 📁 General Compliance | Compliant |
Six gaps identified. Two resolved 25 March 2026. Four remaining.
🔴 High priority — ADC due 31 March 2026
Your Annual Declaration on Compliance must be submitted via asqanet by 31 March 2026. Missing it is a compliance breach.
Action: Log into asqanet.asqa.gov.au now and submit.
🔴 High priority — No Trainer and Assessor Register
The Credential Policy requires Vanguard Business Education to demonstrate every person delivering training holds TAE40122 and has current vocational competency. No central register exists.
Action: Create Trainer and Assessor Register. Due 28 March 2026. 📁 Save to Standard 3
🟡 Medium priority — No Third Party Arrangement Register
The 2025 Compliance Requirements require RTOs to have formal written agreements with any third party providing services on their behalf.
Action: Create register and template agreement. Due 28 March 2026. 📁 Save to General Compliance
🟡 Medium priority — No LLN Screening Policy or tool
No standalone LLN screening policy, procedure, or assessment tool. The 2025 Outcome Standards require assessment of LLN needs before enrolment.
Action: Build LLN Screening Policy and SQB quiz. In progress. 📁 Save to Standard 2
✅ Resolved 25 Mar 2026 — Assessment record retention period fixed
Record Management Policy (doc 82) updated — retention period changed from 6 months to 2 years.
Resolved. No further action required.
✅ Resolved 25 Mar 2026 — Transition Arrangements policy updated
12-month reference removed and replaced with "in a timely manner."
Resolved. No further action required.
🟢 Low priority — Insurance Register not populated
The Insurance Policy Register template exists but contains no data.
Action: Populate with current policy details. 📁 General Compliance
Every critical compliance deadline for Vanguard Business Education. Review this dashboard monthly.
Compliance calendar 2026
| Due date | Obligation | Standard / source | Status | Action |
|---|---|---|---|---|
| 31 Mar 2026 | Annual Declaration on Compliance (ADC) | Compliance Requirements | 🔴 Due now | Submit via asqanet.asqa.gov.au immediately |
| 28 Mar 2026 | Build Trainer and Assessor Register | Credential Policy | 🔴 Urgent | Create register and populate |
| 28 Mar 2026 | Build Third Party Arrangement Register | Compliance Requirements | 🔴 Urgent | Create register and template agreement |
| 28 Mar 2026 | Populate Insurance Policy Register | Compliance Requirements | 🔴 Action needed | Enter current policy details |
| 25 Mar 2026 | Fix Record Management Policy retention period | Compliance Requirements | ✅ Done | Completed 25 March 2026 |
| 25 Mar 2026 | Fix Transition Arrangements Policy | OS 1.13 | ✅ Done | Completed 25 March 2026 |
| 30 Apr 2026 | Review all April 2026 policies | OS 4.2 / Document Control | 🟡 Upcoming | Review and update all policies due April 2026 |
| 31 May 2026 | Review all May 2026 policies | OS 4.2 / Document Control | 🟡 Upcoming | Review and update all policies due May 2026 |
| 30 Jun 2026 | Quality Indicator Report | Data Provision Requirements | 🟢 On track | Collect data and submit to ASQA |
| 30 Jun 2026 | Internal Quality Review | OS 4.1 / 4.4 | 🟢 On track | Complete annual internal review |
| 30 Jun 2026 | Validation Schedule Review | OS 1.9 / 1.10 / 1.11 | 🟢 On track | Review and update validation schedule |
| 31 Dec 2026 | Annual Industry Engagement Report | OS 1.6 | 🟢 On track | Complete annual industry engagement report |
| 28 Feb 2027 | AVETMISS Data Submission | Data Provision Requirements | 🟢 On track | Submit annual training activity data to NCVER |
| 31 Mar 2027 | Annual Declaration on Compliance (ADC) 2027 | Compliance Requirements | 🟢 On track | Submit via asqanet |
All flowcharts built from your actual Vanguard Business Education procedure documents.
Enrolment process — source: docs 57, 58, 59, 60, 62, 63
Enquiry received
↓
Provide pre-enrolment information
Course · fees · refund policy · support · complaints · RPL/CT · USI · third party disclosure
Course · fees · refund policy · support · complaints · RPL/CT · USI · third party disclosure
↓
Student completes Application for Enrolment Form
AVETMISS fields · USI provided · RPL intent declared
AVETMISS fields · USI provided · RPL intent declared
↓
USI verified via registry?
↓
No — assist student to create USI at usi.gov.au
Yes — proceed
↓
LLN quiz completed automatically — result recorded
↓
RPL application requested?
↓
Yes — initiate RPL process
No — proceed to enrolment
↓
Student signs declaration · handbook acknowledged
↓
Training plan documented
Units · schedule · delivery mode · LLN and support needs
Units · schedule · delivery mode · LLN and support needs
↓
Induction conducted — Induction Checklist signed
↓
Student commences training — record entered in SMS (AVETMISS compliant)
Complaints and appeals — source: doc 69, 71
Complaint or appeal received
↓
Acknowledge in writing within 5 business days
↓
Complaint or appeal?
↓
Complaint — grievance about service or conduct
Appeal — review of a decision or assessment
↓
Investigate — gather evidence · apply natural justice · keep confidential
↓
CEO or delegate makes decision · record in complaints register
↓
Complainant satisfied?
↓
Yes — close and record in CI Log
No — escalate to external review
↓
Log trend data — feed into Continuous Improvement process
Assessment process — source: doc 9
Student commences unit of competency
↓
Student receives assessment information at commencement
Criteria · methods · due dates · reasonable adjustment options
Criteria · methods · due dates · reasonable adjustment options
↓
Student submits assessment task
↓
Assessor marks against unit criteria and marking guide
Written feedback within 10 business days
Written feedback within 10 business days
↓
Outcome: Satisfactory?
↓
Yes — record Competent in SMS
No — NYS · reassessment within 4 weeks (max 2 attempts)
↓
Retain completed assessment items for 2 years
Validation of assessments — source: docs 11, 12
Unit selected per risk-based Validation Plan
↓
Assemble validation team
Must hold TAE + vocational competency · no direct involvement
Must hold TAE + vocational competency · no direct involvement
↓
Gather assessment tools, marking guides, random student sample, RPL tools
↓
Validation meeting — review tool design, evidence, judgement consistency
↓
Complete Validation Template — record findings and signatures
↓
Changes to assessment tools required?
↓
Yes — update tools · version control · update TAS
No — confirm compliant · file report
↓
Record in Validation Plan · update CI Log · report to management
Certification issuance — source: docs 42, 43, 45, 46
Student assessed as meeting all requirements
↓
All fees paid?
↓
No — follow up before issue
Yes — proceed
↓
Valid USI verified?
↓
No — contact student to resolve
Yes — proceed
↓
Generate certificate using approved template
NRT logo · unique doc ID · correct title/code · watermark · secure PDF
NRT logo · unique doc ID · correct title/code · watermark · secure PDF
↓
Compliance Manager or CEO authorises release
↓
Issue to student — within 30 calendar days of competency decision
↓
Log in SMS Certification Register · retain records per Record Management Policy
RPL process — source: doc 10
Student indicates RPL intent on enrolment form
↓
Advise student of evidence requirements
Current · sufficient · valid · authentic — full units only
Current · sufficient · valid · authentic — full units only
↓
Provide RPL Kit · student completes self-assessment and portfolio
↓
Qualified assessor reviews evidence against unit(s) of competency
↓
Evidence sufficient?
↓
No — request further evidence or conduct interview
Yes — proceed to decision
↓
Assessor sights, signs, and dates original documents
↓
RPL granted?
↓
Yes — notify in writing within 10 days · record in SMS
No — notify in writing · advise right to appeal
Continuous improvement — source: docs 33, 34, 36
Improvement opportunity identified
↓
Sources: trainer feedback · student feedback · validation · complaints · audit findings · ASQA updates
↓
Record in Continuous Improvement Log
Description · source · priority · person responsible · due date
Description · source · priority · person responsible · due date
↓
Compliance Manager reviews log monthly
↓
Systemic issue requiring management action?
↓
Yes — escalate to CEO · include in staff meeting
No — action by responsible staff · mark complete
↓
Annual quality review — evaluate trends · update TAS and policies as needed
↓
Record outcomes · report to management · update Version Control Register
TAS development — phase 1: scoping (source: doc 2)
Trigger: new qualification on scope
↓
Identify trigger source
New scope · training package release · industry feedback
New scope · training package release · industry feedback
↓
Review training package on training.gov.au
Units · packaging rules · assessment conditions
Units · packaging rules · assessment conditions
↓
Define learner cohort profile
LLN needs · experience level · delivery mode
LLN needs · experience level · delivery mode
↓
Industry engagement
Confirm relevance · workplace requirements · trainer currency
Confirm relevance · workplace requirements · trainer currency
↓
Confirm trainer and assessor credentials
TAE40122 · vocational competency · CPD currency
TAE40122 · vocational competency · CPD currency
↓
Confirm resources available
Facilities · digital tools · learning materials · simulations
Facilities · digital tools · learning materials · simulations
↓
All scoping checks passed?
↓
No — resolve gaps before proceeding
Yes — proceed to TAS build
TAS development — phase 2: build and approval (source: doc 2)
Begin TAS document build
↓
Section 1 — Qualification details
Code · title · packaging rules · transition plan
Code · title · packaging rules · transition plan
↓
Section 2 — Units and structure
Core units · electives · sequencing · co-requisites
Core units · electives · sequencing · co-requisites
↓
Section 3 — Delivery mode and duration
Online · AQF volume justification · cohort adjustments
Online · AQF volume justification · cohort adjustments
↓
Section 4 — Assessment strategy
Methods · tools · validation cycle · RPL pathway
Methods · tools · validation cycle · RPL pathway
↓
Section 5 — Resources and support
Learning materials · LLN support · digital access
Learning materials · LLN support · digital access
↓
Section 6 — Trainer and assessor requirements
Credentials · supervision plan · industry currency
Credentials · supervision plan · industry currency
↓
Head of Compliance reviews draft TAS
Check alignment with OS 1.1, 1.2, 1.4, 1.6, 1.8
Check alignment with OS 1.1, 1.2, 1.4, 1.6, 1.8
↓
Revisions required?
↓
Yes — revise and resubmit
No — proceed to approval
↓
CEO approves — version control and store in Google Drive · schedule validation · enter CI review cycle
These workflows are built into Nifty as task checklists. Each step must be ticked off before the workflow is complete. This is the operating system — not the policies.
Workflow checklists — 9 processes
| Workflow | Steps | Key standard | Location in Nifty |
|---|---|---|---|
| Enrolment | 9 steps | OS 2.1 | Compliance and Quality → Enrolment Workflow |
| Certification | 7 steps | Compliance Requirements | Compliance and Quality → Certification Workflow |
| Complaints and Appeals | 7 steps | OS 2.1 / 4.1 | Compliance and Quality → Complaints and Appeals Workflow |
| Assessment | 7 steps | OS 1.8 / 1.9 | Compliance and Quality → Assessment Workflow |
| Validation | 7 steps | OS 1.9 / 1.10 / 1.11 | Compliance and Quality → Validation Workflow |
| RPL | 7 steps | OS 1.12 | Compliance and Quality → RPL Workflow |
| Trainer Onboarding | 7 steps | OS 3.1 / Credential Policy | Compliance and Quality → Trainer Onboarding Workflow |
| TAS Development | 8 steps | OS 1.1 / 1.2 / 1.6 | Compliance and Quality → TAS Development Workflow |
| Continuous Improvement | 7 steps | OS 4.2 | Compliance and Quality → Continuous Improvement Workflow |
How to use: When any of these processes needs to happen, open the relevant workflow in Nifty, create a new task for the specific student or situation, and tick off each step in order. The completed checklist is your audit evidence.