Records Management and Data Reporting Policy

1. Purpose

The purpose of this policy is to establish how Academus Training Institute creates, collects, stores, maintains, protects, reports and retrieves records relating to domestic students, training delivery, assessment, certification, compliance and organisational operations.

Academus Training Institute recognises that accurate and secure records are essential to the operation of a compliant Registered Training Organisation. Records provide evidence that students were properly enrolled, trained, assessed, supported and issued certification only where all requirements were met.

This policy ensures that Academus Training Institute maintains records in a way that supports student rights, audit readiness, regulatory compliance, data integrity, privacy, certification accuracy and continuous improvement.

2. Scope

This policy applies to all domestic student records and organisational records held by Academus Training Institute.

It applies to all staff, contractors and authorised personnel who create, access, use, store, update, report or manage records, including:

• CEO
• Compliance Officer
• Training Manager
• Trainers and assessors
• Administration staff
• Enrolment staff
• Student support staff
• Finance staff
• IT or system support personnel
• Any approved third-party or contracted personnel with authorised access to records

This policy applies to records relating to:

• Student enquiries and enrolment
• Student identity and eligibility
• Pre-enrolment information
• LLND or suitability checks
• Training delivery
• Attendance
• Assessment evidence
• Competency decisions
• Recognition of Prior Learning
• Credit Transfer
• Student support
• Complaints and appeals
• Fees and refunds
• Certification issuance
• Staff competency and currency
• Compliance and audit evidence
• AVETMISS reporting
• Continuous improvement

This policy applies only to domestic student delivery. It does not apply to international student, CRICOS or overseas student reporting arrangements.

3. Policy Statement

Academus Training Institute is committed to maintaining accurate, complete, secure, accessible and reliable records.

All records must be:

• Accurate and factual.
• Created at the time of the activity or as soon as practicable.
• Stored securely.
• Protected from unauthorised access, alteration, loss or misuse.
• Retained for the required period.
• Available for audit or regulatory review where required.
• Managed in accordance with privacy and confidentiality obligations.
• Reported accurately through required data reporting systems.
• Destroyed securely when retention requirements have expired and destruction is authorised.

Academus Training Institute will ensure that student outcomes, certification and data reporting are based on verified records and approved evidence only.

4. Records Management Principles

4.1 Accuracy

Records must reflect what actually occurred. Student enrolment, attendance, assessment outcomes, support actions and certification records must be correct and supported by evidence.

4.2 Security

Records must be protected from unauthorised access, accidental loss, inappropriate disclosure, alteration or destruction.

4.3 Confidentiality

Student and staff information must be handled confidentially and accessed only by authorised persons for legitimate work purposes.

4.4 Accessibility

Records must be stored in a way that allows authorised staff to retrieve them efficiently for student service, certification, reporting, audit, review or compliance purposes.

4.5 Integrity

Records must be complete, reliable and protected from improper changes. Any correction must be clear, authorised and traceable where possible.

4.6 Compliance

Records must be maintained in accordance with the Standards for RTOs 2025, AVETMISS reporting requirements, privacy obligations, taxation and financial record requirements, and relevant organisational policies.

5. Student Records

Academus Training Institute must maintain a student file for each enrolled domestic student.

Student files may include, where applicable:

• Enrolment form
• Student agreement
• Student identification evidence
• USI verification record
• Pre-enrolment information acknowledgement
• Course information acknowledgement
• Fee agreement or payment record
• LLND or suitability assessment results
• Entry requirement evidence
• Prerequisite evidence
• Attendance records
• Training participation records
• Assessment submissions
• Practical observation records
• Assessment marking guides
• Competency decisions
• Assessor feedback
• Reassessment records
• Recognition of Prior Learning application and evidence
• Credit Transfer application and verified evidence
• Student support records
• Reasonable adjustment records
• Complaints and appeals records
• Academic misconduct records, where applicable
• Certification issuance records
• Communication records relevant to enrolment, support, attendance, assessment or completion

Student records must be complete enough to demonstrate that training, assessment and certification decisions were compliant and evidence-based.

6. Enrolment and Identity Records

Academus Training Institute must collect and maintain accurate enrolment and identity records before or during enrolment.

These records may include:

• Student full legal name
• Date of birth
• Residential address
• Contact details
• Emergency contact details
• Identification documents, where required
• USI details
• Course selection
• Eligibility information
• Student declaration
• Fee and payment agreement
• Evidence of entry requirements
• Evidence of prerequisite requirements
• Enrolment acceptance or confirmation

Students are responsible for providing accurate information and notifying Academus Training Institute of changes to contact details or personal information.

7. Training Delivery and Attendance Records

Academus Training Institute must maintain records to show that training was delivered as scheduled and that students participated in required training activities.

Training and attendance records may include:

• Class attendance registers
• Student sign-in sheets
• Trainer delivery records
• Session plans
• Training schedules
• Practical activity records
• Catch-up training records
• Online attendance records, where applicable
• Trainer notes relevant to participation or progress
• Records of absence, lateness or early departure
• Records of additional training or support

Attendance records must be completed accurately and must not be falsified, pre-filled or completed on behalf of students without proper verification.

Where attendance is linked to licensing, assessment readiness, course progression or compliance requirements, records must be especially clear and complete.

8. Assessment Records

Assessment records must demonstrate how competency decisions were made.

Assessment records may include:

• Completed assessment tools
• Student written responses
• Practical observation checklists
• Oral questioning records
• Third-party reports, where applicable
• Workplace evidence, where applicable
• RPL evidence
• Credit Transfer evidence
• Assessor marking guides
• Assessor feedback
• Result records
• Reassessment evidence
• Reasonable adjustment records
• Assessment declaration forms
• Academic misconduct records, where applicable

Assessors must ensure assessment records are completed accurately and submitted within required internal timeframes.

Assessment records must show that evidence was valid, sufficient, authentic and current.

9. Recognition of Prior Learning and Credit Transfer Records

Academus Training Institute must maintain records of all Recognition of Prior Learning and Credit Transfer applications and decisions.

RPL records may include:

• RPL application form
• Evidence submitted by the student
• Assessor review notes
• Competency mapping
• Professional conversation records
• Practical demonstration records
• Third-party verification
• Final RPL decision
• Student notification of outcome

Credit Transfer records may include:

• Credit Transfer application
• Statement of Attainment or qualification evidence
• USI transcript verification, where used
• Verification of issuing RTO, where required
• Unit equivalency check
• Credit Transfer decision
• Student notification of outcome

RPL and Credit Transfer decisions must be supported by verified evidence and recorded in the student file.

10. Student Support Records

Where a student receives support, Academus Training Institute must record relevant support information where required.

Support records may include:

• Support request form
• Trainer referral
• LLND support record
• Reasonable adjustment approval
• Student support plan, where developed
• Welfare contact notes
• Attendance follow-up records
• Catch-up training arrangements
• Referral information
• Communication records
• Outcome of support provided

Support records must be factual, respectful and limited to information necessary to support the student and demonstrate reasonable action taken.

Sensitive personal information must be handled confidentially and accessed only by authorised staff.

11. Complaints and Appeals Records

Academus Training Institute must maintain records of complaints and appeals.

Records may include:

• Complaint or appeal form
• Supporting evidence
• Acknowledgement to student
• Investigation notes
• Communication records
• Decision or outcome
• Corrective action
• Continuous improvement action
• Review or escalation records

Complaints and appeals records must be stored securely and managed confidentially.

Where a complaint or appeal identifies a records issue, corrective action must be recorded and followed up.

12. Certification Records

Academus Training Institute must maintain accurate records of all AQF certification documentation issued.

Certification records may include:

• Qualification issued
• Statement of Attainment issued
• Record of Results issued
• Student name
• Student number
• USI verification status
• Qualification or unit code and title
• Date of issue
• Authorised signatory
• Certificate number, where used
• Issuance approval
• Reissue or replacement records
• Evidence that all completion requirements were met

Certification must only be issued after all training, assessment, credit transfer, RPL, administrative and verification requirements have been completed.

Academus Training Institute must retain records that allow certification to be reissued or verified in the future.

13. Staff Records

Academus Training Institute must maintain records for staff involved in training, assessment, student support, administration and compliance.

Trainer and assessor records may include:

• Resume or professional profile
• Qualifications
• Training and assessment credentials
• Vocational competency evidence
• Industry currency evidence
• Professional development records
• Trainer matrix
• Position description
• Employment or contractor agreement
• Induction records
• Performance review records
• Validation and moderation participation
• Licensing or approval evidence, where applicable

Staff records must demonstrate that trainers and assessors meet the requirements for the training products they deliver and assess.

14. Compliance and Governance Records

Academus Training Institute must maintain compliance and governance records to support accountability and audit readiness.

These records may include:

• Policies and procedures
• Version control records
• Internal audit records
• Continuous Improvement Register
• Validation and moderation records
• Industry consultation records
• Training and Assessment Strategies
• Resource review records
• Facility and equipment review records
• Risk management records
• Meeting minutes
• Regulatory correspondence
• Scope of registration records
• Complaint, appeal and incident registers
• Marketing approval records

Compliance records must be maintained in an organised and retrievable format.

15. Financial Records

Academus Training Institute must maintain financial records relating to student fees, payments and refunds.

Financial records may include:

• Fee agreements
• Invoices
• Receipts
• Payment plan records
• Refund applications
• Refund decisions
• Refund payment records
• Outstanding fee records
• Fee schedule versions
• Financial correspondence with students

Financial records must be maintained in accordance with applicable financial, taxation, audit and organisational requirements.

16. Student Management System

Academus Training Institute may use an approved student management system to manage enrolment, attendance, assessment outcomes, certification and reporting records.

The student management system must be used to record accurate student data, including:

• Student details
• Course enrolment
• Unit enrolment
• Attendance or participation, where applicable
• Assessment outcomes
• RPL and Credit Transfer outcomes
• Completion status
• Certification issuance
• AVETMISS reporting data

Data entered into the student management system must be accurate, complete and entered within required internal timeframes.

Access to the student management system must be restricted to authorised staff based on their role and responsibilities.

17. Data Entry and Accuracy

All staff responsible for entering or updating records must ensure information is accurate before saving or submitting data.

Data accuracy checks may include:

• Confirming student spelling and date of birth
• Verifying USI details
• Checking course and unit codes
• Checking enrolment dates
• Checking assessment outcomes
• Confirming completion dates
• Checking funding or reporting fields, where applicable
• Reviewing certification details before issue
• Confirming AVETMISS fields before submission

Errors must be corrected promptly when identified.

Changes to important records must be made only by authorised staff.

18. AVETMISS Data Reporting

Academus Training Institute must collect and report AVETMISS-compliant data where required for nationally recognised training.

AVETMISS reporting must accurately reflect:

• Student details
• Training product details
• Enrolment activity
• Unit activity
• Delivery location
• Commencement and completion details
• Outcome results
• Credit Transfer or RPL outcomes
• Funding or fee-for-service status, where applicable

AVETMISS data must be checked and validated before submission.

Data errors identified during validation must be corrected before submission.

Academus Training Institute must submit required AVETMISS data within required reporting timeframes.

Staff involved in AVETMISS reporting must ensure that submitted data matches approved student records.

19. Privacy and Confidentiality

Academus Training Institute must protect student, staff and organisational information.

Personal information must be collected, used, stored and disclosed only for lawful and legitimate purposes.

Students must be informed about how their personal information may be used, including for:

• Enrolment administration
• Training delivery
• Assessment
• Student support
• Certification
• USI verification
• AVETMISS reporting
• Regulatory reporting
• Compliance and audit purposes

Personal information must not be disclosed to unauthorised persons unless:

• The student gives consent.
• Disclosure is required by law.
• Disclosure is required for regulatory or audit purposes.
• Disclosure is necessary to manage a serious safety or duty of care concern.
• Disclosure is otherwise permitted under ATI policy and privacy requirements.

Staff must not access student or staff records unless there is a legitimate work-related reason.

20. Digital Records and File Management

Digital records must be stored in an organised, secure and retrievable manner.

Digital file management should include:

• Clear folder structures
• Consistent file naming
• Version control for key documents
• Secure access permissions
• Regular backup processes
• Protection against unauthorised editing or deletion
• Storage in approved systems only
• Removal of duplicate or outdated uncontrolled versions where appropriate

Scanned records must be legible and complete.

Where paper documents are converted to digital records, staff must ensure that the scanned copy is clear, complete and stored in the correct location.

21. Paper Records

Where paper records are used, they must be stored securely and protected from unauthorised access, loss or damage.

Paper records must be:

• Stored in locked cabinets or secure areas where appropriate.
• Accessible only to authorised staff.
• Filed in an organised manner.
• Protected from water, fire, theft or accidental loss where practicable.
• Digitised where required by ATI’s recordkeeping process.
• Destroyed securely when authorised and retention periods have expired.

22. Record Retention Periods

Academus Training Institute must retain records for the required minimum period.

The following retention periods apply unless a longer period is required by law, contract, funding arrangement or regulatory direction.

Where there is uncertainty about whether a record can be destroyed, the record must be retained until the CEO or Compliance Officer approves disposal.

23. Record Disposal and Destruction

Records must only be destroyed when:

• The required retention period has expired.
• There is no current audit, investigation, complaint, appeal, legal matter or regulatory request involving the record.
• Disposal has been approved by the CEO, Compliance Officer or authorised person.
• Destruction is completed securely.

Secure destruction may include:

• Shredding paper records.
• Secure deletion of digital files.
• Removal from backup systems where appropriate and practicable.
• Use of approved confidential destruction services.

A destruction record should be maintained for significant record disposal activities.

24. Data Security and Access Control

Academus Training Institute must take reasonable steps to protect data security.

Security controls may include:

• Password-protected systems
• Role-based access
• Secure cloud storage
• Backup procedures
• Antivirus and security software
• Restricted access to sensitive files
• Staff confidentiality obligations
• Secure disposal of records
• Monitoring of unauthorised access concerns
• Prompt action when data security issues are identified

25. Data Breaches

A data breach may occur where personal information is lost, accessed, disclosed, altered or used without authorisation.

Examples may include:

• Sending student records to the wrong recipient.
• Loss of a device containing student information.
• Unauthorised access to student files.
• Accidental public release of confidential information.
• Cybersecurity incident affecting student records.
• Improper disposal of personal information.

Any suspected data breach must be reported to the CEO or Compliance Officer as soon as practicable.

Academus Training Institute will assess the breach, take containment action, notify affected persons or authorities where required, and record corrective actions.

26. Audit Readiness

Academus Training Institute must maintain records in a way that supports audit readiness at all times.

Records must be:

• Complete
• Accurate
• Organised
• Current
• Secure
• Accessible to authorised staff
• Able to demonstrate compliance

Audit-ready records must support evidence of:

• Student enrolment
• Pre-enrolment information
• Training delivery
• Attendance
• Assessment decisions
• Certification issuance
• Trainer and assessor competency
• Resource suitability
• Student support
• Complaints and appeals
• Validation
• Continuous improvement
• AVETMISS reporting

The Compliance Officer or delegated staff member may conduct internal records audits to confirm files are complete and compliant.

27. Internal Records Review

Academus Training Institute will conduct periodic records reviews to identify gaps, errors or improvement opportunities.

Reviews may include:

• Student file checks
• Assessment evidence checks
• Certification checks
• Trainer file checks
• AVETMISS data checks
• Attendance record checks
• Policy version control checks
• Complaint and appeal file checks
• Continuous improvement record checks

Where records are incomplete, inaccurate or missing, corrective action must be taken promptly.

Records review outcomes may be entered into the Continuous Improvement Register.

28. Continuous Improvement

Records management and data reporting issues must be used to improve systems and processes.

Continuous improvement may be informed by:

• Internal audits
• File reviews
• AVETMISS validation errors
• Certification checks
• Complaints and appeals
• Staff feedback
• Student feedback
• Regulator feedback
• Data breach reviews
• System errors
• Missing or incomplete records

Improvement actions may include:

• Staff training
• System changes
• Updated forms
• Updated procedures
• Improved file naming
• Improved checklists
• Additional approval controls
• Stronger access controls
• Regular compliance monitoring

29. Roles and Responsibilities

30. Related Documents

This policy should be read together with the following documents:

• Privacy Policy
• Enrolment and Admissions Policy
• Student Information Pre-Enrolment Policy
• Training Delivery Policy
• Assessment Policy
• Certification Issuance Policy
• Recognition of Prior Learning and Credit Transfer Policy
• Student Support During Training Policy
• Complaints and Appeals Policy
• Fees and Refund Policy
• Information and Marketing Transparency Policy
• Integrity of Nationally Recognised Training Policy
• Continuous Improvement Policy
• Trainer and Assessor Requirements Policy
• Student Handbook

31. Review and Approval

This policy will be reviewed annually or earlier where required due to changes in:

• Standards for RTOs
• AVETMISS reporting requirements
• Privacy or data protection requirements
• Record retention requirements
• Certification requirements
• Student management systems
• Internal audit findings
• Data breach incidents
• Complaints or appeals
• Continuous improvement outcomes

Next Review Date: July 2027