Organisation: Australian Skills Quality Authority (ASQA)
Job Title: Lead Compliance Auditor
Word Limit: 400 words per point
Location: Sydney
Fundamental knowledge of the VET and international student sector and the National Skills
Framework, and demonstrated experience in applying relevant legislation, policies and
guidelines, including the principles of competency-based training and assessment
In my positions with the Department of Industry, Innovation, Climate Change, Science, Research
and Tertiary Education (DIICCSRTE) and formerly the Department of Education, Employment and
Workplace Relations (DEEWR), I developed a strong knowledge of the VET sector within Australia
and the National Skills Framework. In my role as Finance Accountant/Analyst with DEEWR, I
formed part of the VET FEE-HELP team responsible for funding eligible Registered Training
Organisations (RTOs). This involved receiving applications from eligible RTOs, assessing their
applications and making a recommendation about whether they should receive the funding.
During the process of the assessment I would investigate the RTO across a number or areas, for
example; their financial position, longevity and forecasting for the future, relevant mix of
international and local students, and financial ratios associated with the RTO. This required a deep
knowledge of how the VET sector operates and it also deepened my knowledge of the National
Skills Framework, including the VET Quality Framework, the Australian Quality Framework and
Training Packages.
An excellent understanding of relevant legislation and policy in relation to assessing funding
applications within the VET sector enabled me to assess applications effectively. Furthermore, I
entered this role at a time when there were no procedures or processes available to follow. Soon
after commencing in this role, I took the initiative to develop a one-page succinct guideline and
checklist to use in the process of assessing funding applications. This was implemented throughout
the department and ensured a more efficient process and faster turn-around times for VET FEE-
HELP applicants. The development of this document with information gained from legislation and
policy, demonstrates my ability to apply and understand these within my work in the VET sector.
My understanding of competency-based assessment stems from my experience working within
the VET sector, and also through my own study of the Certificate IV in Financial Services and my
current studies to become CPA accredited. Both of these courses have been competency-based
assessment rather than time-based and require students to master one competency before
moving onto the next.
My current role at DIICCSRTE within the Workplace English Language Literacy (WELL) program has
given me a strong understanding of the international student industry within Australia, along with
knowledge of numerous programs and funding sources set up to assist people in gaining language
and literacy skills to take into their workplace. This will be explained more fully in the next criteria.
Demonstrated ability to conduct training quality audits using research, analytical, conceptual,
risk management, interviewing and investigation skills to evaluate compliance with prescribed
standards
In my current position as Project Manager with DIICCSRTE, I successfully delivered the Workplace
English Language and Literacy (WELL) Program to all industries within NSW and ACT. This involved
determining whether workplaces and training organisations should be funded to assist workers
enter the WELL program which is designed to improve their literacy and English language skills for
the workplace. This process involved a number of investigative, interviewing and evaluation
techniques towards evaluating compliance within prescribed standards.
Initially, the participants were assessed on their current skills in different areas and rated. This is
an assessment which takes place after 3, 6 and 12 months within the program to monitor their
progress. These assessments serve as a marker of the person’s needs, and also forms part of the
investigative nature of my role in tracking their progress and ensuring the Government’s funding is
being used wisely. Along with the participant’s progress, my investigation often included
monitoring how many students completed the program successfully, and whether they were
attending consistently. If there were issues with students’ non-attendance, I needed to investigate
this through interviewing participants, training organisations and workplaces to understand why
this was the case and what could have been done to rectify the situation. If there was no
rectification within a certain time-frame, the employer or training organisation would be at risk of
losing their funding for the WELL program.
My role within the VET FEE-HELP program also required the ability to audit ongoing compliance of
RTOs to ensure they were honouring their agreement with the Government for their funding. On
approval, each Registered Training Organisation would be categorised into a low, medium or high
risk category. The category grouping determined how often RTOs ongoing compliance would be
monitored and investigated. The prescribed standards relating to this process included a once-a-
year review for low risk enterprises, and more often for medium and high risk enterprises.
During my role with the VET FEE-HELP program, the standard practice for gaining information from
RTOs was to use a Request For Information (RFI) form, however I found that by picking up the
phone and calling contact people, I was able to better research and understand their position
through utilising interviewing and questioning skills over the phone. This not only made for a
better understanding of their position, but was also more efficient, given that an RFI form allows
30 days for a response from RTOs.
Well-developed verbal and written communication skills including the ability to write accurate
and concise reports
I have demonstrated the ability to communicate with influence in my current role as the NSW/ACT
Project Co-ordinator with DIICCSRTE. In this position I lead activities in the management of the
Australian Government Skills Program contracts and funding agreements, which include liaising
and promoting the WELL program. During the course of the administration of the program I am
required to liaise with internal team members, business units, and external stakeholders, such as
Registered Training Organisations and TAFE representatives.
To promote the program, I used strong oral communication and interpersonal skills to present at
the Australian WELL Practitioners Network conferences which are attended by new and current
WELL providers. During these presentations, I provide existing and new information regarding the
Program, explain updates or changes to policy and legislation around the application process and
provide advice on navigating the program application forms. I also provide compliance information
and guidelines for employers to abide by. After completion of the presentation, I open up the
session for questions from the audience, ensure that I listen and understand the context of the
questions and articulate the response information in a way that will be understood by the
audience.
My written communication skills have been demonstrated in internal documentation I have
developed, such as viability assessments, reports and evidence-based recommendations relating
to WELL Program applications. Within my role with the VET FEE-HELP program, I worked on a
complex case with an applicant that was initially considered a financial risk to the Commonwealth.
To confirm this risk, I was tasked with analysing the entire financial operations of the application
over four financial years to determine immediate and long-term financial viability. I did this by
conducting an exhaustive audit analysing financial records and information, and collaborating with
colleagues for recommendations and advice. I also liaised with the Legal and Policy team
representatives to determine if the applicant complied with the VET FEE-HELP requirements under
Higher Education Support Act 2003. From my analysis, I prepared a report with my findings and
initiated a meeting with my Director to explain the findings and my recommendation not to
approve the applicant as it was a risk to the Commonwealth. Through these and further
discussions, it was agreed that the applicant would be unable to meet the legal requirements of
Higher Education Support Act 2003.
Well-developed interpersonal skills including negotiation, conflict resolution and the ability to
exercise professional judgement to contentious audit issues
In my position with the VET FEE-HELP area of DEEWR, I had the task of rejecting an application
from a Registered Training Organisation in Brisbane as they did not comply with the requirements.
The organisation was an acting and drama school and they had already been asked for information
and failed to supply the requirements. I was left with no choice but to reject their application. A
representative from the school called our Department after this decision was formalised. The
representative was very upset and yelled into the phone. At the beginning I tried to be reasonable
and talk to the man however, he wasn’t prepared to listen to what I had to say. I waited until the
man calmed down and then suggested that as we were on the Friday of a long weekend, I would
call him on the Tuesday morning when he had calmed down and I would explain why the
application was rejected. I explained that they could re-apply for funding at any time and this
seemed to calm him even more.
When I called the man on the Tuesday morning I explained as much as I could about whey their
application was unsuccessful and the man apologised for his behaviour on the previous Friday,
citing that he was just very surprised that their application was rejected. I remained completely
professional, explaining clearly and concisely the issues and welcomed them to reapply when they
got their paperwork sorted out. The man thanked me for calling and genuinely appreciated my
ability to resolve the issue. I was happy with the result and with my ability to manage this
contentious audit issue to a happy resolution.
Within my current role, my professional judgement is exercised when making robust decisions
around organisations’ capacity to deliver the WELL program outcomes as agreed to when applying
for their funding. I administer this judgement through ensuring, I have a strong knowledge of the
industry the students are working in, the modules they are undertaking during their WELL-funded
studies and that the Teachers of the program are TAE qualified or have a degree in their particular
field. These parameters are a sample of what is required to ensure organisations remain funded
through the program. Often the decisions and recommendations I make are unpopular with
funded organisations, however my professional reputation stipulates that I am required to make
these decisions when and if required.
Demonstrated leadership and team work skills, including dealing with conflicting priorities,
maintaining workflows to deliver and achieve project outcomes, meeting deadlines and the
capacity to contribute effectively both individually and as a member of a team
My current role as WELL Program Coordinator sees me as the direct Manager of three
administrative staff (APS4s.) I frequently get together with them to assist managing our workloads.
As a team, we sit and discuss the tasks that each person is aware of and I then allocate tasks to the
team to ensure we all have a fair and achievable workload. To achieve project outcomes
effectively, I will sometimes be specific about one person taking one job, especially if they have
shown expertise in this area, I like to rotate the responsibilities to ensure one person is not doing
the same job every time.
Within our team, I have fostered a positive team culture where we assist one another to complete
work if needed. I have implemented a project tracking sheet which we all have access to, to
ensure everyone is aware of the deadlines and so we can work proactively rather than reactively
as much as possible. Within the project we manage, there is a requirement for a 3 month, 6 month
and final report from funded bodies which we need to action when it becomes due. The tracking
sheet holds all of this information, changes colour when a report is nearly due and assists us to
remember and meet out deadlines. This is an effective tool which ensures the success of the task.
As well as my capacity within a team environment, I also contribute individually in a variety of
ways. This includes reviewing processes and developing solutions to problems where required,
demonstrating leadership and leading by example within my role as Project Manager. Another
example of my ability to work individually is demonstrated in attendance to a meeting at our
National Office in Canberra where I actively took part in discussions that contributed to the
formation of the guidelines for the WELL funding. I provided opinions using real workplace
examples and scenarios to support my input. I suggested the addition of reporting requirements
within the application process and explained that this requirement would provide applicants an
upfront understanding if their application was approved, the reports they were required to
complete, the information to be included and the applicable due dates. As a result of my
participation and contribution the reporting requirement was added as part of the process and
published in a copy of the guidelines.
