QAF Guidance For Conformity Assessment Bodies - Key Words

Quality Assurance Framework
Guidance for Conformity Assessment Bodies
Disclaimer
This process document is not a stand-alone document and does not contain the entirety of Conformity
Assessment Body’s (CAB) obligations in relation to undertaking Quality Principles Audits for the Quality
Assurance Framework. It must be read in conjunction with the Quality Principles Quality Auditor Deed (the
Quality Auditor Deed) including any reference material issued by the Department of Employment and
Workplace Relations (the Department) under or in connection with the Quality Auditor Deed.
This process document is not legal advice and the Commonwealth accepts no liability for any action
purportedly taken in reliance upon it and assumes no responsibility for the delivery of the Quality Principles
Audits. This process document does not reduce the obligation of CABs to comply with their relevant legal
obligations and, to the extent that this process document is inconsistent with obligations under the Privacy
Act, Social Security Law, the Work Health and Safety Laws or any other legislation or laws relevant to the
respective jurisdictions in which Providers operate, the relevant legislation or laws will prevail.
Note
All capitalised terms in this document have the same meaning as in the Deed unless otherwise specified.
Version History
A full version history of this process document can be found below.
Version Date Summary of changes
0.1 14 June 2022 Initial document
0.2 1 July 2022 Update to reflect new Department name and
amendments to name of Department contact for
Providers.
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Contents
Accessing Quality Assurance Framework (QAF) documents...........................................................................5
Quality Auditor Training Requirements......................................................................................................... 5
Required training.................................................................................................................................................5
Requirement to pass the training........................................................................................................................5
Table 1: Advice provided by the Department on training outcomes..............................................................6
Ongoing training requirements...........................................................................................................................6
About the QAF.............................................................................................................................................. 6
QAF Certification..................................................................................................................................................6
Quality Standards.................................................................................................................................................7
Quality Standards Audits.................................................................................................................................7
Quality Principles.................................................................................................................................................7
Interaction between the QAF and Right Fit for Risk (RFFR).................................................................................7
QAF certification process.............................................................................................................................. 9
Figure 1: Flowchart of QAF certification process............................................................................................9
Quality Principles Audits............................................................................................................................. 10
Types of Quality Principles audits......................................................................................................................10
Table 2: Description of the types of Quality Principles Audits......................................................................10
Timing of Quality Principles Audits....................................................................................................................10
Table 3: Description of the timing of Quality Principles Audits....................................................................10
Figure 2: Example of Quality Principles Audit timing....................................................................................11
Quality Principles auditors.................................................................................................................................12
Audits conducted by a Departmental Officer...............................................................................................12
Audits conducted by a Quality Auditor.........................................................................................................12
Quality Principles Audits undertaken by a Quality Auditor..........................................................................13
Figure 3: Flow chart of Quality Principles audits undertaken by a Quality Auditor......................................13
QAF Audit Plan........................................................................................................................................... 14
Table 4: QAF Audit Plan Timeframes for Quality Principles audits conducted by a Quality Auditor...........14
Audit Plan for Extraordinary Audits...................................................................................................................14
Audit Intelligence........................................................................................................................................ 15
Self-Assessment Tool.................................................................................................................................. 15
Table 5: Self-Assessment Tool completion requirements by audit type......................................................15
Required supporting documentation................................................................................................................16
Self-Assessment Tool for Extraordinary Audits.................................................................................................16
Review of the completed Self-Assessment Tool and required supporting documentation.............................16
Steps to review the Self-Assessment Tool....................................................................................................16
Undertaking the Audit................................................................................................................................ 17
Audit sampling...................................................................................................................................................17
Site sampling.................................................................................................................................................17
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Table 6: Calculating Site Sample Sizes...........................................................................................................18
Table 7: Matters for consideration when determining the Site sample.......................................................18
Claims sampling.............................................................................................................................................19
Participant sampling......................................................................................................................................19
Table 8: Participant sampling types..............................................................................................................19
Table 9: File review and Participant interview sampling requirements.......................................................20
Employer Sampling........................................................................................................................................20
Table 10: Employer interview sampling requirements.................................................................................20
Audit Closing Meetings......................................................................................................................................20
Non-conformances..................................................................................................................................... 21
Types of non-conformances..............................................................................................................................21
Table 11: Descriptions of non-conformances...............................................................................................21
Table 12: Non-conformance close out and down-grade requirements.......................................................21
Non-conformances identified by the Department through a review of a CAB conducted Quality Principles
Audit...................................................................................................................................................................21
Quality Principles Audit Report................................................................................................................... 22
Table 13: Provider timeframes for delivery of Quality Principles Audit Report undertaken by a Quality
Auditor...........................................................................................................................................................22
Completing the Audit Report.............................................................................................................................22
Quality Assessment of Quality Principles Audit Reports...................................................................................22
Department review of Quality Principles Audit Reports...................................................................................23
Table 14: Timeframes for Quality Auditor Quality Principles Audit Reports reviewed by the Department 23
Quality Principles Corrective Action Plan (CAP)............................................................................................24
Table 15: Timeframes for submitting a CAP..................................................................................................24
Review of a CAP.................................................................................................................................................24
Closed out and down-graded Non-conformances............................................................................................24
Table 16: Timeframes submitting a CAP that is closed out...........................................................................24
Key QAF and Employment Services Terms and Acronyms............................................................................25
Table 17: Key Terms and acronyms...............................................................................................................25
Records Management................................................................................................................................. 47
Table 18: Record category.............................................................................................................................47
General Records Authority 40.......................................................................................................................47
Management of Records...................................................................................................................................47
Storage requirements....................................................................................................................................48
Control of Records.........................................................................................................................................48
Movement of Records...................................................................................................................................49
Transfer of Records............................................................................................................................................49
Transfer between CABs.................................................................................................................................49
Return of Records..............................................................................................................................................49
Return of Digital Records..............................................................................................................................49
Return of Physical Records............................................................................................................................50
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CABs’ Access to Returned Records................................................................................................................50
Data Migration...................................................................................................................................................50
Data Security Considerations........................................................................................................................50
Decommissioning of Systems........................................................................................................................50
Breaches and Inappropriate Handling of Records.............................................................................................51
Reporting Requirements...............................................................................................................................51
Rectification Requirements...........................................................................................................................51
Notifiable Data Breaches Scheme.................................................................................................................51
Retention of Records.........................................................................................................................................51
Digital Records...............................................................................................................................................52
Disposal of Records............................................................................................................................................52
Methods of destroying Records....................................................................................................................52
Destruction of Duplicate Records..................................................................................................................53
Attachment A – Workforce Australia Quality Principles...............................................................................54
Table 19: Workforce Australia Quality Principles.........................................................................................54
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Accessing Quality Assurance Framework (QAF) documents
A GovTeams site has been established to enable the Department to provide Quality Auditors and CABs with
access to documents and links relevant to the QAF and Quality Principles Audits.
Once approved for inclusion on the Department approved Quality Auditor List, CABs and their identified
Quality Auditors, will received a GovTeams invitation with information about how to register and access the
GovTeams QAF Quality Auditor community.
The GovTeams site will include access to:
o this Guidance document
o links to the required eLearning training for Quality Auditors
o links to the template Workforce Australia Services Deed of Standing Offer 2022 – 2028 (Workforce
Australia Services Deed) and associated Guidelines
o Quality Principles Audits templates.
CABs and Quality Auditors need to access the GovTeams QAF Quality Auditor community to ensure they have
the most up to date access of the relevant documents.
Note
Where a CAB would like to add new Quality Auditors, the CAB contact must contact the Department via
ESQAF@dese.gov.au to arrange this.
The CAB contact must also advise the Department via ESQAF@dese.gov.au as soon as practical when a
Quality Auditor will no longer be undertaking Quality Principles Audits and/or has left the organisation.
Quality Auditor Training Requirements

As outlined in the Quality Auditor Deed, the CAB must ensure that its relevant Personnel and Subcontractors
attend and/or undertake any training and information sessions as specified in this Guidance or as otherwise
Notified by the Department, prior to conducting any Quality Principles Audits.
Required training
The Department requires that all Quality Auditors complete the following eLearning modules and the
associated assessments:
1. QAF Quality Principles Audits
2. QAF Quality Principles
The modules can be undertaken in any order, however both modules must be completed by the Quality
Auditor. After completion of each module, the Quality Auditor must complete the associated assessment and
submit it to the Department.
The eLearning modules are available on the GovTeams QAF Quality Auditor community.
Requirement to pass the training

The assessments associated with the eLearning modules, available on the GovTeams QAF Quality Auditor
community, ask a set of questions to test the Quality Auditor’s understanding of the Quality Principles Audits
and the Quality Principles.
Quality Auditors must achieve 100 per cent accuracy (the required pass mark) on each of the questionnaires
before undertaking a Quality Principles Audit. Review of the assessments for each of the eLearning modules
will be undertaken by the Department once it is in receipt of both the completed assessments from an
individual Quality Auditor.
Following the review, the Department will advise the Quality Auditor and the CAB contact of the outcome.
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Note
 Where the Department determines that a Quality Auditor that has not achieved the required pass mark
and is listed in an Audit Plan as scheduled to undertake a Quality Principles Audit, the Department will
contact the CAB contact to ensure the training is undertaken and passed as required or to request that
another Quality Auditor who has passed the training undertakes the Audit.
 Where the Department determines that a Quality Auditor that has not achieved the required pass mark
and has undertaken a Quality Principles Audit, the Department:
o will contact the CAB contact to clarify why the issue has occurred
o may require the Workforce Australia Employment Services Providers (Providers) to have a new
audit undertaken with an appropriately trained Quality Auditor.
Table 1: Advice provided by the Department on training outcomes

Outcome Advice provided by the Department
Quality Auditor has achieved the The Quality Auditor can undertake Quality Principles Audits.
required pass mark
Quality Auditor has not achieved The Quality Auditor will be advised:
the required pass mark  which question(s) on the respective assessment were answered
incorrectly
 to undertake the assessment(s) again
 they cannot undertake Quality Principles Audits until they achieve
the required pass mark.
Ongoing training requirements

The Department requires that all Quality Auditors recomplete the following eLearning modules and the
associated assessments every 12 months:
1. QAF Quality Principles Audits
2. QAF Quality Principles
The modules can be undertaken in any order, however both modules must be completed by the Quality
Auditor every 12 months to ensure their understanding of the Quality Principles remains current. After
completion of each module, the Quality Auditor must complete the associated assessment and submit it to the
Department.
About the QAF

The QAF sets out the minimum standards of quality for Providers, ensuring their policies and processes
support continuous improvement and quality service delivery.
QAF Certification
To obtain QAF Certification, Providers must:
 achieve certification against one of the 2 approved Quality Standards, and
 demonstrate adherence to the Department’s 7 Quality Principles.
Providers must obtain a QAF Certificate no later than 9 months after any Head Licence Start Date, unless
otherwise Notified by the Department, and maintain the currency of the Certificate for the duration of the
Head Licence Term.
QAF Certification is valid for 3 years, subject to a Provider maintaining Certification against both the Quality
Standards and the Quality Principles.
QAF Certification will only be granted where the Provider has:
• provided the Department with evidence of Quality Standards Certification
• achieved certification against the Quality Principles.
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Further information about the QAF Certification Process is outlined below.
Quality Standards
The Quality Standards approved by the Department under the QAF are:
 ISO 9001:2015 – an internationally recognised standard that promotes a quality management system as
an integral part of an organisation’s operations
 the National Standards for Disability Services (NSDS) - the disability employment standards which
underpin the Quality Strategy for Disability Employment.
For QAF purposes, the scope of the Quality Standards Audits must include a Provider’s Enhanced Services
business.
Quality Standards Audits

A Provider must engage a Quality Auditor from a Conformity Assessment Body (CAB) that has been accredited
by the Joint Accreditation Scheme of Australia and New Zealand (JAS-ANZ) to undertake an ISO 9001or NSDS
Audit.
Note
A Provider may use a different CAB for its Quality Standards Audit to the CAB that is used for its Quality
Principles Audit.
The Provider is required to submit the Quality Standards Audit Declaration prior to commencing the Audit for
approval. After the Audit, the Audit Report and evidence of Certification must be submitted to the
Department for approval and noting.
Further information on the Quality Standards Audit requirements for Providers can be found in the Quality
Assurance Framework Audit Process document for Providers.
Quality Principles
There are 7 Quality Principles:
1. Governance
2. Leadership
3. Personnel
4. Participants
5. Labour market, Employers, and Community
6. Operational effectiveness
7. Continual improvement.
Each of the Quality Principles is underpinned by a set of Key Performance Measures (KPMs), containing
Practice Requirements (PRs) that a Provider must meet to demonstrate conformance with the KPM. The KPMs
and PRs are at Attachment A.
Further information about Quality Principles Audits is below.
Interaction between the QAF and Right Fit for Risk (RFFR)
The Department uses the External Systems Assurance Framework (ESAF) to determine that Providers and their
External IT Systems appropriately manage the level of risk to the security of information they hold. As part of
the ESAF, RFFR provides a tailored assurance approach to inform the Department’s accreditation decision. The
RFFR approach closely follows the ISO 27001 international standard that sets out the requirements for an
Information Security Management System (ISMS).
Providers and any Subcontractors are required to undertake the accreditation process and be accredited to
demonstrate their ability to meet the Department’s requirements for Provider information security in the
manner and within the timeframes specified in the Guideline. Providers accredited under the ESAF must
maintain their accreditation for the duration of the Workforce Australia Services Deed with the Department, or
the period they retain access to personal information collected during delivery of employment services
(whichever is later).
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RFFR requirements are encompassed within the Quality Principles (Attachment A):
 PR 1.1.3 requires the Provider to have corporate governance arrangements in place, for the delivery of
Services, that manage IT systems. This includes policies and processes for ongoing compliance with the
Workforce Australia Services Deed in relation access and information security, including RFFR
 KPM 6.1 requires the Provider’s policies and processes support the delivery of Services that comply with
the Workforce Australia Services Deed and Guideline
 KPM 6.2 requires a Provider to have arrangements in place to comply with the Privacy Act 1988, the
applicable Work Health and Safety Act(s), and other relevant legislation.
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QAF certification process
Figure 1: Flowchart of QAF certification process
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Quality Principles Audits
All Quality Principles Audits involve the:
 Provider submitting an Audit Plan (that has been completed in consultation with the Quality Auditor) to
the Department
 Provider completing a Self-Assessment Tool (including the provision of specified supporting
documentation) and submitting this to the Quality Auditor
 Quality Auditor reviewing the completed Self-Assessment Tool and supporting documents
 Quality Auditor undertaking the Audit (onsite or virtual)
 Provider submitting the Quality Principles Audit Report
 Quality Auditor (where they have undertaken the audit) sending the completed self-assessment tool to
the Department
 Department reviewing the Audit Report, and where agreed, providing Quality Principles Certification.
Types of Quality Principles audits

Table 2: Description of the types of Quality Principles Audits
Audit Type Description
Certification audit  Initial audit
 All KPMs and Practice Requirements must be audited.
Recertification audit  Conducted every 3 years
 All KPMs and Practice Requirements must be audited.
Surveillance audit  Conducted annually in between the certification and recertification audits.
 The following must be audited
o 50 per cent of the Practice Requirements (refer Attachment A)
o any non-conformances identified in the Certification or Recertification
audit
o any other Practice Requirements, as identified by the Department.
Extraordinary audit  Conducted where requested by the department
 The scope of an Extraordinary Audit will be determined by the Department
on a case-by-case basis and will be targeted to a specific aspect, or aspects, of
the Quality Principles.
Note
An Extraordinary audit may be conducted by a Departmental Officer or the Department may request a
Quality Auditor to conduct the Extraordinary Audit.
Where it is determined that a Provider is required to undergo an Extraordinary Audit undertaken by a

Quality Auditor, the Department will advise the Provider and the CAB, in writing, of the timeframe in which
the Extraordinary Audit must be conducted in and the scope of the Extraordinary Audit.
Timing of Quality Principles Audits

Table 3: Description of the timing of Quality Principles Audits
Timing Action
Within 9 months of the start date of the Head A Certification audit must be conducted
Licence
No more than 12 months and 24 months of the last A Surveillance audit must be conducted
day of the Certification or Recertification Audit
No more than 36 months of the last day of the A Recertification audit must be conducted and
Certification or Recertification Audit accepted prior to the Department advised Quality
Principles Certification expiry date.
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Figure 2: Example of Quality Principles Audit timing
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Quality Principles auditors
Audits conducted by a Departmental Officer
Suitably trained Departmental Officers may conduct Quality Principles Certification, Recertification,
Surveillance and/or Extraordinary Audits on certain Providers at the Department’s discretion. Providers
selected for Department led audits will be advised no later than 8 weeks prior to the proposed audit.
Audits conducted by a Quality Auditor

Providers that are not audited by the Department must engage a Department approved Quality Auditor to
undertake Quality Principles Certification, Recertification, Surveillance and/or Extraordinary Audits.
In accordance with the Quality Principles Quality Auditor Deed, the Quality Auditors of a Department approved
CAB must participate in and pass all the Department’s required training prior to conducting a Quality Principles
audit.
Note
The Provider is responsible for its audit costs, including the close out of Non-conformances, regardless of
whether the audit is conducted by Departmental Officers or a Quality Auditor.
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Quality Principles Audits undertaken by a Quality Auditor
Figure 3: Flow chart of Quality Principles audits undertaken by a Quality Auditor
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QAF Audit Plan
The QAF Audit Plan provides the basis on which Quality Principles audit will be conducted.
A QAF Audit Plan must be approved by the Department for Quality Principles Audits. The Audit Plan template
will assist to ensure the relevant sampling requirements are being met.
Table 4: QAF Audit Plan Timeframes for Quality Principles audits conducted by a Quality Auditor
Minimum Timeframe prior to audit Requirement
commencement date
At least 40 business days The Provider must download the QAF Audit Plan template from the
Provider Portal.
 The Provider must complete the QAF Audit Plan with the
Quality Auditor
 The Audit Plan must include the Provider’s Workforce Australia
Services business
 Where IT issues prevent Audit Plan download, Providers must
email their request to ESQAF@dese.gov.au The department
will provide the template to the Provider within
24 hours of receiving the request.
At least 30 business days The Provider must send the completed QAF Audit Plan to the
Department (via ESQAF@dese.gov.au) for approval and copy in the
relevant Department Provider Lead.
At least 25 business days The Department will send an email approving or requesting changes
to the QAF Audit Plan.
 Where the QAF Audit Plan is approved, the Department will
send the Provider (copying in the CAB identified in the Audit
Plan):
o the Self-Assessment Tool
o the Quality Principles Audit Report Template
o the CAP Template.
At least 20 business days Where the department requests changes to the QAF Audit Plan:
the Provider must send an updated QAF Audit Plan to the
Department (via ESQAF@dese.gov.au) for approval and copy in the
Department Provider Lead The Department will respond to the
relevant updated QAF Audit Plan within 2 business days of the QAF
Audit Plan being received.
Note
Where an approved Quality Principles QAF Audit Plan needs to be changed (eg: a change to the sites being
audited), the Provider must resubmit this to the Department (via ESQAF@dese.gov.au and copy in the
relevant Department Provider Lead) for reapproval as soon as possible, but prior to the commencement of
the Quality Principles Audit.
The Department will respond to the revised QAF Audit Plan within 2 business days of the QAF Audit Plan
being received.
Audit Plan for Extraordinary Audits

An Audit Plan must be completed for the Extraordinary Audit. Where the Extraordinary Audit is being
conducted by a Quality Auditor, the Quality Auditor must work with the Provider to develop the Audit Plan.
The Provider will be required to submit the Audit Plan to the Department the timeframe specified.
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Audit Intelligence
Ahead of the audit commencing, the Department may provide the Quality Auditor with information to assist
with the Quality Principles Audit, such as program assurance activity results.
The information provided will outline:
 the caseload details of the Provider, including where specialist services are being provided
 the performance of the Provider to date (where this is available)
 any key issues that may be relevant to the audit.
The information will be provided to the Quality Auditor, copying in the Provider, in a PDF format 10 business
days prior to the audit start date.
Note
The department will not give the Quality Auditor information about the Provider that the Provider does not
also know about.
Self-Assessment Tool
The Self-Assessment Tool is an MS Excel document that outlines the Quality Principles PRs. It asks the Provider
a set of questions about the policies and procedures that are in place to meet these requirements and each
specific KPM for each PR.
The Self-Assessment Tool assists Providers to undertake an initial review of the policies and procedures they
have in place to support continuous improvement and quality service delivery. It also supports audit
preparation for both those conducting the audit and the Provider, giving a more focused review of Provider
processes and procedures in place.
Providers are required to list in the Self-Assessment Tool the existing policy and procedure documents that are
in place in line with the QAF evidence requirements outlined in the Guideline.
Table 5: Self-Assessment Tool completion requirements by audit type
Audit Type Description
Certification audit  All KPM and PR sections of the Self-Assessment Tool need to be completed.
Recertification audit  All KPM and PR sections of the Self-Assessment Tool need to be completed.
Surveillance audit  50 percent of the KPMs and relating PR sections of the Self-Assessment Tool
need to be completed.
o The PRs and relating KPM sections that need to be completed for the
Self-Assessment Tool will be identified in the template that is sent to
the Provider.
o Any Non-conformances identified in the Certification or Recertification
audit will also be assessed as part of the Surveillance audit
o The Department may also identify additional PRs that should be
assessed as part of the Surveillance audit in consideration of preceding
assurance activities.
Extraordinary audit The Department will advise which KPMs and PR sections of the Self-Assessment
Tool need to be completed.
Note
The PRs in scope for each type of audit is noted in Attachment A.
Note
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The completed Self-Assessment Tool, including the review undertaken by the Quality Auditor, must be
submitted to the Department with the Quality Principles Audit Report.
Required supporting documentation

The Self-Assessment Tool includes a list of specific documents Providers need to submit with the Self-
Assessment Tool. These are key documents that support the evidence requirements outlined in the Guideline.
The documents required to be provided are the minimal expected existing documents that a Provider will have
to demonstrate conformance with the Quality Principles. It is noted that the Provider may have additional
documents that assist them to meet the KPMs and PRs, and these can be viewed by the Quality Auditor at
their request.
Self-Assessment Tool for Extraordinary Audits

The Provider will be required to complete and submit the Self-Assessment Tool as per the requirements of
Certification, Surveillance and Recertification audits.
Note: An Extraordinary Audit can be conducted at any time and will not alter the timings required for
Certification, Surveillance or Recertification audits.
Review of the completed Self-Assessment Tool and required supporting

documentation
Once the Self-Assessment Tool has been completed by the Provider it must be submitted via email (or other
format pending advice from the auditor) to the Department Officer or Quality Auditor that is undertaking the
audit. The required document outlined in the Self-Assessment Tool must also be submitted at this time.
The Provider is required to submit the completed Self-Assessment Tool and specific supporting documentation
to the Quality Auditor at least 5 business days before the Quality Principles audit start date.
The Quality Auditor should review the responses in the completed Self-Assessment Tool and the supporting
document that has been provided within 5 business days of receipt of the completed Self-Assessment Tool.
Note: it is open to the Quality Auditor to request additional information or documentation where clarification
or further information is required prior to an audit being undertaken.
Steps to review the Self-Assessment Tool

1. Each tab of the Self-Assessment Tool will need to be unlocked to enable the Quality Auditor to complete
the review of the responses in the Self-Assessment Tool.
 The password to unlock the Self-Assessment Tool will be given to the CAB contact.
Note
This password should not be given to the Provider

2. The Quality Auditor should complete the following columns in each of the Principles tabs:
Column Name of column
G Reviewer Response
H Does the information and evidence provided satisfactorily demonstrate the requirement
is being met as intended?
I Has the provider had a previous NC or OFI for this element
J Is audit follow up required?
Note
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The information completed in these columns will automatically transfer into columns F and G of the ‘Audit
Use Only, Audit Checklist’ tab in the Self-Assessment Tool.
3. The Quality Auditor should complete the following columns in the ‘Audit Use Only, Audit Checklist’ tab in
the Self-Assessment Tool:
Column Name of column
H QAF Evidence requirement met?
I Finding outcome (following audit)
Note
Columns C, D, E, F, G and J of the ‘Audit Use Only, Audit Checklist’ tab in the Self-Assessment Tool will be
filled in automatically based on what has been put in other sections of the Self-Assessment Tool.
Undertaking the Audit

Following the review of the completed Self-Assessment Tool and supporting documentation the audit must be
conducted by the Quality Auditor.
Note
The audit, where possible, will be undertaken on site. Where it is not possible or practical to physically
attend a site or sites, the audit will be conducted remotely (subject to agreement by the Department and
participating parties).
Audits may include:

 interviews with key organisational members (e.g., Chief Executive Officers, Chief Operation Officers)
 interviews with site staff members
 interviews with Participants
 interviews with Host Organisations
 interviews with Employers
 viewing additional documents.
Audit sampling
The sampling methodology outlined in this document applies to all Quality Principles audits.
The sampling falls into the following four categories:
 Site sampling
 Claims sampling
 Participant sampling
 Employer sampling.
The sampling numbers provided below are the minimum numbers required. If the Quality Auditor or
Departmental Officer conducting the audit considers that additional sampling is required to determine
conformance with the audit criteria, they may increase the sampling numbers.
Note: The selection and review of site, claim and participant samples is the responsibility of the Quality
Auditor or Departmental Officer conducting the audit.
Site sampling
The Site sample must be representative of the Provider’s business. Where a Provider operates more than one
Site, multiple Sites must be audited to ensure the adequate representation of its business.
Table 6: Calculating Site Sample Sizes
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Audit Type Number of sites
Certification and recertification The square root of Site Count rounded to the next whole
audits number and the Provider’s head office
60 per cent of the square root of the Site Count round to the next
Surveillance audit
whole number and the head office.
The Department will determine the number of Sites in an
Extraordinary audit
Extraordinary Audit on a case-by-case basis
Note: The Site Count is equal to the sum of the full time, part time and outreach sites listed in the Provider’s
Workforce Australia Services Deed schedule.
Selecting the sample
When determining the Site sample, consideration should be given to the following to assist in ensuring the Site
sample is reflective of the Provider’s business.
Table 7: Matters for consideration when determining the Site sample
Item Consideration to be given
No repetition  Over the duration of the Head Licence, Quality Principles Audits
should sample as many sites as possible.
 Sites that have been included in a Quality Principles audit previously
should not be included in a future Quality Principles audit unless its
consideration is relevant (e.g., following the identification of a Non-
conformance, the site count is too small requiring sites to be audited
multiple times).
Geographical coverage  Where the Provider operates in more than one Employment Region,
sites should be selected from different Employment Regions
 Where the calculated Site sample is larger than the total number of
Employment Regions where the Provider operates, multiple sites in an
Employment Region may be chosen.
Varying Site types  The range of service sites (full time, part time and
outreach) operated by the Provider should be considered.
Changes in servicing  Whether a Provider has established any new site or receive additional
arrangements Business share since the last Quality Principles audit.
Subcontractor Sites  Sites operated by subcontractors are included in the scope of the
Quality Principles audit.
 Consideration should be given to the amount
of subcontractor's delivery services on behalf of the Provider.
 Sites from different subcontractors should be included where
relevant.
Note
Where the Provider’s head office has an employment services delivery Site co-located with its head office,
this may be included in the audit sample, however, will be subject to the above considerations.
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Claims sampling
A minimum of 10 claims for payment or claims for reimbursement (Claims) per Site, capped at a total of 50
Claims across the organisation must be reviewed as part of a Quality Principles audit. Additional Claims may be
reviewed if it is considered that additional checking is required to determine the Provider’s level of
conformance.
Where a Provider’s Site sample is greater than five Sites, the number of Claims checked must be evenly
distributed across each of the Sites in the sample. If the Provider processes its Claims through a central Claims
processing unit, the Claims reviewed during the audit must be linked to the Sites included in the Site sample.
While it is not expected that every Claim type will be checked in the audit, all Claim types made by the
Provider are within the scope for checking.
Note
The Department may request in the audit plan or through the audit intelligence provided to the Quality
Auditor that certain Claim types are focused on. The audit will check whether the Provider is adhering to its
policies and processes in relation to Claims. It will not check the Claims for validity against the Workforce
Australia Services Deed.
Participant sampling
Participant sampling is conducted in two ways.
Table 8: Participant sampling types
Type of sampling Description
Review of Participant files This involves an audit review of all documentation associated with
providing employment Services to the Participant. This can include, but is
not limited to:
 file notes (both electronic and hard copy)
 copies of Job Plans
 Employment Fund reimbursements and receipts
 the Participants resume
 training referrals and certificates
 Job Seeker Classification Instrument (JSCI) and other Participant
assessments
 reviews and participation reporting information
Conducting interviews with Interviews with participants can be:
Participants  one on one sessions
 group interviews
 phone interviews
 video conferences.
A review of the files of the Participants being interviewed may be done in
advance to help develop questions for the interview.

The number of Participant interviews and file reviews to be conducted at each Site depends on the Site’s
caseload.
Participants selected for the sample should be representative of the organisation and include Participants from
a range of cohorts.
The Quality Auditor can seek the number and names of Participants from the Provider when determining the
Participant Sample. The Provider must facilitate the Quality Auditor contacting and interviewing the
Participants they select.
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Table 9: File review and Participant interview sampling requirements
Participants on site’s active caseload File review sample Participant interview sample
0 – 600 4 4
601 – 1200 8 8
1201 + 12 12
Note
If the minimum number of Participants at a Site cannot be interviewed, this must be outlined in the Quality
Principles Audit Report with advice on why they could not be interviewed. Additional interviews may be
required if there is a significant gap between the number of interviews conducted during the audit and the
minimum sampling requirements.
Employer Sampling
Provider are required to engage with and support Employers in the Employment Regions in which the Provider
has a Licence to deliver Workforce Australia Services.
Table 10: Employer interview sampling requirements
Participants on Site’s active caseload Employer interview sample
0 – 600 1
601 – 1200 2
1201 – 2400 3-4
2401+ 5-9
Employers selected for the sample should include Employers that Provider has:
 provided recruitment services to in the last 3-6 months
 placed Participants with for employment purposes in the last 12 months
Employers selected for the sample should be representative of the organisation and where possible include
small, medium and large employers. The Provider should give the Quality Auditor a list of the Employers they
work with and include contact names and details. The Provider must facilitate the Quality Auditor contacting
and interviewing the Employers they select.
Conducting interviews with Employers
Interviews with Employers can be:
 one on one sessions
 phone interviews
 video conferences.
Audit Closing Meetings

Following the completion of a Quality Principles Audit, an Audit Closing meeting must be held to discuss the
outcomes of the audit.
Any corrective actions required, including how and when any Non-conformances should be downgraded or
closed out should be discussed during the Audit Closing meeting.
Note
The date of the Audit Closing meeting must be recorded in the Quality Principles Audit Report that is
submitted to the Department.
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Non-conformances
Any non-conformance identified during a Quality Principles audit must be closed out in accordance with the
requirements outlined below.
Types of non-conformances
Table 11: Descriptions of non-conformances
Type of non-conformance Description
Major non-conformance A Major non-conformance is:

 a failure to have any processes, or an effective process, in place for a
Practice Requirement
 Minor non-conformances identified for 50 per cent or more of the Practice
Requirements in a Key Performance Measure (KPM)
 a Minor non-conformance that was identified in the preceding audit
(Certification, Recertification or Surveillance).
Minor non-conformance A Minor non-conformance is issued where the process in place for a Practice
Requirement does not fully meet requirements or is only partially effective.
Table 12: Non-conformance close out and down-grade requirements

Type of non-conformance Close out/down-grading requirement
Major non-conformance  Major non-conformances must be closed out or downgraded within 3
months of the audit closing meeting.
 A Major non-conformance identified by the Department following a review
of an audit conducted by a Quality Auditor must be closed out within 3
months of the date the Provider is advised of the non-conformance.
Minor non-conformance  Minor non-conformances must be closed out within 6 months of the audit
closing meeting.
 In the case of a minor non-conformance identified by the Department the
Minor non-conformance must be closed out within 6 months of the date
the Provider is advised of the non-conformance.
 If a Major non-conformance has been downgraded to a Minor non-
conformance, the Provider must completely Close Out the Minor non-
conformance within 3 months of the date of downgrade. That is:
o the non-conformance should be closed out in a maximum
timeframe of 6 months from the audit closing meeting date or,
o for non-conformances identified by the Department following a
review of an audit conducted by a Quality Auditor, a maximum
timeframe of 6 months from the date the Department advised the
Provider of the non-conformance.
Non-conformances identified by the Department through a review of a CAB

conducted Quality Principles Audit
The Department may issue a non-conformance for a Quality Principles audit conducted by a Quality Auditor
where it is not satisfied that the evidence included in the audit report addresses the requirements or where it
considers that the evidence in the audit report indicates a non-conformance.
The Department reserves the right to raise non-conformances where it has received information contrary to
the audit report.
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Quality Principles Audit Report
A Quality Principles Audit Report must be completed by the Quality Auditor or Department Officer that
undertakes the Quality Principles audit. The Quality Principles Audit Report template must be used.
The Quality Principles Audit Report must:
 provide justifications for the recommendations made against each Practice Requirement being audited
 raise any Non-conformances identified during the audit
 outline any Opportunities for Improvement identified during the audit.
Note
All non-conformances and Opportunities for Improvement must be reflected in the Audit Report, regardless
of whether they were addressed or closed-out during the audit.
Table 13: Provider timeframes for delivery of Quality Principles Audit Report undertaken by a Quality
Auditor
Timeframes for Quality Principles Requirement
audit report delivery from closing
meeting date
Within 30 business days  The Provider must send to the Department (via
ESQAF@dese.gov.au) and copy in the relevant Department
Provider Lead :
o a copy of the Quality Principles Audit Report that has been
signed by both the Quality Auditor and the Provider
o where relevant, a copy of the CAP that has been signed by
both the Quality Auditor and the Provider.
 The Quality Auditor must send to the Department (via
ESQAF@dese.gov.au) and copying in the Provider the self-
assessment tool that has been completed by the Provider and
reviewed by the Quality Auditor.
Completing the Audit Report

To enable the Department to be assured that the Provider is conforming with the Quality Principles, it is
important that the Audit Report outlines clearly how the Quality Auditor has determined the finding against
the relevant Practice Requirement.
As the Department has not attended the audit or viewed the documents that were part of the audit, it is
important that there is sufficient information included in the audit report so the department can determine
whether the conclusions reached are consistent with the requirements outlined in the Quality Principles. The
audit reports should be concise but sufficiently detailed.
Note
The Department may reject a Quality Principles Audit Report if Practice Requirements are not appropriately
addressed, which could impact on the Provider’s QAF Certification.
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Quality Assessment of Quality Principles Audit Reports
The Quality Auditor must ensure that the Audit Report goes through a Quality Assurance Process to ensure its
contents meet the Department’s expectations and is sufficiently detailed and complete.
Department review of Quality Principles Audit Reports

The Department will conduct a review of the Quality Principles Audit Report to assess how effectively the
justification statements:
 address the QAF Evidence Requirements for each Practice Requirement audited
 support the findings outlined including any Non-conformances and Opportunities for Improvement.
Table 14: Timeframes for Quality Auditor Quality Principles Audit Reports reviewed by the Department
Timeframes for Quality Principles audit Requirement
report review
Within 10 business days of receipt The Department will conduct a review of the Quality
Principles Audit Report to assess how effectively the
justification statements:
 address the Evidence Requirements for each Practice
Requirement audited
 support the conformance ratings recorded
 note any Non-conformances and Opportunities for
Improvement.
During this process, the Department may request further
information in writing from the Provider or CAB to clarify any
issues.
The Department will write to the Provider advising the
certification has been awarded or requesting further
information within 10 business days of receipt of the Quality
Principles Audit Report.
Note
The Department may reject Quality Principles Reports if
the PRs are not appropriately addressed, and which could
impact on the Provider’s QAF Certification.
Within an additional 10 business days from Request for Additional information
request  the Provider will be given 10 business days of receipt of
the request to provide the additional information or
documentation.
 The Department will review the additional information
and/or documentation and write to the Provider
advising the certification has been awarded within 10
business days of receipt of the information or
documentation.
Note
Where minor or major Non-conformances have been
identified, the Provider will need to send the Department
a CAP for consideration.
Note
During this process, the Department may request further information in writing from the Provider or CAB to
clarify any issues.
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Quality Principles Corrective Action Plan (CAP)
Where Non-conformances are identified, a CAP approved by a Quality Auditor must be submitted to the
Department.
Table 15: Timeframes for submitting a CAP
Timing Action
Within 30 business days of the Audit A CAP must be submitted by the Provider to the Department.
Closing meeting
All CAPs should use the Department’s template. The CAP must contain:
 all Non-conformances identified during the audit, including any that may have been closed out during the
audit
 the root cause of, and proposed action to be taken to address the Non-conformance (that is to close the
Non-conformance, or to downgrade a Major Non-conformance to a Minor Non-conformance)
 the timeframes for progress milestones
 the written endorsement from the Quality Auditor or Department Officer and a determination as to
whether the Non-conformance can be closed out remotely or if further on-site audit activity is required.
Note
If the Department identifies a Non-conformance following a review of a Quality Principles audit conducted
by a Quality Auditor, the Non-conformances identified should be added to the Provider’s CAP submitted to
the Department within 30 business days of the Department notifying the Provider of the identified Non-
conformances.
Review of a CAP
The Department will review the CAP to confirm that corrective actions outlined meet the requirements of the
QAF, including those actions will be completed within relevant timeframes for down-grade and close-out, as
specified in relevant guidelines.
Closed out and down-graded Non-conformances

A closed out or down-graded Non-conformance requires that the Quality Auditor that undertook the audit sign
off on the originally provided CAP.
Table 16: Timeframes submitting a CAP that is closed out
Timing Action
Within 10 business days of a CAP The Provider must submit an updated CAP to the Department. The
being closed out updated CAP must include agreement by the Quality Auditor,
including a signature, to close out the Non-conformances.
 Where the closed our or downgraded non-conformance was a
Major non-conformance, the Department will write to the
Provider to confirm Certification, and where relevant confirm
QAF Certification.
Note
Non-conformances identified by the Department following a review of an audit conducted by a Quality

Auditor must be closed out by a Quality Auditor.
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Key QAF and Employment Services Terms and Acronyms
Table 17: Key Terms and acronyms
Key Term Description
Acceptable Reason A Participant (Mutual Obligation):
(a) has notified the Provider, before the start time scheduled for a Mutual Obligation Requirement, that the Participant is
unable to satisfy the Mutual Obligation Requirement; and
(b) the Provider is satisfied that the Participant has a Valid Reason for being unable to satisfy the Mutual Obligation
Requirement.
Activity An activity approved by the Department which can include:
 Work for the Dole
 Voluntary Work
 PaTH Internships
 National Work Experience Program
 Observational Work Experience Placement
 Local Jobs Program
 Workforce Specialist Projects
 Launch into Work
 Employability Skills Training
 Career Transition Assistance
 Self-employment Assistance
 Skills for Education and Employment
 Non-vocational assistance and interventions
Activity Risk Assessment A risk assessment in relation to a potential or actual Specified Activity, which is undertaken and/or updated in accordance
with any Guidelines.
Adult Migrant English Program or AMEP AMEP provides free English language tuition to eligible migrants and humanitarian entrants to help them learn foundation
English language and settlement skills to enable them to participate socially and economically in Australian society.
Participants can access unlimited hours of English classes until vocational English is achieved for clients with a visa
commencement date on or before 1 October 2020. No time limits for registration, commencement and completion apply.
Appointment A date and time for a Contact recorded in the Electronic Calendar.
Assessment A formal assessment of a Participant's circumstances conducted by:
(a) Services Australia, using the Job Seeker Snapshot and/or an ESAt or a JCA; or
(b) a Provider or a Participant, using the Job Seeker Snapshot.
CAB Contact The person nominated by the CAB in the Quality Auditor Deed that has responsibility for day-to-day management and
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communication under the Quality Auditor Deed.
Conformance Assessment Body or CAB A company responsible for carrying out conformity assessment activities (audits) in accordance with standards and
industry regulations. Also known as a Quality Auditor.
The audit services provider contracted under the Quality Auditor Deed and includes, its Personnel, successors and assigns.
Capability Assessment An assessment by Services Australia to ensure that the Mutual Obligation Requirements specified in a Participant's Job
Plan are appropriate to their circumstances and that the Participant is capable of meeting them.
Capability Interview A contact between a Workforce Australia Employment Services Provider and a Participant to ensure that the Mutual
Obligation Requirements specified in the Participant's Job Plan are appropriate to their circumstances and that the
Participant is capable of meeting them.
Corrective Action Plan or CAP The documented corrective actions required for all identified non-conformances.
All CAPs should use the Department’s template. The CAP must contain:
 all Non-conformances identified during the audit, including any that may have been closed out during the audit
 the root cause of, and proposed action to be taken to address the Non-conformance (that is to close the Non-
conformance, or to downgrade a Major Non-conformance to a Minor Non-conformance)
 the timeframes for progress milestones
 the written endorsement from the Quality Auditor or Department Officer and a determination as to whether the Non-
conformance can be closed out remotely or if further on-site audit activity is required.
Career Transition Assistance or CTA A Complementary Program, administered by the Department, which Providers may access to provide practical assistance
to mature age Participants (45 and older) with the aim of improving digital literacy, and increasing their employability and
competitiveness in the local job market.
Each CTA Course runs for up to 8 weeks. Participation in a CTA Course is for a minimum of 75 hours (including a minimum
of 50 hours in small group settings). Participation in CTA is voluntary.
Caseload In relation to the Provider at a particular point in time, all Participants who have on or before that point in time been
Referred to, or Directly Registered with, the Provider and have not been Exited or transferred to another Workforce
Australia Employment Services Provider since that Referral or Direct Registration.
Change of Circumstances Reassessment A reassessment of the Participant's circumstances:
or CoCR (a) using the Job Seeker Snapshot in accordance with clause 113 and any Guidelines; or
(b) by an update of the Participant’s JSCI generated by the Department's IT Systems.
Child An individual under the age of 18 years
Commence or Commencement For Participants, the time at which the Provider has recorded the completion of the Initial Interview (which includes
entering into, or updating, a Job Plan, where applicable) on the Department's IT Systems.
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Community Development Program or The Community Development Program (CDP) is the Government’s remote employment and community development
CDP service. CDP supports job seekers in remote Australia to build skills, address barriers to employment and contribute to
their communities through a range of flexible activities.
Competent Person An individual who has acquired through training, qualification or experience the knowledge and skills to carry out specific
work health and safety tasks, and as otherwise specified in any Guidelines.
Complaint Any expression of dissatisfaction with the Provider's policies, procedures, employees or the quality of the Services the
Provider offers or provides, but does not include:
(a) a request by a Participant or potential Participant for Services, unless it is a second or further request;
(b) a request for information or for an explanation of a policy or procedures; or
(c) the lodging of any appeal against a decision when this is a normal part of standard procedure or policy.
Complementary Program An employment or training program:
(a) administered by the Commonwealth, including the Department; or
(b) provided by a state or territory government (including by state or territory government funded providers),
as advised by the Department, which the Provider may access to provide additional specialised assistance to a Participant.
Confidential Information Any information that:
(a) is by its nature confidential;
(b) the Parties agree to treat as confidential or by Notice to each other; or
(c) a Party knows, or ought reasonably to know, is confidential to the other Party,
but does not include information that:
(d) is or becomes public knowledge otherwise than by breach of the Quality Auditor Deed or any other confidentiality
obligation;
(e) is in the possession of the receiving Party without restriction in relation to disclosure before the date of receipt; or
(f) has been independently developed or acquired
Department Customer Service Officer Any individual who is responsible on behalf of the Department for responding to calls to the Department's National
Customer Service Line.
Department contact The person nominated by the Department in the Quality Auditor Deed that has responsibility for day-to-day management
and communication under the Quality Auditor Deed.
Department's National Customer Service A free call telephone service which puts Participants and Employers in contact with a Department Customer Service
Line or NCSL Officer, and is 1800 805 260, or such other number as Notified by the Department.
Digital Services Contact Centre The service managed by the Department to provide support to Workforce Australia Services Online Participants and
Workforce Australia Services Participants that can be contacted on 1800 314 677, or such other number as Notified by the
Department.
Early School Leaver or ESL A person who receives Youth Allowance (other), is under 22 years of age and has not completed Year 12, the final year of
secondary school or an equivalent Australian Qualifications Framework Certificate III level or above.
Education and Training Education and training benefits Participants who are unlikely to find work with their existing skills to complete courses
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and/or gain a qualification with a vocational focus that will enhance their immediate employability.
Participants can undertake education or training at any time if it meets the requirements of an Approved Short Course.
Participants in Education and training can gain points under the PBAS. Education and accredited training may be
undertaken as an alternate Activity where the Participant would otherwise have a Mandatory Activity Requirement.
Electronic Calendar The electronic calendar in the Department's IT Systems used by the Provider for managing, and/or setting dates and times
for:
(a) Referrals;
(b) Engagements; and
(c) referrals by the Provider to other employment services.
Employability Skills Training or EST A Complementary Program, administered by the Department, which Providers may access to enhance work readiness of
Participants. EST provides intensive pre-employment training through 2 different blocks of targeted training:
 Training Block 1: workplace focused training
 Training Block 2: industry focused training.
EST Eligible Participants can undertake one or both EST Courses, in any order.
Each EST Course runs for 75 hours, in a group setting, over:

 25 hours per week over 3 weeks, or
 15 hours per week over 5 weeks.
EST Courses can be delivered by EST Providers as Youth Courses, 25 Plus Courses or All Ages Courses. EST Courses are
generally face-to-face, however hybrid (a blend of face-to-face and online) and online delivery may be available
Employer An entity that has the legal capacity to enter into a contract of employment with a Participant.
Employment or Employed The status of an individual who is in paid work under a contract of employment or who is otherwise deemed to be an
employee under relevant Australian legislation.
Employment Facilitator An entity contracted by the Department to provide a local point of contact for the Department and who works directly
with local communities, business and stakeholders, as well as certain Participants or potential Participants where required
to connect them with training and job opportunities and to link them with other existing support.
Employment Fund or EF The Employment Fund is a flexible pool of funds available to Providers to offer support tailored to the needs of
Participants, employers, and the local labour market. Each Provider receives credits they can use and then claim
Reimbursement for the purchase of goods and services that support and assist Participants to gain the tools and build the
skills and experience they need to get and keep a job.
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A Provider must ensure the purchase meets the Employment Fund Principles before purchasing goods and services:
 provides eligible Participants with the work-related tools, skills and experience that correspond with their difficulties
in finding and keeping a job in the relevant labour market
 provides value for money
 complies with any work, health and safety laws that may apply
 withstands public scrutiny, and
 will not bring the Services, the Provider or the Department into disrepute.
Employment Outcome (a) a Partial Outcome; or
(b) a Full Outcome.
Employment Region or ER A geographical area:
(a) identified and displayed at the Labour Market Information Portal Website (lmip.gov.au), as varied by the Department
at the Department's absolute discretion; and
(b) that the Provider is contracted to service under the Workforce Australia Services Deed, as specified in Schedule 1 to
any Head Licence
Employment Services Assessment or ESAt An assessment of a Participant's barriers to employment and work capacity conducted by Services Australia.
Employment Services Tip off Line A telephone and email service, developed primarily for current and former employees of employment services providers
who suspect, or have evidence of incorrect claims or acceptance of Payments, or any other activities that may be a breach
of the deeds that employment services providers have signed with the Department, and which allows those individuals to
report their concerns to the Department.
Employment Services System 2.0 or ESS The IT system Providers use to manage Workforce Australia Services Participants.
Web 2.0
Exemption An exemption by Services Australia from Mutual Obligation Requirements of a Participant (Mutual Obligation) for a
specified period of time as a result of circumstances specified under the Social Security Law.
Exit An exit of a Participant from Workforce Australia Services in accordance with the Workforce Australia Services Deed.
External Systems Assurance Framework The ESAF provides assurance that the risks to the Department’s IT Systems and data, information and Records stored
or ESAF outside of the Department’s IT Systems environment are managed securely and appropriately.
This is consistent with the whole of government Protective Security Policy Framework (PSPF). As part of the PSPF, the
Department is accountable for ensuring that all contracted Providers used in the delivery of its programs also comply with
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PSPF requirements.
The ESAF covers External IT Systems associated with:

 the delivery of the Services, including storage, processing or communication of data related to delivering the Services,
 Accessing the Department's IT Systems, and
 data, information and Records supporting the program.
The areas of assurance covered in the ESAF are Provider IT Systems and Third Party Employment Systems (TPES).
Full-Time For a Full-Time Site, a minimum of eight hours on each Business Day
Full-Time Site A Site that is specified to be a Full-Time Site in Schedule 1 to the relevant Head Licence.
Generalist Provider means: (a) a Workforce Australia Employment Services Provider licensed to deliver Workforce Australia Services to all
Participants, regardless of which cohort they may belong to; and
(b) regarding a particular Site, the Provider if the Provider is identified as a Generalist Provider in Schedule 1 to any Head
Licence in relation to any Licence applying to that Site
Harvest Trail Services or HTS The Commonwealth Harvest Trail Services (HTS) link eligible workers, including Australian job seekers, with seasonal
harvest jobs to meet seasonal peaks in employer demand in horticultural locations across Australia.
The objectives of HTS are to address Harvest Employers’ recruitment needs in 16 Harvest Areas, improve community
understanding of the legal requirements for fair and safe Harvest Work and increase the number of Australians employed
in Harvest Work. Providers are required to collaborate with local HTS Providers to support Participants in gaining and
maintaining Harvest Work.
Providers are required to encourage Participants to consider Harvest Work and refer any Participant who has expressed
interest in a Harvest Placement to an HTS Provider. Referrals to an HTS Provider are not possible through the
Department's IT Systems and must be undertaken directly by contacting the HTS Provider, who will assess Participant's
suitability for the Harvest Work and connect them with relevant Harvest Employer
Head Licence A contract for the provision of the Services that is formed in accordance with the Workforce Australia Services Deed
Host Organisation An organisation that hosts an Activity, but does not include:
(a) an EST Provider in relation to its delivery of an EST Course;
(b) a CTA Provider in relation to its delivery of a CTA Course;
(c) a Local Jobs Program Activity Host in relation to its delivery of a Local Jobs Program Activity;
(d) a Workforce Australia - Workforce Specialist in relation to its delivery of a Workforce Specialist Project;
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(e) a Launch into Work Organisation in relation to its delivery of a Launch into Work Placement; or
(f) a SEE Provider in relation to its delivery of a SEE Training Course.
Note: For the avoidance of doubt, where applicable, a Host Organisation could include a Related Entity
Host Organisation Agreement A written and signed agreement between the Provider and a Host Organisation (and, where relevant, the Participant) in
relation to the provision of Activities, in accordance with any Guidelines.
Indigenous Australian An individual who:
(a) is identified as such on the Department's IT Systems; or
(b) identifies as an Aboriginal person or a Torres Strait Islander, in each case, as defined in section 4(1) of the Aboriginal
and Torres Strait Islander Act 2005 (Cth).
Initial Interview An initial Contact between the Provider and a Participant in accordance with the Workforce Australia Services Deed.
Job Capacity Assessment or JCA An assessment conducted by Services Australia to determine eligibility for the Disability Support Pension and includes
assessment of barriers to employment and work capacity.
Job Placement A Vacancy or a position in an apprenticeship or a traineeship that is recorded or lodged on the Department's IT Systems by
the Provider as being occupied by the Participant in accordance with the Workforce Australia Services Deed.
Job Plan A job seeker’s commitment to participate in employment services in return for receiving an Income Support Payment is
agreed through a Job Plan.
For the purposes of Social Security Law, a Job Plan is called an ‘employment pathway plan’ for job seekers receiving
Income Support Payments and a ‘participation plan’ for Disability Support Pension recipients, less than 35 years of age,
with compulsory participation requirements.
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The Job Plan outlines what the job seeker must do to participate in employment services, called their Mutual Obligation
Requirements, which include: · meeting a Points Requirement (including any minimum Job Search Requirement) as
displayed on their homepage or as advised by their Provider, and reporting tasks and activities on their homepage, or to
their Provider
 attending and acting appropriately during any compulsory Appointments of which the participant is notified (i.e.
Appointments with their Provider or with third parties)
 attending and acting appropriately during a job interview/s
 accepting any offer of a suitable job and not voluntarily leaving a suitable job
 taking responsibility to accurately record or report attendance at their requirements
 participating in a Mandatory Activity Requirement on the dates and times notified.
Providers must discuss the contents of the Job Plan with the Participant to ensure they understand what they are agreeing
to do and the potential consequences of not agreeing to enter into the Job Plan or failing to meet their Mutual Obligation
Requirements as outlined in the Job Plan.
Job Search An instance of active contact with a potential Employer to apply for a job, and includes a contact by phone or in person, by
submitting a written application, or by attending a job interview.
Note: Relevant job vacancies do not need to have been publicly advertised to count as a Job Search. However, looking for
job vacancies in newspapers or online does not count as a Job Search unless actual contact is made with the relevant
potential Employer
Job Search Requirement The number of Job Searches that a Participant (Mutual Obligation) or a Disability Support Pension Recipient (Compulsory
Participation Requirements) must complete per month, tailored to the Participant in accordance with any Guidelines.
Job Seeker Assessment Framework or The JSAF informs Participants of the employment services that they are eligible for and supports them in making relevant
JSAF choices. The JSAF is intended to be ongoing and dynamic, to support Participant disclosure and engagement and to
minimise reporting duplication for Participants. It uses analytics to personalise interventions and support and includes
Workforce Australia Online safeguards for Participants in Workforce Australia Online.
It also acknowledges that Providers have their own tools, assessments, and resources to ensure that servicing is tailored to
the Participant’s individual needs, circumstances, skills, strengths, and any barriers or issues they may have in relation to
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finding employment.
Job Seeker Classification Instrument or The statistical tool that determines a Participant’s risk of becoming long term unemployed and is the core assessment
JSCI mechanism in the Job Seeker Snapshot.
Job Seeker Profile The functionality in the Department’s IT Systems of that name (or such other name as advised by the Department from
time to time) that captures key elements of a Participant’s skills, qualifications and employment history for the purposes of
enabling job matching and tailored job recommendations to be provided to Participants.
Job Seeker Snapshot A questionnaire completed by the Participant, Services Australia or the Provider, the results of which informs the
Participant of the employment services that they are eligible for and supports them in making relevant choices. It includes
questions that determine the Participant’s Job Seeker Classification Instrument score, support the Participant to make an
informed decision when given a choice between Workforce Australia Online and Workforce Australia Services, and help
identify if the Participant may require an Employment Services Assessment.
Key Performance Measure or KPM The measures that underpin the seven Quality Principles that a Provider must meet to demonstrate conformance with the
Quality Principles.
Labour Market Information Portal or The website of that name that is owned and maintained by the Commonwealth and accessible via the internet
LMIP (https://lmip.gov.au/).
Launch into Work or LiW Launch into Work is a pre-employment Activity for job seekers. Participation is voluntary. LiW Projects include training,
work experience, mentoring and a guaranteed job for suitable Participants who successfully complete all requirements of
the Project. Participants must participate in screening and selection, and pre-employment checks (if required), to
determine their suitability for the job on offer prior to commencement in a LiW Project. The LiW Program creates
opportunities for Participants who would not otherwise have been offered employment through typical recruitment
methods. Providers cannot provide, purchase or broker LiW Projects.
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LiW Projects offer Providers the opportunity to place Participants into an Activity which leads to a guaranteed employment
outcome for all job seekers who successfully complete all aspects of the LiW Project. Participants will be deemed to have
successfully completed the LiW Project when they:
 successfully complete the required training
 participate in mentoring
 have a positive attendance record for the duration of the LiW Placement
 demonstrate the required values and attributes throughout the LiW Placement
 any other requirements of the LiW Project and employer.
Licence The rights and obligations that:
(a) the Provider has under a Head Licence; and
(b) relate to the delivery of the Services by a Provider in a particular Employment Region as either a Generalist Provider or
a Specialist Provider.
Local Jobs Program or LJP The Local Jobs Program supports tailored training and skilling solutions at the local level to connect employers with
jobseekers as quickly as possible. The Local Jobs Program (LJP) is in 51 Employment Regions across Australia.
The program includes the following elements.

 An Employment Facilitator and a Support Officer on the ground in each region. They bring together key stakeholders
including employers, employment services providers, higher education and training organisations to work
collaboratively to address the priorities for the region, as identified in the Local Jobs Plan.
 A Local Jobs and Skills Taskforce with representatives from the local region. They identify key employment priorities
and local workforce needs and then connect and collaborate with stakeholders to design and implement solutions.
 A Local Jobs Plan developed in consultation with local stakeholders and the Local Jobs and Skills Taskforce provides a
framework for driving skills and employment outcomes in the local labour market.
 A Local Recovery Fund to support activities designed to address employment and training priorities and identify
opportunities to better skill participants to meet local employer demand.
 A National Priority Fund (NPF) for innovative initiatives that address structural and other barriers to the attraction,
recruitment and retention of job seekers and workers.
Mandatory Activity Requirement A requirement, specified in a Participant’s (Mutual Obligation) Job Plan, to undertake a Mandatory Activity.
Mutual Obligation Requirement or MOR Any activity test, participation requirement or other requirement that a Participant must meet in order to receive an
Income Support Payment, including a requirement that, if not complied with, would be:
(a) a Mutual Obligation Failure;
(b) a Work Refusal Failure;
(c) an Unemployment Failure; or
(d) a failure to meet a Reconnection Requirement,
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under the Social Security Law.
National Training System The Australian Vocational Education and Training system which aims to provide individuals with the work-ready skills and
qualifications needed to keep Australia’s industry sectors productive and competitive and which is based on occupational
skills standards, which are set out in units of competency within training packages which reflect nationally consistent
qualifications required for particular occupations.
National Work Experience Program or The National Work Experience Program enables a Participant to undertake an unpaid work trial placement to see if they
NWEP are the right fit for a particular industry or business which has a reasonable prospect of employment.
NWEP provides voluntary short-term work trials for Participants aged 25 years and older which help them gain experience
and confidence, while demonstrating their skills to a potential employer.
Notifiable Incident Has the meaning given in the WHS Act
Observational Work Experience OWE provides voluntary, short-term, unpaid, observational work experience placements to help Participants build soft
Placement’ or OWE skills and gain a better understanding of the workplace or potential career opportunities.
OWE is an Activity which the Provider may use for eligible Participants who are not yet job-ready and have limited or no
experience in the workplace.
Online Learning Modules A suite of Australian online training modules provided by the Department which Participants can access to help them
develop skills needed to improve their job searching ability and engage in the labour market.
Other Service (a) ParentsNext;
(b) Transition to Work (TtW);
(c) Disability Employment Services (DES); or
(d) any other service specified as an Other Service in any Guidelines.
Other Activities Other Activities are activities that can be undertaken in order to assist Participants to improve their employment prospects
and/or manage or overcome vocational and non-vocational barriers to employment. All of these Activities are voluntary.
The following Activities that may be undertaken by Participants to meet participation:

 Non-Government Programs
 non-vocational assistance and interventions, for example
o counselling
o drug and alcohol treatment/rehabilitation
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o medical or health related programs
o self-help and support groups
 other government programs
 Australian Defence Force Reserves.
The Provider will need to determine if the Activity will be of benefit to the Participant, help support the Participant to
progress towards employment, and is appropriate for the Participants individual circumstances and capacity.
The Provider should also consider whether the Activities will prepare Participants to meet skills needs identified by
Employers.
Outreach for an Outreach Site, a regular presence other than Part-Time or Full-Time – for example, on a fortnightly, monthly,
seasonal or ‘as the need arises’ basis
Outreach Site a Site that is specified to be an Outreach Site in Schedule 1 to the relevant Head Licence.
Quality Auditor List The list of pre-approved CABs who may be engaged by Providers to conduct Quality Principles Audits.
Paid Induction Period is a period before the start of continuous Employment of a Participant where the Participant undergoes associated job
training supported by the Employer and where the Employer remunerates the Participant in compliance with all applicable
legislation.
ParentsNext ParentsNext is a pre-employment program that helps parents and carers plan and prepare for work before their youngest
child starts school. In consideration of the ParentsNext participant’s needs and circumstances providers can connect the
ParentsNext participant to local activities and support services such as:
 counselling
 support if they are experiencing domestic and family violence
 access to child care
 education and training including accredited courses, University degrees, driving courses, and courses to help improve
language, literacy and numeracy skills
 self-help and support groups (for example, homelessness intervention, financial counselling, Indigenous cultural
activities)
 work experience, voluntary work, part time/casual paid work.
Participant Any individual, who is identified by Services Australia, the Department, or the Provider on the Department’s IT Systems as
eligible for receiving Workforce Australia Services, and includes a Workforce Australia Services Participant, a Participant
(Mutual Obligation), a Participant (Voluntary), a Disability Support Pension Recipient (Compulsory Participation
Requirements) and any other individual identified as a Participant in any Guidelines
Participant (Mutual Obligation) a Participant with Mutual Obligation Requirements, including any Participant as specified in any Guidelines, but excluding a
Disability Support Pension Recipient (Compulsory Participation Requirements).
Participant (Voluntary) a Participant who:
(a) is subject to an Exemption;
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(b) has part-time Mutual Obligation Requirements and is fully meeting their Mutual Obligation Requirements;
(c) has a temporary reduced work capacity of less than 15 hours per week, as determined by an ESAt or JCA, for the
period determined by an ESAt or JCA;
(d) is a PCW Participant with a current and future work capacity of less than 15 hours per week; or
(e) is otherwise identified by the Department as being a Participant (Voluntary),
(f) and volunteers to participate in additional activities.
Participant Risk Assessment A risk assessment in relation to a Participant’s involvement in a Specified Activity undertaken and updated in accordance
with any Guidelines.
Participant Sourced Voluntary Work Voluntary Work that a Participant with a Points Requirement has identified and secured for themselves, including
Voluntary Work that the Participant identifies and secures for themselves with a Host Organisation.
Part-Time for a Part-Time Site, set weekly hours on Business Days with hours of operation less than Full-Time, as agreed with the
Department
Part-Time Site a Site that is specified to be a Part-Time Site in Schedule 1 to the relevant Head Licence.
PaTH Internship A PaTH Internship (‘internship’) is the Trial element of Youth Jobs PaTH and provides a young person with the opportunity
to build their skills in a workplace, demonstrate their value to a potential employer and to improve their employment
prospects. Internships also encourage potential employers (Host Organisations) to trial a young person to see if they are
the right fit for their business.
PCW Participant A Participant with a Partial Capacity to Work.
Permissible Break Where a Participant is working towards a Partial Outcome or a Full Outcome, a period of time during which the Participant
has a break in Employment caused by a situation which is outside the control of the Participant or the Provider and which
satisfies the requirements specified in any Guidelines.
Personnel (a) in relation to the Provider, any individual who is an officer, employee, volunteer or professional advisor of the
Provider; and
(b) in relation to any other entity, any individual who is an officer, employee, volunteer or professional advisor of the
entity.
Points Based Activation System or PBAS The system which allows Participants to meet their Mutual Obligation Requirements by undertaking sufficient tasks and
activities to meet a monthly Points Target.
The Provider must ensure that the Participant understands how they can meet their Points Requirement through using
PBAS, including that:
• the Participant must meet a specified Points Target each month that is displayed on their homepage, that is, the
number of points they must report to meet their Mutual Obligation Requirements
• the Participant must complete or attend tasks or Activities to earn points
• the Participant’s Points Target will be tailored to recognise the Participant’s personal circumstances and/or local
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labour market conditions
• the Participant may be required to complete a minimum Job Search Requirement each month and a Participant
cannot meet their Points Target without completing this requirement
• the Participant can fully meet their Mutual Obligation Requirements through participation in certain tasks and
Activities
• the Participant’s Points Reporting Period ends on the same day each month, and this date is displayed on their
homepage
• if the Participant does not report sufficient points to meet their Points Target by the end of their Points Reporting
Period, the Participant may be subject to compliance action under the Targeted Compliance Framework (TCF). R
• the Participant reports the completion of tasks and attendance at Activities on their homepage
• if the Participant cannot meet their Points Target or has a change in circumstances, to immediately advise their
Provider
Post-placement Support Support and assistance provided to Participants and/or Employers to help sustain the Employment of a Participant
following a relevant Job Placement and may include the provision of mentoring and coaching, work-related training, work-
related equipment and attire and other relevant support.
Practice Requirements The measures that underpin the KPMs for the Quality Principles. A Provider must meet the Practice Requirements to
demonstrate conformance with the KPMs.
Pre-existing Employment A position in Employment, Unsubsidised Self-Employment, an apprenticeship or traineeship occupied by the Participant
prior to them receiving Workforce Australia Services from any Workforce Australia Employment Services Provider.
Privacy Act refers to the Privacy Act 1988 (Cth).
Pre-release Prisoners Under the Australian Government’s Pre-release Prisoner initiative (the PRP initiative), Workforce Australia Services are
available to eligible prisoners while they are incarcerated.
The PRP initiative aims to maximise employment support for people while they are incarcerated and following their
release. Participation is intended to reduce former prisoners’ reliance on welfare after leaving prison by improving their
job search skills and helping them build connections with Employers at the earliest opportunity.
Program Assurance Activities Refers to activities that may be conducted at any time, to assist the Department in determining whether the Provider is
meeting its obligations under the Workforce Australia Services Deed, including any Guidelines.
Provider Lead A Departmental Officer with overarching responsibility for a provider and all matters relating to administration of its
contract.
Provider Sourced Voluntary Work Voluntary Work that the Provider has identified and secured for a Participant, including Voluntary Work that the Provider
itself arranges with a Host Organisation.
Referral or Referred A referral of a Participant to the Provider through the Department's IT Systems, including by Services Australia or the
Department.
Referral of a Participant includes:
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(a) when the Participant is transitioned to the Provider by the Department from a jobactive Provider or a NEST Provider at
the start of the Workforce Australia Services Deed;
(b) following an online assessment, or an assessment by Services Australia, that has determined the Participant is eligible
for Workforce Australia Services;
(c) when the Participant is moved from an Other Service or Workforce Australia Online Services, including where a
Workforce Australia Services Online Participant requests to be moved to Workforce Australia Services; or
(d) when the Participant is transferred to the Provider from another Workforce Australia Employment Services Provider
Registered Training Organisation or RTO A registered training organisation registered by either:
(a) the Australian Skills Quality Authority (Commonwealth); or
(b) the Registration and Qualifications Authority (Victoria); or
(c) the Training Accreditation Council (Western Australia),
as recorded on the national register of registered training organisations contained at training.gov.au.
Right Fit For Risk or RFFR The RFFR approach includes requirements in relation to Provider accreditation based on the:
 International Standard ISO/IEC 27001:2013 Information technology – Security techniques – Information security
management systems – Requirements (ISO 27001) – the international standard outlining the core requirements of an
Information Security Management System.
 Australian Government Information Security Manual (ISM) – the Australian Government’s cyber security framework to
protect systems and data from cyber threats.
The RFFR approach includes a requirement that Providers design and implement an Information Security Management
System (ISMS) that is consistent with the requirements of ISO 27001. An ISMS is a systematic approach to managing
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business information so that it remains secure and available when staff need it. It secures people, premises, IT systems and
information by applying a risk management process to information security.
The RFFR program extends ISO 27001 in 2 key areas:

 ISO 27001 requires organisations to consider the set of security controls presented in Annex A to the standard and
identify which are applicable to mitigating their security risks. RFFR extends this requirement by asking Providers to
also consider the set of security controls presented in the ISM that are relevant to securing OFFICIAL classified
information.
 The Department has identified core expectation areas that are particularly important to the security posture at all
organisations. All Providers are expected to include security controls that support the core expectation areas under
the RFFR when identifying applicable controls for inclusion in their ISMS.
The Department is the accrediting authority for Providers. To accredit Providers, the Department seeks assurance that the
Provider has implemented an appropriate standard of security over their information and their IT environment. The
accreditation process for each Provider depends on their size and risk profile.
To demonstrate that Provider IT Systems meet RFFR requirements, the Department requires Providers to follow the RFFR
approach. The RFFR approach requires Providers to complete a set of milestones within a prescribed time period. At each
milestone, Providers check in with the Department to review progress, assess risk and provide guidance on meeting the
RFFR requirements.
The milestones are designed to allow Providers to assess their organisation’s level of cyber security measures in place and
implement any improvements identified at the same time as gaining a customised ISMS that conforms with ISO 27001.
The RFFR approach forms part of the ESAF.

Risk Assessment As relevant, an Activity Risk Assessment and/or a Participant Risk Assessment
Self-Employment Assistance Self-Employment Assistance is a Complementary Program, administered by the Department, which provides eligible
Participants with a broad range of services that help them to start and run a small business.
There are 6 core Self-Employment Assistance Services delivered by Self-Employment Assistance Providers.
 Exploring Self-Employment Workshops that help Participants learn about small business, help them generate and
validate a business idea, and decide whether self-employment is a good fit for them. These workshops are delivered
over 25 hours and are generally conducted over the course of one week.
 Small Business Training that provides Participants with access to free accredited small business training. This training
may range from accessing a skillset through to a full Certificate IV qualification.
 Business plan advice and assessment that helps Participants to develop a viable business plan and gauge the viability
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of their business idea.
 Small Business Coaching that provide Participants with up to 12 months of business mentoring and support and, for
those who are eligible, an allowance for up to 39 weeks and rental assistance for up to 26 weeks.
 Business health checks that help business owners to identify opportunities to further develop their business to ensure
they remain viable.
 Business advice sessions that provide eligible Participants with flexible advice and support on a range of small
business-related issues.
Participants are given the flexibility to access the elements of the program most relevant to their needs and, subject to
eligibility requirements, may access any of the above services in any order.
Self-help Facilities Personal computers or similar devices with broadband internet connectivity, printers and other sundry equipment and
local area wireless technology that allows an electronic device to exchange data or connect to the Internet (i.e. Wi-Fi
access) at no charge to Participants in accordance with any specifications that may be Notified by the Department from
time to time and any Guidelines.
Service Guarantee A set of minimum service standards for Workforce Australia Services as specified in Attachment 3 of the Workforce
Australia Services Deed
Services (a) Workforce Australia Services;
(b) any additional services to be provided by the Provider under clause 25; and
(c) any other services reasonably related or required to be provided by the Provider for the proper provision of the
Services under the Workforce Australia Services Deed.
Site A physical location in an Employment Region specified in of Schedule 1 to any Head Licence.
Skills for Education and Employment or The SEE program provides accredited training in English language, reading, writing, maths and digital skills, to prepare
SEE Participants for employment or further study. The program addresses the foundation skill gaps that make job seekers
unsuitable for many jobs and prevent their successful engagement in training for a specific occupation. After exiting the
SEE program, over half the Participants surveyed through post program monitoring reported they were in employment or
education in 3 months.
SEE training can focus on language and literacy only, for example a Certificate in Spoken and Written English, or be
embedded in contextualised, real-world learning, such as Childcare or Aged Care courses. SEE can be delivered in
classroom settings, remotely via distance learning, or using a combination of both. Participants have flexibility to
undertake individual building blocks of a course where they focus on specific skill sets, or to work toward a recognised
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qualification up to Certificate III level (if LLND skills are embedded in the training). Training is tailored to meet a
Participant’s needs and goals and can be undertaken either part-time or full-time.
Social Security Law The Social Security Act 1991 (Cth) and the Social Security (Administration) Act 1999 (Cth), and includes all relevant
subordinate legislation and instruments, and the Guide to Social Security Law.
Source The act of identifying and securing a Work for the Dole Place by providing or arranging the same.
Specialist Provider (a) a Workforce Australia Employment Services Provider licensed to deliver Workforce Australia Services to a Specialist
Service Group; and
(b) regarding a particular Site, the Provider if the Provider is identified as a Specialist Provider in Schedule 1 to any Head
Licence in relation to any Licence applying to that Site.
Specialist Service Group  a particular cohort(s) of Participants, such as Participants who are Indigenous, culturally and linguistically diverse
(CALD), refugees and/or ex-offenders; and
 regarding a particular Site, any group identified as a Specialist Service Group in item of Schedule 1 to any Head Licence
in relation to any Licence applying to that Site.
Specified Activity  A Work for the Dole Placement,
 Work for the Dole Project,
 National Work Experience Program Placement,
 Observational Work Experience Placement,
 PaTH Internship,
 Launch into Work Placement,
 Local Jobs Program Activity (if arranged by the Provider),
 Provider Sourced Voluntary Work, and
 Any other Activity specified as such in any Guidelines.
Structural Adjustment Program or SAPs SAPs are implemented in exceptional circumstances and provide recently retrenched workers and their partners
(Participants) from eligible companies or industries with direct access to employment support services to assist them to
find new employment. There are no SAPs open for new registrations.
However, Providers may have Participants on their caseload who were registered under a previous SAP. This may include
Participants registered under the:
 ASC Shipbuilding SAP
 Automotive Industry SAP
 BlueScope Steel 2015 SAP
 Alinta Energy SAP
 Queensland Nickel SAP
 Arrium (OneSteel) SAP
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 Caterpillar SAP
 Hazelwood SAP
In these cases, the Participant’s record in the Department’s IT Systems will display a Special Placement Flag indicating their
SAP.
Supervisor An individual who has the responsibility for the Supervision of Participants engaged in an Activity.
Supervisors may be engaged/employed by the Provider or a Subcontractor to supervise Activities (including Specified
Activities or any other activities arranged by the Provider), or may be engaged/employed by Host Organisations to
supervise Activities that they provide. Launch into Work Organisations, LJP Activity Hosts, Workforce Australia - Workforce
Specialists, CTA Providers and EST Providers are responsible for organising Supervision in relation to Activities they provide
and for conducting relevant checks on their Personnel and Supervisors prior to their involvement.
Suspension A period of time of that name as specified in the Department's IT Systems, during which a Participant is not obliged to
participate in Workforce Australia Services.
Targeted Compliance Framework or TCF The legislative framework designed to ensure that only those job seekers who persistently commit Mutual Obligation
Failures without a Valid Reason or Reasonable Excuse incur financial penalties while providing protections for the most
vulnerable.
It is designed to encourage job seekers to engage with their employment services provider, take personal responsibility for
managing and meeting their Mutual Obligation Requirements, actively look for work and improve their employment
prospects. The TCF comprises three zones: the Green Zone, the Warning Zone and the Penalty Zone.
Transition to Work Service or TtW Workforce Australia - Transition to Work (TtW) is a time limited employment service that supports disadvantaged young
people at risk of long-term unemployment. TtW assists young people to develop practical skills to get a job or connect with
education or training.
Time to Work Employment Service or The Time to Work Employment Service is a national voluntary in-prison employment service for Aboriginal and Torres
TWES Strait Islander peoples.
The Time to Work Employment Service assists adult, sentenced Aboriginal and Torres Strait Islander prisoners to access
the support they need to better prepare them to find employment and reintegrate into the community upon their release
from prison.
The Department has contracted providers to deliver the service in 65 non-remote prisons while the servicing of eight
remote prisons is managed by the National Indigenous Australians Agency.
Services are available in all states and territories across Australia.
Vacancy (a) a vacant position for:
(i) paid Employment with an Employer; or
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(ii) Unsubsidised Self-Employment; or
(b) Pre-existing Employment,
that is not Unsuitable.
Voluntary Work Provider Sourced Voluntary Work placements and Participant Sourced Voluntary Work aim to develop Participants’ skills
and experience with a not-for-profit community organisation.
All job seekers aged 15 and over are eligible to undertake Voluntary Work provided it is suitable and safe
Vulnerable People Vulnerable people include:
 children (under 18 years of age)
 vulnerable youth
 the elderly
 homeless people
 people with disability
 people with mental illness
 people who do not speak English
 refuge residents
 any other people that the Provider or the Department identifies as vulnerable
Wage Subsidy Wage Subsidies are a financial incentive Providers can offer to eligible Employers to encourage them to hire eligible
Participants in ongoing jobs by contributing to the initial costs of hiring a new employee. Wage Subsidies can help to build
a business and give Employers flexibility in their hiring options.
There are 2 Wage Subsidy types available:

 the Youth Bonus Wage Subsidy, funded from a demand-driven pool, and
 the Workforce Australia Services Wage Subsidy (WASWS), funded through the Employment Fund.
WHS Laws the WHS Act, WHS Regulations and all relevant state and territory work, health and safety legislation.
Work for the Dole or WfD Work for the Dole is designed to help Participants gain the skills, experience and confidence needed to move from welfare
to work. It provides a valuable opportunity for Participants to develop skills through training and demonstrate their
capabilities and positive work behaviours. This will stand Participants in good stead with potential employers while at the
same time making a positive contribution to the local community.
Work for the Dole may be undertaken by eligible Participants as a voluntary activity at any time. It is also the Mandatory
Activity where an eligible Participant with Mutual Obligation Requirements has not satisfied their activation requirement
and does not undertake an alternate activity when they reach their activation point. Participants may have their first
Mandatory Activity Requirement at 3 months Period of Service following at least 12 months in Workforce Australia Online
(Full Online Services), or at 6 months Period of Service for any other Participants, with future requirements every 6
months. Refer to the Activation and Mandatory Activity Requirements section for further information.
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Work for the Dole Placement A Work for the Dole activity designed for one or more individual Participants within an existing function of the Host
Organisation.
Work for the Dole Project A Work for the Dole activity designed for more than one Participant, which involves carrying out tasks as part of a specific
community project developed for the purpose of providing a work-like experience for a group of Participants and the
delivery of a benefit to the community.
Note: Work for the Dole Projects will be available from 4 October 2022.
Workforce Australia Employment Any entity contracted by the Commonwealth to provide services under the Workforce Australia Services Deed of Standing
Services Provider Offer 2022 - 2028.
Workforce Australia Online Services provided by the Department through a digital employment services platform and the Digital Services Contact
Centre.
Workforce Australia Services Participant A Participant who is identified as a Workforce Australia Services Participant in the Department's IT Systems.
Workforce Australia - Workforce A panel of Workforce Specialists will deliver a range of Workforce Specialist Projects to meet the workforce needs of
Specialist identified industries and occupations, connecting them to suitable Participants in Workforce Australia Online, Workforce
Australia Services and Workforce Australia – Transition to Work.
Projects may support job seekers to identify, access and engage with:
 labour market opportunities within these industries
 the skills and training pathways to connect with these opportunities
 potential areas for career progression, and/or
 the support available to prepare for and take up these employment opportunities.
Working With Children Check or WWCC The process specified in, or pursuant to, relevant Working with Children Laws to screen an individual for fitness to work
with Children.
Working with Children Laws The:
(a) Child Protection (Working with Children) Act 2012 (NSW);
(b) Working with Children (Risk Management and Screening) Act 2000 (Qld);
(c) Working with Children (Criminal Record Checking) Act 2004 (WA);
(d) Worker Screening Act 2020 (Vic);
(e) Child Safety (Prohibited Persons) Act 2016 (SA);
(f) Working with Vulnerable People (Background Checking) Act 2011 (ACT);
(g) Care and Protection of Children Act 2007 (NT);
(h) Registration to Work with Vulnerable People Act 2013 (Tas); and
(i) any other legislation that provides for the checking and clearance of people who work with Children.
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Records Management
Records means documents, information and data stored by any means and all copies and extracts of the same.
Records includes 3 categories
Table 18: Record category
Record category Description
Commonwealth Records any Records
(a) provided by the Department to CABs for the purposes of
the relevant Quality Auditor Deed and
(b) copied or derived from Records referred to in in (a).
Deed Records all Records:
(a) developed or created or required to be developed or
created as part of or for the purpose of performing the Quality
Auditor Deed;
(b) incorporated in, supplied or required to be supplied along
with the Records referred to in paragraph (a) above; or
(c) copied or derived from Records referred to in paragraphs
(a) or (b); and
(d) includes all reports.
CAB Records all Records, except Commonwealth Records, in existence prior to
the Quality Auditor Deed Commencement Date:
(a) incorporated in;
(b) supplied with, or as part of; or
(c) required to be supplied with, or as part of,

the Quality Auditor Deed Records.
To the extent that Records contain personal information for the purposes of the Privacy Act, CABs must also
take reasonable steps s to ensure that the personal information that the CAB:
 collects is accurate, up-to-date and complete, and
 uses or discloses is, having regard to the purpose of the use or disclosure, accurate, up-to-date, complete
and relevant.
General Records Authority 40

The General Records Authority 40 (GRA 40) sets out the requirements for the transfer of custody of
Commonwealth Records to contractors providing services under outsourcing arrangements, either on behalf of
or to the Australian Government. The GRA 40 provides that, notwithstanding custody of Records that
temporarily resides with the CAB, ownership of the relevant records remain with the Australian Government.
Further information on relevant application and conditions of the GRA 40 is provided on the NAA website.
Management of Records
In accordance with the "digital by default" approach set out in the Australian Government's Building Trust in
the Public Record: managing information and data for government and community policy (effective 1 January
2021), CABs must, wherever possible and consistent with the Quality Auditor Deed and other applicable legal
requirements, create and manage Records in a digital format.
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CABs must ensure that any digital Record is created, stored and operated in accordance with the Quality
Auditor Deed requirements (particularly the requirements in relation to CAB IT Systems and other applicable
legislative provisions, including the Electronic Transactions Act 1999 (Cth).
Digital Records containing sensitive information as defined in the Privacy Act must be kept securely. The Office
of Australian Information Commissioner (OAIC) website provides information on keeping personal identifying
information secure.
The CAB must ensure that its:
 Personnel and Subcontractors do not access, copy, disclose or use any Record containing any information
about any participant in any employment services program unless such access, copying, disclosure or use
is for the purpose of otherwise complying with the Quality Auditor Deed, and
 Third Party IT Vendors do not access, copy, disclose or use any electronic Record unless such access,
copying, disclosure or use is for the purpose of assisting the CAB to comply with the relevant Quality
Auditor Deed.
Storage requirements
The CAB must store all Records in accordance with this document, the Department’s Security Policies, and
where relevant, its Privacy Act obligations.
CABs must store Records securely either on their own premises or off-site using a records storage facility in
compliance with legislation covering the management of Commonwealth/ Quality Auditor Deed Records,
including the Privacy Act.
For Records that contain personal information for the purposes of the Privacy Act, in accordance with
Australian Privacy Principle 11 as set out in Schedule 1 of the Privacy Act, the CAB must take such steps that
are reasonable in the circumstances to protect the information from misuse, interference and loss, and from
unauthorised access, modification or disclosure. The guide to securing personal information can be found on
the OAIC website and provides guidance on the reasonable steps entities are required to take under the
Privacy Act to protect the Personal Information they hold from misuse, interference, loss, and from
unauthorised access, modification or disclosure.
CABs must ensure that the Department can access Records by retrieving the Record (including, if stored
digitally, by retrieving the digital copy and if relevant printing it) and providing it to the Department upon
request.
CABs are required to store digital Records and ensure that the IT system used
 is not accessible from outside of Australia, and that no data in relation to the Quality Principles audits is
transferred or stored outside of Australia, without prior written approval from the Department; and
 that any and all Records held in the IT System relating directly or indirectly to the Quality Principles audits
can be, and are, provided on request to the Department and in an unadulterated form (i.e. with no
amendments or transformations to the Records or their data structures).
General advice on the management and storage of Records is available on the NAA website.
CABs must ensure physical Records are protected from:
 storage environment damage (e.g. for paper Records, damp from a cement floor or fire damage)
 unauthorised addition, alteration, removal or destruction
 use outside the terms of the relevant Quality Auditor Deed
 for Records containing Personal Information, incidents of privacy, and
 unauthorised access including inappropriate ‘browsing’ of Records
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 Physical Records containing sensitive information, as defined in the Privacy Act, must be kept in lockable
cabinets.
Control of Records
CABs must be able to locate and retrieve Records about a Provider they have undertaken a Quality Principles
audit on if requested. CABs must inform the relevant departmental representative if they become party to
legal action in relation to their previous or current delivery of Quality Principles audits, so that arrangements
for the appropriate retention of Records can be organised. CABs must store Records in such a way that all
Records relevant to a request under the Freedom of Information Act 1982 (Cth) (the FOI Act) are able to be
located and retrieved efficiently. This includes being able to retrieve email Records and Records created by, or
sent to, individuals who have ceased working for the CAB.
Records Register
The CAB must maintain an up-to-date register of the Records (digital and physical) held by the CAB and any
Third Party IT Vendor and make this register available to the Department upon request. The register should
contain sufficient information to clearly identify the content and location of a Record.
The Records register must be created and managed in a digital format (ideally Microsoft Excel or equivalent or
a comma or tab limited format) that the Department’s IT Systems can read. CABs may wish to identify on the
Records register whether Records are:
 Priority – pertaining to current or pending legal action
 Active – current Providers
 Inactive – former Providers
 Damaged – e.g. paper Record affected by water
 Destroyed (whether authorised or accidental) – e.g. paper Record burnt
 Transferred – Provider Record transferred to another Provider
 Returned – have been returned to the Department.
Movement of Records
The CAB must not, and must ensure that its employees and contractors do not:
 remove any Records relating to the Quality Principles audit, or allow any Records relating to the Quality
Principles audits to be removed, from the CAB’s premises, except to the extent necessary to enable the
delivery of the Quality Principles audits, or
 take, transfer, transmit or disclose any Records relating to the Quality Principles audits, or allow any
Records relating to the Quality Principles audits to be taken, transferred, transmitted, accessed or
disclosed, outside of Australia
without the Department's prior written consent.
Further, the obligation set out above applies in respect of taking, transferring, transmitting, accessing or
otherwise disclosing any Records relating to the Quality Principles outside of Australia by the CAB:
 within the CAB's own organisation, and
 to any third party, including to any Subcontractor.

CABs must only transfer the Records in accordance with this Guidance or as otherwise directed by the
Department.
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Transfer of Records
Transfer between CABs
Records (digital or physical) must only be transferred between CABs in accordance with the relevant Quality
Auditor Deed and this Guidance, and where it is required to continue providing audits to Providers. Records
must be transferred securely by CABs, as soon as possible or within 28 Business Days of a request to transfer
Records. A list of all Records being transferred should be provided to the receiving CAB.
When a CAB is transferring Records between its Sites, to another CAB, for storage or secure destruction or to
the Department, it remains the CAB’s responsibility to ensure the Records are secure during the transfer
process.
Return of Records
Records must be returned to the Department within 28 Business Days, if requested by the Department, unless
specified otherwise or the retention period has lapsed.
Return of Digital Records

CABs creating digital Records must use a format that is acceptable under the Archives Act 1983 (Cth) (the
Archives Act) and that will allow the Department to read the Records if returned to the Department in the
future.
Secure File Transfer Protocol (SFTP) is the Department’s preferred method of transferring files on the internet
or any Transmission Control Protocol/Internet Protocol network, particularly when handling large numbers of
files and large files, with external parties.
Return of Physical Records

CABs must obtain the Department’s approval prior to returning any physical Records to the Department.
CABs’ Access to Returned Records

Where a CAB requires access to a Record that has been returned to the Department, the CAB must write to
the relevant Department representative with the details and purpose of the request for the Department’s
consideration.
Where Records have been returned to the Department and a CAB receives an order to produce documents
included as part of the returned Records, such as a subpoena, the CAB may contact the relevant Department
representative. In these circumstances, the CAB may also seek their own independent legal advice.
Data Migration
Data migration is the process of transferring data from one application or format to another. It may be
required when implementing of a new application, which may require data to be moved from an incompatible
proprietary data format to a format that is futureproof and can be integrated with new applications.
CABs must ensure that any migration activities include validation of the migrated data quality to ensure that
no data is lost, and the data continues to be fit for the intended purpose.
When migrating information CABs must ensure:
 the migration is planned, documented and managed
 pre and post migration testing proves that authentic, complete, accessible and useable records can and
have been migrated
 source records are kept for an appropriate length of time after the migration to enable confirmation that
the migration has been successful. Determination of the specific retention period must be based on an
organisational risk assessment
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This advice is in line with the Archives Act and Archives Regulations. However, if future processes include
destroying source records, it is recommended that consultation with legal counsel be conducted to ensure that
there is no legal requirement to maintain them.
A successful migration demonstrates that the migrated business information is at least functionally equivalent
to the source record for business, legal and archival purposes. General Records Authority 31 permits the
destruction of information and records after they have been successfully migrated from one system to
another.
CABs must note that the information transferred to the Department will be imported into the Department’s
official recordkeeping system and appropriate classification will be applied at the time of import.
Data Security Considerations

CABs should be conscious of the following security considerations:
 ensure that those who access sensitive or security classified information have an appropriate security
clearance if information is classified, and a need to know that information
 access to (including remote access) to supporting ICT systems, networks, infrastructure and applications is
controlled
 information in systems should be continuously safeguarded from cyber threats
 administrative privileges such as logon and administrator privileges should be restricted.
Decommissioning of Systems
When decommissioning any systems CABs should ensure that they have considered the value of the business
information and any ongoing need to access it. If the information is no longer required, the CAB will need
authorisation to legally destroy that information.
The NAA provides authorisation to destroy Australian Government business information in the form of records
authorities.
Digital preservation requires a proactive program to identify records at risk and take necessary action to
ensure their ongoing viability. To achieve this, the CABs must consider the lifecycle of the information versus
the lifecycle of the system and have plans in place to preserve information as needed. Regular and planned
migration helps avoid obsolescence and ensures information continues to be accessible and useable.
Breaches and Inappropriate Handling of Records

Reporting Requirements
CABs must report all incidents involving unauthorised access, damaged, destroyed, lost or stolen Records to
the Department. Where the Records contain or possibly contain personal information of Providers and/or
Participants, CABs must follow the Privacy incident reporting process set out in the Privacy section of this
document.
Rectification Requirements
For all incidents involving the misuse, interference, loss, unauthorised access, unauthorised use, unauthorised
disclosure, damage, destruction, loss or stealing of Records (digital or physical), CABs must:
 immediately make every effort to recover lost or damaged Records (e.g. retrieving or photocopying
Records), including if required, arranging and paying for the services of expert contractors (e.g. disaster
recovery or professional drying services)
 not destroy damaged Records without prior authorisation from the Department
 inform Providers if any Personal Information has been lost or is at risk of being publicly available
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 where relevant and, if necessary, reinterview Providers to recollect information review relevant policies
and procedures to ensure their adequacy in future
 the Department may make recommendations to the CAB to mitigate the risk of recurrence of the incident.
Notifiable Data Breaches Scheme

All CABs, and the organisations or agencies they share information with, must comply with the requirements of
the Notifiable Data Breaches (NDB) scheme in the event of an ‘eligible data breach’ involving Personal
Information.
Information about the NDB scheme and guidance for undertaking an assessment of a privacy incident are
available on the OAIC website.
The Department must also be informed of the incident in accordance with the Privacy Incident reporting
process set out in the Privacy section of this document and provided with copies of any notifications submitted
by the CAB to the OAIC.
Retention of Records
All Records must be retained by the CAB for a period of no less than 6 years after the creation of the Record,
unless otherwise specified in this document or advised by the Department.
Records with a longer retention period should be maintained by the CAB until they no longer require them and
then be returned to the Department for ongoing management. Records in storage arrangements that are
retrieved should be converted to digital format and the source record destroyed.
CABs have the discretion to retain Records longer than the minimum periods outlined but must not destroy
Records prior to the expiration of the relevant retention periods. In addition, the Department may direct some
Records be retained for longer periods, for example, in the case of Records required in any legal action.
The Department may impose special conditions on a CAB in relation to retention of Records at the
Department’s absolute discretion. This may include imposing extended record retention periods on CABs.
CABs must review Records that have reached the minimum retention period before destroying them in
accordance with these Records Management Instructions.
If a relevant Record has reached the required minimum retention period but, for example, the CAB has
knowledge of a legal action or potential legal action, the CAB must re-sentence the Record and inform the
relevant department representative. Sentencing is the process for identifying the minimum retention period
for a Record by assessing them against the classes specified in the relevant Records Authority.
At the Completion Date, the CAB must manage all Records in accordance with these Records Management
Instructions or as otherwise directed by the Department.
Retention periods are determined with reference to NAA accredited records authorities.
Digital Records
Where a Third Party IT Vendor is in possession of Records as a result of assisting a CAB to undertake Quality
Principles audits under the relevant Quality Auditor Deed, the Third Party IT Vendor may only dispose of those
Records in accordance with Records Retention Periods with prior agreement of the CAB.
For purposes of determining the applicable retention period, a scanned version of a paper Record would have
the same creation date as the original source document.
Disposal of Records
The CAB must:
 not destroy or otherwise dispose of Records, except in accordance with the Quality Auditor Deed, this
document, or as otherwise directed by the Department, and
 provide a list to the Department of any Records that have been destroyed, as directed by the Department.
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Records must not be destroyed where the CAB is aware of current or potential legal action or where the
records are subject to a Disposal Freeze or Retention Notice issued by the NAA, even if the minimum retention
period has been reached. These Records are priority Records and must be retained in accordance with
requirements set out for priority Records in Control of Records section. A CAB must also comply with any
direction from the Department not to destroy Records. CABs must only destroy Records that have reached the
minimum retention period and following the review process outlined in Retention of Records section.
CABs must maintain a list of destroyed Records which must be supplied to the Department upon request. This
list must also be retained by the CAB in accordance with the applicable retention period or as directed by the
Department. Refer to Retention of Records section for information on retention periods.
Methods of destroying Records

When CABs destroy Records, they must use a method that ensures the information is no longer readable and
cannot be retrieved.
Digital Records
It is the CAB’s responsibility to ensure all digital Records are identified and removed from their systems and
destroyed. Methods of destroying digital Records include:
 file shredding
 degaussing – the process of demagnetising magnetic media to erase recorded data
 physical Destruction of storage media – such as pulverisation, incineration or shredding
 reformatting – if it can be guaranteed the process cannot be reversed.

To ensure the complete Destruction of a digital Record, all copies should be found and destroyed. This includes
removing and destroying copies contained in system backups and off-site storage.
Deletion is not destruction and does not meet the requirements for Destruction of Australian Government
Records. When digital Records are deleted it is only the pointer to the Record (such as the file name and
directory path) that is deleted. The actual data objects are gradually overwritten in time by new data.
However, until the data is completely overwritten, there remains a possibility that the information can be
retrieved.
Physical Records
CABs must ensure physical Records are destroyed using one of the following methods:
 pulping – transforming used paper into a moist, slightly cohering mass.
 burning – in accordance with relevant environmental protection restrictions and
 shredding – using crosscut shredders (using either A or B class shredders).

If Destruction of physical Records is undertaken at an off-site facility, then a certificate of destruction including
details of the Records destroyed and appropriate authorisation must be obtained and retained by the CAB

Records may be damaged beyond repair because of a disaster, emergency, or other unforeseen circumstance,
as defined in GRA 30.
If a CAB considers that a Record or Records have been damaged in line with GRA 30, it must not destroy the
Record(s) unless and until the Department provides written authority for the destruction of the Record(s).
CABs must notify the Department as soon as possible following the Record(s) being damaged, providing at a
minimum:
 photographic evidence of the damaged Record(s)
 do any of the damaged Record(s) need to be retained permanently
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 information about the circumstances causing the damage, including whether:
o the Record(s) in their damaged state pose a health hazard, and
o any Record(s) were able to be retrieved following the circumstances causing the damage and if so,
how this retrieval will be managed
 information about the Record(s), including:
o the number affected, or for approximate numbers information about how this number was
determined,
o their content,
o their classification, and
o whether they had been digitised
 information about how the damaged Record(s) are proposed to be destroyed, and
 any other information the CAB considers relevant to a request to destroy the Record(s)

Records as defined in the Quality Auditor Deed are Commonwealth records for the purposes of the Archives
Act.
Subject to certain exclusions and conditions, the NAA provides permission for the destruction of
Commonwealth Records created on or after 1 January 1980 under General Records Authority 31 -Destruction
of source or original records after digitisation, conversion or Migration (GRA 31) where those Records have
been converted from hard copy to digital form.
CABs as ‘authorised agents’ of the Department, must comply with the requirements of GRA 31.
CABs must retain the original copy of a paper Record for the relevant retention period and return it to the
Department in accordance with these Records management Instructions, regardless of whether it has also
been converted to digital form, if required to do so under relevant Quality Auditor Deed/s, Guidance under the
relevant Quality Auditor Deed or if directed by the Department. Further explanation of the relevant conditions
and exclusions for GRA 31 is available on NAA website.
Destruction of Duplicate Records

Digital Records
Duplicate digital records are to be destroyed in accordance with Methods of Destroying digital Records section.
Physical Records
CABs must only destroy duplicate paper records in accordance with NAA guidelines.
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Attachment A – Workforce Australia Quality Principles
Table 19: Workforce Australia Quality Principles
Note
“Deed” in the Workforce Australia Quality Principles refers to the Workforce Australia Services Deed
Principle 1: Governance
Key Performance Measure Practice Requirement QAF Evidence Requirement
1.1 The Provider has appropriate 1.1.1 The Provider has corporate governance The Provider has a current risk management framework that is applied
policies and processes in place that arrangements in place, for the delivery of Services, to the delivery of Services which includes:
manage operational and strategic that manage risk. (a) organisational and Site risk management plans
risks for the delivery of Services,
including disaster recovery.
(b) processes for identifying and managing risks, including incident
management and disaster recovery plans
Included in Certification/ (c) processes for scheduled regular reviews of all risk management
Recertification Audits and Surveillance plans.
Audit year 1 1.1.2 The Provider has corporate governance The Provider has a current fraud control plan that is applied to the
arrangements in place, for the delivery of Services, delivery of Services which includes:
that manage fraud.
(a)processes for Personnel to notify management of potential fraud
(internal and external)
(b) the Department's tip-off line contact details.
1.1.3 The Provider has corporate governance The Provider has:
arrangements in place, for the delivery of Services,
that manage IT systems.
(a)a current plan that includes processes for identifying and managing
IT systems fraud risks
(b) policies and processes in place for ongoing compliance with the
Deed in relation to access and information security, including Right
Fit for Risk.
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Principle 2: Leadership
2.1 All Personnel understand the 2.1.1 The Provider’s model for the delivery of The Provider has current processes in place to ensure that its Personnel:
design and operational elements of Services is communicated with its Personnel, and the (a) are aware of and follow the model for delivery of Services
the Provider’s model for the model is followed and upheld by the Provider and its (b) facilitate the use of self-help resources for Participants
delivery of Services and how this Personnel. (c) support Participants in accordance with the objectives of the
relates to the purpose of Workforce Services and the requirements of the Deed.
Australia Services. 2.1.2 The Provider’s Code of Conduct is promoted The Provider has a current Code of Conduct that is applied to the
and upheld by the Provider and its Personnel. delivery of Services, and it includes:
Included in Certification/ (a) a set of values outlining Personnel expectations relating to how they
Recertification Audits and deal with Participants
Surveillance Audit year 2 (b) a requirement that Personnel act in good faith and in a manner that
maintains a positive reputation for the Services
(c) a requirement for regular scheduled reviews of Personnel
awareness of Code of Conduct Requirements.
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Principle 3: Personnel
3.1 The Provider has a structured 3.1.1 The Provider has policies and processes to The Provider has policies and processes in place that ensure:
approach to the employment, ensure that it employs Personnel with the (a) people with suitable skills and abilities are employed to deliver Services
development, and performance appropriate skills and abilities to assist Participants. (b) Personnel delivering Services have obtained and maintain any required
management of its Personnel. police checks and checks for working with vulnerable people (as
required by relevant legislation).
Included in Certification/ 3.1.2 The Provider has Personnel training and The Provider has current policies and processes in place that ensure:
Recertification Audits and development policies and processes in place. (a) the Personnel induction outlines what is required in relation to the
Surveillance Audit year 1 delivery of Services
(b) Personnel training and development assists in the effective delivery of
Services
(c)Personnel undertake all training mandated by the Department, and in
accordance with the Deed and Guidelines
(d) Personnel are aware of the powers and functions that have been
delegated to them under Social Security Legislation
(e) regular Personnel performance reviews take place.
3.1.3 The Provider has policies and processes that The Provider has policies and process in place that ensure Personnel:
assure the cultural competence of its Personnel in (a) receive training to enable them to provide culturally appropriate
dealing with Participants Services
(b) can identify where interpreting services for Participants are required
and can easily access interpreting services for these Participants.
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Principle 4: Participants
4.1 The Provider has strategies in 4.1.1 The Provider has communication policies and The Provider has communication policies and processes in place for
place that result in effective processes in place to engage with Participants. engaging with Participants that:
engagement with Participants.
(a) include a variety of communication methods
Included in Certification/ (b) include options for Participants with communication barriers
Recertification Audits and
Surveillance Audit year 2 (c)align with the Service Guarantee.
4.1.2 The Provider regularly reviews its Caseload to The Provider has policies and processes in place that ensure:
ensure Participant engagement. (a) there is regular Caseload monitoring conducted across Sites and
emerging issues are addressed
(b) Participants are commenced quickly after the date of Referral
(c) Participants are commenced quicky into Activities and remain
involved in the Activity for its duration
(d) engagement with Participants is maintained to assist them to
remain in employment for the length of the Employment Outcome
period
(e) Participants are recommenced quickly following a Suspension,
Exemption period, or where they fall out of employment.
4.2 Services are delivered to 4.2.1 The Provider delivers Services in line with the The Provider has policies and processes in place that:
Participants that assist them to Service Guarantee and the Joint Charter.
become work ready and gain
(a) reflect the expectations outlined in the Service Guarantee and
sustainable Employment, in line Joint Charter
with individual program eligibility. (b) ensure Personnel are aware of the obligations outlined in the
Service Guarantee and appropriately apply them to individual
Included in Certification/ Participants
(c) ensure Participants are made aware of the minimum level of service
Surveillance Audit year 1
they can expect and what is expected of them as outlined in the
Service Guarantee.
4.2.2 Provider Personnel understand the eligibility The Provider has policies and processes in place that ensure its
criteria for individual employment Services and Personnel:
programs and can identify the compliance (a) are aware of eligibility for individual employment Services and
requirements for individual Participants. programs
(b) can identify the varying circumstances and Mutual Obligation
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Principle 4: Participants
Requirements of individual Participants
(c)are aware of and support Participants to manage their participation
and reporting through the Points Based Activation System (PBAS).
4.2.3 Provider Personnel undertake assessments of The Provider has processes in place that ensure its Personnel:
Participant’s circumstances and implement strategies (a) use available assessment of the Participant’s circumstances to
that focus on assisting them to become work ready implement strategies that will assist them to become work ready
and gain sustainable Employment. and gain sustainable Employment
(b) regularly review a Participant’s circumstances and amend the
implemented strategies where required
(c) record factual and informative notes in the appropriate system
about the Participant’s circumstances to ensure that the Participant
will receive consistent service, regardless of which Provider
Personnel is managing them.
4.2.4 The Provider has a variety of strategies in place The Provider has processes in place that ensure Personnel can:
for promoting a wide range of Employment (a) identify suitable Employment opportunities for Participants.
opportunities to Participants (b) promote suitable Employment opportunities to Participants.
4.3 Job Plans set out an 4.3.1 Job Plans are tailored to the Participant and The Provider has processes in place that ensure:
individualised approach reflective contain activities: (a) Participants have individualised and up-to-date Job Plans that have
of a Participant's current  that will satisfy the Participant’s been discussed, agreed, and signed by the Participant
circumstances and servicing needs. Mutual Obligation Requirements (b) the Job Plans are recorded on the Department’s IT systems
Included in Certification/ (where relevant) and PBAS Points (c) Participant Job Plans are reviewed regularly and modified
Recertification Audits and Target, and accordingly
Surveillance Audit year 2  assist Participants achieve their (d) Participants fulfil the requirements of their individual Job Plans
Employment goals. (e) Participants are placed into suitable Activities that enable them to
meet Mandatory Activity Requirements
(f) Participant’s required hours of participation in Activities are
recorded correctly, and within Deed and Guideline requirements.
4.3.2 The Provider has processes in place to ensure The Provider has processes in place in relation to MORs that ensure its
Participants fulfil their Mutual Obligation Personnel:
Requirements through the PBAS and Personnel (a) report non-attendance or non-compliance, as required
effectively and appropriately undertake action under (b) take appropriate action when a Participant fails to comply with their
the Targeted Compliance Framework. MORs.
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Principle 5: Labour market, Employers, and community
5.1 The Provider identifies and 5.1.1 The Provider has policies in place to The Provider has policies and processes in place:
incorporates local labour market incorporate labour market knowledge to assist (a) for keeping up to date with, assessing and implementing local
knowledge into Services delivery. Personnel to achieve Employment Outcomes. labour market knowledge
(b) that assists its Personnel to tailor Services to different cohort
Included in Certification/ groups.
Recertification Audits and 5.1.2 The Provider has policies and processes in The Provider has policies and processes in place that:
Surveillance Audit year 1 place to provide tailored support to the cohorts it (a) identify the different cohort groups it services
services to assist these Participants into (b) detail the specific procedures to support and assist these
Employment. Participants into Employment.
5.2 The Provider has a systematic 5.2.1 The Provider has policies in place for meeting The Provider has:
approach to servicing the needs of the needs of Employers. (a) processes for engaging, developing, and maintaining relationships
Employers including evidence of with Employers and employer groups
ongoing relationships that deliver
Employment Outcomes for
(b) examples of engagement with Employers and Employer groups.
Participants. 5.2.2 The Provider has policies and processes in The Provider has policies and processes in place that ensure its
place for sourcing and matching Participants with Personnel can:
Included in Certification/ vacancies. (a) assess the needs of Employers and match these with Participants on
Recertification Audits t and the caseload
Surveillance Audit year 2 (b) provide ongoing assistance to Employers for eligible Participants to
improve Employment Outcomes.
5.3 Effective relationships are 5.3.1 The Provider can demonstrate linkages with The Provider has:
developed and maintained with Host Organisations. (a) processes for promoting Services and programs to potential Host
Host Organisations, other Organisations
Workforce Australia Employment (b) examples of how Services have been promoted to potential Host
Services Providers, and providers of Organisations.
other initiatives and services.
Included in Certification/ 5.3.2 The Provider can demonstrate linkages The Provider has:
Recertification Audits and between the Services delivered and appropriate (a) processes for establishing networks with other Employment
Surveillance Audit year 1 referral to and from other agencies. Services Providers and providers of other initiatives and services
(b) examples of where networks have been established with other
Employment Services Providers and providers of other initiatives
and services.
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Principle 6: Operational effectiveness
6.1 The Provider’s policies and 6.1.1 Changes in the Deed and Guideline are The Provider has policies and processes that outline:
processes support the delivery of promptly and accurately reflected in the Provider’s (a) how and when policies will be updated following changes to the
Services that comply with the Deed systems, processes, and practices. Deed and/or the Guideline
and Guideline. (b) how and when its Personnel will be advised of and receive training
on changes to the Deed and/or the Guideline.
Included in Certification/
6.2 The Provider has arrangements 6.2.1 The Provider has arrangements in place to The Provider has policies and processes in place that ensure:
in place to comply with the Privacy advise Participants, Host Organisations and (a) Its Personnel are aware of and follow privacy and confidentiality
Act 1988, the applicable Work Employers of its privacy and confidentiality policies. requirements in relation to Participants, Host Organisations and
Health and Safety Act(s) and other Employers
relevant legislation. (b) Participants are informed about how their personal information
may be used
Included in Certification/ (c) Employers and Host Organisations are informed of privacy
Recertification Audits and requirements in relation to Participants
Surveillance Audit year 1 (d) breaches of privacy or confidentiality are identified and addressed
immediately, and procedures updated as a priority to prevent
future breaches.
6.2.2 The Provider has policies and processes in The Provider has policies and processes in place that ensure:
place that monitor and comply with any applicable (a) Provider Sites and Activities involving Participants have ongoing
Work Health and Safety requirements. compliance with any applicable Work Health and Safety
requirements
(b) Risk Assessments for Activities and Participants are updated and
uploaded prior to the commencement of an Activity
(c) its Personnel are aware of their Work Health and Safety
responsibilities and respond to Work Health and Safety issues,
including reporting incidents and Notifiable Incidents
(d) procedures are reviewed following a Work Health and Safety issue
or incident and updated as required
(e) procedures are updated quickly when there are changes to any
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Principle 6: Operational effectiveness
applicable Work Health and Safety requirements
6.3 Claiming processes used by the 6.3.1 The Provider ensures that reimbursement and The Provider has processes in place that ensure:
Provider are systematic and ensure claiming policies and processes in place align with (a) reimbursement and claiming for Services align with the Deed and
claiming practices align with the the Deed and Guideline. the Guideline
Deed and Guideline (b) information on internal and external (where required) approval
processes for expenditure, reimbursements and claims is outlined
Included in Certification/ and included in process documents
Recertification Audits and (c) instances of incorrect or improper reimbursement and claiming is
Surveillance Audit year 2 addressed immediately, and updates to procedures made as a
priority, where required.
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Principle 7: Continual Improvement
7.1 The Provider has in place a 7.1.1 The Provider has processes for the systematic The Provider has processes in place that measure and review
systematic approach to identify and monitoring and reporting of Site, Employment performance at a Site, Employment Region and Provider level.
implement continual improvement. Region and Provider performance. (a) The processes include specific monitoring of:
(i) Placement and Outcome data in relation to Aboriginal and
Included in Certification/ Torres Strait Islander peoples
(ii) placement strategies to ensure they continue to be effective in
securing Employment Outcomes for Participants
(b) The processes are monitored and reviewed, and lead to specific
performance improvements.
7.1.2 The Provider has a continual improvement The Provider has a process in place for managing and updating a
register that is used to monitor continual continual improvement register, including:
improvement proposals and the activities that (a) Non-conformances identified in Quality Standards and/or Quality
address them. Principles audits.
7.2 The Provider has strategies in 7.2.1 The Provider has policies and processes for The Provider has policies and processes in place for the ongoing, regular,
place to measure the satisfaction of monitoring Participant satisfaction with the Services and proactive monitoring of Participant satisfaction with the Services
its Personnel, Participants, being delivered. delivered.
Employers and other organisations 7.2.2 The Provider’s policies and processes support The Provider has policies and processes in place:
it works with to deliver Workforce the raising of complaints and feedback, with no fear
Australia services and supports the of retribution, and facilitates complaints resolution.
(a) to support Participants, its Personnel, Employers and other
raising of feedback and other organisations it works with to deliver Workforce Australia services to
complaints. raise complaints and provide feedback
Included in Certification/
(b) that ensure its Personnel manage, address and, where possible,
resolve complaints and feedback
Recertification Audits in Surveillance
(c) that ensure its Personnel escalate complaints they cannot resolve
Audit year 2
(where required).
7.2.3 The Provider can demonstrate how feedback The Provider has processes in place:
and complaints received from a variety of sources
inform the implementation of continual
(a) for collating Provider-wide information on feedback and
improvement activities. complaints received from its Personnel, Participants, Employers,
other organisations it works with to deliver Workforce Australia
services, auditors and the Department
(b) to update procedures at a Site and Provider-wide level in
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Principle 7: Continual Improvement
consideration of the complaints and feedback received
(c) to improve the quality of Service using observations and
opportunities for improvement from the Quality Standards and/or
Quality Principles audits.
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QAF Guidance For Conformity Assessment Bodies - Key Words

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Quality Assurance Framework

Guidance for Conformity Assessment Bodies

Quality Auditor Training Requirements

Requirement to pass the training

Table 1: Advice provided by the Department on training outcomes

Ongoing training requirements

About the QAF

Quality Standards Audits

Types of Quality Principles audits

Where it is determined that a Provider is required to undergo an Extraordinary Audit undertaken by a

Timing of Quality Principles Audits

Audits conducted by a Quality Auditor

Audit Plan for Extraordinary Audits

The PRs in scope for each type of audit is noted in Attachment A.

Required supporting documentation

Self-Assessment Tool for Extraordinary Audits

Review of the completed Self-Assessment Tool and required supporting

Steps to review the Self-Assessment Tool

This password should not be given to the Provider

Undertaking the Audit

Audits may include:

Selecting the sample

Audit Closing Meetings

Major non-conformance A Major non-conformance is:

Table 12: Non-conformance close out and down-grade requirements

Non-conformances identified by the Department through a review of a CAB

Completing the Audit Report

Department review of Quality Principles Audit Reports

Closed out and down-graded Non-conformances

Non-conformances identified by the Department following a review of an audit conducted by a Quality

Each EST Course runs for 75 hours, in a group setting, over:

The ESAF covers External IT Systems associated with:

The program includes the following elements.

The following Activities that may be undertaken by Participants to meet participation:

The RFFR program extends ISO 27001 in 2 key areas:

The RFFR approach forms part of the ESAF.

There are 2 Wage Subsidy types available:

(b) supplied with, or as part of; or

(c) required to be supplied with, or as part of,

General Records Authority 40

 unauthorised addition, alteration, removal or destruction

 use outside the terms of the relevant Quality Auditor Deed

 for Records containing Personal Information, incidents of privacy, and

 unauthorised access including inappropriate ‘browsing’ of Records

 Priority – pertaining to current or pending legal action

 Active – current Providers

 Inactive – former Providers

 Damaged – e.g. paper Record affected by water

 Destroyed (whether authorised or accidental) – e.g. paper Record burnt

 Transferred – Provider Record transferred to another Provider

 Returned – have been returned to the Department.

 within the CAB's own organisation, and

 to any third party, including to any Subcontractor.

Return of Digital Records

Return of Physical Records

CABs’ Access to Returned Records

 the migration is planned, documented and managed

Data Security Considerations

 administrative privileges such as logon and administrator privileges should be restricted.