Common use of AUDIT, REVIEW AND INVESTIGATION Clause in Contracts

AUDIT, REVIEW AND INVESTIGATION. Audits, reviews and investigations by Department 11.1 The Department may conduct an audit, review or investigation at any reasonable time to confirm whether the Training Provider is complying with this Contract, including: a) to establish whether and to what extent the Funds have been used in respect of Skills First Students; b) to investigate allegations or suspicions of misuse of the Funds; c) to determine the extent to which the Training Services are of high quality; d) as set out in Clause 12 of Schedule 1; and/or e) if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. 11.2 In the event of an audit, review or investigation under Clause 11.1, the Training Provider must, as directed: a) permit the Department to enter its premises, and areas within those premises used for the delivery of Training Services, at any time reasonably required by the Department, including times when training and assessment is being delivered to Skills First Students; b) provide the Department with all necessary assistance, including: i) access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; ii) access to all Training Provider Personnel; iii) assisting the Department to locate, access and view Records, including all Records that the Training Provider is required to keep or provide under this Contract, and including associated metadata; and iv) permitting the Department to take copies of any Records; and c) on request, reimburse the Department for any costs incurred in conducting the audit, review or investigation. 11.3 If an audit, review or investigation reveals non-compliance with this Contract, the Department may: a) exercise any of its rights under Clauses 16 (Enforcement) or 17 (Termination Rights); and/or b) require the Training Provider to: i) provide a written response on any matter relating to the audit, review or investigation in accordance with the Department's requirements; ii) take all reasonable steps, to the Department's satisfaction, to prevent future instances of non-compliance by implementing a management action plan agreed between the Training Provider and the Department; and/or iii) within six months of the Training Provider being notified in writing of the recommendations arising from the audit, review or investigation, or such other timeframe specified in writing by the Department: A. advise the Department in writing of the steps taken by the Training Provider to comply with and implement the recommendations, the management action plan and this Contract, after receiving notification of the audit findings; and B. provide any documentation required by the Department evidencing compliance with, and implementation of, the recommendations, the management action plan and this Contract. 11.4 The Training Provider must conduct an internal audit of its compliance with this Contract during each calendar year, in accordance with any requirements of the Department. 11.5 The first internal audit conducted under Clause 11.4 must be completed within six months after the Commencement Date. 11.6 The Training Provider must ensure that each internal audit : a) is signed by the CEO of the Training Provider; and b) is provided to the Department on request. 11.7 If an internal audit reveals non-compliance with this Contract, the Training Provider must: a) develop a rectification plan within a reasonable timeframe to rectify the non-compliance within a reasonable timeframe; and b) provide the Department with a copy of the rectification plan on request. 11.8 The Training Provider must participate in, assist with, and not prevent or unreasonably delay, an audit, review or investigation administered by the Commonwealth Government in connection with the Training Services.

AUDIT, REVIEW AND INVESTIGATION. Audits, reviews and investigations by Department 11.1 The Department (or persons authorised by the Department) may conduct an audit, review or investigation of the Training Provider at any reasonable time to confirm whether the Training Provider is complying with this VET Funding Contract, including: a) to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Skills First StudentsEligible Individuals; b) to investigate allegations or suspicions of suspected misuse of the Funds; c) to determine the extent to which the Training Services delivered by the Training Provider are of high quality; d) as set out in Clause 12 of Schedule 1; and/or ed) if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. 11.2 In the event of an audit, review or investigation under Clause 11.1, the The Training Provider must, as directedin accordance with the Department’s directions: a) permit the Department Department, or persons authorised by the Department, to enter its premises, and areas within those premises that are used for the delivery of Training Services, to conduct audits or reviews at any time reasonably required by the Department, including times when training and assessment is being delivered to Skills First StudentsEligible Individuals; b) provide the Department (or persons authorised by the Department) with all necessary assistanceassistance needed to perform the audit, review or investigation, including: i) providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; ii) providing access to all Training Provider Personnel; iii) assisting the Department to locate, access and view Records, including all Records that the Training Provider is required to keep or provide under this Contract, and including associated metadata; and iv) permitting the Department to take copies of any Records; c) participate in, assist with, and not prevent or unreasonably delay any audit, review or investigation: i) administered by the Commonwealth Government (including an Invalid Enrolment Audit); or ii) specified in Schedule 1, including Clause 14 of Schedule 1; and cd) on request, reimburse the Department for any costs incurred in conducting the auditaudits or reviews, review or investigationif directed to do so. 11.3 If an audit, review or investigation reveals conducted by, or on behalf of, the Department concludes that there has been non-compliance by the Training Provider with this VET Funding Contract, the Department may: a) exercise any of its rights under Clauses 16 (Enforcement) 17 or 17 (Termination Rights)18; and/or b) require the Training Provider to: i) provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; ii) take all reasonable steps, to the Department's satisfaction, to prevent future instances of non-compliance with this VET Funding Contract by implementing a management action plan agreed between the Training Provider and the Department (or persons acting on behalf of or engaged by the Department); and/or iii) within six months of an auditor notifying the Training Provider being notified in writing of the its recommendations arising from the audit, review or investigation, or such other timeframe specified in writing by the Department: A. advise the Department in writing of the steps taken by the Training Provider to comply with and implement the auditor’s recommendations, the management action plan and this VET Funding Contract, after receiving notification of the audit findings; and B. provide any documentation required by the Department evidencing compliance with, and implementation of, the auditor’s recommendations, the management action plan and this VET Funding Contract. 11.4 The Training Provider must conduct an internal audit of its compliance with this VET Funding Contract during each calendar year, year in accordance with any requirements of the Department.. The Training Provider must ensure, in respect of each such internal audit, that: 11.5 The a) (in the case of the first internal audit conducted under this Clause 11.4 must be 11.4) the audit is completed within six months after from the Commencement Date.; 11.6 The Training Provider must ensure that each internal b) the audit : a) report is signed off by the CEO of the Training Provider; and bc) the audit report is provided to the Department Department, or its auditors or reviewers, on request. 11.7 11.5 If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: a) promptly notify the Department of the identified non-compliance; b) develop a rectification plan within a reasonable timeframe to rectify the non-any non- compliance with this VET Funding Contract within a reasonable timeframe; and bc) provide the Department Department, or its auditors or reviewers, with a copy of the rectification plan on request. 11.8 The Training Provider must participate in, assist with, and not prevent or unreasonably delay, an audit, review or investigation administered by the Commonwealth Government in connection with the Training Services.

AUDIT, REVIEW AND INVESTIGATION. Audits, reviews and investigations by Department 11.1 The Department (or persons authorised by the Department) may conduct an audit, review or investigation of the Training Provider at any reasonable time to confirm whether the Training Provider is complying with this VET Funding Contract, including: a) : to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Skills First Students; b) Eligible Individuals; to investigate allegations or suspicions of suspected misuse of the Funds; c) ; to determine the extent to which the Training Services delivered by the Training Provider are of high quality; d) as set out in Clause 12 of Schedule 1; and/or e) and/or if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. 11.2 In the event of an audit, review or investigation under Clause 11.1, the . The Training Provider must, as directed: a) in accordance with the Department’s directions: permit the Department Department, or persons authorised by the Department, to enter its premises, and areas within those premises that are used for the delivery of Training Services, to conduct audits or reviews at any time reasonably required by the Department, including times when training and assessment is being delivered to Skills First Students; b) Eligible Individuals; provide the Department (or persons authorised by the Department) with all necessary assistanceassistance needed to perform the audit, review or investigation, including: i) : providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; ii) ; providing access to all Training Provider Personnel; iii) ; assisting the Department to locate, access and view Records, including all Records that the Training Provider is required to keep or provide under this Contract, and including associated metadata; and iv) and permitting the Department to take copies of any Records; and c) on requestparticipate in, assist with, and not prevent or unreasonably delay any audit, review or investigation: administered by the Commonwealth Government (including an Invalid Enrolment Audit); or specified in Schedule 1, including Clause 14 of Schedule 1; and reimburse the Department for any costs incurred in conducting the auditaudits or reviews, review or investigation. 11.3 if directed to do so. If an audit, review or investigation reveals conducted by, or on behalf of, the Department concludes that there has been non-compliance by the Training Provider with this VET Funding Contract, the Department may: a) : exercise any of its rights under Clauses 16 (Enforcement) 17 or 17 (Termination Rights)18; and/or b) and/or require the Training Provider to: i) : provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; ii) ; take all reasonable steps, to the Department's satisfaction, to prevent future instances of non-compliance with this VET Funding Contract by implementing a management action plan agreed between the Training Provider and the Department (or persons acting on behalf of or engaged by the Department); and/or iii) and/or within six months of an auditor notifying the Training Provider being notified in writing of the its recommendations arising from the audit, review or investigation, or such other timeframe specified in writing by the Department: A. : advise the Department in writing of the steps taken by the Training Provider to comply with and implement the auditor’s recommendations, the management action plan and this VET Funding Contract, after receiving notification of the audit findings; and B. and provide any documentation required by the Department evidencing compliance with, and implementation of, the auditor’s recommendations, the management action plan and this VET Funding Contract. 11.4 . The Training Provider must conduct an internal audit of its compliance with this VET Funding Contract during each calendar year, year in accordance with any requirements of the Department. 11.5 . The first internal audit conducted under Clause 11.4 must be be: completed within six months after from the Commencement Date. 11.6 The Training Provider must ensure that each internal audit : a) is ; signed off by the CEO of the Training Provider; and b) is and provided to the Department Department, or its auditors or reviewers, on request. 11.7 . If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: a) : develop a rectification plan within a reasonable timeframe to rectify the any non-compliance with this VET Funding Contract within a reasonable timeframe; and b) and provide the Department Department, or its auditors or reviewers, with a copy of the rectification plan on request. 11.8 The Training Provider must participate in, assist with, and not prevent or unreasonably delay, an audit, review or investigation administered by the Commonwealth Government in connection with the Training Services.

AUDIT, REVIEW AND INVESTIGATION. Audits, reviews and investigations by Department 11.1 The Department (or persons authorised by the Department) may conduct an audit, review or investigation of the Training Provider at any reasonable time to confirm whether the Training Provider is complying with this VET Funding Contract, including: a) to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Skills First StudentsEligible Individuals; b) to investigate allegations or suspicions of suspected misuse of the Funds; c) to determine the extent to which the Training Services delivered by the Training Provider are of high quality; d) as set out in Clause 12 of Schedule 1; and/or ed) if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. 11.2 In the event of an audit, review or investigation under Clause 11.1, the The Training Provider must, as directedin accordance with the Department’s directions: a) permit the Department Department, or persons authorised by the Department, to enter its premises, and areas within those premises that are used for the delivery of Training Services, to conduct audits or reviews at any time reasonably required by the Department, including times when training and assessment is being delivered to Skills First StudentsEligible Individuals; b) provide the Department (or persons authorised by the Department) with all necessary assistanceassistance needed to perform the audit, review or investigation, including: i) providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; ii) providing access to all Training Provider Personnel; iii) assisting the Department to locate, access and view Records, including all Records that the Training Provider is required to keep or provide under this Contract, and including associated metadata; and iv) permitting the Department to take copies of any Records; c) participate in, assist with, and not prevent or unreasonably delay any audit, review or investigation: i) administered by the Commonwealth Government (including an Invalid Enrolment Audit); or ii) specified in Schedule 1, including Clause 14 of Schedule 1; and cd) on request, reimburse the Department for any costs incurred in conducting the auditaudits or reviews, review or investigationif directed to do so. 11.3 If an audit, review or investigation reveals conducted by, or on behalf of, the Department concludes that there has been non-compliance by the Training Provider with this VET Funding Contract, the Department may: a) exercise any of its rights under Clauses 16 (Enforcement) 17 or 17 (Termination Rights)18; and/or b) require the Training Provider to: i) provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; ii) take all reasonable steps, to the Department's satisfaction, to prevent future instances of non-compliance with this VET Funding Contract by implementing a management action plan agreed between the Training Provider and the Department (or persons acting on behalf of or engaged by the Department); and/or iii) within six months of an auditor notifying the Training Provider being notified in writing of the its recommendations arising from the audit, review or investigation, or such other timeframe specified in writing by the Department: A. advise the Department in writing of the steps taken by the Training Provider to comply with and implement the auditor’s recommendations, the management action plan and this VET Funding Contract, after receiving notification of the audit findings; and B. provide any documentation required by the Department evidencing compliance with, and implementation of, the auditor’s recommendations, the management action plan and this VET Funding Contract. 11.4 The Training Provider must conduct an internal audit of its compliance with this VET Funding Contract during each calendar year, year in accordance with any requirements of the Department. 11.5 . The first internal audit conducted under Clause 11.4 must be completed within six months after the Commencement Date. 11.6 The Training Provider must ensure that each internal audit be: a) is completed six months from the Commencement Date; b) signed off by the CEO of the Training Provider; and bc) is provided to the Department Department, or its auditors or reviewers, on request. 11.7 11.5 If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: a) develop a rectification plan within a reasonable timeframe to rectify the non-any non- compliance with this VET Funding Contract within a reasonable timeframe; and b) provide the Department Department, or its auditors or reviewers, with a copy of the rectification plan on request. 11.8 The Training Provider must participate in, assist with, and not prevent or unreasonably delay, an audit, review or investigation administered by the Commonwealth Government in connection with the Training Services.

AUDIT, REVIEW AND INVESTIGATION. Audits, reviews and investigations by Department 11.1 The Department (or persons authorised by the Department) may conduct an audit, review or investigation of the Training Provider at any reasonable time to confirm whether the Training Provider is complying with this VET Funding Contract, including: a) to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Skills First StudentsEligible Individuals; b) to investigate allegations or suspicions of suspected misuse of the Funds; c) to determine the extent to which the Training Services delivered by the Training Provider are of high quality; d) as set out in Clause 12 of Schedule 1; and/or ed) if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. 11.2 In the event of an audit, review or investigation under Clause 11.1, the The Training Provider must, as directedin accordance with the Department’s directions: a) permit the Department Department, or persons authorised by the Department, to enter its premises, and areas within those premises that are used for the delivery of Training Services, to conduct audits or reviews at any time reasonably required by the Department, including times when training and assessment is being delivered to Skills First StudentsEligible Individuals; b) provide the Department (or persons authorised by the Department) with all necessary assistanceassistance needed to perform the audit, review or investigation, including: i) providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; ii) providing access to all Training Provider Personnel; iii) assisting the Department to locate, access and view Records, including all Records that the Training Provider is required to keep or provide under this Contract, and including associated metadata; and iv) permitting the Department to take copies of any Records; and; c) on requestparticipate in, assist with, and not prevent or unreasonably delay any audit, review or investigation: i) administered by the Commonwealth Government (including an Invalid Enrolment Audit); or ii) specified in Schedule 1, including Clause 14 of Schedule 1; d) reimburse the Department for any costs incurred in conducting audits or reviews, if directed to do so; and e) without limiting any of the auditDepartment's other rights or powers under this VET Funding Contract, review provide, on request, the legally binding agreement(s) referred to in Clause 4.7(a) to the Department (or investigationpersons acting on behalf of the Department). 11.3 If an audit, review or investigation reveals conducted by, or on behalf of, the Department concludes that there has been non-compliance by the Training Provider with this VET Funding Contract, the Department may: a) exercise any of its rights under Clauses 16 (Enforcement) 17 or 17 (Termination Rights)18; and/or b) require the Training Provider to: i) provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; ii) take all reasonable steps, to the Department's satisfaction, to prevent future instances of non-compliance with this VET Funding Contract by implementing a management action plan agreed between the Training Provider and the Department (or persons acting on behalf of or engaged by the Department); and/or iii) within six months of an auditor notifying the Training Provider being notified in writing of the its recommendations arising from the audit, review or investigation, or such other timeframe specified in writing by the Department: A. advise the Department in writing of the steps taken by the Training Provider to comply with and implement the auditor’s recommendations, the management action plan and this VET Funding Contract, after receiving notification of the audit findings; and B. provide any documentation required by the Department evidencing compliance with, and implementation of, the auditor’s recommendations, the management action plan and this VET Funding Contract. 11.4 The Training Provider must conduct an internal audit of its compliance with this VET Funding Contract during each calendar year, year in accordance with any requirements of the Department.. The Training Provider must ensure, in respect of each such internal audit, that: 11.5 The a) (in the case of the first internal audit conducted under this Clause 11.4 must be 11.4) the audit is completed within six months after from the Commencement Date.; 11.6 The Training Provider must ensure that each internal b) the audit : a) report is signed off by the CEO of the Training Provider; and bc) the audit report is provided to the Department Department, or its auditors or reviewers, on request. 11.7 11.5 If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: a) promptly notify the Department of the identified non-compliance; b) develop a rectification plan within a reasonable timeframe to rectify the non-any non- compliance with this VET Funding Contract within a reasonable timeframe; and bc) provide the Department Department, or its auditors or reviewers, with a copy of the rectification plan on request. 11.8 The Training Provider must participate in, assist with, and not prevent or unreasonably delay, an audit, review or investigation administered by the Commonwealth Government in connection with the Training Services.

AUDIT, REVIEW AND INVESTIGATION. Audits, reviews and investigations by Department 11.1 The Department (or persons authorised by the Department) may conduct an audit, review or investigation of the Training Provider at any reasonable time to confirm whether the Training Provider is complying with this VET Funding Contract, including: a) : to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Skills First Students; b) Eligible Individuals; to investigate allegations or suspicions of suspected misuse of the Funds; c) ; to determine the extent to which the Training Services delivered by the Training Provider are of high quality; d) as set out in Clause 12 of Schedule 1; and/or e) and/or if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. 11.2 In the event of an audit, review or investigation under Clause 11.1, the . The Training Provider must, as directed: a) in accordance with the Department’s directions: permit the Department Department, or persons authorised by the Department, to enter its premises, and areas within those premises that are used for the delivery of Training Services, to conduct audits or reviews at any time reasonably required by the Department, including times when training and assessment is being delivered to Skills First Students; b) Eligible Individuals; provide the Department (or persons authorised by the Department) with all necessary assistanceassistance needed to perform the audit, review or investigation, including: i) : providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; ii) ; providing access to all Training Provider Personnel; iii) ; assisting the Department to locate, access and view Records, including all Records that the Training Provider is required to keep or provide under this Contract, and including associated metadata; and iv) and permitting the Department to take copies of any Records; and c) on requestparticipate in, assist with, and not prevent or unreasonably delay any audit, review or investigation: administered by the Commonwealth Government (including an Invalid Enrolment Audit); or specified in Schedule 1, including Clause 14 of Schedule 1; reimburse the Department for any costs incurred in conducting audits or reviews, if directed to do so; and without limiting any of the auditDepartment's other rights or powers under this VET Funding Contract provide, review on request, the legally binding agreement(s) referred to in Clause 4.7(a) to the Department (or investigation. 11.3 persons acting on behalf of the Department). If an audit, review or investigation reveals conducted by, or on behalf of, the Department concludes that there has been non-compliance by the Training Provider with this VET Funding Contract, the Department may: a) : exercise any of its rights under Clauses 16 (Enforcement) 17 or 17 (Termination Rights)18; and/or b) and/or require the Training Provider to: i) : provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; ii) ; take all reasonable steps, to the Department's satisfaction, to prevent future instances of non-compliance with this VET Funding Contract by implementing a management action plan agreed between the Training Provider and the Department (or persons acting on behalf of or engaged by the Department); and/or iii) and/or within six months of an auditor notifying the Training Provider being notified in writing of the its recommendations arising from the audit, review or investigation, or such other timeframe specified in writing by the Department: A. : advise the Department in writing of the steps taken by the Training Provider to comply with and implement the auditor’s recommendations, the management action plan and this VET Funding Contract, after receiving notification of the audit findings; and B. and provide any documentation required by the Department evidencing compliance with, and implementation of, the auditor’s recommendations, the management action plan and this VET Funding Contract. 11.4 . The Training Provider must conduct an internal audit of its compliance with this VET Funding Contract during each calendar year, year in accordance with any requirements of the Department. 11.5 . The first internal audit conducted under Clause 11.4 must be be: completed within six months after from the Commencement Date. 11.6 The Training Provider must ensure that each internal audit : a) is ; signed off by the CEO of the Training Provider; and b) is and provided to the Department Department, or its auditors or reviewers, on request. 11.7 . If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: a) : develop a rectification plan within a reasonable timeframe to rectify the any non-compliance with this VET Funding Contract within a reasonable timeframe; and b) and provide the Department Department, or its auditors or reviewers, with a copy of the rectification plan on request. 11.8 The Training Provider must participate in, assist with, and not prevent or unreasonably delay, an audit, review or investigation administered by the Commonwealth Government in connection with the Training Services.