Common use of AUDIT, REVIEW AND INVESTIGATION Clause in Contracts

AUDIT, REVIEW AND INVESTIGATION. 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: to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Eligible Individuals; to investigate allegations or suspected misuse of the Funds; to determine the extent to which the Training Services delivered by the Training Provider are of high quality; and/or if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. The Training Provider must, in accordance with the Department’s directions: permit the 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 Eligible Individuals; provide the Department (or persons authorised by the Department) with all assistance needed to perform the audit, review or investigation, including: providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; providing access to all Training Provider Personnel; assisting the Department to locate, access and view Records, including associated metadata; and permitting the Department to take copies of any Records; participate 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 audits or reviews, if directed to do so. If an audit, review or investigation 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: exercise any of its rights under Clauses 17 or 18; and/or require the Training Provider to: provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; 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 within six months of an auditor notifying the Training Provider in writing of its recommendations or such other timeframe specified in writing by the Department: 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 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. Internal Audits The Training Provider must conduct an internal audit of its compliance with this VET Funding Contract during each calendar year in accordance with any requirements of the Department. The internal audit must be: completed six months from the Commencement Date; signed off by the CEO of the Training Provider; and provided to the Department, or its auditors or reviewers, on request. If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: develop a rectification plan within a reasonable timeframe to rectify any non-compliance with this VET Funding Contract within a reasonable timeframe; and provide the Department, or its auditors or reviewers, with a copy of the rectification plan on request.

AUDIT, REVIEW AND INVESTIGATION. Audits, reviews and investigations by Department 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: to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Eligible IndividualsSkills First Students; to investigate allegations or suspected suspicions of misuse of the Funds; to determine the extent to which the Training Services delivered by the Training Provider are of high quality; as set out in Clause 12 of Schedule 1; and/or if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. The In the event of an audit, review or investigation under Clause 11.1, the Training Provider must, in accordance with the Department’s directionsas directed: permit the Department, or persons authorised by the Department, 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 Eligible IndividualsSkills First Students; provide the Department (or persons authorised by the Department) with all assistance needed to perform the audit, review or investigationnecessary assistance, including: providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; providing access to all Training Provider Personnel; 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 permitting the Department to take copies of any Records; participate inand on request, 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 audits the audit, review or reviews, if directed to do soinvestigation. If an audit, review or investigation conducted by, or on behalf of, the Department concludes that there has been reveals non-compliance by the Training Provider with this VET Funding Contract, the Department may: exercise any of its rights under Clauses 16 (Enforcement) or 17 or 18(Termination Rights); and/or require the Training Provider to: provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; 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 within six months of an auditor notifying the Training Provider being notified in writing of its the recommendations arising from the audit, review or investigation, or such other timeframe specified in writing by the Department: 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 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. Internal Audits audits 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 first internal audit conducted under Clause 11.4 must be: be completed within six months from after the Commencement Date; . The Training Provider must ensure that each internal audit : is signed off by the CEO of the Training Provider; and is provided to the Department, or its auditors or reviewers, Department on request. If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: develop a rectification plan within a reasonable timeframe to rectify any the non-compliance with this VET Funding Contract within a reasonable timeframe; and provide the Department, or its auditors or reviewers, Department with a copy of the rectification plan on request. Third party audits 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. 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: to establish whether and to what extent the Funds have been used for the provision of the Training Services in respect of Eligible Individuals; to investigate allegations or suspected misuse of the Funds; to determine the extent to which the Training Services delivered by the Training Provider are of high quality; and/or if applicable, as part of the Department’s Audit and Risk Committee’s Internal Audit Plan. The Training Provider must, in accordance with the Department’s directions: permit the 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 Eligible Individuals; provide the Department (or persons authorised by the Department) with all assistance needed to perform the audit, review or investigation, including: providing access to office space, telephones, photocopy facilities and other facilities at the Training Provider’s premises; providing access to all Training Provider Personnel; assisting the Department to locate, access and view Records, including associated metadata; and permitting the Department to take copies of any Records; participate 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 audits or reviews, if directed to do so; and without limiting any of the Department's other rights or powers under this VET Funding Contract provide, on request, the legally binding agreement(s) referred to in Clause 4.7(a) to the Department (or persons acting on behalf of the Department). If an audit, review or investigation 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: exercise any of its rights under Clauses 17 or 18; and/or require the Training Provider to: provide a written response to the Department on any matter relating to the audit, review or investigation in accordance with the Department's requirements; 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 within six months of an auditor notifying the Training Provider in writing of its recommendations or such other timeframe specified in writing by the Department: 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 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. Internal Audits The Training Provider must conduct an internal audit of its compliance with this VET Funding Contract during each calendar year in accordance with any requirements of the Department. The internal audit must be: completed six months from the Commencement Date; signed off by the CEO of the Training Provider; and provided to the Department, or its auditors or reviewers, on request. If an internal audit conducted in accordance with Clause 11.4 reveals non-compliance with this VET Funding Contract, the Training Provider must: develop a rectification plan within a reasonable timeframe to rectify any non-compliance with this VET Funding Contract within a reasonable timeframe; and provide the Department, or its auditors or reviewers, with a copy of the rectification plan on request.