Appendix B: Audit Sanctions Matrix Compliance Findings and Risk Assessment Matrix for the ACT Standards A risk based approach is used to identify, assess and rank non-compliance findings to determine the audit rating and sanction to be applied. Compliant Minor Moderate Critical non-compliance non-compliance non-compliance non-compliance Compliance System in place. Policies Policies and procedures Policies and procedures Policies and No policies and Rating and procedures occasionally not frequently not followed. procedures not procedures. documented and followed. Services do not consistent with the One or more standards Failure to implement. followed by staff. fully meet the standards. standards and/or not not met. Standards not met. followed. Standards are met. Infrequent, Significant Difficult or unable to omissions in Failure to effectively Complete and accurate time/resources required rectify. implementation; readily and accurately record records retained. to rectify. correctable. and report Students at risk. information. Education and Training Substantial Directorate reputation time/resources to at risk. rectify. Terms and Definitions: Minor Significant Insufficient Lesser in importance, seriousness, or significance Having or likely to have a major effect; important Lacking in what is necessary or required Small in number, quantity or extent Fairly large in number, quantity or extent Not having or providing enough of what is needed
Appendix B: Audit Sanctions Matrix Compliance Findings and Risk Assessment Matrix for the ACT Standards A risk based approach is used to identify, assess and rank non-compliance findings to determine the audit rating and sanction to be applied. Compliant Minor non-compliance Moderate non-compliance non-compliance Critical non-compliance Compliance Rating System in place. Policies and procedures documented and followed by staff. Standards are met. Complete and accurate records retained. Policies and procedures occasionally not followed. Services do not fully meet the standards. Infrequent, omissions in implementation; readily correctable. Policies and procedures frequently not followed. One or more standards not met. Significant time/resources required to rectify. Policies and procedures not consistent with the standards and/or not followed. Failure to effectively and accurately record and report information. Substantial time/resources to rectify. No policies and procedures. Failure to implement. Standards not met. Difficult or unable to rectify. Students at risk. Education and Training Directorate reputation at risk. Terms and Definitions: Minor Significant Insufficient Lesser in importance, seriousness, or significance Small in number, quantity or extent Having or likely to have a major effect; important Fairly large in number, quantity or extent Lacking in what is necessary or required Not having or providing enough of what is needed
Audit-Guide-for-Training-Providers-in-the-ACT_9May2014_Version1.0.docx