TEMPLATE 02: Compliance Ruleset¶
Domain: [Your regulated domain] Governing Legislation / Authority: [Citation of the legislation, regulation, or governing body that authorises these requirements] Effective Date: [Date these requirements take effect] Prepared By: [Domain owner / responsible entity]
Instructions¶
This template captures the operational rules that regulated entities in your domain must follow. These are not quality outcomes (those belong in the Outcome Specification) — these are the administrative, procedural, record-keeping, and transparency requirements that govern how entities operate.
Think of it this way: the Outcome Specification defines what good looks like. This document defines what you must do regardless — the non-negotiable operational rules.
Complete every section that applies to your domain. Mark sections as "Not Applicable" where they genuinely do not apply, with a brief justification. The engine validates structural completeness and cross-referencing integrity.
Part 1: Definitions¶
Define all domain-specific terms used in this document. Where terms overlap with the Outcome Specification, use identical definitions and note the shared reference.
| Term | Definition | Source (if legislative) | Also defined in |
|---|---|---|---|
| [Term] | [Definition] | [e.g., Section 12 of the XYZ Act 2024] | [e.g., Outcome Spec Part 1] |
| [Term] | [Definition] |
Definitions must be consistent across all three primitives. Conflicting definitions between documents will fail validation.
Part 2: Compliance Requirements¶
Organise requirements into Divisions (logical groupings). Each Division contains numbered requirements with sub-sections as needed.
Division [Number]: [Name]¶
Brief description of what this division governs.
Related Outcome Standards: [List the standards from the Outcome Specification that this division supports]
Requirement [Number]: [Title]¶
(1) [Primary requirement statement. Express as an obligation: "A regulated entity must..."]
(a) [Sub-requirement or specific condition]
(b) [Sub-requirement or specific condition]
(c) [Sub-requirement or specific condition]
(2) [Additional requirement or condition under the same heading, if applicable]
(a) [Sub-requirement]
(b) [Sub-requirement]
Cross-references to Outcome Specification:
- [e.g., "Supports Standard 1.3 — Assessment System"]
Cross-references to Credential Map:
- [e.g., "Credential Map Section 2 defines who may authorise this activity"]
Repeat for each requirement in this Division.
Division [Number]: [Name]¶
Repeat the full Division structure for each logical grouping of requirements.
Part 3: Domain-Specific Compliance Divisions¶
The following divisions represent common compliance areas found across regulated domains. Complete those that apply to your domain. Where a division does not apply, mark it "Not Applicable" with justification.
Division A: Information and Transparency¶
Requirements governing what information must be disclosed, to whom, in what format, and when. Covers marketing, advertising, public representations, and information provided to clients/students/patients/operators.
Requirement A.1: [Title — e.g., "Marketing and Advertising"]¶
(1) A regulated entity must ensure...
Applicability: ☐ Applicable / ☐ Not Applicable If not applicable, justification: [Why this division does not apply to your domain]
Division B: Documentation and Records¶
Requirements governing what records must be created, maintained, retained, and for how long. Covers certification documentation, assessment records, operational logs, and audit trails.
Requirement B.1: [Title — e.g., "Issuance of Certification Documentation"]¶
(1) A regulated entity must...
Requirement B.2: [Title — e.g., "Record Retention"]¶
(1) A regulated entity must retain records of...
(a) [Record type] for a period of [duration]
(b) [Record type] for a period of [duration]
Applicability: ☐ Applicable / ☐ Not Applicable If not applicable, justification:
Division C: Third Party Arrangements¶
Requirements governing the use of third parties, subcontractors, partners, or agents who deliver services on behalf of the regulated entity. Covers oversight, accountability, and disclosure.
Requirement C.1: [Title — e.g., "Third Party Oversight"]¶
(1) Where a regulated entity engages a third party to deliver services, the entity must...
Applicability: ☐ Applicable / ☐ Not Applicable If not applicable, justification:
Division D: Financial Requirements¶
Requirements governing fees, financial protections, insurance, and financial viability. Covers prepaid fee protection, refund policies, and public liability.
Requirement D.1: [Title — e.g., "Prepaid Fee Protection"]¶
(1) A regulated entity must...
Applicability: ☐ Applicable / ☐ Not Applicable If not applicable, justification:
Division E: Regulatory Accountability¶
Requirements governing the entity's ongoing relationship with its regulator. Covers annual declarations, notification of material changes, and cooperation with audits.
Requirement E.1: [Title — e.g., "Annual Compliance Declaration"]¶
(1) A regulated entity must...
Requirement E.2: [Title — e.g., "Notification of Material Changes"]¶
(1) A regulated entity must notify the regulator within [timeframe] of any material change to...
Applicability: ☐ Applicable / ☐ Not Applicable If not applicable, justification:
Division F: Fitness and Propriety¶
Requirements governing the character, conduct, and suitability of persons who manage or control the regulated entity. Covers fit and proper person assessments, disqualification criteria, and disclosure obligations.
Requirement F.1: [Title — e.g., "Fit and Proper Person Requirements"]¶
The regulator may have regard to whether a person has:
(a) [Criterion — e.g., "been subject to regulatory action in this or a related domain"]
(b) [Criterion]
(c) [Criterion]
Applicability: ☐ Applicable / ☐ Not Applicable If not applicable, justification:
Division G: [Domain-Specific Division]¶
Add additional divisions as required by your domain. Every requirement that governs operational conduct (as distinct from quality outcomes) belongs in this document.
Part 4: Structural Checklist¶
Before submission, verify the following.
| # | Requirement | Status |
|---|---|---|
| 1 | Every requirement has a unique hierarchical identifier | ☐ |
| 2 | Every requirement is expressed as an obligation ("must", "must not") | ☐ |
| 3 | All domain-specific terms are defined in Part 1 | ☐ |
| 4 | Definitions are consistent with the Outcome Specification and Credential Map | ☐ |
| 5 | Cross-references to the Outcome Specification are present where applicable | ☐ |
| 6 | Cross-references to the Credential Map are present where applicable | ☐ |
| 7 | Non-applicable divisions include justification | ☐ |
| 8 | Record retention periods are specified where records are required | ☐ |
| 9 | Timeframes are specified for time-bound obligations | ☐ |
| 10 | The governing legislation or authority is cited | ☐ |
Reference: How the VET Domain Completed This Template¶
The Australian VET Compliance Requirements are organised into 3 Divisions with 14 requirements, plus 2 Schedules:
- Division 1 — Information and Transparency (2 requirements): Marketing/advertising rules and prohibitions on guarantees/inducements.
- Division 2 — Integrity of Nationally Recognised Training Products (6 requirements): Issuance rules, record keeping (30-year retention for qualifications, 2-year for assessments), certification documentation format, student identifiers, NRT logo usage, and training product transition.
- Division 3 — Accountability (6 requirements): Annual compliance declaration, notification of material changes, third party arrangement rules, prepaid fee protection, public liability insurance, and compliance with laws.
- Schedule 1 — Fit and Proper Person Requirements: 7 consideration areas including compliance with law, management history, financial record, provision of information, previous conduct, and public confidence.
- Schedule 2 — NRT Logo Conditions of Use Policy.
Each requirement follows the structure above: numbered obligations with sub-sections, cross-references to the Outcome Standards and Credential Policy.
Version History¶
| Version | Date | Change | Author |
|---|---|---|---|
| 1.0 | 2026-03-11 | Initial commit from TEMPLATE_02_Compliance_Ruleset.md | Claude Code |