QA_PRO_19 Data and Record Management Procedure

1. Purpose

The purpose of this Procedure is to outline the approach taken by Lumify learn, in ensuring that all RTOs manage their student records and administration, including data reporting, effectively. In turn, it outlines how the RTOs determine student eligibility to receive their Australian Quality Framework (AQF) nationally accredited qualification.

2. Scope

This Procedure covers all of Lumify Learn’s training and assessment services across all campuses and all training/academic, student services, and governance staff members.

3. Responsibilities

The RTO Manager is responsible for ensuring this Procedure is implemented. The Compliance Coordinator is responsible for ensuring this Policy is maintained and up to date in line with scheduled revisions. Managerial staff are responsible for ensuring their teams are up-to-date with this Policy.

4. Procedure


Lumify learn:

  • Will maintain sound administrative practices and processes to ensure secure and effective management of student records

  • Has established processes for managing student records – this includes processes for managing course applications and enrolments, student files, results and attendance, course completions and withdrawals

  • Will maintain an electronic file for each enrolled student that is stored securely in a commercial online system, aXcelerate, that only authorised staff have access to. Each student file contains copies of all relevant documents relating to a student’s application, enrolment, course delivery and completion

  • Will record all student information on its AVETMISS-compliant student management systems

  • Will regularly conduct internal audits of student files to ensure the records are accurate and complete and meet all requirements including funding requirements. Any issues identified during a student file audit will be rectified and root cause of the issue identified to avoid re-occurrence

  • Information stored in these systems includes mandatory statistical enrolment questions, class attendance and progression, course enrolment information, results, correspondence and issuance of AQF certification

  • Student records are kept for the minimum periods of time as outlined in the relevant legislation, ASQA Directions and funding requirements (refer below)

  • Student records are all stored and disposed of in line with the Privacy Principles and Public Records Act as outlined in Lumify Learn’s Privacy Policy.

Appendix A: Storage and Destruction Requirements by Legislation, Regulator or Funding Source

Regulator and/or Funding Source

Record Type

Retention Requirement



Registration – vocational education and training  


-Certificates of registration 

-Compliance assessments against mandated standards or conditions 



-Performance monitoring and auditing  

Retain for 30 years after registration ceases or is refused. 

SNR 3.4 

Enrolment, USI and AVETMISS information 

Retain for 30 Years 

SNR 3.4 

AQF qualifications and statements of attainment 

Retain for 30 Years 

SNR 3.4 

Training and Assessment Strategies 

Retain for 12 months following cessation of Course Offering 

SNR 1.8 and ASQA General Direction – Record Retention 

Master Set Training and Assessment Tools 

Retain for 3 years following cessation of Course Offering 

SNR 1.8 and ASQA General Direction – Record Retention 

Direct Entry  

Student Completed Assessment Tools and Completed RPL 

6 months after student completion or cancellation date 

SNR 1.8 and ASQA General Direction – Record Retention 

5. Related Documents

  • QA_DOC_03-01 Student Handbook

  • QA_POL_19 Data and Record Management Policy

  • QA_POL_02 Marketing Policy

  • QA_PRO_02 Marketing Procedure

  • QA_REG_02 Marketing Register

  • QA_FRM_02_06 Marketing Guide

  • QA_FRM_19_01 Completeness of student file checklist

  • QA_FRM_19_05 Change in personal details form

  • QA_REG_25 Continuous improvement register

  • QA-POL-01 Meeting Legislative and Regulatory Requirements Policy

  • QA_REG_01_01 Master Register: policies & procedures, documents