ASQA
The National VET Regulator
Regulated Training Organisations
Governance
Commonwealth Parliament
Commonwealth Minister
ASQA
DEEWR
Standing Committee
on Tertiary Education
Skills and
Employment
State / Territory
Education Ministers
NSSC
Australian Skills Quality Authority
Chief
Commissioner
Commissioner
Risk Analysis &
Investigation
Chief Executive
Commissioner
Compliance
Offices in all capital cities of Australia
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The Regulatory Model - Vision
Students, employers and governments have full confidence in the
quality of vocational education and training outcomes delivered by
RTOs.
The Model
•
Ensures risks to quality vocational education are well managed
•
Employs a strong compliance auditing and monitoring regime and a
range of escalating sanctions
•
Recognises the need for innovation and flexibility in VET
…Has a number of key features
The Regulatory Model
Key features
•
Robust framework of legislation
and standards
• Fairness and transparency
•
Balanced and responsive
• Promotion of informed choice by
consumers
•
Risk focus
• Accountability
•
Industry engagement
• Accessibility
•
Rigorous audit methodology
Robust framework of
legislation and standards
The legislation
•
•
National Vocational Education and Training Regulator Act 2011
•
NVR Transitional Provisions Act 2011
•
NVR Consequential Amendments Act 2011
Education Services for Overseas Students Act 2000 (amended in
2010)
Standards – Legislative Instruments
• VET Quality Framework
•
Standards for NVR Registered Training Organisations (AQTF)
•
Fit and Proper Person Requirements
•
Financial Viability Risk Assessment Requirements
•
Data Provision Requirements
•
Australian Qualifications Framework
• National Code of Practice for Registration Authorities and Providers of
Education and Training to Overseas Students (CRICOS Registration)
• Standards for VET Accredited Courses
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Balanced and Responsive to Risk
• Stringent conditions for entry into the market
• Proportionate regulatory intervention based on
risk assessment
• Expectation of compliance at all times
• A range of sanctions for failure to comply with
standards and legislation
Risk Management
Comprehensive risk management approach:
Three levels:
● Risk assessment of initial, renewal, scope applications
(including financial viability risk assessment and fit and
proper person assessment)
● Structured risk assessments of RTOs
● Analysis of system risks
Using the Risk Assessment Framework (S 190 of the Act)
Risk Assessment of RTOs
Categories of Risk
● Performance
Likelihood indicators
● Governance
● Profile
Impact indicators
Approach consistent with AS/NZS ISO 31000:2009 – standards for risk management
(Published by Standards Australia)
RTO Risk Assessment
Indicators:
Performance
AQTF/VQF audit history
ESOS audit history
Substantiated complaints
Other valid performance data
Governance
Financial viability data
Fundamental changes to scope of operations
Reliance on partnering organisations
Organisational ownership and planning
Total Likelihood Rating
Profile
Scope of registration
Delivery of training leading to licensed or regulated outcome
RTO delivering training to overseas students in Australia
Delivery of training offshore
Mode of delivery
Total Impact Rating
Overall Rating H M L
Risk Management
Analysis of VET system risks:
●
Data from audit outcomes about compliance trends
●
Feedback from industry bodies (ISCs and industry
regulators) and professional associations
●
Complaints data and trends
●
State/Territory/Australian Government intelligence (e.g.
apprenticeship regulation, purchasing, DIAC)
●
Analysis of data based on quality indicators including
student and employer outcomes, & visa data
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Industry Engagement
Aim: Confidence that vocational outcomes meet
industry standards
Engagement strategies
•
Guidance on learning and assessment resources
•
Additional requirements for Licensing outcomes
•
Participation in audit activities, pre-audit, technical
advisers on audits or strategic industry audits
•
Development activities for auditors
Rigorous audit approach
•
Systematic and rigorous
•
Outcomes focused
•
Evidence-based
•
Flexible
•
Fair, open and transparent
•
Moderated
Rigorous assessment of courses for accreditation
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Transparency and fairness
The National VET Regulator will have regard to
the interests of students, industry and the public
in its decision making.
• Processes transparent
• Procedurally fair
• Decisions clear and accountable
• Review of decisions by ASQA
• Review by Administrative Appeals
Tribunal
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Informed choice for consumers
• Exploring the publishing of audit outcomes
• Published list of RTOs & names of high managerial agents registration cancelled or suspended and reasons
The near future
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Regulator accountability
• The National VET Regulator reports annually to
the Commonwealth Minister and the Ministerial
Council against key performance indicators
• Annual report tabled in the Australian
Parliament
• Report on ASQA’s compliance with VET
regulator standards
• Certification of ASQA quality systems to ISO
9001
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Accessibility
One national regulator for:
• RTO registration (except for VIC and WA where providers have state based
operations)
• CRICOS registration for VET, ELICOS & Foundation Studies providers (but
not schools or HE)
• Course accreditation (also in WA and VIC)
One national regulator to monitor compliance including:
• any cross-jurisdictional operations
• operations outside of Australia where training and assessment are conducted
and AQF qualifications and Statements of Attainment are issued
• any online operations
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ASQA offices
Compliance Operations
Risk Analysis and
Industry Engagement
Risk Assessment
Course
Accreditation
Risk Assessment
Risk Assessment
Legal and Investigations
Complaints
National Panel of
Compliance Auditors
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Thank you
www.asqa.gov.au
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