ASQA

The Regulatory Model

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

• Promotes innovation and flexibility in VET

…Has a number of key features

The Regulatory Model

Key features• Robust framework of legislation

and standards

• Balanced and responsive

• Risk focus

• Industry engagement

• Rigorous audit methodology

• Fairness and transparency

• Promotion of informed choice by consumers

• Accountability

• Accessibility

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)

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VET Quality Framework

• Standards for NVR Registered Training Organisations

• Australian Qualifications Framework

• Fit and Proper Person Requirements

• Financial Viability Risk Assessment Requirements

• Data Provision Requirements

National Code of Practice for Registration Authorities and Providers of Education and Training to Overseas Students (CRICOS Registration)

Standards for VET Accredited Courses

Legislative Instruments

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

● Structured risk assessments of RTOs

● Analysis of system risks

Using the Risk Assessment Framework (S 190 of the Act)

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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 non-compliance data, quality indicators including student and employer outcomes, & visa data

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, either pre-regulator engagement, technical advisers or strategic industry audit

• Development activities for auditors

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Rigorous audit approach

• Systematic and rigorous

• Outcomes focused

• Evidence-based

• Flexible

• Fair, open and transparent

Rigorous assessment of courses for accreditation

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Transparency and fairness

• Processes transparent

• Procedurally fair

• Decisions clear and accountable

• Review of decisions by ASQA

• Review by Administrative Appeals Tribunal

The National VET Regulator will have regard to the interests of students, industry and the public in its decision making

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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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AccessibilityOne national regulator for:

• RTO registration (except for VIC and WA where providers have state based operations)

• CRICOS registration

• Course accreditation

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

CourseAccreditation

Compliance Operations

Risk Assessment

Risk Assessment

Risk Assessment

Legal and Investigations

Complaints

National Panel of Compliance Auditors

Risk Analysis and Industry Engagement

ChiefCommissioner I I

Commissioner Commissioner1 Compliance Risk

1 1

NM NM NM NM

Corporate Course Accn Risk Analysis Investgn & Legal1 1 1 6

I I IQuality Systems Finance & Compliance Ops (Brisbane) Staff: 26 Course Risk Analysis Complaints

& Moderation Facilities RM Compliance Auditors Info/Comms Data/Admin Accrdn Team Team - Indstry Engagemnt- Team

1 3 1 20 2 5 4 5 3 7I I I I

Policy & Human Compliance Ops (Sydney) Staff: 26 Risk Assess Risk Assess Risk AssessResearch Resources RM Compliance Auditors Info/Comms Team - Team - Team

3 4 1 18 2 4 8 7 8

I I

IT Compliance Ops (Adelaide) Staff: 9

& Data RM Compliance Auditors Info/Comms Data/Admin3 1 6 1 1

I I

Transition Staff Comms Compliance Ops (Hobart) Staff: 4

Only '11 and ( '12) RM Compliance Auditors Info/Comms Data/AdminNot Counted 2 1 1 1 1

8 I I

Admin Compliance Ops (Canberra) Staff: 4

Support RM Compliance Auditors Info/Comms Data/Admin3 1 1 1 1

I

Compliance Ops (Darwin) Staff: 3 Melbourne Brisbane

RM Compliance Auditors Info/Comms Data/Admin Cntrl/Mel Regn Off1 1 1 34 48

I

Compliance Operations (Vic) Staff: 12 Sydney SA, Tas, NT

RM Compliance Auditors Info/Comms Data/Admin ACT1 7 2 2 48 27

I

Compliance Operations (WA) Staff: 5 WA

RM Compliance Auditors Info/Comms Data/Admin 5 162

1 2 1 1

ASQA Organisational Structure

STAFF BYLOCATION

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Questions