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ASQAThe National VET Regulator

Commonwealth Parliament

Commonwealth Minister

Australian Skills Quality Authority

Standing Committee on

Tertiary Education Skills and

Employment

National Skills

Standards Council

Department of Education,

Employment and Workplace Relations

State / Territory Education Ministers

Reg

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Governance

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National Skills Standards Council

Functions

• develop and maintain national standards for regulation of vocational education and training for approval by SCOTESE and provide advice to SCOTESE on development and implementation of the standards

• provide information, through SCOTESE, to the regulators of vocational education and training on the implementation and interpretation of the national standards and on issues of quality standards generally in the vocational education and training sector

• provide information to the vocational education and training sector on the national standards and any changes to the standards

• provide advice to SCOTESE on the operation of the regulators of vocational education and training

• endorse Training Packages

Australian Skills Quality Authority

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Offices in all capital cities of Australia

Commissioner Risk Analysis &

Investigation

Chief Commissioner

[Chief Executive]

Commissioner Compliance

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Our Vision

Students, employers and governments have full confidence in the quality of vocational education and training outcomes delivered by Australian registered training organisations [ASQA Strategic Plan 2011-14]

The Regulatory 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 ModelKey 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

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Robust framework of legislation and standards

The legislation

• National Vocational Education and Training Regulator Act 2011

• NVETR [Transitional Provisions] Act 2011

• NVETR [Consequential Amendments] Act 2011

• Education Services for Overseas Students Act 2000

• VET Quality Framework

• Standards for NVR Registered Training Organisations

• Fit and Proper Person Requirements

• Financial Viability Risk Assessment Requirements

• Data Provision Requirements

[also 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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Standards – Legislative Instruments

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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 registration applications (including financial viability risk assessment and fit and proper person assessment)

● Structured risk assessment of RTOs – individual rating

● Analysis of system-wide risks

Risk Assessment Framework (s.190 of the Act)

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Risk Assessment of RTOs

Categories of Risk

● Performance

● Governance

● Profile Impact indicators

Approach consistent with AS/NZS ISO 31000:2009 – standards for risk management(Published by Standards Australia)

Likelihood indicators

Likelihood of provider NOT delivering quality training and assessment services and outcomes- Major contributor towards overall risk rating

Impact on range of stakeholders (student, industry, VET reputation etc) if this was to occur- Minor contributor towards overall risk rating

RTO Risk Rating

Performance AQTF/VQF audit historyESOS audit historySubstantiated complaintsOther valid performance data

Governance Financial viability dataRecent fundamental changes to scope of operationsReliance on partnering organisationsTransparency of organisational ownership and planning

Total Likelihood Rating

Profile Scope of registration (number of training packages, range of AQF levels)Delivery of training leading to licensed or regulated outcomeDelivery of training to overseas students in AustraliaDelivery of training offshoreMode of delivery and core student clientele

Total Impact RatingOverall Rating H M L

Indicators and factors:

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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

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● Complaints data and trends

● State/Territory/Australian Government intelligence (e.g. apprenticeship regulation, contractual funding, Dept. Immigration and Citizenship)

● Analysis of data based on quality indicators including student and employer outcomes & student visa data

Industry Engagement

Aim: Confidence that vocational outcomes meet industry standards

Engagement strategies

• Guidance on learning and assessment resources

• Additional requirements for training leading to occupational licensing outcomes

• Participation in audit activities as subject-matter experts, audit scoping advice, strategic industry audits

• Development activities for auditors

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Rigorous audit approach

• Systematic and rigorous

• Outcomes focused

• Evidence-based

• Flexible

• Fair, open and transparent

• Moderated

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Rigorous assessment of courses for accreditation

Transparency and fairness

• Processes transparent

• Procedurally fair

• Decisions clear and accountable

• Internal review of decisions

• Review by Administrative Appeals Tribunal

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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

• ASQA will publish a list of RTOs & names of high managerial agents – where registration cancelled or suspended and reasons

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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 Standards for VET Regulators to NSSC

• Certification of ASQA quality systems to ISO 9001

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Accessibility

One national regulator for:

• RTO registration (except for VIC and WA providers that deliver only to domestic students in Vic and/or WA)

• CRICOS registration for VET, ELICOS & Foundation Studies providers (but not schools)

• 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 operations19

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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

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Thank you

www.asqa.gov.au