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ASQA

ASQA. The National VET Regulator Mr Jerzy Gill Regional Manager Compliance 25 July 2012. Australian Skills Quality Authority. Chief Commissioner & Chief Executive Officer. Commissioner Risk Analysis & Investigation. Commissioner Compliance. Offices in all capital cities of Australia.

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ASQA

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  1. ASQA The National VET Regulator Mr Jerzy Gill Regional Manager Compliance 25 July 2012

  2. Australian Skills Quality Authority Chief Commissioner & Chief Executive Officer Commissioner Risk Analysis & Investigation Commissioner Compliance Offices in all capital cities of Australia 2

  3. ASQA offices Compliance Operations Risk Analysis Industry Engagement Risk Assessment Course Accreditation Risk Assessment Risk Assessment Legal Investigations Complaints Corporate Info line National Panel of Compliance Auditors 3

  4. Rationale for establishing a national approach to VET • Greater quality in skills formation is a crucial element of Australia’s future prosperity • Eight regulatory approaches thought to be inefficient and less effective • Although much of the sector is high quality there are ongoing concerns about the quality of some providers 4

  5. Does quality matter? • Need to ensure more Australians get quality high level skills • Employment rates are high (over 80%) and similar for those with university and VET (Certificate III+) qualifications • Employment rates are poor and declining for those who leave school early or don’t get a tertiary qualification (57%) • Australia’s international reputation depends on quality 5

  6. Australian Skills Quality Authority (ASQA) commenced on 1 July 2011 • NSW, ACT and NT providers under ASQA on 1 July 2011 • Vic and WA providers who operate in referring States/Territories or have overseas students under ASQA on 1 July 2011 • Tas passed legislation which was proclaimed in February 2012 and ASQA commenced regulation on 1 March 2012 • Legislation passed through SA Legislative Council in early March. ASQA commenced regulation on 26 March 2012 • Legislation passed through Qld government on 21 June 2012. ASQA commenced regulation on 29 June 2012 6

  7. Regulatory action in the first 12 months Completed applications By 31 Dec 2011 By 30 June 2012 No. % No. % • Approved 879 85% 3206 89.7% • Rejected 106 10% 199 5.6% • Withdrawn 53 5% 168 4.7% Completed 1038 100% 3573 100% Proportion of all applications completed 52.8% 75.0% 7

  8. The regulatory model • The vision • Students, employers and governments have full confidence in the quality of vocational education and training outcomes delivered by RTOs and • other providers. • 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 8

  9. The regulatory model • Fairness and transparency • Promotion of informed choice by consumers • Accountability • National regulation • Key features • Robust framework of legislation and standards • Balanced and responsive to risk • Risk focused • Industry engagement • Rigorous audit methodology • Enforcement 9

  10. The new legislation gives a wider range of regulator powers to ASQA • National training standards through the VET Quality Framework now legislative instruments not guidelines • New administrative sanctions for less serious cases • Powers to direct providers to address non compliance • Powers to require information • Administrative sanctions • New civil penalties and offences • Criminal prosecution in the most serious cases • Between July 2011 and June 2012 ASQA rejected applications for renewal or cancelled the registration of about 32 RTOs that did not meet the standards as outlined in the VET Quality Framework 10

  11. 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) 11

  12. 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 Registered Authorities and Providers of Education and Training to Overseas Students (CRICOS Registration) 12

  13. Risk management • Comprehensive risk management approach - the Risk Assessment Framework (s 190 of the Act) • Three levels • Risk assessment of initial, renewal, scope applications (including financial viability risk assessment and fit and proper person assessment) • Structured risk assessment of RTOs and other providers • Analysis of system risks 13

  14. Risk assessment of applications • Financial viability risk assessment • Fit and proper person assessment • Licensed outcome • RTO risk rating 14

  15. Risk assessment of providers • Risk indicators • Likelihood indicators Performance Governance • Impact indicators Profile • Approach consistent with AS/NZS ISO 31000:2009 – standards for risk management (Published by Standards Australia) 15

  16. RTO risk rating Indicators and factors • Performance • AQTF/VQF audit history • ESOS audit history • Substantiated complaints • Other valid performance data Governance • Financial viability data • Recent fundamental changes to scope of operations • Reliance on partnering organisations • Transparency of organisational ownership and planning • Total likelihood rating 16

  17. RTO risk rating • Indicators and factors • Profile • Scope of registration (number of training packages, range of AQF levels) • Delivery of training leading to licensed or regulated outcome • Delivery of training to overseas students in Australia • Delivery of training offshore • Mode of delivery and core student clientele Total impact rating Overall rating - High Medium Low 17

  18. 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 and visa data 18

  19. Rigorous audit approach • Systematic and rigorous • Outcomes focused • Evidence based • Flexible • Fair, open and transparent • Moderated Rigorous assessment of courses for accreditation 19

  20. Enforcement • Expectation of compliance at all times • A range of administrative sanctions for failure to complywith standards and legislation: • directions • shortening period of registration • conditions • amending scope • suspension • cancellation • infringement notices. • Civil penalties and offences 20

  21. 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 • Reconsideration of decisions by ASQA • Review by Administrative Appeals Tribunal (AAT) 21

  22. Thank you • www.asqa.gov.au • enquiries@asqa.gov.au • Info line 1300 701 801 22

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