ASQAThe National VET Regulator

Mr Jerzy GillRegional ManagerRegional Manager Compliance Operations

2012 National Meat Retail2012 National Meat RetailTrainers’ Conference21-22 November 2012 Melbourne

R ti l f ti l VET l tiRationale for national VET regulation

● quality VET qualifications crucial for● quality VET qualifications crucial for employment prospects

● Australia’s international training reputation depends on qualityreputation depends on quality

● 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

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E t bli h t f ASQAEstablishment of ASQA

● The Australian Skills Quality Authority (ASQA) was established on 1 July 2011● The Australian Skills Quality Authority (ASQA) was established on 1 July 2011 to provide national regulation of Australia’s vocational education and training (VET)

● ASQA’s vision is to ensure that students, employers and governments have full confidence in the quality of vocational education and training outcomes delivered by registered training organisations (RTOs) and other providers

● ASQA regulates around 4100 training providers nationally and accredits VET courses

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VET ti ll l t dVET now nationally regulated

One national regulator forg

● RTO registration (except for Vic and WA where providers have state based operations)

CRICOS i t ti f VET d ELICOS id● CRICOS registration for VET and some ELICOS providers (but not schools or higher education)

● course accreditation (also Vic and WA)

Includes

● any cross-jurisdictional operations (includes online operations)

● operations outside of Australia where training and assessment are conducted and AQF qualifications and Statements of Attainment are issued

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ASQA’s regulatory approachASQAs regulatory approach

● a more robust framework of legislation and standards

i k b d d t t d● risk based and targeted

● audit focused on high risk

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ASQA’ l t hASQA’s regulatory approach

Legislation and standards

● The National Vocational Education and Training Regulator Act 2011 provides a wider range of regulator powers and sanctions

P id t l ith th VET Q lit F k hi h i● Providers must comply with the VET Quality Framework which comprises:

● Standards for NVR Registered Training Organisations 2011

● Financial Viability Risk Assessment Requirements 2011y q

● Data Provision Requirements 2011

● Fit and Proper Person Requirements 2011, and

● Australian Qualifications Framework

● Providers are required to be compliant with the standards at all times

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ASQA’ l t hASQA’s regulatory approach

Regulation of CRICOS, ELICOS and Foundation Program providers

● Education Services for Overseas Students Act 2000 (ESOS Act) - amended in 2010

● As of 1 July 2012 ASQA is a designated authority for registration and enforcement of the ESOS Act

● Education Services for Overseas Students Regulations 2001 (the ESOSRegulations)

● National standards for ELICOS providers and courses (ELICOS Standards) as defined by the ESOS Act

● National Code of Practice for Registration Authorities and Providers of● National Code of Practice for Registration Authorities and Providers of Education and Training to Overseas Students 2007(the National Code)

Regulation of VET courses

● Standards for VET Accredited Courses7

ASQA’s regulatory approachASQAs regulatory approach

Regulation based on risk assessment

● comprehensive risk management approach - the Risk Assessment Framework (s 190 of the Act)

Three levelsThree 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● structured risk assessment of RTOs and other providers – provider risk ratings

● analysis of VET system risks

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Ri k t f li tiRisk assessment of applications

● Financial viability risk assessment

● Fit and proper person assessment

● Licensed outcome

● RTO risk rating

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Ri k t f idRisk assessment of providers

Risk indicatorsRisk indicators

● Likelihood indicators Performance Governance

● Impact indicators Profile

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

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RTO i k tiRTO risk rating

Indicators and factors

Performance

● AQTF/VQF audit history

Governance

● financial viability dataAQTF/VQF audit history

● ESOS audit history

● substantiated complaints

● financial viability data

● recent fundamental changes to scope of operations

● other valid performance data ● reliance on partnering organisations

● transparency of organisational ownership and planning

Total likelihood rating

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RTO i k tiRTO 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

d li f t i i ff h● delivery of training offshore

● mode of delivery and core student clientele

Total impact ratingTotal impact rating

Overall rating - High Medium Low

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Ri k tRisk management

Analysis of VET system risksAnalysis 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● 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

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Ri dit hRigorous audit approach

● systematic and rigorous

● outcomes focused

● evidence based● evidence based

● flexible

● fair, open and transparent

● moderated

Rigorous assessment of courses for accreditation

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ASQA’ h t ditiASQA’s approach to auditing

When do audits occur?

● all applications for initial registration are audited

● all renewal and change of scope applications are assessed for riska e e a a d c a ge o scope app cat o s a e assessed o s

● all initial registration applications - a site visit and follow up audit (usually around 12 months)

● higher risk applications for registration renewal or change of scope referred for audit

● audits can be undertaken at any time to assess compliance with the VET Quality Framework

ASQA expects the applicant organisation or RTO to demonstrate how theyASQA expects the applicant organisation or RTO to demonstrate how they comply with the standards.

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A ditAudit processes

Before a site auditBefore a site audit

● self assessment

● allocate a staff member to liaise with the audit team

● provide an appropriate work space● provide an appropriate work space for the audit team

● have the information requested readily available

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A ditAudit processes

Steps of an auditSteps of an audit

● preliminary investigation

● reviewing the application

● site audit

● report of outcomes

● decision

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I d t tIndustry engagement

Aim: confidence that vocational outcomes meet industry standardsAim: confidence that vocational outcomes meet industry standards

ASQA’s industry engagement strategies include

● guidance on learning and assessment resources

● additional requirements for licensing outcomes

● participation in audit activities, pre-audit activities, technical advisers on audits or strategic industry audits

● development activities for auditors

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I f d h i f

● ASQA receives complaints about the quality

Informed choice for consumers

ASQA receives complaints about the quality of providers services relevant to the regulatory framework

ASQA bli h li t f id d f● ASQA publishes a list of providers and names of high managerial agents – registration cancelled or suspended and reasons

● conditions on providers published also to inform consumers

● website information www asqa gov au● website information – www.asqa.gov.au

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EnforcementEnforcement

Expectation of compliance at all times

● a range of administrative sanctions for failure to complywith standards and legislation:● directions● directions● shortening period of registration● conditions

amending scope● amending scope● suspension● cancellation

i f i t ti● infringement notices.

● civil penalties and offences

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T d f iTransparency and fairness

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

● processes transparent

d ll f i● procedurally fair

● decisions clear and accountable

Review of decisions – NVR Act

● reconsideration by ASQA

● review by Administrative Appeals Tribunal● review by Administrative Appeals Tribunal (AAT)

Review of decisions – ESOS Act – review by AAT

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R l t t bilitRegulator accountability

The National VET Regulatorg

● reports annually to Commonwealth Minister and Ministerial Council against key performance indicators

● annual report tabled in Australian Parliament

● report on ASQA’s compliance with VET regulator p p gstandards

● report to NSSC on operation of the regulatory framework

● ASQA has its own quality management system to ensure the consistency of its business processes

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ASQA’ t d tASQA’s progress to date

Applications received in first 12 months (1 July 2011 – 30 June 2012)Applications received in first 12 months (1 July 2011 30 June 2012)

4,873 total applications received

New applications received by ASQANew applications received by ASQA

Pending applications received 1 July (NSW, Vic, WA, ACT, NT)

Pending applications received during 2012 (T SA Qld)2012 (Tas, SA, Qld)

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ASQA’ t d tASQA’s progress to date

Applications received in the first 12 months

Application type Number %

Initial registration as a new provider 327 6.7

Renewal of registration as a provider 598 12.3

Change scope of registration 3884 79.7

Withdrawal registration as a provider 64 1.3

TOTAL 4873 100%

● 420 applications relating to course accreditation also received

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ASQA’ t d tASQA’s progress to date

Status of applications received in first 12 monthsStatus of applications received in first 12 months

Application finalised (74.1 %)

Undergoing risk assessment (5.4%)

Risk assessment complete awaiting audit (8 4%)Risk assessment complete, awaiting audit (8.4%)

Audit commenced (5.1%)

Application not commenced (7.3%)

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ASQA’ t d tASQA’s progress to date

Application timeframes Jan – June 2012

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ASQA’s progress to date

Average application processing times in first 12 monthsg pp p g

● 133 days – application to become a new provider

● 113 days –application to renew the registration of an exiting provider113 days application to renew the registration of an exiting provider

● 35 days – VET change of scope application

62 days CRICOS change of scope application● 62 days – CRICOS change of scope application

● 15 days – low risk VET applications to add new courses scope (when all information has been supplied).

● More than two-thirds of all applications are in this category

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A li ti h fApplication processes – change of scope

ASQAnet updated

with outcome

ASQAnet updated with

outcome

Audit allocated and tracked in

ASQnet

Risk assessment

ASQAnet application

Application checked for Audit

requiredAudit

conductedv Approve or

reject

Application approved

ppcompleteness required conducted reject

pp ppApplication

incomplete further information requested

ASQAnet/TGA

Recommendation to decision maker

for approvalQ

updated with outcome

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ASQA’s progress to date

Regulatory decisions in the first 12 months

● 90% of provider applications approved● 90% of provider applications approved

● 202 provider applications were refused

● 48 decisions to refuse registration of a new provider

● 28 decisions to reject applications for re-registration of an existing provider● 28 decisions to reject applications for re registration of an existing provider

● 126 decisions to reject change of scope applications

● 18 RTOs had registration cancelled/suspended

● 24 applications relating to course accreditation also refused

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C li f VET idCommon non-compliances of VET providers

More than 43 per cent of non-compliances related to:More than 43 per cent of non-compliances related to:

Standard 15 that the NVR registered training organisation provides quality training and assessment across all its operations, specifically:

● Standard 15.2

● Standard 15 3● Standard 15.3

● Standard 15.4

● Standard 15.5

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Developing a strategic approach to VET regulation

Engagement with industry, students and government

● industry engagement with employer organisations unions industry skills● industry engagement with employer organisations, unions, industry skills councils, student organisations and other peak bodies

● ongoing stakeholder consultation to identify d d i i VETgood and poor practises in VET

● proactive action in areas of identified risk

● work has commenced on a strategic review of the aged care training sector

● increased dialogue with stakeholders about● increased dialogue with stakeholders about the role regulation can play in quality improvement

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Next steps

● refine audit strategy

● more focus on monitoring audit of high risk areas/less on change of● more focus on monitoring audit of high risk areas/less on change of scope audits

● strategic reviews/strategic audits

● aged and community care

● work safety and construction (the White Card)● work safety and construction (the White Card)

● inappropriate practices and marketing by RTOs

● develop policy on regulation delegation to registered training organisations

● streamlined dual sector regulation with TEQSA

● better ELICOS arrangements33

ASQA officesASQA offices

Compliance Operations

Risk Analysis Industry EngagementRisk AssessmentCourse Accreditation

Risk Assessment Risk Assessmentl i iLegal Investigations

Complaints

National Panel of Compliance Auditors

CorporateInfo linep

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M i f tiMore information

● ASQA website – www asqa gov au● ASQA website – www.asqa.gov.au

● email to – enquiries@asqa.gov.au

● call the ASQA Info line – 1300 701 801

● ASQAnet for online applications and payment of fees launched on 1 August 2011payment of fees launched on 1 August 2011

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Th kThank you

Questions & answersQuestions & answers

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