Transcript Presentation

Australian Skills Quality Authority
Jan Mulcahy
A/g Regional Manager Compliance,
Melbourne
5 July 2013
National VET regulation
●
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 RTOs and other providers
2
National VET regulation
Rationale
●
streamline regulation of vocational
education and training (VET)
●
increase consistency across the states
and territories
●
address emerging quality concerns
3
National VET regulation
Most providers regulated by ASQA
●
ASQA regulates approx 4100 training providers and course owners across
Australia with presence in each state and territory
●
around 520 Vic providers and 329 WA providers stay with Vic/WA regulators
under current arrangements
●
ASQA regulates any cross-jurisdictional operations (including online delivery)
●
ASQA regulates operations outside of Australia where training and
assessment are conducted and AQF qualifications and Statements of
Attainment are issued
●
ASQA is the designated authority for CRICOS registration of VET and
ELICOS providers (but not schools or higher education)
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ASQA’s progress to date
Applications received 1 July 2011 – 31 May 2013
Application type
National
Number
Initial registration as a new provider
597
4.7
Renewal of registration as a provider
1326
10.4
10614
83.2
217
1.7
12754
100%
Change scope of registration
Withdrawal registration as a provider
TOTAL
●
National%
707 applications relating to course accreditation also received
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ASQA’s progress to date
Applications completed 1 July 2011 – 31 May 2013
National
Number
Number of applications received
12754
Number of applications completed
11009
% completed
6
86.3%
ASQA’s progress to date
Regulatory decisions made on completed applications 1 July 2011 – 31 May 2013
Application type
National No.
Applications approved
•
Initial registration
236
•
Renewal of registration
709
•
Change of scope
•
Notification of registration not continuing 155
National %
10110
91.8
446
4.1
453
4.1
11009
100%
9010
Applications rejected
•
Initial registration
88
•
Renewal of registration
89
•
Change of scope
•
Notification of registration not continuing
269
0
Withdrawn by RTO
•
Initial registration
91
•
Renewal of registration
56
•
Change of scope
•
Notification of registration not continuing
300
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Total
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ASQA’s progress to date
Regulatory decisions 1 July 2011 – 31 May 2013
Regulatory decisions
National No
Decisions to cancel a provider’s registration
34
Decisions to suspend (all/part) a provider’s registration
28
Provision of a written notice of an intention to cancel or
suspend a provider’s registration
127
Other sanctions imposed on provider
25
Total
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214
Average application processing times
Timeframes for assessing applications will differ according to:
●
the type of application
●
the ‘quality’ and completeness of the application, and
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whether or not the RTO is compliant with the required standards
Approximately 80 per cent of all applications completed within two months
●
22 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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Average application processing times
87.1%
81.0%
83.6%
74.1%
72.4%
Applications finalised
as a % of total
applications received
52.8%
26.4%
30 Sept
2011
31 Dec
2011
31 Mar
2012
30 June
2012
31 Aug
2012
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31 Dec
2012
31 Mar
2013
ASQA’s regulatory approach
●
a more robust framework of
legislation and standards
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risk based and targeted
●
audit focused on high risk
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ASQA’s regulatory approach
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
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ASQA’s regulatory approach
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)
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structured risk assessment of RTOs and other providers
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analysis of system risks
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ASQA’s regulatory approach
Risk assessment of applications
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Financial viability risk assessment
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Fit and proper person assessment
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Licensed outcome
●
RTO risk rating
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ASQA’s regulatory approach
Risk assessment of providers
Risk indicators
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Likelihood indicators
Performance
Governance
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Impact indicators
Profile
Approach consistent with AS/NZS ISO 31000:2009 – standards for risk
management (Published by Standards Australia)
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ASQA’s regulatory approach
RTO risk rating – indicators and factors
Governance
Performance
● AQTF/VQF audit history
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financial viability data
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ESOS audit history
●
●
substantiated complaints
recent fundamental changes to
scope of operations
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reliance on partnering organisations
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transparency of organisational
ownership and planning
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other valid performance data
Total likelihood rating
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ASQA’s regulatory approach
RTO risk rating - indicators and factors
Profile
●
scope of registration (number of training packages, range of AQF levels)
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delivery of training leading to licensed or regulated outcome
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delivery of training to overseas students in Australia
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delivery of training offshore
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mode of delivery and core student clientele
Total impact rating
Overall rating -
High
Medium
Low
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ASQA’s regulatory approach
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, purchasing, DIAC)
●
analysis of data based on quality indicators including student and employer
outcomes and visa data
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ASQA’s regulatory approach
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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ASQA’s regulatory approach
Audit
●
all applications for initial registration are audited and all renewal and change
of scope applications are assessed for risk
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all initial registration applications to have a site visit and follow up audit
(usually around 12 months)
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higher risk applications for registration renewal or change of scope referred
for audit
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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
they comply with the standards.
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ASQA’s regulatory approach
Standards where non-compliances have occurred
Initial registration:
●
standard 4 requires the applicant to have strategies in place to provide quality
training and assessment across all of its operations
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must have all required resources in place before applying to ASQA
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ASQA’s regulatory approach
Standards where non-compliances have occurred
Re-registration:
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standard 15 requires NVR registered training organisation to provide quality
training and assessment across all of its operations
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training and assessment does not meet the requirements of the
Training Package and/or individual units of competency
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insufficient evidence to demonstrate vocational competence, and/or
training and assessment competence of trainers and assessors
85% of refused applications involved critical non-compliance with
standard 4 or standard 15
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ASQA’s regulatory approach
Non-compliances with the standards as prescribed in the National Code of
Practice for Registration Authorities and Providers of Education and
Training to Overseas Students 2007. These standards set out the
obligations on registered providers in delivering education and training to
overseas students.
Most non-compliances relate to:
●
marketing information and practices
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student engagement before enrolment
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formalisation of enrolment
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student support services, and
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staff capability, educational resources and premises
23
ASQA’s regulatory approach
Non-compliance is commonly identified because:
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student records don’t match student letters of offer
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changes to courses are not reflected in the evidence provided at audit
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records do not align with course details
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all support staff are not able to demonstrate an understanding of the ESOS
Act and the National Code as they relate to their positions
●
teaching staff and/or trainer and assessor qualifications and experience do
not meet the benchmarks set by the NVR standards, the Training Package
requirements or the ELICOS standards
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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
councils, student organisations and other
peak bodies
●
stakeholder consultation ongoing to
identify good and poor practises in VET
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proactive action to be taken in areas of
identified risk
●
increased dialogue with stakeholders
about the role regulation can play in
quality improvement
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Developing a strategic approach to VET regulation
Strategic industry reviews
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strategic reviews are the next stage of VET regulation
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identify and target VET system risks
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strategic reviews target ASQA’s resources to ensure training meets the
standards
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a program of Strategic Industry Reviews targeting ‘hot spots’ in the VET
sector
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Developing a strategic approach to VET regulation
Strategic industry reviews
Currently three reviews underway to be completed by end July 2013
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the entry-level occupational health and safety training required to work on
construction sites in Australia, commonly known as the ‘White Card’
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the aged and community care sector
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inappropriate practices and marketing by RTOs
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Developing a strategic approach to VET regulation
Engagement with training providers
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development of online services to manage provider applications –
enhancements ongoing including online CRICOS applications
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continuing a program of information sessions with training providers
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short online videos about registration and accreditation processes in
development
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contributing to the NSSC review of the standards to clarify issues raised by
providers
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online audit survey for providers to give ASQA feedback
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maintaining a dedicated ASQA Info line and email service
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Developing a strategic approach to VET regulation
Engagement with training organisations’ peak bodies
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identify issues of concern
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discuss ways to improve efficiency of
regulation
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discuss strategic issues of mutual
concern
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find better ways to do things
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Next steps
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refine audit strategy
●
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more focus on monitoring audit of high risk
areas risk areas/less on change of audit
scopes
NSSC review of National Standards
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More information
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ASQA website – www.asqa.gov.au
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call the ASQA Info line – 1300 701 801
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email to – [email protected]
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subscribe to the ASQA Update
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online applications and payment of fees – ASQAnet
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