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ASQA. The National VET Regulator. Governance. DEEWR. Commonwealth Parliament. Regulated Training Organisations. Commonwealth Minister. Standing Committee on Tertiary Education Skills and Employment . NSSC. State / Territory Education Ministers. ASQA. Chief Commissioner.

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Presentation Transcript


The National VET Regulator




Commonwealth Parliament

Regulated Training Organisations

Commonwealth Minister

  • Standing Committee on Tertiary Education Skills and Employment


State / Territory Education Ministers

  • ASQA
australian skills quality authority

Chief Commissioner

Commissioner Compliance

Commissioner Risk Analysis & Investigation

Chief Executive

Offices in all capital cities of Australia

Australian Skills Quality Authority
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
  • Recognises the need for innovation and flexibility in VET
  • …Has a number of key features
The Regulatory Model - Vision
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
The Regulatory Model
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)
Robust framework of legislation and standards
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 Registration Authorities and Providers of Education and Training to Overseas Students (CRICOS Registration)
  • Standards for VET Accredited Courses
Standards – 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
Balanced and Responsive to Risk
risk management

Comprehensive risk management approach:

Three levels:

    • Risk assessment of initial, renewal, scope applications (including financial viability risk assessment and fit and proper person assessment)
    • Structured risk assessments of RTOs
    • Analysis of system risks

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

Risk Management
risk assessment of rtos
Risk Assessment of RTOs
  • Categories of Risk
    • Performance
    • Governance
    • Profile

Likelihood indicators

Impact indicators

Approach consistent with AS/NZS ISO 31000:2009 – standards for risk management

(Published by Standards Australia)

rto risk assessment
RTO Risk Assessment


  • PerformanceAQTF/VQF audit history
  • ESOS audit history
  • Substantiated complaints
  • Other valid performance data
  • GovernanceFinancial viability data
  • Fundamental changes to scope of operations
  • Reliance on partnering organisations
  • Organisational ownership and planning
  • Total Likelihood Rating
  • Profile Scope of registration
  • Delivery of training leading to licensed or regulated outcome
  • RTO delivering training to overseas students in Australia
  • Delivery of training offshore
  • Mode of delivery
  • Total Impact Rating
  • Overall Rating H M L
risk management12

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, & visa data
Risk Management
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, pre-audit, technical advisers on audits or strategic industry audits
  • Development activities for auditors
Industry Engagement
rigorous audit approach

Systematic and rigorous

  • Outcomes focused
  • Evidence-based
  • Flexible
  • Fair, open and transparent
  • Moderated

Rigorous assessment of courses for accreditation

Rigorous audit approach
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.

Transparency and fairness
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


Informed choice for consumers
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
Regulator accountability

One national regulator for:

  • RTO registration (except for VIC and WA where providers have state based operations)
  • CRICOS registration for VET, ELICOS & Foundation Studies providers (but not schools or HE)
  • 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 operations

ASQA offices

Compliance Operations

Risk Analysis and

Industry Engagement

Risk Assessment





Legal and Investigations


National Panel of

Compliance Auditors


Thank you