ASQA Stakeholder Briefing Sessions 2016
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The document provides an overview of the Australian Skills Quality Authority's (ASQA) regulatory activities over the past year, including cancelling registrations of poorly performing training providers, and outlines its risk-based regulatory strategy and framework for 2016-2017 to focus on protecting learners, ensuring adequate training hours, and trainer competency. It also discusses ASQA's collaboration with stakeholders like government, industry, and peak bodies to identify risks, minimize duplication, and ensure the quality and relevance of vocational education and training.
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ASQA Stakeholder Briefing Sessions 2016
- 1. VET sector stakeholder briefing session 2016
- 2. Purpose of today’s briefing • Provide an overview of ASQA’s regulatory activity in the past 12 months • Provide an overview of ASQA’s regulatory risk framework and regulatory strategy for 2016/17 • Encourage ongoing collaboration between industry, government and peak VET organisations and stakeholders 1
- 3. 2 Australia’s VET sector • Around 4 million students undertake VET training annually • Training is provided by around 4600 training providers • 77.5% of enrolments were in courses under national training packages Source: NCVER Australian vocational education and training statistics 2015 Providing skills for jobs
- 4. 3 Australia’s VET sector • 84% of employers were satisfied that nationally recognised training provided employees with the skills they required for the job • 82% of employers were satisfied that apprentices and trainees were obtaining the skills they required from training • 76% of employers were satisfied that vocational qualifications provided employees with the skills they required for the job • 86% of graduates were satisfied with the overall quality of their training • 84% of subject completers were satisfied with the overall quality of their training Sources: NCVER Employers’ use and views of the VET system 2015 NCVER Government-funded student outcomes 2015 Meeting student and employer needs
- 5. 4 Australia’s VET sector • VET provides skills for jobs – not curriculum-driven training • Training packages are developed to meet the training needs of an industry, or a group of industries • Training packages specify the skills and knowledge required to perform effectively in the workplace • Training packages do not suggest how a learner should be trained Meeting employer needs
- 6. ASQA exists to: • Manage the risk that learners don’t get quality training and assessment from a regulated training provider • Enable employers to have confidence that workers will have certified competencies • Protect Australia’s international reputation for high quality education and training 5
- 7. ASQA’s regulatory activity • Testing new organisations seeking to enter the market • Re-registering existing providers • Approving applications to add a new course/s to a provider’s registration • Accrediting national VET courses (outside of training packages) • Proactive compliance monitoring Between 1 July 2015 and 31 March 2016 ASQA: • received a total of 4,946 applications in all states and territories • undertook 942 regulatory activities of training providers 6
- 8. 2015/16 – In review Regulatory decisions 7 Type of decision Number of decisions Cancellation 47 Suspension 10 Written notice/s of intention to cancel or suspend 90 Other administrative sanctions 27 Subtotal 174 Reject application to establish a new RTO 54 Reject application to re-register an existing RTO 35 Reject application to change scope 27
- 9. Impact of ASQA’s regulatory scrutiny Rejections as a percentage of completed decisions 8
- 10. Strengthening VET sector regulation • Enhanced Regulatory Risk Framework to better target resources to areas of greatest risk • Fully established Enforcement and Investigations Team o powers to execute search warrants and seize items o powers to issue civil penalties o able to act in conjunction with police and enforcement agencies • Redesigning the audit model o focus on provider behaviours and practices as well as systems and processes o greater customisation to audit scope o broader spectrum of regulatory tools 9
- 11. ASQA’s Regulatory Risk Framework The primary risk for ASQA to manage is a Registered Training Organisation certifying that a person has competencies that do not reflect his/her skills, knowledge and attitudes. • Additional risks associated with particular obligations of training packages • Risks related to international students and visa integrity What risk does ASQA seek to manage? 10
- 12. ASQA’s Regulatory Risk Framework • Strategic: Systemic risk is a risk likely to exist across the sector or in a proportion of providers. If left untreated, significant risks of this type can have a detrimental impact on the quality of training and assessment for individuals, industry and the wider community and may lead to loss of confidence in the sector. • Operational: Provider risk is the risk an individual provider presents through their choices and actions, which, if left untreated, could have a significant detrimental impact on training and assessment outcomes for students, industry and the community. How does our enhanced risk based regulatory approach work? 11
- 13. 12 Provider data and intelligence received Provider profileThreshold testing ASQA’s Regulatory Risk Framework Provider risk identification
- 14. 13 ASQA’s Regulatory Risk Framework Provider risk analysis and response Complaints Findings of non-compliance Intelligence Response Option Assessment Tool Evaluation of risk information relation to: • the provider • the case • regulatory obligations Investigation Audit Evidence analysis Advice letter Noting but no action
- 15. 14 Likelihood based on • Levels of non compliance • Stakeholder concerns • Technical difficulty • Other drivers Impact based on • Students • Industry • sector Risk relating to the regulatory obligation Impact based on • Students • Industry • sector Likelihood based on • Provider past performance • Provider current conduct Risk relating to the provider and the case Response Option Assessment Tool ASQA’s Regulatory Risk Framework Provider Risk analysis and evaluation 17 Provider Profile
- 16. 15 ASQA’s Regulatory Risk Framework Systemic risk Annual environmental scan of systemic risks Analysis and evaluation Annual regulatory strategy ASQA research & consultation
- 17. ASQA’s Regulatory Risk Framework ASQA’s Regulatory Strategy outlines the initiatives and targeted priorities for the period March 2016—June 2017. The target areas are: 1. Learner protection 2. Amount of training 3. Capability of trainers and assessors The 2016 –17 strategic initiatives and target areas complement ASQA’s ongoing commitment to focus on the small but concerning group of providers in the VET market engaging in practices that pose a threat to confidence in the quality of the VET sector. Systemic Risk – ASQA’s Regulatory Strategy 2016-17 16
- 18. 17 VET FEE-HELP regulatory strategy • The Higher Education Support Act (HESA) establishes VFH and creates a regulatory regime administered by the Commonwealth Department of Education and Training (DET) for the scheme • The regulatory schemes goes to: • approval of an RTO to be a VFH provider • financial viability assessment of VFH providers • quality requirements specified in VFH Guidelines • provisions about VFH providers supplying data and information to DET • authority to DET to audit VFH provider’s compliance against HESA and VFH Guidelines on matters such as fairness requirements, fee requirements, quality and accountability requirements • The regulatory scheme and oversight powers are modelled on the Department’s longstanding regime for Higher Education under HECS / HELP programs
- 19. 18 VET FEE-HELP regulatory strategy • Concerning provider behaviours under VFH also raise issues under the VET Quality Framework regulated by ASQA and Australian Consumer Law regulated by ACCC and State Fair Trading bodies • ASQA views poor VFH behaviours as a systematic risk • 2015 ASQA program of 21 targeted audits with 4 provider’s registration cancelled and 10 providers subject to registration conditions and monitoring • 2016 ASQA program underway
- 20. 19 Complaints and risk • Around 1,500 complaints about RTOs are lodged with ASQA each year • Complaints are a critical data source in moving from application led to data/intelligence led regulation • Assess whether a complaint is within ASQA’s jurisdiction and/or refer to appropriate authority • Decide what level of response based on risk/seriousness • Substantiated complaints are included in a provider’s profile for reference in future regulatory activity
- 21. 20 Working with our stakeholders • Memorandums of understanding and agreements o Share information o Identify emerging risks o Capturing complaints and intelligence • Regular engagement: o Provider Roundtable o ELICOS provider-regulator Roundtable o Stakeholder engagement surveys o ASQA Industry Engagement Team o Directly contacting an ASQA Commissioner
- 22. 21 Working with our stakeholders • Synergy between ASQA’s regulatory work and training package specifications and licensing requirements • Identifying risk issues/poor quality providers State & territory government stakeholders Occupational licensing regulators • ASQA’s regulatory work can complement contractual performance management required of state and territory funding arrangements with RTOs • Ensuring that duplication is minimised • Enhanced data sharing arrangements
- 23. 22 Working with our stakeholders • Making sure the VET sector delivers employees with the skills that employers need • Identifying quality concerns/risk factors • Monitoring training package activity • Identifying poor quality providers Peak training provider groups Peak industry and employer groups • Identifying risks and issues in the VET sector and identifying solutions • Improving regulatory efficiency and reducing red tape
- 24. 23 Industry stakeholders Kavita Dayal, Manager, Industry Engagement. Government stakeholders Michael Bopf, Manager, Governance, Policy & Quality. Peak bodies Julie Northridge, Executive Officer to the Chief Commissioner & Deputy Chief Commissioner. General enquiries: • ASQA website – asqa.gov.au • ASQA Info line – 1300 701 801 Key contacts
- 25. • Visit the ASQA website – asqa.gov.au • Call the ASQA Info line – 1300 701 801 • Send an email – enquiries@asqa.gov.au • Subscribe to the ASQA Update For more information
Editor's Notes
- Purpose of today’s briefing Provide an overview of ASQA’s regulatory activity in the past 12 months Provide an overview of ASQA’s regulatory risk framework and regulatory strategy for 2016/17 Encourage even greater engagement with industry, government and peak VET organisations and stakeholders
- In 2014, there were 3,908, 000 students enrolled in training with 4601 Australian providers. Training was delivered to: 2 252 900 students (57.6%) at private training providers 1 065 600 students (27.3%) at TAFE institutes 190 300 students (4.9%) at schools 185 100 students (4.7%) at community education providers 78 000 students (2.0%) at universities 82 800 students (2.1%) at enterprise providers.
- ASQA exists to: Ensure learners get quality training and assessment Ensure employers get skilled workers Protect Australia’s international reputation for high quality education training
- Between 1 July 2011 and 31 March 2016 ASQA received a total of 32,146 applications
- Last calendar year (2015), ASQA received 6,405 applications and completed 6,191 of these (96.7%) ASQA made 36 decisions to cancel training provider registrations and 17 decisions to suspend registrations This means that in the period from 1 January 2015 to 31 December 2015, ASQA issued 182 written notices of intention to cancel/suspend registration and actually made 53 decisions to cancel or suspend registration, and refused to re-register 46 existing NVR RTOs. Since commencing operations on 1 July 2011, ASQA has taken 805 decisions to reject applications As highlighted in the table, as a percentage of completed decisions in each application category, rejections have been declining across the last 3 full financial years. However, the first half of 2015/16 has seen a spike. Please note that only six months of data is available for FY 15/16 (July-December 2015)
- It is important that the concept of the risk we are seeking to manage is clear to the regulated community and stakeholders. There are other risks beyond this primary risk that ASQA manages including identified systemic risks to the reputation of VET and the risk to visa integrity that ASQA is responsible for contributing to.
- The Regulatory Risk Framework is a comprehensive document that provides the legislative context, explains how ASQA risk-based regulatory approach works by walking through our risk identification, risk analysis and evaluation, risk treatment, monitoring and review pahses of risk based regulation. It also outlines the impacts of ASQA’s risk based regulatory approach for ASQA’s main stakeholder groups. ASQA manages risk on two levels: strategic (systemic risk) and operational (provider risk). Definitions of the two types of risk we seek to manage are listed here (refer to slide) Systemic risk is a risk likely to exist across the sector or in a large proportion of providers. If left untreated, significant risks of this type can have a detrimental impact on the quality of training and assessment for individuals, industry and the wider community and may lead to loss of confidence in the sector. Provider risk is the risk an individual provider presents through their choices and actions, which, if left untreated, could have a significant detrimental impact on training and assessment outcomes for students, industry and the community.
- ASQA has established a range of mechanisms for identifying and assessing provider risk. These enable ASQA to monitor providers at all times to identify those providers who present greatest risk of adversely affecting the community (by not complying with regulatory requirements and producing poor quality training and assessment outcomes). As ASQA’s risk-based regulatory approach matures, the number of mechanisms ASQA uses to monitor provider risk is likely to increase. Provider profiling’ enables ASQA to continuously review provider performance through a centralised report. The provider profile contains: information about a provider’s historical performance in complying with its regulatory obligations (including obligations related to timely and accurate data provision and fee payment) other measures of performance against established predictive risk indicators, and information reported by internal or external stakeholders. A provider profile is fluid in nature and does not translate into a single score or rating of any kind.
- These slides show in detail how ASQA determines what level of response should be applied to a provider based on: the risk of regulatory obligation breached or alleged to have been breached the risk relating the provide and case. There are a number of factors considered in determining both of these risks (listed in the boxes above). The risk relating to regulatory obligation represents ASQA’s position on the risk associated with each legislative provision and standard in it’s regulatory jurisdiction. These are determined annually and reviewed annually, informed by the outcomes of the Environmental Scan (e.g. products and obligations of greatest concern in the E-Scan) The risk relating to provider and the case are determined by considering a number of factor. Information to inform judgements about this risk is drawn from the provider profile. Past performance = previous audit findings; substantiated complaints; non-submission of data; non-payment of fees Current performance = willing to do the right thing (low); try to do the right thing but don’t always success (medium); resistant to compliance (high); decided not to comply (extreme) Impact on students = number of students; number of disadvantaged/vulnerable students Impact on industry = link to products with licensed/regulated outcomes; safety issues in the training or work environment
- We are now moving on the other aspect of ASQA’s Regulatory Risk Framework i.e. Systemic Risk. The strategy was informed by current and emerging risks through stakeholder consultation, market research and VET data analysis, and recommendations from the Senate Standing Committee on Education and Employment. The strategy takes a best practice approach by using evidence to identify the areas posing the highest risk to Australia’s VET sector, and focuses on systemic issues to maximise the positive impact of ASQA’s regulatory resources. Over the course of 2016-17, ASQA will continue its environmental scanning to identify, monitor and evaluate newly emerging risks. ASQA’s target areas for regulatory effort in 2016-17 are: Learner protection Amount of training and Capability of trainers and assessors ASQA will be investigating a number of strategic initiatives to address some of the factors contributing to these issues including, for example strengthening collaboration and coordinating responses with state, territory & Government regulatory and program agencies. It is also expected that as a result of publishing of this Regulatory Strategy and these information session that providers will take notice of these target areas and proactively review their operations in the identified areas of concern. We will now look closely into these 3 target areas.
- Around 1,500 complaints about RTOs are lodged with ASQA each year Complaints are a critical data source in moving from application led to data/intelligence led regulation Assess whether a complaint is within ASQA’s jurisdiction and/or refer to appropriate authority Decide what level of response based on risk/seriousness
- 57 memorandums of understanding and agreements in-place with industry groups, regulators and Federal/State/Territory governments Dialogue between ASQA and stakeholders in the training sector is essential to improving quality. Sector intelligence is a key part of ASQA’s enhanced risk model- Sector intelligence is intelligence relating to a sector or industry wide issues (that do not relate to identifiable or individual providers) captured and monitored in scanning Complaints captured are assessed against ASQA’s regulatory risk assessment framework and treated in accordance with ASQA’s regulatory response procedure. Regular engagement: Provider Roundtable ELICOS provider-regulator Roundtable Stakeholder engagement surveys ASQA Industry Engagement Team Directly contacting an ASQA Commissioner
- Working with our stakeholders State & territory government stakeholders ASQA’s regulatory work can complement contractual performance management required of state and territory funding arrangements with RTOs Ensuring that duplication is minimised Occupational licensing regulators Synergy between ASQA’s regulatory work and training package specifications and licensing requirements Identifying risk issues/poor quality providers
- Peak training provider groups Identifying risks and issues in the VET sector and identifying solutions Improving regulatory efficiency and reducing red tape Peak industry and employer groups Making sure the VET sector delivers employees with the skills that employers need Identifying quality concerns/risk factors Monitoring training package activity Identifying poor quality providers
- If you need any more information after the session today please use any of the channels available to you: Visit the ASQA website – asqa.gov.au Call the ASQA Info line – 1300 701 801 Send an email – enquiries@asqa.gov.au Subscribe to the ASQA Update Thanks to participants Good bye.