Provider risk—Compliance History
ASQA has established a range of mechanisms for identifying and assessing the risks posed by providers.
For each provider, ASQA maintains a provider profile. Each provider’s profile is nuanced and dynamic, reflecting a range of data sources and information and does not translate into a single score or rating. Rather, this system allows a detailed profile for each provider, which includes a set of risk indicators.
ASQA uses a broad range of indicators to identify providers of concern.
These indicators enable ASQA to:
- identify providers who present greatest risk to the vocational education and training sector, the international education sector, students and the community, and
- make sound judgements as to the proportionate and most effective response to risks.
One key indicator used in each provider’s profile is Compliance History.
How is a provider’s Compliance History assigned?
This indicator is solely a reflection of a provider’s recent record of compliance in meeting its core regulatory obligations.
A provider’s Compliance History is drawn from the following information:
- performance assessment (audit) history
- complaint history
- compliance with data provision requirements
- payments to ASQA of fees and charges, and
- submission of the annual declaration on compliance.
Does every provider have a Compliance History?
If a provider is newly registered they will not be assigned a Compliance History.
Once ASQA has a sufficient amount of data about a provider, they will be assigned a Compliance History.
What does the Compliance History indicator mean?
ASQA assigns one of six Compliance History categories to each provider.
|Compliance History||What it means|
|Demonstrated consistently compliant||The provider has an ongoing history of meeting their regulatory obligations.|
|Presumed compliant||The provider appears to be meeting their regulatory obligations, but has not been recently tested, say through an audit.|
|Generally compliant||The provider occasionally fails to meet their regulatory obligations but has been able to rectify when required.|
|Demonstrated rarely compliant||The provider has a repeated history of failing to meet their regulatory obligations|
|Restrictions||The provider has a current condition, sanction, suspension or part rejection imposed on their registration|
|Untested||Providers who have been registered for less than one year and have not been audited or received a complaint.|
Each provider’s Compliance History is updated regularly and may change as a result of new information.
How does ASQA use my provider’s Compliance History?
ASQA uses Compliance History, along with a range of other indicators, to assess risks presented by a provider and the circumstances under review’. For more information, see ASQA’s Regulatory Risk Framework.
A provider whose Compliance History is ‘demonstrated rarely compliant’ is more likely to receive a stronger regulatory response than a provider that is ‘demonstrated consistently compliant’.
How can I find out my provider’s Compliance History
For privacy reasons, ASQA is unable to provide information on your organisation’s Compliance History over the phone.
Please contact us.