ASQA's approach to compliance consultation

The Rapid Review of ASQA’s Regulatory Practices and Processes (the Review) recommended that ASQA more clearly distinguish the functions of monitoring provider performance and determining the most appropriate regulatory response where noncompliance is identified. It also recommended ASQA give providers a longer period to address non-compliance on a more systemic and sustained basis.

From April 2021, we will be implementing changes to our monitoring and assessment activities and the tools we use to address non-compliance. The draft ASQA Compliance Policy is an overarching policy that describes ASQA’s principled and risk-based approach to identifying and responding to non-compliance.

The draft ASQA Compliance Policy describes what a provider can expect from ASQA if we identify a non-compliance, and the range of regulatory tools we will use to ensure the provider addresses the non-compliance and has systems to monitor and ensure ongoing compliance.

Consultation paper

Between 25 November 2020 and 10 January 2021, we sought feedback from stakeholders on the draft ASQA Compliance Policy and undertakings to remedy through a consultation paper.

The purpose of this consultation paper is to:

  • Introduce the draft ASQA Compliance Policy as a key document to describe our approach to compliance responsibilities. It forms part of the ASQA Regulatory Risk Framework (which will be updated to reflect changes to our approach).
  • Explore a new component of our regulatory toolkit that we are introducing from April 2021, called ‘undertakings to remedy’. We are working with the sector to co-design this component, and the guidance information that will support its use.
  • This consultation paper describes the proposed features of our approach toward undertakings to remedy, and seeks stakeholder feedback on some key questions.

The consultation paper contains 11 questions that we would like our stakeholders to respond to. Your feedback on this consultation paper will inform how we design and use undertakings to remedy to build a culture of effective self-assurance and compliance with the sector. This consultation has now closed and your feedback will contribute to the final Policy.

Download the consultation paper and draft Compliance Policy via the links below. Please note, it is important that both documents are read in conjunction with one another.

Your feedback

Feedback submissions on our compliance policy consultation paper have now closed. We are currently reviewing your feedback and look forward to integrating this into our final paper which will be launched in the coming weeks.

Thank you to everyone who submitted feedback. 

Webinar: ASQA’s approach to compliance - Consistency, collaboration and continuous improvement

This webinar focuses on what providers can expect from our ASQA Compliance Policy and introduces a new element to how we respond to non-compliance, ‘undertakings to remedy’.

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