Our regulatory practice
We’re being transparent about our regulatory approach, so you know what to expect from us.
We continue to improve our approach to deliver best practice regulation
As a part of our response to the Rapid Review, ASQA has commenced a number of significant improvements to our regulatory approach. Effective from April 6, 2021, these changes align with our purpose of ensuring quality vocational education and training. You can read more about our improved approach to regulation below.
Download the Regulatory Risk Framework (PDF)
Assessment teams monitor provider performance and are separate from the teams which work with providers where non-compliance is found. This builds on improvements made in 2020 to how we engage with providers, how we report on non-compliance, as well as how we handle minor deficiencies.
Early engagement with providers during an assessment activity gives us a better sense of an organisation prior to meeting and places less pressure on staff during a site visit. Clearer assessment reports have:
- more comprehensive evidence and reasoning where there is non-compliance
- separate documentation for minor deficiencies if they can be easily fixed, are non-systemic and are not significant enough to warrant a finding of non-compliance.
Now where non-compliance is identified, there are more opportunities for a provider to return to compliance during a regulatory activity. Compliance teams work directly with providers and use a range of options for addressing non-compliance in a systemic and sustainable way, including the new agreement to rectify. Where compliance cannot be achieved, compliance teams determine regulatory response.
We’re being clear how we provide procedural fairness in a review process and providing earlier opportunities to request a decision be reviewed. Reviews are undertaken by a team separate from that involved in the original decision and consider the original as well as new evidence and information.
Regulatory Risk Framework
Approach to assessing performance
This regulatory practice guide details the collection and analysis of evidence that enable a deeper understanding of provider performance and the focus on a strong interaction between practice, systems and continuous improvement. It includes what we will review as part of a performance assessment (audit), our sampling approach to evidence collection and the way we will engage with providers throughout the audit.
Approach to compliance
This regulatory practice guide outlines our monitoring activities and how we determine the appropriate regulatory response where non-compliance has been identified in a performance assessment (audit). We will work directly with providers to return them to compliance where appropriate, using a range of regulatory tools, including the new agreement to rectify. The practice guide sets out the tools we use to promote and ensure compliance.
Approach to review of decisions
This regulatory practice guide describes our approach to reviewing decisions that adversely affect a provider and how we provide procedural fairness. It outlines how we will engage with providers throughout a review and how we consider the evidence available at the time of the original decision as well as any new evidence made available.
Like the VET sector, our focus is on continuous improvement, so we will be seeking feedback from you later this year to understand how our changes are being implemented in practice. We’ll also be continuing the conversation on self-assurance as we work with the sector to build a shared understanding.
More improvements are coming later this year. These will address:
- how we manage registrations and course accreditation processing
- how we use regulatory insights to inform our risk-based approach to monitor provider and sector performance.
We will also release our regulatory practice guide on enforceable undertakings in the coming months.