Australian Skills Quality Authority

Transcription

1 Australian Skills Quality Authority Strategic Plan 1 July 2013 to 30 June 2016 Operational Plan 1 July 2013 to 30 June

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3 MESSAGE FROM THE CHIEF COMMISSIONER Australia s vocational education and training (VET) sector has a reputation for delivering quality programs and quality outcomes. This crucial sector provides training in the skills Australians need for employment and injects billions of dollars of export income into the economy each year. The Australian Skills Quality Authority (ASQA) was established in July 2011 to ensure the strength and reputation of the VET sector would be not only maintained but enhanced through nationally consistent regulation. The ASQA Strategic Plan sets out ASQA s objectives for the period 1 July 2013 to 30 June This plan divides ASQA s objectives into six key areas regulation; stakeholder relationships; business processes; governance; budget and finance; and people and culture and includes a range of strategies for each area. This plan is supported by an annual operational plan. The Operational Plan describes the activities we will undertake this year to achieve these objectives, as well as how we will measure our performance. 3 These plans, together with the legislation and regulations that govern ASQA s operations, will guide our work through the next three years, and ensure ASQA is well-placed as we enter the next phase of VET regulation in Australia. Chris Robinson Chief Commissioner and Chief Executive Officer

4 4 OUR MISSION Effective regulation by ASQA contributes to students, employers, industry, government and the community having full confidence in the quality of training and assessment delivered by Australia s vocational education and training and English language providers. OUR VISION Agile, responsive, risk-based regulation. OUR VALUES We value: independence transparency collaboration resilience intelligence courage respect

5 CONTEXT The Australian Skills Quality Authority (ASQA) Strategic Plan demonstrates the ongoing evolution of the national vocational education and training regulator. It has been designed to protect and enhance the quality, flexibility and innovation of Australia s vocational education and training providers nationally and internationally. The vocational education and training sector plays a vital role in meeting Australia s social and economic needs for a highly educated and skilled population through its contribution to the development of our national workforce. The quality of training offered by the providers of vocational education and training is also essential for maintaining Australia s reputation in international markets given this sector s significant contribution to Australia s tertiary effort. Established on 1 July 2011 by the National Vocational Education and Training Regulator Act 2011, ASQA is responsible for the registration of training organisations and accreditation of VET courses to ensure nationally approved quality standards are met. ASQA is also the regulatory body for providers delivering English Language Intensive Courses for Overseas Students (ELICOS) in all states and territories, except where ELICOS courses are delivered: in the capacity of a school; or in the capacity of a higher education provider; or under an entry arrangement with at least one higher education provider. ASQA has successfully completed its initial transitional phase and is now working to enhance its policies and procedures to ensure continued confidence in Australia s VET sector. This three year Strategic Plan is supported by an annual Operational Plan that sets out actions and key performance indicators for assessing ASQA s performance. 5 transparent

6 STRATEGIC PLAN OUR FOCUS ASQA s focus is on building a nationally consistent regulatory system that will give confidence to stakeholders that vocational and education training providers and ELICOS providers offer quality training and assessment services; services that are appropriate to meet Australia s social and economic needs for a highly educated and skilled population. ASQA will build consistent regulatory practices by strengthening our targeted, risk-based regulatory approach. We will do this by drawing on information derived from improved national data, and intelligence from our collaborative partnerships with critical stakeholders. We will use this information to inform our regulatory practice and to build a consistent approach that encourages a sector-wide culture of compliance. ASQA will continue to provide significant input into the development of the new standards for the regulation of providers currently under development by the National Skills Standards Council (NSSC). Once these new standards are agreed, ASQA will work with all stakeholders in a concentrated effort to implement these effectively. This focus is central to the delivery of high quality vocational education and training. In this dynamic environment over the next three years, ASQA will continue to refine systems and practices to be a professional, responsive and innovative regulator. OUR REGULATORY APPROACH ASQA regulates in accordance with the standards required for providers set by the NSSC, the VET Quality Framework and the Standards for Accredited courses, in accordance with the National Vocational Education and Training Regulator Act 2011 and the Education Services for Overseas Students Act ASQA will apply its powers with rigour, fairness and consistency. Responsibility for compliance rests with training organisations and course owners. Registered training organisations (RTOs), English language providers and course owners are responsible for ensuring that they comply at all times with the approved national standards. ASQA will assist them to interpret and understand regulatory requirements and guidelines.

7 Regulation is risk-based and targeted. ASQA will apply a primarily risk-based approach to regulation and, in line with international best practice, will focus on anticipating potential problems. Resources will be targeted to areas that pose the greatest risk to the delivery of quality VET. Regulatory interventions will be minimised for RTOs that consistently demonstrate that their operations comply with approved national standards. ASQA will continue to use a variety of regulatory tools to build a stronger culture of compliance. This includes Strategic Reviews designed to identify critical factors needing change to improve training outcomes in specific industry sectors. These reviews draw on our strong partnerships with industry, regulators and employers. Sanctions will be proportionate and meaningful. ASQA s processes will identify non-compliant training providers and determine appropriate regulatory interventions, including sanctions proportionate to the impact of non-compliance. A range of sanctions will apply with serious cases of non-compliance leading to a loss of registration. ASQA s experience to date has been that one in ten (1:10) existing providers has failed to meet the standards needed at the time of renewal of their registration. In addition, one in five (1:5) applications to be a new training provider has been rejected. 7

8 8 STRATEGIC PLAN 1 JULY JUNE 2016

9 SUMMARY OF OBJECTIVES OBJECTIVE Regulation 1. Providers and courses meet regulatory requirements. 2. Decisive and proportionate action is taken to regulate the industry. Stakeholder relationships 3. Students, employers, industry, governments and the community have full confidence in the quality of Australia s vocational education and training and ELICOS providers. 4. Students, employers, industry, governments and providers have full confidence in ASQA s regulatory work in contributing to the quality of Australia s vocational education and training and ELICOS providers. Business processes 5. Streamlined, user-friendly business processes are developed and applied consistently across ASQA. 9 Governance 6. Sound governance practices and relevant, high quality policy advice are developed and applied across ASQA s operations. Budget and finance 7. ASQA s operations are managed within the allocated budget and in accordance with the Commonwealth financial and regulatory framework. 8. Cost recovery revenue targets are achieved. People and culture 9. ASQA has empowered, engaged and effective leaders and people.

10 STRATEGIC PLAN REGULATION OBJECTIVES 1. Providers and courses meet regulatory requirements. 2. Decisive and proportionate action is taken to regulate the industry. STRATEGIES Policy implementation 1. Develop policy and procedures for statutory investigations. 2. Implement the revised ASQA enforcement policy. 3. Develop the ASQA infringement system. 4. Develop and implement the overseas monitoring strategy. 10 Audits 5. Continue the implementation of the audit moderation strategy. 6. Evaluate the effectiveness of the audit moderation strategy. Operational changes 7. Implement operational changes associated with changes to the Act and Standards. 8. Review the Education Services for Overseas Students (ESOS) Act 2000 obligations, including roles, functions and impact on policies. Risk management 9. Implement the integrated risk model and risk framework. responsive

11 STAKEHOLDER RELATIONSHIPS OBJECTIVES 3. Students, employers, industry, governments and the community have full confidence in the quality of Australia s vocational education and training and ELICOS providers. 4. Students, employers, industry, governments and providers have full confidence in ASQA s regulatory work in contributing to the quality of Australia s vocational education and training and ELICOS providers. STRATEGIES Stakeholder planning 1. Implement a stakeholder plan, describing for each stakeholder group the communication methods, engagement processes, feedback strategies, and ways to use National Centre for Vocational Education Research (NCVER) data to engage with the stakeholders. 11 MoUs 2. Complete the establishment of Memorandums of Understanding (MoUs) with government agencies and high priority industry regulators. Data analysis 3. Examine the NCVER survey data to identify opportunities to improve ASQA s regulatory work, and ways to communicate ASQA s work. Information consistency 4. Review and amend information content across multiple platforms (e.g. website, Info line) to ensure consistency of messages.

12 STRATEGIC PLAN BUSINESS PROCESSES OBJECTIVE 5. Streamlined, user-friendly business processes are developed and applied consistently across ASQA. STRATEGIES Upgrade projects 1. Conduct a business process modelling project. 2. Implement the suite of six projects to develop IT and business systems, according to agreed timeframes. 12

13 GOVERNANCE OBJECTIVE 6. Sound governance practices and relevant, high quality policy advice are developed and applied across ASQA s operations. STRATEGIES Communication 1. Develop and implement communication strategies to staff on statutory requirements. Reviews 2. Review governance practices to ensure compliance with legislative obligations. 3. Manage external reviews of ASQA processes. Quality systems 4. Implement and monitor the quality management system. Reporting 5. Establish and implement protocols to support reporting to government and key stakeholders. 13 Efficiencies 6. Identify opportunities to streamline regulation, including working with other agencies. Advice and information 7. Provide policy and regulatory intelligence to inform the NSSC review of standards, and provide ongoing analysis and commentary. collaboration

14 STRATEGIC PLAN BUDGET AND FINANCE OBJECTIVES 7. ASQA s operations are managed within the allocated budget and in accordance with the Commonwealth financial and regulatory framework. 8. Cost recovery revenue targets are achieved. STRATEGIES Cost recovery 1. Undertake quarterly updates of cost recovery data. 2. Analyse cost recovery data and feed back into the business streams. 3. Conduct an annual review of cost recovery fees. 4. Prepare a cost recovery impact statement (CRIS) to achieve the increased cost recovery target. 14 Efficiency 5. Analyse opportunities for increasing efficiency and improving regulatory performance. Audits 6. Conduct internal audits. Budget 7. Establish a departmental capital budget for ASQA for the 2014/15 financial year. independence resilience

15 PEOPLE AND CULTURE OBJECTIVE 9. ASQA has empowered, engaged and effective leaders and people. STRATEGIES Workforce planning 1. Develop a workforce plan. 2. Develop a succession plan. Learning and development 3. Implement the learning and development framework. 4. Review the performance development framework. 5. Review the learning and development framework. Leadership 6. Implement a reward and recognition program. 7. Develop a leadership charter and agreed behaviours that underpin it. 15 Enterprise agreement 8. Agree to a new enterprise agreement for

16 16 OPERATIONAL PLAN 1 JULY JUNE 2014

17 SUMMARY OF OBJECTIVES OBJECTIVE Regulation 1. Providers and courses meet regulatory requirements. 2. Decisive and proportionate action is taken to regulate the industry. Stakeholder relationships 3. Students, employers, industry, governments and the community have full confidence in the quality of Australia s vocational education and training and ELICOS providers. 4. Students, employers, industry, governments and providers have full confidence in ASQA s regulatory work in contributing to the quality of Australia s vocational education and training and ELICOS providers. Business processes 5. Streamlined, user-friendly business processes are developed and applied consistently across ASQA. 17 Governance 6. Sound governance practices and relevant, high quality policy advice are developed and applied across ASQA s operations. Budget and finance 7. ASQA s operations are managed within the allocated budget and in accordance with the Commonwealth financial and regulatory framework. 8. Cost recovery revenue targets are achieved. People and culture 9. ASQA has empowered, engaged and effective leaders and people.

18 OPERATIONAL PLAN REGULATION 1. Providers and courses meet regulatory requirements. 2. Decisive and proportionate action is taken to regulate the industry. Performance Indicators / Evaluation SUCCESS PERFORMANCE INDICATOR / EVALUATION BASIS FOR COMPARISON High levels of provider compliance 1. Percentage and number of audited providers who are compliant. Trends over time 2. Percentage and number of course applications that are compliant. Trends over time 18 High proportion of providers are audited over the registration cycle 3. Percentage and number of providers audited over the registration cycle. Trends over time Timely regulatory processes 4. Percentage and number of regulatory processes that are conducted within specified timeframes. Trends over time Reasonable cost to regulate the industry 5. Cost of: a) course accreditation Trends over time b) risk assessments c) complaints and investigations d) appeals and reviews e) audits and compliance f) other regulatory activity. 6. Average cost of regulation across all registered training organisations (RTOs). Trends over time ASQA is compliant with national standards 7. Qualitative evaluation of ASQA s compliance with national standards for accreditation and regulation, using biannual external review.

19 transparency STRATEGIES Policy implementation 1. Develop policy and procedures for statutory investigations. 2. Implement the revised ASQA enforcement policy. 3. Develop the ASQA infringement system. 4. Develop and implement the overseas monitoring strategy. Audits 5. Continue implementation of the audit moderation strategy. 6. Evaluate the effectiveness of the audit moderation strategy. Operational changes 7. Implement operational changes associated with changes to the Act and Standards. 8. Review the Education Services for Overseas Students (ESOS) Act 2000 obligations, including roles, functions and impact on policies. Risk management 9. Implement the integrated risk model and risk framework. 19 risk-based regulation

20 OPERATIONAL PLAN STAKEHOLDER RELATIONSHIPS 3. Students, employers, industry, governments and the community have full confidence in the quality of Australia s vocational education and training and ELICOS providers. 4. Students, employers, industry, governments and providers have full confidence in ASQA s regulatory work in contributing to the quality of Australia s vocational education and training and ELICOS providers. Performance Indicators / Evaluation SUCCESS PERFORMANCE INDICATOR / EVALUATION BASIS FOR COMPARISON 20 High stakeholder satisfaction with the quality of the VET system 1. Percentage and number of surveyed stakeholders who express satisfaction with the quality of the VET system. Target: greater than or equal to 70 percent Note: this measure will likely use data from the National Centre for Vocational Education Research (NCVER) survey. High stakeholder satisfaction with ASQA s regulatory work 2. Percentage and number of surveyed stakeholders who express satisfaction, reported by category: (categories to be confirmed). Target: greater than or equal to 70 percent 3. Qualitative evaluation of stakeholder satisfaction, using forums, focus groups and other group processes.

21 STRATEGIES Stakeholder planning 1. Implement a stakeholder plan, describing for each stakeholder group: a) communication methods b) engagement processes c) feedback strategies, and d) ways to use NCVER data to engage with the stakeholders. MoUs 2. Complete the establishment of Memoradums of Understanding (MoUs) with government agencies and high priority industry regulators. Data analysis 3. Examine the NCVER survey data to identify: a) opportunities to improve ASQA s regulatory work b) ways to communicate the work of the Authority. Information consistency Review and amend information content across multiple platforms (e.g. website, Info line) to ensure consistency of messages. intelligence

22 OPERATIONAL PLAN BUSINESS PROCESSES 5. Streamlined, user-friendly business processes developed and applied consistently across ASQA. Performance Indicators / Evaluation SUCCESS PERFORMANCE INDICATOR / EVALUATION BASIS FOR COMPARISON High levels of consistency and low levels of duplication in business processes 1. Percentage and number of business processes that are consistent and have low levels of duplication, measured against agreed criteria. Trends over time Before and after system upgrades 22 Internal users satisfied with ICT systems and business processes 2. Percentage and number of internal users satisfied with: (a) ICT support and ICT systems (b) business processes (separate from the quality of ICT systems). Trends over time Projects meet end user requirements 3. Qualitative evaluation using the results from post-implementation reviews of projects.

23 STRATEGIES Upgrade projects 1. Conduct a business process modelling project. 2. Implement the suite of six projects to develop IT and business systems, according to agreed timeframes. agile 23

24 OPERATIONAL PLAN GOVERNANCE 6. Sound governance practices and relevant, high quality policy advice are developed and applied aross ASQA s operations. Performance Indicators / Evaluation SUCCESS PERFORMANCE INDICATOR / EVALUATION BASIS FOR COMPARISON Internal and external audits demonstrate legal and best practice requirements are fully satisfied 1. Ratio of clear audits to exception audits, reported by source: a) internal audit b) external audit. Trends over time 24 Recipients of governance and policy advice find the advice credible and useful 2. Qualitative evaluation using feedback at structured interviews, from recipients of advice. collaboration

25 STRATEGIES Communication 1. Develop and implement communication strategies to staff on statutory requirements. Reviews 2. Review governance practices to ensure compliance with legislative obligations. 3. Manage external reviews of ASQA processes. Quality systems 4. Implement and monitor the quality management system. Reporting 5. Establish and implement protocols to support reporting to government and key stakeholders. Efficiencies 6. Identify opportunities to streamline regulation, including working with other agencies. Advice and information NSSC review of standards: a) provide policy and regulatory intelligence to inform the review b) ongoing analysis and commentary.

26 OPERATIONAL PLAN BUDGET AND FINANCE 7. ASQA s operations are managed within allocated budget and in accordance with the Commonwealth financial and regulatory framework. 8. Cost recovery revenue targets are achieved. Performance Indicators / Evaluation SUCCESS PERFORMANCE INDICATOR / EVALUATION BASIS FOR COMPARISON ASQA s expenditure is managed within budget 1. Percentage variance and amount of deviation of actual expenditure compared with budget. Target: a) zero amount overspent 26 b) within the budget set by the Commonwealth government. All non-compliances identified by internal audit are addressed within 12 weeks No category A or category B findings by Australian National Audit Office 2. Percentage and number of non-compliances identified by internal audit that are addressed within 12 weeks of final report. 3. Percentage and number of audit findings, reported by category A, B and C. Trends over time Trends over time Target: zero for A and B categories Cost recovery achieved 4. Percentage of revenue target achieved. Target: in accordance with the targets set by the Commonwealth government.

27 independence STRATEGIES Cost recovery 1. Undertake quarterly updates of cost recovery data. 2. Analyse cost recovery data and feed back into the business streams. 3. Conduct an annual review of cost recovery fees. 4. Prepare a cost recovery impact statement (CRIS) to achieve increased cost recovery target. Efficiency 5. Analyse opportunities for increasing efficiency and improving regulatory performance. Audits 6. Conduct internal audits. Budget 7. Secure funding to allow ASQA to manage its depreciation expense and asset replacement program. 27

28 OPERATIONAL PLAN PEOPLE AND CULTURE 9. ASQA has empowered, engaged and effective leaders and people. Performance Indicators / Evaluation SUCCESS PERFORMANCE INDICATOR / EVALUATION BASIS FOR COMPARISON 28 High staff satisfaction 1. Percentage and number of staff who are satisfied with: a) performance of leaders b) work life balance c) performance development system d) engagement opportunities within the Authority e) workforce flexibility f) levels of trust and perceptions of being valued. Note: specific questionnaire components may be sourced from existing APS surveys. Trends over time APS averages Staff who currently underperform are being managed effectively and within agreed processes Staff have enhanced skills that are applied in workplace Compliance with occupational health and safety requirements 2. Percentage and number of staff who were successfully managed out of underperformance. 3. Qualitative evaluation of skills mix and workplace requirements, using discussions with managers and staff. 4. Qualitative evaluation of compliance with occupational health and safety requirements, using regular reviews. Trends over time

29 STRATEGIES Workforce planning 1. Develop a workforce plan. 2. Develop a succession plan. Learning and development 3. Implement the learning and development framework. 4. Review the performance development framework. 5. Review the learning and development framework. Leadership 6. Implement a reward and recognition program. 7. Develop a leadership charter and agreed behaviours that underpin it. Enterprise agreement 8. Agree to a new enterprise agreement for respect courage

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31 Agile, responsive, risk-based regulation

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