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					TEQSA Regulatory Processes
and the new HE Framework



31 May 2012

Judy Duffy, Director, Monash Quality Unit
  Framework Overview
 The core teaching and research activities of the University are now
  subject to audit by an external regulator.


 All universities are now operating under a seven year license
  arrangement.


 Monash’s registration as a higher education provider expires on
  31 December 2012.


 Monash’s registration as a CRICOS provider expires on June 2014.



                                                                        2
  TEQSA Background

 TEQSA Act 2011 and the Higher Education Standards Framework
  established as regulations under the Act.
 Senior staff can be held to account for non-compliance.
 Based on multiple forms of evidence of compliance.
 Conducted by TEQSA staff rather than academics as per AUQA audits
  (may refer to academic experts for advice).
 Registration decisions are made by the TEQSA Commission.
 Federal Court is the avenue for appeal.




                                                                      3
Regulatory Approach
TEQSA’s approach to regulation is proportionate and risk-based, with
the legislation outlining three basic principles for regulation (Sections
13-16 of TEQSA Act):
1. The principle of regulatory necessity –TEQSA should not burden
a provider any more than is necessary.
2. The principle of reflecting risk –TEQSA should have regard to a
provider’s history, including its history of compliance with state and
federal laws relating to higher education.
3. The principle of proportionate regulation –TEQSA must exercise
its powers in such a way that is proportionate to a provider’s non-
compliance with the Act and any risk of future non-compliance.



                                                                            4
TEQSA Legislation
Tertiary Education Quality and Standards Agency (TEQSA) Act 2011
establishes TEQSA as an agency.
Sections 25 to 32 of the TEQSA Act require a registered higher
education provider to:
  – Offer at least one accredited course (Section 25);

  – Ensure that, if a provider’s course is subject to the TEQSA Act as
    a regulated higher education award and provided wholly or partly
    by another entity, that the other entity provides the course
    consistently with the Threshold Standards (Section 26);

  – Give TEQSA an annual audited financial statement, as specified
    in the TEQSA Act (Section 27).


                                                                         5
TEQSA Legislation (cont.)
Sections 25 to 32 of the TEQSA Act require a registered higher
education provider to:
  – Comply with requests by TEQSA for information (Section 28);

  – Notify TEQSA of material changes (Section 29);

  – Keep adequate records for the purpose of the Act (Section 30);

  – Cooperate with TEQSA to facilitate TEQSA’s performance of its
    functions (Section 31);

  – Comply with any other conditions imposed by TEQSA.




                                                                     6
  TEQSA Powers
 TEQSA has ESOS regulatory powers over the sector including
  CRICOS approvals.
 Can impose conditions on a provider’s registration under Section 32 of
  the TEQSA Act such as:

     – Maintain a particular staffing profile;
     – Provide particular facilities or support services;
     – Restrict or remove authority to self-accredit courses;
     – Restrict or remove ability to provide a course;
     – Restrict the number of students in a course.




                                                                           7
  Higher Education Standards Panel
 The Higher Education Standards Panel is responsible for developing
  and monitoring the Higher Education Standards Framework.
 Established under Part 9 of the TEQSA Act.
 Panel members are appointed by the Minister for Tertiary Education, in
  consultation with the Minister for Research.
 The Panel advises the Minister. It is independent of TEQSA.




                                                                           8
  Provider Registration Standards
  (Regulations)
 Provider standing;
 Financial viability and safeguards;
 Corporate and academic governance;
 Primacy of academic quality and integrity;
 Management and human resources;
 Responsibilities to students;
 Physical and electronic resources and infrastructure.




                                                          9
  Provider Category Standards
  (Regulations)

 “Higher Education Provider” Category;
 “Australian University” Category;
 “Australian University College” Category;
 “Australian University of Specialisation” Category;
 “Overseas University” Category;
 “Overseas University of Specialisation” Category.




                                                        10
  Provider Course Accreditation Standards
  (Regulations)

 Course design is appropriate and meets the Qualification Standards;
 Course resourcing and information is adequate;
 Admission criteria are appropriate;
 Teaching and learning are of high quality;
 Assessment is effective and expected student learning outcomes are
  achieved;
 Course monitoring, review, updating and termination are appropriately
  managed.




                                                                          11
  Qualification Standards (Regulations)

 Higher education awards delivered meet the appropriate criteria;
 Certification documentation issued is accurate and protects against
  fraudulent use;
 Articulation, recognition of prior learning and credit arrangements meet
  the appropriate criteria.




                                                                             12
  Other Possible Standards (Yet to be developed)

 Teaching and Learning Standards;
 Research Standards;
 Information Standards.


All standards are subject to some form of audit.




                                                   13
  Regulatory Risk Framework
 The TEQSA Regulatory Risk Framework sets out TEQSA’s policy and
  processes for identifying and assessing risk.
 All providers subject to a preliminary risk scan in early 2012.
     – Based on a limited set of core data and risk indicators;
     – Building on existing collections within the sector
       (DIISRTE reported data).

 More detailed risk assessments will commence later in 2012.
 Framework encourages collaborative relationships with the sector and
  allows for dialogue with providers, before formal regulatory intervention.
 Approach supports TEQSA as a preventative and proactive regulator,
  as well as a responsive regulator when risks materialise or performance
  issues warrant intervention.

                                                                           14
   Regulatory Risk Framework (cont.)

 High level “red flags” that may lead to “targeted engagement”.
 Factors that may raise an institution’s risk rating include:
     –   High / volatile international student population;
     –   High student attrition rates;
     –   Delivery of courses offshore;
     –   Increasing student /staff ratio;
     –   Low operating profit margin.

 TEQSA determine the level of regulation based on the institutional risk
  rating.




                                                                            15
  Material Change Notification
 Providers must notify TEQSA of events that could affect ability to meet
  the Threshold Standards.
 No later than 14 days after the day we have become aware of the
  event.
 Points of contact with TEQSA are the Vice-Chancellor and
  Pro Vice-Chancellor (Planning and Quality) only.
 TEQSA may investigate and instruct following a material change
  notification based on perceived risk.




                                                                            16
  Examples of Material Change
 Changes to legal status, form of control, ownership or shareholding.
 Changes to key personnel (Council members / senior officers).
 Adverse findings or conditions by a professional body or association.
 Financial sustainability (severe financial difficulties).
 Changes to premises where ‘higher education services’ are provided.
 Third party, agent and/or partner arrangements for delivery of ‘higher
  education services’.




                                                                           17
  Other TEQSA Activities

 CRICOS approvals
 Annual data collection which can then lead to ‘targeted engagement”
 Thematic sector-wide audits
 ESOS audits and CRICOS re-registration as a provider
 Ad hoc investigations.




                                                                        18
  TEQSA Registration 2012: Key dates
 Threshold Standards published                January 2012
 TEQSA regulatory powers in effect            29 January 2012
 Material Change reporting introduced         29 January 2012
 TEQSA provider scan based on risk            February - March 2012
 Registration template released               27 March 2012
 TEQSA advises courses to be sampled          1 July 2012
 Monash submits registration application      1 October 2012
 Further information and visits if required   Oct 2012 – June 2013




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Questions?




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